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Home My WebLink About2000-04-12Draft MINUTES OF FINANCE. ADMINISTRATION AND HUMAN RESOURCES COMMITTEE MEETING Orange County Sanitation District Wednesday, April 12, 2000, 5:00 p.m. A meeting of the Finance, Administration and Human Resources Committee of the Orange County Sanitation District was held on April 12, 2000 at 5:00 p.m., in the District's Administrative Office. (1) The roll was called and a quorum declared present, as follows: (2) FAHR COMMITTEE MEMBERS: Directors Present: Thomas R. Saltarelli, Chair Mark Leyes, Vice Chair Shawn Boyd John M. Gullixson Shirley McCracken James W. Silva OTHERS PRESENT: Tom Woodruff, General Counsel Don Hughes Toby Weissert Ryal Wheeler APPOINTMENT OF CHAIR PRO TEM No appointment was necessary (3) PUBLIC COMMENTS Directors Absent: Mark A Murphy Jan Debay; Board Chair Peer Swan, Board Vice Chair STAFF PRESENT: Don Mcintyre, General Manager Blake Anderson, Assistant General Manager Lisa Tomko, Acting Director of Human Resources Bob Ooten, Director of Operations & Maintenance Gary Streed, Director of Finance Steve Kozak, Financial Manager Mike White, Controller Jim Herberg, Engineering Supervisor Jim Burror, Project Manager Penny Kyle, Committee Secreta~LED IN THE OFFICE OF THE SECRETARY ORANGE COUNTY SANITATION DISTRICT APR 2 6 2000 /X. Ryal Wheeler, a District employee, voiced concern with the District's mediator, ADR, and possible conflicts with grievance procedures contained within the memorandum of understandings. He was also concerned with solicitations by ADR to District employees for mediation services. He requested that the F AHR Committee provide oversight on the contract with ADR. Lisa Tomko, Acting Director of Human Resources, stated that staff has taken steps to make sure that ADR does not initiate or solicit mediation with employees. Minutes of the Finance, Administration and Human Resources Committee Meeting Page2 April 12,2000 (4) RECEIVE, FILE AND APPROVE MINUTES OF PREVIOUS MEETING It was moved, seconded and duly carried to approve the minutes of the March 8, 2000 Finance, Administration and Human Resources Committee meeting. Director John Gullixson abstained. (5) REPORT OF THE COMMITTEE CHAIR The Committee Chair had no report. (6) REPORT OF THE GENERAL MANAGER The General Manager reported on SB 1956, sponsored by Senator Polanco. This bill would prohibit local government from enacting or enforcing an ordinance that is more restrictive than either the Federal 503 regulations or any state requirements that may emerge that regulates biosolids unless local government can show there is a public health or environmental need. Staff will be requesting the Board at the April 261h meeting to consider adopting a resolution in support of SB1956. Mr. Mcintyre then stated that several bills are being developed for urban runoff and watershed management. Staff will keep the Directors apprised as these bills develop. (7) REPORT OF ASSISTANT GENERAL MANAGER Blake Anderson, Assistant General Manager, reported that escrow should close the end of April for the purchase of property in Kings County for biosolids application. A multiple-year composting contract is currently moving through the conditional use permit process in Kem County. Mr. Anderson also reported the Little Hoover Commission, comprised of 13 members appointed by the Governor, Assembly and Senate, was preparing a report on all special districts within California. Hearings are scheduled to be held on June 14 and August 26. The report is expected to contain findings that special districts are not accountable to their communities, reserves are excessive, not well planned or justified, and property tax allocations need to be adjusted. Blake stated that he spoke at length to the Commission recently regarding the District's strategic future planning. (8) REPORT OF DIRECTOR OF FINANCE Gary Streed reported that the District's short-term portfolio had a technical non-compliance of about $475,000. A fund was downgraded from A-to BBB+ on the last day of the month, thus PIMCO had no opportunity to get out of that fund before the report was published. PIMCO has an analyst at Finova Capital going over the books. It was special accounting charges and expenses that put the fund in this situation. Staff is satisfied that PIMCO is taking the appropriate steps. Technically, however, this is a violation of the District's investment policy. It was further reported that the Operations and Maintenance budget is in draft form and will be discussed next month. Minutes of the Finance, Administration and Human Resources Committee Meeting Page 3 April 12,2000 Mr. Streed further reported that a letter had been received from the mayor of Garden Grove, addressed to the District's Chair, urging the Directors not to vote for the consolidation of the user fees. The consolidation of rates issue will be placed on the agenda for the April 26th regular board meeting. (9) REPORT OF DIRECTOR OF HUMAN RESOURCES The Acting Director of Human Resources had no report. (10) REPORT OF DIRECTOR OF COMMUNICATIONS The Director of Communications reported that the Orange County Register has a mobile newsroom that travels around the county. Jeff Kramer, a humor columnist, will be staffing the newsroom and has requested a visit to the District. Ms. Tuchman then reported on the formation of a Community Advisory Committee on Odor Control. Letters of invitation to be a member of the committee were sent to numerous residents and businesses in the four cities most impacted by odors generated by the plants: Huntington Beach; Fountain Valley; Costa Mesa; and Newport Beach. The first meeting was held on April 11111• Two residents attended from the Southeast Huntington Beach Neighborhood Association and the West Newport Beach Association. Because the response to the formation of the Committee was limited, a contingency plan has been developed to reach more of the impacted residents, such as an open ~ouse and specialty meetings with those associations. (11) REPORT OF GENERAL COUNSEL General Counsel had no report. (12) CONSENT CALENDAR ITEMS (Items a-c) a. FAHR00-26: Receive and file Treasurer's Report for the month of March 2000. The Treasurer's Report was handed out at the FAHR Committee meeting in accordance with the Board-approved Investment Policy, and in conformance with the Government Code requirement to have monthly reports reviewed within 30 days of month end. b. FAHR00-27: Receive and file Certificate of Participation {COP) Monthly Report. c. FAHR00-28: Receive and file Employment Status Report as of March 21, 2000. Motion: END OF CONSENT CALENDAR Moved, seconded and duly carried to approve the recommended actions for items specified as 12(a) through (c) under Consent Calendar. Minutes of the Finance, Administration and Human Resources Committee Meeting Page4 April 12,2000 (13) ACTION ITEMS (Items a-b) a. FAHR00-29: Adopt Resolution No. OCSO 00-_, Authorizing Formation of the Orange County Sanitation District Financing Corporation and Authorizing Certain Related Actions. Steve Kozak gave a progress report on the restructure of the District's certificates of participation and a brief overview of the formation of the District's financing corporation. Directors then entered into discussion regarding possible conflict of Interest and the bylaws of the District and the financing corporation. Motion: Moved, seconded and duly carried to approve staff's recommendation. b. FAHR00-30: Adopt Resolution No. OCSD 00-_, Amending Resolution No. OCSD 98-33 Updating Human Resources Policies and Procedures. Lisa Tomko gave a brief overview of the policy sections being updated, and minor clarifications in addition to what was included in the Directors' package. Motion: Moved, seconded and duly carried to approve staff's recommendation. (14) INFORMATION PRESENTATIONS a. FAHR00-31 : Cooperative Projects Program, Job No. J-73 Jim Herberg gave an update on the District's cooperative projects program. (15) OTHER BUSINESS, COMMUNICATIONS OR SUPPLEMENTAL AGENDA ITEMS. IF ANY There were none. (16) MATTERS WHICH A DIRECTOR MAY WISH TO PLACE ON A FUTURE AGENDA FOR ACTION ANO STAFF REPORT There were none (17) CONSIDERATION OF UPCOMIN.G MEETINGS The next FAHR Committee meeting is scheduled for May 10, 2000 at 5 p.m. (18) CLOSED SESSION The Chair reported to the Committee the need for a Closed Session, as authorized by Government Code Section 54956.9, to discuss and consider the item that is specified as Item 18(A)(1) on the published Agenda. The Committee convened in closed session at 6:38 p.m. Minutes of the Finance, Administration and Human Resources Committee Meeting Pages April12,2000 Confidential Minutes of the Closed Session held by the Finance, Administration and Human Resources Committee have been prepared in accordance with California Government Code Section 54957.2, and are maintained by the Board Secretary in the Official Book of Confidential Minutes of Board and Committee Closed Meetings. No reportable actions were taken re Agenda Item No. 18(a)(1). At 7: 1 O p.m .• the Committee reconvened in regular session. (19) ADJOURNMENT The Chair declared the meeting adjourned at approximately 7:10 p.m. Submitted by: {J.,(/tu Penny M. I FAHR Committee Seer t H:'wvp.dta\agendalFAHRIFAHR2000\2000 MinutesVJ41200 FAHR MIN.doc STATE OF CALIFORNIA) ) SS. COUNTY OF ORANGE ) Pursuant to California Government Code Section 54954.2, I hereby certify that the Notice and the Agenda for the Finance, Administration, and Human Resources ~/' ... ;:\ Committee meeting to be held on -----"l--=LJ~---------..... --~-------' 20u:L_, was duly posted for public inspection in the main lobby of the District's offices on ~Ip 200.D IN WITNESS WHEREOF, I have hereunto set my hand this if {I day of ~i ,2062. Penny M. le, Secri Board of Directors Orange County Sanitation District \\RADON\DATA 1 \WP.DTA\ADMIN\BS\FORMS\AGENDA CERTIFICATION-FAHR COMMITIEE.DOC phone: (714) 962-2411 malling address: P.O. Box 8127 Fountain Valley, CA 92728-8127 street address: 1 0844 Ellis Avenue Fountain Valley, CA 92708-7018 Member Agencies Cit ies Anaheim Brea Buena Park Cypress Fountain Valley Fullerton Garden Grove Huntington Beach Irvine La Habra La Palma Los Alamitos Newport Beach Orange Placentia Santa Ana Seal Beach Stanton Tustin Villa Park Yorba Linde County of Orange Sanitary Districts Coste Mesa Midway City Water Districts Irvine Ranch ORANGE CO UNTY SANITATION D ISTRICT April 5, 2000 NOTICE OF MEETING FINANCE, ADMINISTRATION AND HUMAN RESOURCES COMMITTEE ORANGE COUNTY SANITATION DISTRICT WEDNESDAY, APRIL 12, 2000-5:00 P.M. DISTRICT'S ADMINISTRATIVE OFFICES 10844 ELLIS AVENUE FOUNTAIN VALLEY, CALIFORNIA 92708 A regular meeting of the Finance, Administration and Human Resources Committee of the Board of Directors of the Orange County Sanitation District, will be held at the above location, date and time. 'To PruLer.;L Lile Public He1:1l1.h 1:1ml Liie Envirunrmmt Lhrough Excellence in Wastew1:1Ler Systems" FINANCE, ADMINISTRATION AND HUMAN RESOURCES COMMITTEE MEETING DATES FAHR Committee Meeting Dates April 12, 2000 May 10, 2000 June 14, 2000 July 12, 2000 No Meeting Scheduled September 13, 2000 October 11, 2000 November 8, 2000 December 13, 2000 No Meeting Scheduled February 14, 2001 March 14, 2001 April 11 , 2001 Board Meeting Dates April 26, 2000 May24, 2000 June 28, 2000 July 19, 2000 August23,2000 September 27, 2000 October 25, 2000 November 15, 2000 December 20, 2000 January 24, 2001 February 28, 2001 March 28, 2001 April 25, 2001 April 5, 2000 May 2000-01 CIP Budget Status Report lnfonnation May 2000-01 Operating Budget Status Report lnfonnation May 2000-01 User Fees, Connection Fees, Annexation Fees Action May 2000-01 Source Control Pennit User Fees Action May Approve Final COP Restructuring Documents Action May Quarterly Investment Management Report lnfonnation May Annual Renewal of All-Risk Property Insurance Action May General Manager Approved Purchase Report Action June Approve COP Restructuring Sale Action June 2000-01 Proposed Budget Approval Action July Update Human Resources Policies & Procedures Action July Annual Investment Policy Approval Action ROLL CALL f:INANCE, ADMINISTRATION AND HUMAN RESOURCES COMM11TEE Meeting Date: April 12, 2000 Time: 5:00 p.m. Adjourn: ----- COMMITTEE MEMBERS THOMAS R. SALTARELLI (Chair) ................................................ . MARK LEYES (Vice Chair) ........................................................... . SHAWN BOYD .............................................................................. . JOHN M. GULLIXSON .................................................................. . SHIRLEY MC CRACKEN .............................................................. . MARK A. MURPHY ....................................................................... . JAMES W. SILVA .......................................................................... . JAN DEBAY (Board Chair) ........................................................... . PEER SWAN (Board Vice Chair) .................................................. . OTHERS TOM WOODRUFF, General Counsel ............................................... __ TOBY WEISSERT, Carollo Engineers ............................................. __ STAFF DON MCINTYRE, General Manager .............................................. .. BLAKE ANDERSON, Assistant General Manager ........................ .. DAVID LUDWIN, Director of Engineering ..................................... .. BOB OOTEN, Director of Operations & Maintenance .................... . LISA TOMKO, Acting Director of Human Rnources ................... .. GARY STREED, Director of Finance .............................................. . MICHELLE TUCHMAN, Director of Communications ................... .. PATRICK MILES, Director of Information Technology .................. . ROBERT GHIRELLI, Director of Technical Services ..................... . STEVE KOZAK, Financial Manager ............................................... . . MIKE WHITE, Controller ................................................................. . GREG MA THEWS, Assistant to the General Manager ................... . DAWN MCKINLEY, Sr. Human Resources Analyst ....................... . PENNY KYLE, Committee Secretary .............................................. . c: Lenora Crane ' i AGENDA REGULAR MEETING OF THE FlNANCE1 ADMINISTRATION AND HUMAN RESOURCES COMMITTEE ORANGE COUNTY SANITATION DISTRICT WEDNESDAY, APRll 12, 2000, AT 5:00 P.M. ADMINISTRATIVE OEEICE 10644 Ellis Avenue Fountain Valley, California 92708 In 8CCOldance with ·ttte 19qUirements Of ca/ifomia Gov.emment Code Sectipn 54954~2, this agenda has be.en posted in the main /Obby of: the DiStrid's Administrative omces not less than 12 lfoors priorto the meeting date and time above.. AN Written materials 1elatiRg to eaclJ agenda item am available for public inspea;on In the Oftice of the BoarrJ Seaetary. In the event any matter not Jisted·on this ageftd!j is proposed to be submitted-to the Committee (Dr.discussion andfor action, it will be done in compliaooe witlJ Section 54.954.2/&) as an emell8f'JCY item otthat thete is a need to take immediate .action·wllich need came to the attention of.the CQmmM• subSequent to the posting of the agenda, or as set lottJ1 on a supplemental agenda posted in tbe manner as above, not less than 72 ·hours prior to the meeting date. (1) ROLL eALL (2} APPOINTMENT OF CHAIR PRO TEM. IF NECESSARY (3) PUSLIC COMMENTS Alf persons wishiog .to address the Finanee, Administration and Human ResouR:es Committee on specific agenda items or matters of general interest should do so at this time. As determined by the Chair, speakers may be deferred until the specific item is taken for discussion and r.emart<s may be limited to five minutes. Matters of interest addressed by a member of the public and not listed on 1his agenda cannot have action taken by the Committee except as authorized by Section 54954.2(b). ApAf 12, 2000 (4) APPROVE MINUTES OF PREVIOUS MEETING Approve minutes of the March 8,' 2009. Finance, Administration and Human Resources Committee meeting. (5) REPORT OF COMMITIEE CHAIR (6) REPQR1 OF GENERAL MANAGER (7) REPORT OF ASSIST ANT GENERAL MANAGER (8) RE.PORT OF DIRECTOR OF FINANCE --· _ (9) REPORT OF DIRECTOR OF HUMAN RESOURCES_ (1'0) REPORT OF DIRECTOR OF COMMUNICATIONS (11) REPORT OF GENERAL COUNSEL (12) CONSENT CALENDAR ITEMS (a-c) Consideration of motion to approve ml agenda items appearing on the Consent Calendar not ~Y removed.from same, as follows: All matters plaoed on the consent calendar are considered as not requiring discussion or further explanation and 1 unless any particulaf itE!fn -is-requested to be removed fr em the consent calendar by a Director, sta~member or member ot the ;public in attendance, there will be no separate discussion at these items. All items on the consent calendar will be ~ed ·by one aetion.~oving all motiens, and casting a unanimous baUot for ~lutlons included on the consent calendar. All items removed from the consent .calendar shall be considered in the regular order of business. · Members of Ule pubtic who wish to rem0ve an item ffOm the consent calendar shall, upon recogMion by the ~hair, tbeir MMei .address and. designate by number the Item to be remcw.ed from u-e cxmsent caleftdar. !The Chair will da&Mmifte·if a~ items are'tb be deleted from the consent calendar. i a. FAHROQ..26: Recei~e and file Treasurers Report for the month of March 2000. The Tr.easurers Report will be distributed at .the FAHR Committee meeting in accordance with the Board-approved Investment Policy, and in conformance to the Government Code r-equirement to have monthly reports reviewed within 30 days of month end. 2 b. FAHR00-27: c. FAHROG-28: April 12, 2000 ReceNe and 6te CeJ;tificate of Participation (COP) Monthly Report. Recei¥e and file Employment Status Report as of March 21, 2000. END OF CONSENT CALENDAR Consideration of items deleted from Coosent Calendar, if any. (13) ACTION ITEMS {a-b) a FAKR00-29: b. FAHR00:30: Adopt Resolution No. OCSD ~. Al:lthofizing Fonnation of the Orange Cc>urlty Saf.l;itatkm District Financing Corpc>ration and Authorizing Certain Related Actions. (Steve Kozak -20 minutes) Adopt ResolUtion No. OCSD 00-_, Amending Resolution No. OCSD 98-33 Updating 'Ht.Jman ·Re.sour.ces Policies and Procedures (Usa Tomko -1Q minutes) (14) INFORMA T!ONAL PRESENTATIONS a. {1·5) (16) (17) ' FAHR00.31: Cooperative Projects Program, Job No. J,.73 {Jim Herberg -to minutes) O'fHER BUSINESS. COMMUNICATiONS OR SUPPLEMENTAL AGENDA ITEMS. IF ANY MATTERS WHICH A DIR.ECTOR MAY WISH TO PLACE ON A FUTURE AGENDA FOR ACTION AN.D STAFF ~EPORT FUTURE MEETlNG DATES The next Finance, Admil1istration and Human Resources Committee Meeting is scheduled for May 10, 2000, at 5 p.m. 3 April 12, 2000 (1·8) CLOSEE> SESSION IDuriOg the coWs8 of conducting the b.l.isiMss set forth on this agenda as a regular meeting of the Committee, the Chair may convene the Committee 1A-GIOse4 $GSSIQn to consid$r matters .of pending real estate negotiations, pet:ldlng <:if pot~tial litigation, or personnel maleJ's, pursuant to Govemment Code Sections 54956.8, 54958.9, 957 or 54957.6, as neted. · ~ 1'elating to ta) ~ase aAd U,le of real property, (b} matters of pending or potential litigation; (c:) employee .actions or 11egotiatk1Rs with employee fepr~entatives; er wbtd1 are exempt from public disclosure under tt;e CalifDmia Public Reeords Act. may be reYiewed by the Comnittee during a permitted closed session and are not avaUaDle for public if'lspectlon. N. such time as final actions 8fe taken by the Committee on any of these su ·ects. the m!Autes will ret\~ aU r ired disclosures of information. A. CQnvene in dosed session. 1. Confer with Geneial Counsel re Claim of Crow Winthrop Development Limited Paltnership {GovemmeAt Code Section 54956.9(b)(3)(c)). B. Reconvene in regular session. C. Collsideration of action. ·if any, on matters considered m closed session. (19) ADJOURNMENT Notice To Commibe Members: For any. questio8s Gft·the·agenda or to place any ams °" the ag&Ada, Committee membefs. should contact the Committee enalr or Secretary ten days in acivaACe of the Cemmittee,meeting. Comm1ttee·Chair: Committee Secnitaly. (~&.} 8'33-9200 t714} 59S--7130 4 .J Draft MINUTES OF FINANCE. ADMINISTRATION AND HUMAN RESOURCES COMMITTEE MEETING Orange County Sanitation District Wednesday, March 8, 2000, 5:00 p.m. A meeting of the Finance, Administration and Human Resources Committee of the Orange County Sanitation District was held on March 8, 2000 at 5:00 p.m., in the District's Administrative Office. (1) The roll was called and a quorum declared present, as follows: FAHR COMMITTEE MEMBERS : Directors Present: Thomas R. Saltarelli, Chair Mark Leyes, Vice Chair Shawn Boyd Shir1ey McCracken James W. Silva Jan Debay, Board Chair Peer Swan, Board Vice Chair OTHERS PRESENT: Tom Nixon, General Counsel Don Hughes Jeff Bower Rita Seymor Joe Fournier (2) APPOINTMENT OF CHAIR PRO TEM No appointment was necessary (3) PUBLIC COMMENTS There were no public comments. Directors Absent: John M. Gullixson Mark A. Murphy STAFF PRESENT: Don Mcintyre, General Manager Blake Anderson, Assistant General Manager Lisa Tomko, Acting Director of Human Resources Gary Streed, Director of Finance Steve Kozak, Financial Manager Mike White, Controller Greg Mathews, Assistant to the General Manager Penny Kyle, Committee Secretary Bob Geggie Ryal Wheeler (4) RECEIVE, FJLE AND APPROVE MINUTES OF PREVIOUS MEETING It was moved, seconded and duly carried to approve the minutes of the February 9, 2000 Finance, Administration and Human Resources Committ.ee meeting. (5) REPORT OF THE COMMITTEE CHAIR The Committee Chair had no report. Minutes of the Finance, Administration and Human Resources Committee Meeting Page2 March 8, 2000 (6) REPORT OF THE GENERAL MANAGER The General Manager reported that the budget process was underway. There are some outstanding issues with budget assumptions regarding staffing. Blake Anderson wm be talking to the Steering Committee about these at its next meeting. Mr. Anderson's proposal will be to develop comprehensive staffing plans in conjunction with an operations plan that will go to the Board later this year. (7) REPORT OF ASSISTANT GENERAL MANAGER Blake Anderson discussed an article that appeared in The Register last week regarding the groundwater replenishment system. He reported that reporter Gary Robbins has spent much time with staff trying to understand the complex issues connected with the GWR system. He further reported no telephone calls were received as a result of the article. Mr. Robbins will be doing a series of articles on the various water issues in the near future. The Assistant General Manager also discussed the upcoming GWR Board Workshop to be held on March 251h from 8:00 a.m. to 11 :00 a.m. Alternate Directors from our Board, Directors of the Orange County Water District , and the Rate Advisory Committee and Planning Advisory Committee members were being invited to attend this workshop. (8) REPORT OF DIRECTOR OF ANANCE Gary Streed introduced Jeff Bower of PaineWebber, and Rita Seymor and Joe Fournier of PIMCO, to the Directors. Mr. Streed also reported that the bankruptcy proceeds were distributed a several weeks ago. Four checks were received from three different financial institutions, only one of which is the same bank the District utilizes. However, the most significant amount of the money received was drawn on a bank that could only be deposited in Boston. A special account was opened on Thursday and the money was sent overnight and had it invested by Friday. Because of that strategy, the District was able to eam an extra $30,900 of interest by moving quickly. (9) REPORT OF DIRECTOR OF HUMAN RESOURCES The Acting Director of Human Resources had no report. (10) REPORT OF DIRECTOR OF COMMUNICATIONS The Director of Communications was not present. (11) REPORT OF GENERAL COUNSEL Tom Nixon reported on the South Coast Metro matter and advised that counsel was waiting to receive a legal description of the easement which is being prepared by Bush and Associates. It is anticipated that the matter will be resolved shortly after it is received. Mr. Nixon then advised that a hearing date has been scheduled for June 8 pertaining to the CEQA aspect of the litigation regarding the Kem County ordinance on biosolids. A cross-complaint had just been received which challenges several of the District's CEQA determinations with regard to biosolids Minutes of the Finance, Administration and Human Resources Committee Meeting Page3 March 8, 2000 matters such as The Tule Ranch and Yakima Company. Counsel is presently evaluating the cross- complaint, and will apprise the Board in closed session of that evaluation when it is complete. (12) CONSENT CALENDAR ITEMS (Items a-d) a. FAHR00-18: Receive and file Treasurer's Report for the month of February 2000. The Treasurer's Report was handed out at the FAHR Committee meeting in accordance with the Board-approved Investment Policy, and in conformance with the Government Code requirement to have monthly reports reviewed within 30 days of month end. b. FAHR00-19: Receive and file Certificate of Participation (COP) Monthly Report. c. FAHR00-20: Receive and file Employment Status Report as of February 10, 2000. d. FAHR00-21 : Item deleted by staff Motion: END OF CONSENT CALENDAR Moved, seconded and duly carried to approve the recommended actions for items specified as 12(a) through (c) under Consent Calendar. (13) ACTION ITEMS (Items a-c) a. FAHR00-22: Receive and file the Quarterty Investment Management Program Report for the period October 1, 1999 through December 31, 1999. A verbal report was given by Rita Seymor and Joe Fournier of PIMCO regarding the District's current investment policy, str~tegy and economic outlook. Motion: Moved, seconded and duly carried to approve staffs recommendation. b. FAHR00-23: Authorize staff to issue a purchase order contract to appoint Moreland & Associates as the District's independent auditors for fiscal year 1999- 00 for an amount not to exceed $42,600, with an option of auditing fiscal years 2000-01 and 2001-02 upon staff approval, and an option of auditing fiscal years 2002-03 and 2003-04 upon Board approval. Mike White gave a brief overview of the evaluation of proposals and selection of recommended independent auditors, Moreland & Associates. Motion~ Moved, seconded and duly carried to approve staffs recommendation. c. FAHR00-24: Consolidation of Revenue Area Financial Plans and Rates, except Revenue Areas 7 and 14. Gary Streed gave a brief history of the District's rate structure prior to consolidation and explained why staff was now proposing consolidation of the Minutes of the Finance, Administration and Human Resources Committee Meeting Page4 March 8, 2000 different revenue areas. Directors commended Gary on an excellent presentation. and requested the same presentation be given to the entire Board as information only. Motion: Moved, seconded and duly carried to provide the Board of Directors with the same presentation as information only in order to determine if additional information is needed in order to approve a recommendation. (14) INFORMATION PRESENTATIONS a. FAHR00-25: Update on COP Restructuring and existing COP Structure Steve Kozak, Financial Manager, gave a brief report on the District's existing certificates of participation and the plan to update the structure to reflect consolidation. (15) OTHER BUSINESS, COMMUNICATIONS OR SUPPLEMENTAL AGENDA ITEMS, IF ANY There were none. (16) MATTERS WHICH A DIRECTOR MAY WISH TO PLACE ON A FUTURE AGENDA FOR ACTION AND STAFF REPORT There were none (17) CONSIDERATION OF UPCOMING MEETINGS The next FAHR Committee meeting is scheduled for April 12, 2000 at 5 p.m. (18) CLOSED SESSION There was no closed session. (19) ADJOURNMENT The Chair declared the meeting adjourned at approximately 7:20 p.m. PennyM. K FAHR Committee Se H:'tvp.dt;J\agenda\FAHRIFAHR2000\2000 Minutes"130800 FAHR MIN.doc ' ; FAHR COMMI 11 EE Meeting Date To Bd. of Dir. 04/12/00 N/A AGENDA REPORT It.em Number Item Number FAHR00-27 Orange County Sanitation District FROM: Gary Streed, Director of Finance Originator: Steve Kozak, Financial Manager SUBJECT: CERTIFICATES OF PARTICIPATION (COP) MONTHLY REPORT- MARCH 2000 GENERAL MANAGER'S RECOMMENDATION Receive and file Certificates of Participation (COP) Monthly Report·for the month of March 2000. SUMMARY Since June 1995, the daily rate COP program remarketing agents have been PaineWebber for the Series AA= and the 1993 Refunding COPs, and J.P. Morgan for the Series AC=: COPs. Most fixed rate Series AB=: COPs have been refunded and the 1992 Refunding COPs have always been remarketed by PaineWebber in a weekly mode. PROJECT/CONTRACT COST SUMMARY None. BUDGET IMPACT D This item has been budgeted. D This item has been budgeted, but there are insufficient funds. D This item has not been budgeted. r8l Not applicable (information item) ADDITIONAL INFORMATION For the month of March 2000, graphical and tabular reports are attached. The first graph entitled, "OCSD COP Rate History Report," 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 Aswap.:: H:lwp.dlalagenda\FAHRIFAHR20m2000 Agenda Reporta\FAHR00-27.do<: RIMsed: 8l2Cl98 Page 1 The second bar chart entitled, "Comparative Daily COP Rate History Report," shows the performance of the District's Daily Rate COPs as compared to a composite index rate, which represents the average rate of six similar variable rate daily reset borrowings. The third bar chart entitled, "COP Rate History, Comparison of Highest & Lowest Rates," compares the performance (monthly average interest rate) of the District's Daily Rate COPs with the highest and lowest monthly average rates from among six similar variable rate daily reset COPs. The table entitled, "COP Rate History, Comparison of Monthly Averages," shows the monthly variable interest rate performance of the District's Daily Rate COPs as compared to the composite index. Estimated annual interest payments calculated for a standard $100 million par amount, are also shown. Variable rates historically rise at the end of each calendar quarter, and especially at year-end, because of business taxes and liquidity requirements. The rates tend to decline to prior levels immediately in the following month. Staff maintains continuous rate monitoring and ongoing dialog with the remarketing agents to keep the Committee fully informed about developments in the program as they may occur. ALTERNATIVES None. CEQA FINDINGS None. ATTACHMENTS 1. Graph -OCSD COP Daily Rate History Report 2. Graph -Comparative Daily COP Rate History Report 3. Graph -COP Rate History, Comparison of Highest & Lowest Rates 4. Tabular -COP Rate History, Comparison of Monthly Averages GGS:SK:lc H:\wp.dtl\agenda1FAHRIFAHR2000l2000 Agenda Reporlr.IFAHR00-27.doc Rll\llsect: 8l20l98 Page2 Ci) ,, I 0 iil ~ "i RATE(%) !. ! m r:T '< 0 -N w ~ OI 0) 'Tl :::J 5" j 0 0 0 0 0 0 0 .. 0 0 0 0 0 0 0 ~ ~ 07-Apr-99 ~ ;;;;; 21-Apr-99 I j g $ 05-May-99 !)!I ~ )lo U> -f )lo m 19-May-99 s:: ::x: (jj -f (o 02-Jun-99 ...... 0 16-Jun-99 0 en 30-Jun-99 c 14-Jul-99 0 28-Jul-99 0 \J 11-Aug-99 c ++ )> 25-Aug-99 -s: r-)>\) )> -< G>~ 08-Sep-99 :::> :::0 CIJ(D ~ ~:E 22-Sep-99 0 !»(!) er ::c -f CT ('!) 06-0ct-99 ... .. m 20-0ct-99 N ::c 0 0 -en ++ 03-Nov-99 0 -I 17-Nov-99 0 en'-~ o~ o. 01 -0ec-99 G>s:: ('!) 0 :J.., :;o CJ1g 15-Dec-99 ~:J m II) 29-Dec-99 -a 0 12-Jan-OO :;o 26-Jan-OO -f 09-Feb-OO 23-Feb-OO 08-Mar-OO 22-Mar-OO Prepared by Rnance, 04/05/2000, 8:18 AM COMPARATIVE DAILY COP RATE HISTORY REPORT . MARCH, 2000 ~ e! 3.00 ----- ~ 2.00 1.00 0.00 DATE O> O> O> O> O> O> O> O> O> 0 0 O> O> O> O> O> O> O> O> O> 0 0 .: ~ c :; oi c: 'tf i I.! c .&i ~ ::I ::I Q) Q) lV Q) :E .., .., < en 0 z c .., u. •ocso C COMPOSITE INDEX G:\excel.dta\fin\2220\geggi\Finanoe\deilyoopintrate.xls 0 0 .: lV :E -~ 0 -w I-~ 3.50 3.40 3.30 3.20 3.10 3.00 2.90 2.80 2.70 2.60 2.50 2.40 2.30 2.20 2.10 2.00 1.90 4-_...._........__ HIGH LOW l!I Highest rate G:\excel.dta\fin\2220'Qeggl\Flnance\RA TEHIST _HILO _bargraph COP RATE HISTORY COMPARISON OF HIGHEST & LOWEST RATES LEH/SCE LEHnRWO ILEH/SCE JP/OCSD ClOCSD/J.P. Morgan • OCSD/PaineWebber c:J Lowest rate Prepared by Finance, 04/0512000, 8:18 AM Prepared by Finance, 04/0512000, 8:16 AM Apr-99 May-99 Jun-99 Jul-99 Aug-99 Sep-99 Oct-99 Nov-99 Oec-99 Jan-00 Feb-00 Mar-00 r AVERAGE DAILY COP RATE HISTORY COMPARISON OF MONTHLY AVERAGES APRIL, 1999 • MARCH, 2000 OCSD $100M $98.SM $46M Series" A" Series"C" Series 93 Ref PaineWebber J.P. Morgan PaineWebber 2.88 2.83 2.88 3.34 3.33 3.34 3.30 3.25 3.30 2.35 2.36 2.35 2.82 2.82 2.82 2.98 2.97 2.98 2.99 3.01 2.99 3.36 3.30 3.36 2.93 3.01 2.93 2.51 2.53 2.51 1.95 1.97 1.95 3.20 3.18 3.20 2.88% I 2.88% I 2.88% ESTIMATED ANNUAL INTEREST PAYMENTS PER $100M PAR AMOUNT $ 2,884,167 $ 2,880,000 $ 2.884,167 *FOOTNOTE Composite index consists of the following COP transactions: • IRWO, Series 86, $60M, Smith Barney • IRWD, Series 93 "A" Refunding, $87.6M, Bankers Trust • IRWD, Series 93 "811 Refunding, $41.8M, J.P. Morgan • IRWD, Series 95 Refunding, $117.8M, PaineWebber Composite Index* 2.86 3.34 3.28 2.36 2.83 2.98 3.03 3.38 2.97 2.50 1.99 3.22 2.90% $ 2,895,000 • Western Riverside Co. Reg. Wastewater Auth., Series 96, $25.4M, PaineWebber • Orange Co., Irvine Coast Asst. Dist. 88-1, $94.5M, J.P. Morgan • SCE, $192M, Lehman G:\excel.dta\fin\2220\geggi\Finance\COPdaily$rate comparison FAHR COMMITTEE Meeting Date 4/12/00 AGENDA REPORT Item Number FAHR00-28 Orange County Sanitation District FROM: Lisa Tomko, Acting Director of Human Resources Originator: John Weingarden, Human Resources Analyst SUBJECT: EMPLOYMENT STATUS REPORT AS OF MARCH 21, 2000. GENERAL MANAGER'S RECOMMENDATION Receive and file the Employment Status Report. SUMMARY Total FTE headcount at the District as of March 21, 2000 is 497.75. PROJECT/CONTRACT COST SUMMARY Not applicable. BUDGET IMPACT D This item has been budgeted. (Line item: ) D This item has been budgeted, but there are insufficient funds. D This item has not been budgeted. [8] Not applicable (information item) ADDITIONAL INFORMATION To Bd. Of Dir. 04/26/00 ltl!m Number The District had a full-time equivalent (FTE) headcount of 497. 75 as of March 21, 2000. The actual number of employees was 507. There was one promotion in the month of March. • From: Project Specialist (Mechanical Maintenance) To: Senior Maintenance Supervisor (Mechanical Maintenance) There was one new employee hired during the month of March. • Safety Intern (Safety & Emergency Response) H:\wp.dla\agendalFAHRIFAHR200CA2000 Agenda ReportslFAHR00.26.dol RIMMd: e/20/96 Page 1 ALTERNATIVES Not applicable. CEQA FINDINGS Not applicable. ATTACHMENTS March 21, 2000 Employment Status Report. Performance compared to 3-Year Staffing Plan. H:\wp.dla~IFAHRIFAHR200a2000 Agenda RepollalFAHR00-28.dot RIMMd: 8l20l88 Page2 03/21/2000--10:17 AM Employment Status Report Regular Regular A ell.la I Vacant Budget Plan Plan Positions Regular Part•time Part-time FTE Positions FTE FTE FTE wnn Fina/ plan Full-time 20l!ours SOhOIJIS Contract Jnt11111 LOA Count FY99-00 99-00 00-01 01-02 fFY01-021 110 -General Management Admln 4.00 0.00 0.00 0.00 0.00 0.00 4.00 0.00 4.00 4.00 4.00 0.00 Total General Mana_qement 4.00 0.00 0.00 o.oo o.oo 0.00 4.00 0;00 4.00 4.00 4.00 o.oo 210 ·Finance Administration 4.00 0.00 0.00 0.00 0.00 0.00 4.00 0.00 4.00 4.00 4.00 0.00 220 -Accounting 14.00 0.00 0.00 0.00 0.00 0.00 14.00 2..00 16.00 16.00 16.00 2.00 230 -Purchasing & Warehousing 14.00 1.00 0.00 0.00 0.00 0.00 15.00 2:50 17.50 17.50 17.50 2.50 Total Finance 32.00 1.00 o.oo o.oo 0.00 0.00 33.00 4.50 37.50 37.50 37.50 4 .. 50 310 ·Communications 8.00 0.00 0.00 0.00 0.00 1.00 9.00 0.00 9.00 9.00 9.00 0.00 Total Communications 8.00 0.00 0.00 0.00 0.00 1.00 9.00 o.oo 9.00 9.00 9.00 0.00 510 ·HR &.Employee Development 9.00 0.50 0.75 0.00 0.00 0.00 10.25 0.00 10.25 10.25 10.25 0.00 Total Human Resources 9.00 0.50 0.75 0.00 0.00 0.00 10.25 0.00 10.25 10.25 10.25 0.00 610 -Technical SeNlces Admin 2.00 0.00 0.00 0.00 0.00 0.00 2.00 0.00 2.00 2.00 2.00 0.00 620 -Environmental Compliance & Monitoring 17.00 o.oo 0.00 0.00 1.00 0.00 18.00 2.50 20.50 20.50 20.50 2.50 630 -Environmental Laboratory 29.00 2.00 0.00 0.00 0.50 0.00 31..SO 0.50 32.00 32.00 32.00 0.50 640 • Source Control 33.00 0.00 0.75 0.00 o.oo 0.00 ss.75 o:oo 33.75 33.75 33.75 0.00 650 · Safety & Emergency Response 7.00 0.00 0.00 0.00 0.50 0.00 7.so o.oo 7.50 7.50 7.50 0.00 0.00 Total Teehnlcal Services 88.00 2.00 0.75 o.oo 2.00 0.00 92.15 3.00 95.75 95.75 95.75 3.00 710 ·Engineering Administration 3.00 0.00 0.00 0.00 0.00 0.00 3.00 o.oo 3.00 3.00 3.00 0.00 720 -Planning & Design Engineering 30.00 0.00 0.75 0.00 0.50 0.00 31.25 4.00 35.25 35.25 35.25 4.00 730 • Construction Management 35.00 0.00 0.00 0.00 0.00 1.00 36.00 0.75 3&.75 36.75 36.75 0.75 Total Engineering 68.00 0.00 0.75 0.00 0.50 1.00 70.25 4:75 75.00 75.00 75.00 4.75 420 -Collection Facilities Mtce 16.50 0.00 0.00 0.00 0.00 0.00 16.SO 1.00 17.50 19.50 19.50 3.00 430 -P~nt Maintenance 29.50 0.00 0.00 0.00 0.00 0,00 29 .. 50 0.00 29.50 29.50 28.50 ·1.00 810-0 & MAdministratlon 2.00 0.00 0.00 0.00 0.00 0.00 2.00 1.00 3.00 2.00 2.00 0.00 820 • O & M Process Support 9.00 0.00 0.00 0.50 0.50 0.00 10.00 0.00 10.00 9.25 9.25 -0.75 830 -Plant 1 Operations 32.00 0.50 0.00 0.00 0.00 0.00 32.50 0.83 33.33 34.33 34.33 1.83 840 -Plant 2 Operations 39.00 0.00 0.00 0.00 0.00 0.00 39.00 0.33 39.33 37.33 37.33 -1.67 850 · Mechanical Mice 45.00 0.00 0.00 0.00 0.00 0.00 45.00 0.50 45.50 45.50 45.50 0.50 860 -Electrical & lnslrumentation Mice 56.00 0.00 0.00 0.00 0.00 0.00 56.00 -0.50 55.50 55.50 55.50 -0.50 870 -Cogeneratlon 9.00 0.00 0.00 0.00 0.00 0.00 9.00 1.34 10.34 10.34 10.34 1.34 880 -Air Quality & Special Projects 9.00 0.00 0.00 0.00 1.00 0.00 10.00 0.00 10.00 9.50 9.50 ·0.50 Total Ooeratlons & Maintenance 247.00 0.50 o.oo 0.50 1.50 0.00 249.50 4.SO 254.00 252.75 251.75 2.25 910 -IT Admin 2.00 0.00 0.00 0.00 0.00 0.00 2.00 0,00 2.00 2.00 2.00 0.00 930 -Customer & Networl< Support 11.00 0.00 0.00 0.00 0.00 0.00 11 .00 4.00 15.00 15.00 15.00 4.00 940 -Programming & Database Sys 7.00 0.00 0.00 0.00 0.00 1.00 8.00 ·1.00 7.00 7.00 7.00 -1.00 950 • Process Controls Integration 8.00 0.00 0.00 0.00 0.00 0.00 8.00 1.00 9.00 9.00 9.00 1.00 Total Information Technoloav 28.00 0.00 0.00 0.00 0.00 1.00 29.00 4.00 33.00 33.00 33.00 4.00 Total Stsfflno 484.001 4.001 2.251 0'501 4.001 3.00 497.7S 20.75 5f8.50 517.25 516.25 .:-18.60 Offers Outstanding: 1.00 Recruitments pending, but not offered: 11.00 Actual FTE'• wlltl current recruitments tllled: S09.75 l):lexcet.d1a\h11S10\weing11rdenl!H83f Staffino Plar c co -a.. O> c E co ......., Cf) S-eo (]) >-I M 0 ......., (]) (.) c co E s- ~ (]) a.. I I FAHR COMMITEEE Meeting Date To Bd. of Dir. 4/12/00 4/26/00 AGENDA REPORT Item Number Item Number FAHR00·29 Orange County Sanitation District FROM: Gary Streed, Director of Finance Originator: Steve Kozak, Financial Manager SUBJECT: RESTRUCTURING OF THE DISTRICT'S EXISTING CERTIFICATES OF PARTICIPATION, STATUS REPORT AND FORMATION OF THE ORANGE COUNTY SANITATION DISTRICT FINANCING CORPORATION GENERAL MANAGER'S RECOMMENDATION Adopt Resolution No. OCSD 00-, Authorizing Formation of the Orange County Sanitation District Financing Corporation and Authorizing Certain Related Actions. SUMMARY In November 1999, the Board of Directors approved a plan to restructure and modernize the District's existing Certificates of Participation (COP) long-term borrowings. In February, staff reported on the progress made by the financing team to develop and implement a comprehensive COP restructuring and refinancing plan. In March, staff presented an overview of COP financing methods, and provided details about the financial structure and the legal documents associated with the Series 2000 COP refinancing. Staff also discussed the need to form the Orange County Sanitation District Financing Corporation in order to issue the Series 2000 COPs. This agenda item reports on the progress of the COP restructuring and refinancing project, and presents a Board Resolution to authorize formation of the Orange County Sanitation District Financing Corporation. PROJECT/CONTRACT COST SUMMARY BUDGET IMPACT D This item has been budgeted. (Line item: ) D This item has been budgeted, but there are insufficient funds. D This item has not been budgeted. D Not applicable (information item) ADDITIONAL INFORMATION Background The modernization of the District's existing COP program is based on a comprehensive refunding and restructuring strategy to re-align the COP legal documents to reflect the District's consolidated organization structure as a single Sanitation District. H:\wp.dta\fin\210\kozak\COP FAHR00-29.doc Revised: B/20/98 Page 1 Under this approach, the rating agencies would view the District as a single credit structure, and the District's ability to obtain formal "Aa" category ratings is strengthened. In addition, streamlining the legal structure for the District's existing COPs will also facilitate issuance of any future debt. Overall, we estimate that present value cost savings of more than $1.4 million would be generated over the life of the Refunding COPs from a combination of a lower cost liquidity facility and elimination of annual Letter of Credit fees. Additional savings may also be realized on future District debt financings. Orange County Sanitation District Financing Corporation The Series 2000 Refunding COPs will be issued as Installment Purchase COPs. The COPs will be secured by an Installment Purchase Agreement between the District and the Orange County Sanitation District Financing Corporation, which will be the not-for- profit corporation required for the District to issue the Series 2000 COPs. The OCSD Financing Corporation, will be created and controlled by the District for the sole purpose of facilitating current and future COP financings, and will have no powers unto itself. As illustrated in the chart below, the Financing Corporation is an integral component of the Installment Purchase COP financing structure. 'JJ Financing Corporation + Not-for-Profrt Corporation Created and Controlled by OCSD • Required by Installment Purchase COP Financing Method COP Proc.eeds Installment Purchase The District's Board of Directors will serve as the Board of Directors for the Financing Corporation. The Chair and Vice Chair of the District Board will be the President and Vice President of the Corporation. H:\wp.dla\lin\210\kozak\COP FAHR00-29.doc Revised: 8120198 Page2 As depicted in the chart above, the Series 2000 COPs will be secured by an Installment Purchase Agreement between the District and the Financing Corporation, which assigns the right to receive the installment payments to a bank or a trust company which executes and delivers the COPs to investors. The bank or trust company then delivers the purchase price paid by the investors for the COPs to the District to fund or refund its projects. By contrast. the District's existing COPs were issued by agreements among one or more of the then nine separate County Sanitation Districts of Orange County, with Sanitation District No. 1 serving as agent. Therefore, there was no need for a not-for- profit financing corporation for the existing COPs. Bond Counsel has drafted the attached Articles of Incorporation and Bylaws for the Financing Corporation, together with a Board Resolution authorizing formation of the Corporation. General Counsel has reviewed the incorporation documents and approves them as to form. Financing Plan and Bond Documents Progress continues with preparation of the documents and agreements required for issuance of the Series 2000 COPs. The Installment Purchase Agreement, or master indenture, is in final review by the financing team, as is the Official Statement. Drafts of the Certificate Purchase and Remarketing Agreements, which will be executed by the District and the underwriter (PaineWebber), are under review. Likewise~ a Trust Agreement and a Sta ndby Certificate Purchase Agreement have been drafted in anticipation of selecting a Trustee Bank and a Liquidity Bank next month. RFQ's are being finalized for solicitation of competitive quotes from selected banks. Additionally, staff and PaineWebber are nearing completion of the briefing booklets for the rating agency presentations scheduled for April 18 and 19. The visits by Moody's, S&P, and Fitch will include a tour of Plant No. 1. Series 1992 and 1993 Refunding COPs The financing team has continued to work on the proposed plan to substitute modernized legal documents with the long~term swap providers and credit enhancement providers for the Series 1992 and 1993 Refunding COPs. Several key financial and legal issues have been analyzed, but require additional review. Work on these issues will continue, but are not expected to impede the scheduled issuance of the Series 2000 Refunding COPs. Reimbursement of Capital Reserve Funds In March, the Committee discussed the possibility of adding a "new money" portion to the proposed Series 2000 Refunding COPs, for the purpose of reimbursing the District for previous capital expenditures funded from the District's reserve funds. H:lwp.<lllillrl'11210\Jo.uzal\ICOP FAHR00..29.doc Revised: 8/20/98 Page 3 The financing team has completed an initial review of applicable U.S. Treasury Regulations, the Reimbursement Resolutions adopted by the Board of Directors, and CIP expenditure records to determine what capital costs are eligible for reimbursement. Under the IRS Code, the absolute outside parameter for determining the period for reimbursement eligibility is that the capital expenditures were paid no more than three years before the issuance of the new COPs. Therefore, if the 11new money" COPs are issued in May or June, the maximum recapture period would begin in May/June 1997. Approximately $150 million in reserves were expended for capital projects during this recapture period, and are eligible for reimbursement. Further analysis of a proposal to issue COPs for reimbursement will cover several considerations, including competitive selection of a financing team; rating agency evaluation of the proposed mix of the District's variable vs. fixed rate debt; and the impacts of debt service and coverage ratio requirements on user fees. One alternative for issuance of the COPs in the near-term would be to structure some or all of the $150 million as fixed rate COPs, offered via competitive sale. Another alternative would be to solicit proposals from underwriters to se.rve as Co-Managers with PaineWebber for the new COPs. Staff will review these and other related issues, and report back to the Committee. Financing Schedule A detailed financing schedule for issuance of the Series 2000 Refunding COPs is attached for your Committee's review. The following is a summary of upcoming project milestones: April • FAHR and Board approve formation of OCSD Financing Corporation • Finalize legal documents and POS for Series 2000 COPs • Complete plans for Series 92 and 93 Refunding COPs • Finalize rating agency presentation materials • Conduct rating agency presentations and tours May • Receive "Aa" category stand-alone credit rating for District • Select liquidity facility provider • Select trustee bank • FAHR and Board approve legal documents • Mail Official Statements June • Price and market securities • Close Series 2000 Refunding COPs H'.\wP.dtallin\210\kozak\COP FAHR00.29.doc Revised: 8120i!l8 P~ge4 ALTERNATIVES NIA CEQA FINDINGS NIA ATTACHMENTS 1. Proposed Resolution 2. Articles of Incorporation for Orange County Sanitation District Financing Corporation 3. Bylaws of Orange County Sanitation District Financing Corporation 4 . Financing Schedule H:\wp.dta\fin\210\kozak\COP FAHR00.29.doc Revised: 8120/98 Page5 RESOLUTION NO. ---- RESOLUTION OF THE BOARD OF DIRECTORS OF THE ORANGE COUNTY SANITATION DISTRICT AUTHORIZING THE FORMATION OF THE ORANGE COUNTY SANITATION DISTRICT FINANCING CORPORATION AND AUTHORIZING CERTAIN RELATED ACTIONS WHEREAS, the Orange County Sanitation District (the "District") previously financed the acquisition, construction and installation of certain improvements to its wastewater system (the "Project") through the incurrence of certain obligations; WHEREAS, in order to refinance such obligations, the District· desires to cause the formation of the Orange County Sanitation District Financing Corporation, a nonprofit public benefit corporation (the "Corporation"); WHEREAS, the Board of Directors of the District (the "Board") has been presented with the form of the Articles of Incorporation for the Corporation (the "Articles of hlcorporation") and the Bylaws for the C01poration (the "Bylaws"), and the Board has examined and approved such documents and desires to authorize and direct the execution and filing thereof; WHEREAS, all acts, conditions and things required by the Constitution and laws of the State of California to exist, to have happened and to have been performed precedent to and in connection with the actions authorized hereby do exist, have happened and have been performed in regular and due time, form and manner as required by law, and the District is now duly authorized and empowered, pursuant to each and every requirement of law, to consummate such actions for the purpose, in the manner and upon the terms herein provided; NOW, THEREFORE, BE IT RESOLVED by the Board of Directors of the Orange County Sanitation District, as follows: Section 1. All of the recitals herein contained are true and correct and the Board so finds. Section 2. The formation of the Corporation is hereby approved, and the Articles of Incorporation and Bylaws, in substantially the form presented to this meeting, are hereby approved. Section 3. The Director of Finance/Treasurer of the District (the "Director of Finance/Treasurer") is hereby authorized and directed to act as sole incorporator of the Corporation and, in so acting, is hereby authorized and directed to execute, and file or cause to be filed with the California Secretary of State, the Articles of Incorporation in substantially the form presented to this meeting, with such changes therein as the Director of Finance/Treasurer may require or approve, such approval to be conclusively evidenced by the execution and filing thereof. Section 4. The Director of Finance/Treasurer, acting as sole incorporator of the Corporation, is hereby authorized and directed to adopt as the bylaws of the Corporation the Bylaws in substantially the form presented to this meeting, with such changes therein as the DOCSLAl :338465.2 41758·7 Director of Finance/Treasurer may reqmre or approve, such approval to be conclusively evidenced by the adoption thereof. Section 5. The Director of Finance/Treasurer is hereby authorized and directed to execute and file, or cause to be filed, such documents and forms with such govenunental authorities as are necessary to complete the formation of the Corporation and to establish its status as a tax-exempt entity, including an Exemption Application to the State Franchise Tax Board (Form FTB 3500) and Power of Attorney relating thereto (Form FTB 3520), Federal Forms Nos. 1024 (Application for Recognition of Exemption under Section 501(c)(4), 2848 (Power of Attorney) and SS-4 (Application for Employer Identification Number). Section 6. The officers and employees of the District are hereby authorized and directed, jointly and severally, to do any and all things which they may deem necessary or advisable in order to consummate the actions herein authorized and otherwise to carry out, give effect to and comply with the terms and intent of this Resolution. Section 7. All actions heretofore taken by the officers, employees and agents of the District with respect to the transactions set forth above are hereby approved, confirmed and ratified. Section 8. This Resolution shall take effect from and after its date of adoption. PASSED AND ADOPTED this 26th day of April, 2000. [Seal] Secretary of the Board of Directors of the Orange County Sanitation District DOCSLAl:338465.l 41758-7 Chair of the Board of Directors of the Orange County Sanitation District 2 SECRETARY'S CERTIFICATE I, Penny Kyle, Secretary of the Board of Directors of the Orange County Sanitation District, hereby certify that the foregoing is a full, true and correct copy of a resolution duly adopted at a regular meeting of the Board of Directors of said District duly and regularly held a1: the regular meeting place thereof on the 26th day of April, 2000, of which meeting all of the members of said Board of Directors had due notice and at which a majority thereof were present; and that at said meeting said resolution was adopted by the following vote: AYES: NOES: An agenda of said meeting was posted at least 72 hours before said meeting at l 0844 Ellis Avenue, Fountain Valley, California 92708, a location freely accessible to members of the public, and a brief general description of said resolution appeared on said agenda. I further certify that 1 have carefully compared the same with the original minutes of said meeting on file and of record in my office; that the foregoing resolution is a full, true and correct copy of the original resolution adopted at said meeting and entered in said minutes; and that said resolution has not been amended, modified or rescinded since the date of its adoption, and the same is now in full force and effect. Dated: .. 2000 -----· DOCSLA1:338465.2 41758-7 3 Secretary of the Board of Directors of the Orange County Sanitation District ORANGE COUNTY SANITATION DISTRICT FINANCING CORPORATION ACTION BY WRITTEN CONSENT OF INCORPORATOR The undersigned, as sole incorporator of the Orange County Sanitation District Financing Corporation1 a nonprofit public benefit corporation, hereby talces the following action by written consent pursuant to Section 5134 of the California Corporations Code: RESOLVED, that the Bylaws of the Orange County Sanitation District Financing Corporation, in the form hereto attached and incorporated herein by reference, are hereby adopted and approved and shall stand as the Bylaws of this Corporation until valid amendment thereof. IN WITNESS WHEREOF, the undersigned sole incorporator has talcen thls action by written consent as of 2000. l>OCSLA 1 :33846S.'.2 417SS.7 Gary G. Streed Incorporator ARTICLES OF INCORPORATION OF ORANGE COUNTY SANITATION DISTRICT FINANCING CORPORATION ARTICLE I The name of this corporation is Orange County Sanitation District Financing Corporation. ARTICLED This corporation is a nonprofit public benefit corporation and is not organized for the private gain of any person. It is organized under the Nonprofit Public Benefit Corporation Law for public purposes. The specific and primary purposes for which this corporation is formed are: (a) To render financial assistance to the Orange County Sanitation District (the "District"), by the financing, refinancing, acquiring, constructing, improving, leasing and selling of public facilities and real and personal property for the use and benefit of the District. (b) To acquire by lease, purchase or otherwise, real or personal property or any interest therein; to construct, reconstruct, modify, add to, improve or otherwise acquire or equip buildings, structures or improvements and (by sale, lease, sublease, lease-back, gift or otherwise) make any part or all of any such real or personal property available to or for the benefit of the District. (c) To borrow the necessary funds to pay the cost of financing, refinancing, acquiring, constructing, replacing, establishing, improving, maintaining, equipping and operating such properties and facilities for the herein described purposes, the indebtedness for which borrowed money may, but need not, be evidenced by securities of this corporation of any kind or character issued at any one or more times, which may be either unsecured or secured by any mortgage, trust deed, pledge, encumbrance or other lien upon any part or all of the properties and assets at any time then or thereafter owned or acquired by this corporation. (d) To receive limited or conditional gifts or grants in trust, inter vivos, or by way of testamentary devises, bequests or grants in trust, or otherwise, funds of all kinds including property, both real, personal and mixed, whether principal or income, tangible or intangible, present or future, vested or contingent, in order to carry on the purposes of this corporation. DOCSLA1:338465.2 41758-7 Incidental to and in order to carry out the foregoing purposes, this corporation shall have and possess, subject to the provisions of these Articles of Incorporation, all powers now or hereafter conferred upon nonprofit public benefit corporations by the laws of the State of California, with the following limitation: this corporation shall never engage in any activity other than such activities as may be incidental to and for the purpose of carrying out the primary purposes for which this corporation is fonned as set forth above. ARTICLE ID The name and address in the State of California of this corporation's initial agent for service of process is: Gary G. Streed Director of Finance/Treasurer Orange County Sanitation District 10844 Ellis A venue Fountain Valley, California 92708 ARTICLE IV This corporation is organized as a nonprofit public benefit corporation, without capital stock and without members. This corporation is organized and operated exclusively for social welfare purposes within the meaning of Section 501 ( c )( 4) of the Internal Revenue Code of 1986. No gains, profits or dividends shall be distributed to any of the directors or officers of this corporation, and no part of the net earnings, funds or assets of this corporation shall inure to the benefit of any director, officer or individual, or any other person, firm or corporation excepting only the United States of America, the State of California, or any municipal corporation or political subdivision thereof, or to a nonprofit fund, foundation or corporation which is organized and operated exclusively for charitable or social welfare purposes and which has established its tax-exempt status under Section 50l(c)(3) or 50l(c)(4) of the Internal Revenue Code of 1986. No part of the activities of this corporation shall consist of carrying on propaganda, or otherwise attempting to influence legislation, nor shall it participate in, or intervene in, or publish or distribute statements concerning, any political campaign on behalf of any candidate for public office. The property of this corporation is irrevocably dedicated to the United States of America, the State of California, or any municipal corporation or political subdivision thereof, or to a nonprofit fund, foundation or corporation which is organized and operated exclusively for charitable or social welfare purposes and which has established its tax-exempt status under Section 501(c)(3) or 50l(c)(4) of the Internal Revenue Code of 1986; provided, however, that until all debts and obligations of this corporation shall have been paid, such property and any net revenues therefrom may be used for the purpose of paying and retiring the debts and obligations of this corporation. ARTICLEV During the continuance of this corporation, it may distribute any of its assets to the United States of America, the State of California, or any political subdivision thereof, to a nonprofit fund, foundation or corporation which is organized and operated exclusively for DOCSLAl :338465.l 41758-7 2 charitable or social welfare putposes and which has established its tax-exempt status under section 501(c)(3) or 50l(c)(4) of the Internal Revenue Code of 1986. Upon the dissolution or winding up of this corporation, its assets remaining after payment of. or provision made for the payment of, all debts and liabilities of this corporation, shall be distributed to the United States of America, the State of California, or any political subdivision thereof, or to a nonprofit fund, foundation or corporation which is organized and operated exclusively for charitable or social welfare purposes and which has established its tax-exempt status under section 501(c)(3) or 50l(c)(4) of the Internal Revenue Code of 1986. IN WITNESS WHEREOF, the undersigned, being the sole incorporator of this corporation, bas executed these Articles of Incorporation, as of the_ day of 2000. DOCSLAl :338465.2 41758-7 3 Gary G. Streed Incorporator BYLAWS OF ORANGE COUNTY SANITATION DISTRICT FINANCING CORPORATION ARTICLE I OFFICES AND SEAL Section 1.01 Offices. ' The principal office of the Corporation for the transaction of business shall be 10844 Ellis Avenue, Fountain Valley, California. The Board of Directors may, however, change from time to time the principal office from one location to another by noting the change of address in the minutes of the meeting of the Board of Directors at which the address was changed. The changing of such address shall not be deemed an amendment to these Bylaws. Section 1.02 Seal. The Corporation shall have a seal, consisting of two (2) concentric circles with the words "Orange County Sanitation District Financing Corporation," with the date of incorporation of the Corporation. ARTICLEll DIRECTORS Section 2.01 Powers. Subject to the limitations of the Articles of Incorporation of the Corporation, the terms of these Bylaws, and the laws of the State of California, the powers of the Corporation shall be vested in and exercised by and its property controlled and its affairs conducted by the Board of Directors. Section 2.02 Number. The Corporation shall have same number of directors as the number of directors on the District Board. Directors are collectively to be known as the Board of Directors. The number of Directors may be changed by a Bylaw or amendment thereof duly adopted by the Board of Directors. Section 2.03 Selection, Tenure of Office and Vacancies. The individuals who act as the members of the Board of Directors (the "District Board") of the Orange County Sanitation District (the "District") shall constitute the Board of Directors of the Corporation, and each member of the District Board shall be and remain a member of the Board of Directors of the Corporation for so long as such member remains a member of the District Board. Section 2.04 Compensation. Directors shall serve without compensation, but each Director may be reimbursed his or her necessary and actual expenses, including travel incident to his or her services as Director, pursuant to resolution of the Board of Directors. Any Director may elect, however, to decline said reimbursement. DOCSLA1:338465.2 4t75S-7 Section 2.05 Regular Meetings. Regular meetings of the Board of Directors shall be held at such time as the Board may fix by resolution from time to time; provided, however, that at least one regular meeting shall be held each year. The annual regular meeting of the Board shall be held immediately following the District Board meeting in June of each year (or if there is no District Board meeting in June of a particular year, immediately following the District Board meeting in July of such year) and shall be held at the location of such District Board meeting. The Board of Directors may, however, change from time to time the date, time or location of the annual regular meeting by noting such change in the minutes of the meeting of the Board of Directors at which such date, time or location was changed. The changing of such date, time or location shall not be deemed to be an amendment of these Bylaws. All regular meetings shall, in all respects, conform to provisions of the Ralph M. Brown Act, being sections 54950 through 54961 of the Government Code of the State of California (the "Brown Act"). Section 2.06 Special Meetings. Special meetings of the Board of Directors shall be called, noticed and held in accordance with the provisions of section 54956 of the Brown Act. Section 2.07 Quorum. A quorum shall consist of a majority of the members of the Board of Directors unless a greater number is expressly required by statute, by the Articles of Incorporation of the Corporation, or by these Bylaws. Every act or decision done or made by a majority of the Directors present at a meeting duly held at which a quorum is present, shall be the act of the Board of Directors. Section 2.08 Order of Business. The order of business at the regular meeting of the Board of Directors and, so far as possible, at all other meetings of the Board of Dfrectors, shall be essentially as follows, except as otherwise determined by the Directors at such meeting: (a) Report on the number of Directors present in person in order to detemrine the existence of a quorum. (b) Reading of the notice of the meeting and proof of the delivery or mailing thereof, or the waiver or waivers of notice of the meeting then filed, as the case may be. ( c) Reading of unapproved minutes of previous meetings of the Board of Directors and the taking of action with respect to approval thereof. ( d) Presentation and consideration of reports of officers and committees. ( e) Unfinished business. (t) New business. (g) Adjournment. Section 2.09 Resignation of Directors. Any Director of the Corporation may resign at any time by giving written notice to the President or to the Board of Directors; provided, however, in the event of such resignation, such Director's position shall remain vacant until a DOCSLA1:33846S.2 41758-7 2 new member of the District Board is elected to fill such Director's position on the District Board. Such resignation shall take effect at the time specified therein, and, unless otherwise specified therein, the acceptance of such resignation shall not be necessary to make it effective. Section 2.10 Nonliability for Debts. J:he private property of the Directors shall be exempt from execution or other liability for any debts, liabilities or obligations of the Corporation and no Director shall be liable or responsible for any debts, liabilities or obligations of the Corporation. Section 2.11 Indemnity by Corporation for Litigation Expenses of Officers, Directors and Employees. (a) For the purposes of this section, "agent" shall mean any person who is or was a director, officer or employee of the Corporation. (b) For the purposes of this section, "proceeding" shall mean any threatened, pending or completed action or proceeding, whether civil, criminal, administrative or investigative. (c) For the purposes of this section, "expenses" shall mean, without limitation, attorney fees and any expenses incurred in the defense of the proceeding. ( d) In the event of any proceeding brought against an agent of the Corporation, either alone or with others (other than an action by or in the name of the Corporation, an action brought under section 5233 of the California Corporations Code, or an action brought by the California Attorney General for any breach of duty relating to assets held in charitable trust) by reason of the fact that person was an agent of the Corporation, the Corpor~tion shall indemnify that person against expenses, judgments, fines, settlements and other amounts actually and reasonably incurred in connection with such proceeding, if that person acted in good faith and in a manner that person reasonably believed to be in the best interests of the Corporation and, in the case of a criminal proceeding, had no reasonable cause to believe the conduct of that person was unlawful. (e) In the event of a proceeding brought against an agent of the Corporation, either alone or with others, is brought by or in the right of the Corporation, or brought under section 5233 of the California Corporations Code, or brought by the California Attorney General for breach of any duty for any breach of duty relating to assets held in charitable trust, by reason of the fact that person was an agent of the Corporation, the Corporation shall indemnify that person against expenses actually and reasonably incurred if that person acted in good faith, in a manner that person believed to be in the best interest of the Corporation and with such care, including reasonably inquiry, as an ordinarily prudent person in a like position would use under similar circumstances. (f) Expenses incurred in defending any proceeding may be advanced by the Corporation prior to the final disposition of such proceeding upon receipt of an undertaking by or on behalf of the agent to repay such amount if it shall be determined ultimately that the agent is not entitled to be indemnified. The agent's obligation to reimburse may be unsecured and no interest shall be charged thereon. DOCSLA1:33846S.l 41758-7 3 ARTICLE ill OFFICERS Section 3.01 Officers. The officers of the Corporation shall be a President, a Vice President, a Secretary and a Treasurer, and such other officers as the Board of Directors may appoint. Section 3.02 Selection of Officers. The Chair, or Acting Chair as the case may be, of the District Board shall be the President of the Corporation. The Vice-Chair of the District shall be the Vice President of the Corporation. The Secretary of the District Board shall be the Secretary of the Corporation. The Treasurer (or the member of the District staff holding a comparable position if a position with said title no longer exists) shall be the Treasurer of the Corporation. Each such person shall continue to serve as such officer of the Corporation for so long as such person holds the corresponding position described above with the District. Should a vacancy occur in any office as a result of death, resignation, removal, disqualification or any other cause, the Board may elect or appoint a successor for said office, who shall serve until a successor is elected or appointed to bold the corresponding position with the District. Section 3.03 Subordinate Officers. The Board of Directors may elect or authorize the appointment of such other officers than those herein above mentioned as the business of the Corporation may require, each of whom shall hold office for such period, have such authority and perform such duties as are provided in these Bylaws, or as the Board of Directors from time to time may authorize or determine. Section 3.04 Removal of Officers. Any officer may be removed, either with or without cause, by a majority of the Directors then in office at any reg:ular or special meeting of the Board, or, except in the case of an officer chosen by the Board of Directors, by any officers upon whom such power of removal may be conferred by the Board of Directors. Should a vacancy occur in any office as a result of death, resignation, removal, disqualification or any other cause, the Board of Directors may delegate the powers and duties of such office to any officers or to any Directors until such time as a successor for said office has been elected and appointed. Section 3.05 President. The President shall preside at all meetings of the Board of Directors and exercise and perform such other powers and duties as may be from time to time assigned to him by the Board of Directors or be prescribed by the Bylaws. The President shall also be the chief corporate officer of the Corporation and shall~ subject to the control of the Board of Directors, have general supervision, direction and control of the business and officers of the Corporation. He or she shall preside at all meetings of the Board of Directors. He or she shall be ex officio member of all standing committees, and shall have the general powers and duties of management usually vested in the office of President of a corporation and shall have such other powers and duties as may be prescribed by the Board of Directors or by these Bylaws. DOCSLA1:33846S.l 41758-7 4 Section 3.06 Vice President. In the absence or disability of the President, the Vice President, or the Vice Presidents in order of their ranks as fixed by the Board of Directors, or if not ranked, the Vice President designated by the Board of Directors, shall perf onn all the duties of the President and when so acting shall have all the powers of and be subject to all of the restrictions upon the President. The Vice Presidents shall have such other powers and perform such other duties as may from time to time be prescribed for them, respectively, by the Board of Directors or by these Bylaws. Section 3.07 Secretary. The Secretary shall keep or cause to be kept a book of minutes at the principal office or at such other place as the Board of Directors may order, of all meetings of the Directors, with the time and place of holding, whether regular or special, and if special, how authorized, the notice thereof given, the names of those present at Directors' meetings and the proceedings thereof. The Secretary shall give or cause to be given notl:ce of all meetings of the Board of Directors of the Corporation, shall keep the corporate records in safe custody and shall have such other powers and perform such other duties as may be prescribed by the Board of Directors or these Bylaws. Section 3.08 Treasurer. The Treasmer shall keep and maintain or cause to be kept and maintained adequate and correct amounts of its assets, liabilities, receipts, disbmsements, gains and losses. The books of account shall at all times be open to inspection by any Director. The Treasurer shall deposit all moneys and other valuables in the name and to the credit of the Corporation in such depositories as may be designated by the Directors. He or she shall disbmse tb.e ftmds of the Corporation as shall be ordered by the Board of Directors, shall render to the President and the Directors whenever they shall request it, an account of all of his or her transactions as Treasmer and of the financial condition of the Corporation, shall take proper vouchers for all disbursements of the funds of the Corporation, and shall have such other powers and perform such other duties as may be prescribed by the Board of Directors or by these Bylaws. Section 3.09 Assistant Secretaries and Assistant Treasurers. The Assistant Secretaries and the Assistant Treasurers in the order of their seniority as specified by the Directors shall, in the absence or disability of the Secretary or the Treasurer, respectively, perform the duties and exercise the powers of the Secretary or Treasmer and shall perform such duties as the Board of Directors shall prescribe. ARTICLE IV OBJECTS AND PURPOSES Section 4.01 Nature of Objects and Purposes. The business of the Corporation is to be operated and conducted in the promotion of its objects and purposes as set forth in Article II of its Articles of Incorporation. Section 4.02 Dissolution. The Corporation may be dissolved by vote of the Directors, or by the action of the Board of Directors in accordance with the provisions of California law. Upon the dissolution of the Corporation,. and after payment or provision for payment, all debts and liabilities, the assets of the Corporation shall be distributed to the District. 1f for any reason DOCSLA,I :338465.2 41758-7 5 the Pistrict is unable or unwilling to accept the assets of the Corporation, said assets will be distributed to the Federal Government, to a state or local government for public purposes, or to a nonprofit fund, foundation, or corporation which is organized and operated for charitable purposes and which has established its tax-exempt status under section 50l(c)(3) or 501(c)(4) of the Intemal Revenue Code of 1986. Section 4.03 Merger. The Corporation may merge with other corporations organized solely for nonprofit purposes, qualified and exempt from Federal taxation pmsuant to section 50l(c)(3) or 501(c)(4) of the Internal Revenue Code of 1986 and from State taxation, upon compliance with the provisions of California law relating to merger and consolidation. ARTICLEV GENERAL PROVISIONS Section 5.01 Payment of Money, Signatures. All checks. drafts or other orders for payment of money, notes or other evidences of indebtedness issued in the name of or payable to the Corporation and any and all secmities owned by or held by the Corporation requiring signatme for transfer shall be signed or endorsed by such person or persons and in such manner as from time to time shall be determined by the Board of Directors. Section S.02 Execution of Contracts. The Board of Directors, except as in the Bylaws otherwise provided, may authorize any officer or officers, agent or agents, to enter into any contract or execute any contract or execute any instrument in the name of and on behalf of the Corporation and such authority may be general or con.fined to specific instances and unless so authorized by the Board of Directors, no officer, agent or employee shall have any power or authority to bind the Corporation by any contract or engagement or to pledge its credit or to render it liable for any purpose or in any amount. Section 5.03 Fiscal Year. The fiscal year of the Corporation shall commence on the I st day of July of each year and shall end on the 30th day of June of the next succeeding year. ARTICLE VI EXEl\tPT ACTIVITIES Notwithstanding any other provisions of these Bylaws, no Director, officer, employee or representative of the Corporation shall take any action or carry on any activity by or on behalf of the Corporation not permitted to be taken or carried on by an organization exempt under section 501(c)(3) or 50l(c)(4) of the Internal Revenue Code of 1986, as amended, and the Regulations promulgated thereunder as they now exist or as they may hereafter be amended. DOCSLAl :338465.2 41758-7 6 ARTICLE VII AMENDMENT TO BYLAWS These Bylaws may be amended by majority vote of the Board of Directors. ADOPTED by the Incorporator of the Orange County Sanitation District Financing Corporation on 2000. DOCSLA1:33846S.2 41758-7 7 Gary G. Streed Incorporator fEBIH'ARY s M T w T F 1 2 3 4 6 7 8 9 10 11 13 14 15 16 17 18 20 21 22 23 24 25 27 28 29 s M 1 7 8 14 15 21 22 28 29 ORANGE COUNTY SANITATION DISTRICT Series 2000 Refunding COPs Financing Schedule \1.-\HCl-1 I s s M T W T F s s M 5 1 2 3 4 12 5 6 7 8 9 10 11 2 3 19 12 13 14 15 16 17 18 9 10 26 19 20 21 22 23 24 25 16 17 26 27 28 29 30 31 23 24 30 '1 ·\ y .Jt'!'\f T W T F s s M TW T F 2 3 4 5 6 1 2 9 10 11 12 13 4 5 6 7 8 9 16 17 18 19 20 11 12 13 14 15 16 23 24 25 26 27 18 19 20 21 22 23 30 31 25 26 27 28 29 30 April 5, 2000 _\PR1L T w T F s 1 4 s 6 7 8 11 12 13 14 15 18 19 20 21 22 25 26 27 28 29 s 3 10 17 24 Date Activity Responsibility • 1 n draft of Installment Purchase Agreement distributed Jan14 x BC Jan20 x Kick-off meeting to discuss legal structure AU-Hands Feb3 x Review I st draft of ratings presentation and revised cashflows OCSD,PW (9:00 a.m. at District) Feb.9 x FAHR Committee meeting (5:00 p.m.) OCSD x Financing progress report OCSD,PW Feb JO x 151 draft of P.O.S. distributed UC Feb 14 x I" draft of Trust Agreement distributed BC Feb 17 x Meeting to review legal documents and P.O.S. AU-Hands (10:00 a.m. atOH&S) Feb21 x Market Holiday (President's Day) Mar8 x FAHR Committee meeting (5:00 p.m.) OCSD x Financing progress report OCSD,PW Mar9 x 2nd draft of legal documents distributed BC x 2°d draft of P.O.S distributed UC Paine Webber April S, 2000 Mar14 x Meeting to review legal documents and P.0.S. All-Hands (10:00 a.m. at OH&S) Weekof3/20x Begin preparing package for liquidity banks PW Mar22 x District Board meeting OCSD,PW Mar24 x 3rd draft of P.O.S distributed UC Week of3/27X Commence discussions with Ambac and swap providers PW x Continue revising rating agency presentation OCSD, PW Mar28 x Meeting to review legal documents and P.O.S. All-Hands (10:30 a.m. at OH&S) Mar30 x Meeting to review cash.flows ratings presentation OCSD,PW (l :00 p.m. at District) Apr5 x Agendize non-profit corporation form;t.tion materials BC,OCSD Apr6 • Meeting to review rating agency presentation {tentative) OCSD,PW Apr12 • FAHR Committee meeting (5:00 p.m.) OCSD • Approval of non-profit Financing Corporation OCSD,BC • Financing progress report OCSD, PW Apr13 • Rehearsal for rating agency presentations (tentative) OCSD,PW Apr 18119 • Rating agency presentations (at District) OCSD,PW Apr21 • Market Holiday (Good Friday) Apr26 • District Board meeting OCSD • Approval of non-profit Financing Corporation OCSD,BC May3 • Receipt of ratings (tentative) OCSD,PW May JO • FAHR Committee meeting (5:00 p.m.) OCSD • Approval of bond documents OCSD,BC,PW May24 • District Board I Financing Corporation meetings OCSD • Approval of bond documents OCSDJ BC,PW May25 • Print Official Statement UC,PW • Begin pre-marketing COPs PW May26 • Mail Official Statement OCSD,PW Paine Webber April 5, 2000 May29 • Market Holiday (Memorial Day) May30 • Price advance refunding of Series B OCSD,PW (Establish fixed rate through August 2001) June 13 • Price current refunding of Series A & C OCSD,PW (Daily VRDOs, Sold no less than 15 days after Series B) June 14 • Close all refunding components All-Hands 811101 • Series B COPs called with escrow funds X -Denotes completed activity. Key Role Participants OCSD Issuer Orange County Sanitation Dislrict BC Bond Counsel Orrick, Herrington & Sutcliffe PW Underwriter PaineWebber Incorporated UC Underwriter's Counsel Hawkins, Delafield & Wood Paine Webber FAHR COMMITTEE Meeting Date 4/12/00 AGENDA REPORT Item Number FAHR00-30 Orange County Sanitation Disbict FROM: Lisa Tomko, Acting Director of Human Resources Originator: Dawn McKinley, Senior Human Resources Analyst SUBJECT: CHANGES AND ADDITIONS TO HUMAN RESOURCES POLICIES AND PROCEDURES AS AUTHORIZED BY RESOLUTION 98-33 GENERAL MANAGER'S RECOMMENDATION Adopt Resolution No. OCSD 00-XX, Amending Human Resources Policies and Procedures Manual. SUMMARY The attached policies are routine updates or additions to maintain consistent language with the Memorandums of Understanding (MOU) and/or new legislation or to explain procedures more clearly. Copies of all policies affected are attached. Additional language is highlighted in gray; deleted language is lined through. PROJECT/CONTRACT COST SUMMARY None BUDGET IMPACT 0 This item has been budgeted. D This item has been budgeted, but there are insufficient funds. D This item has not been budgeted. 1:81 Not applicable (information item) \lr.ldonldala1¥tp.dta\agendalFAHRIFAHR2000\2000 Agenda ReportslFAHR~.doc Page 1 ToJt. BdS. 4/26/00 Item Number ADDITIONAL INFORMATION Policy Number From To Reason And Subject For Change C110.00-Travet and BU&lnesa Current language. Proposed language. To reduce potential abuse Expenses and increase accountablllty of staff. 010.00-leave of Absence With Pay Current language. Proposed language. AB109 compliance and MOU reference. 020.00-Leave of Absence Without Pay Current language. Proposed language. AB109 compliance, FMLA compliance and clarification on •umir for leaves of absence. 030.00·Holdays Current language. Proposed language. Clarification on eligibility for employees on disability leave and holiday calendar. 040.00-Conferral of Leave Current language. Proposed language. Changes •one-time• donation of leave time to a "case-by-case• basis for donation. 060.00 -Benefits Option Plan (BOP) Current language. Proposed language. Language added to clarify when employees are elfoible for BOP. 0100.00-Technical and Profesalonal Current Tille: Technical Proposed Title: Title change only. License, Registration and Certification and Professional Certification Reimbursement Program License, Registration Reimbursement Program. and Certiflc:ation Reimbursement Proaram. E60.00-litemet Usage Curre~t language. Proposed language. To reflect and Incorporate the changes in technology with regard to the use of the lntemel E70.00-E-mail U&age No Polley. New Policy. To formalize the administration of E-mail usaae. F20.00-Hours of Work-Non-Exempt Current language. Proposed language. FLSA compliance and Employees management designee may process other emDlovees' time sheets. F20.10-Hours of Work-Exempt Current language. Proposed language. FLSA compliance and Employees management deaignee may process other emolovees' tlme sheets. F70.00-0lsclpline Current language. Proposed language. Changes make policy congruent with MOU's and practice. ALTERNATIVES NIA CEQA FINDINGS N/A Page2 ATTACHMENTS 1. Policy C110.00 2. Policy 010.00 3. Policy 020.00 4 . Policy 030.00 5 . Policy 040.00 6 . Policy 060.00 7 . Policy 0100.00 8. Policy E60.00 9. Policy E70.00 1 O. Policy F20.00 11. Policy F20.1 O 12. Policy F70. 00 Travel and Business Expenses Leave-of-Absence With Pay Leave-of-Absence Without Pay Holidays Conferral of Leave Benefits Option Plan Technical and Professional License, Registration and Certification Reimbursement Program Internet Usage E-mail Usage Hours of Work-Non-Exempt Employees Hours of Work-Exempt Employees Discipline Page3 RESOLUTION NO. OCSD 00-_ AMENDING RESOLUTION NO. OCSD 98-33 A RESOLUTION OF THE BOARD OF DIRECTORS OF ORANGE COUNTY SANITATION DISTRICT AMENDING HUMAN RESOURCES POLICIES ANO PROCEDURES MANUAL ...................... The Board of Directors of Orange County Sanitation District, DOES HEREBY RESOLVE, DETERMINE AND ORDER: Sedion 1: Exhibit "A" of Resolution No. OCSD 98-33 is hereby amended by amending Policy No. C110.00, Travel and Business Expenses, set forth in Attachment No. 1, attached hereto and incorporated herein by reference. Section 2: Exhibit "A" of Resolution No. OCSD 98-33 is hereby amended by amending Policy No. 010.00, Leave of Absence With Pay, set forth in Attachment No. 2, attached hereto and incorporated herein by reference. Section 3: Exhibit "A" of Resolution No. OCSD 98-33 is hereby amended by amending Policy No. 020.00, Leave of Absence Without Pay, set forth in Attachment No. 3, attached hereto and incorporated herein by reference. Section 4: ·Exhibit "A" of Resolution No. OCSD 98-33 is hereby amended by amending Policy No. D30.00, Holidays, set forth in Attachment No. 4, attached hereto and incorporated herein by reference. Section 5: Exhibit "A" of Resolution No. OCSD 98-33 is hereby amended by amending Policy No. 040.00, Conferral/Donation of Leave, set forth in Attachment No. 5, attached hereto and incorporated herein by reference. Section 6: Exhibit "A" of Resolution No. OCSD 98-33 is hereby amended by amending Policy No. 060.00, Benefit Option Plan, set forth in Attachment No. 6, attached hereto and incorporated herein by reference. Section 7: Exhibit "A" of Resolution No. OCSD 98-33 is hereby amended by amending Policy No. D100.00, Reimbursement Policy for Obtaining and Renewing Technical and Professional Licenses, Certifications and Registrations, set forth in Attachment No. 7, attached hereto and incorporated herein by reference. Section 8: Exhibit "A" of Resolution No. OCSD 98-33 is hereby amended by amending Policy No. E60.001 Internet Usage, set forth in Attachment No. 8, attached hereto and incorporated herein by reference. Section 9: Exhibit "A~ of Resolution No. OCSD 98-33 is hereby amended by adding Policy No. E70.00, E-mail Usage, set forth in Attachment No. 9, attached hereto and incorporated herein by reference. Section 10: Exhibit "A" of Resolution No. OCSD 98-33 is hereby amended by amending Policy No. F20.00, Hours of Work-Non-Exempt Employees, set forth in Attachment No. 1 O, attached hereto and incorporated herein by reference. Section 11: Exhibit "A" of Resolution No. OCSD 98-33 is hereby amended by amending Policy No. F20.10, Hours of Work-Exempt Employees, set forth in Attachment No. 11 , attached hereto and incorporated herein by reference. Section 12: Exhibit "A" of Resolution No. OCSD 98-33 is hereby amended by amending Policy No. F70.00, Discipline, set forth in Attachment No. 12, attached hereto and incorporated herein by reference. Section 13: That all other terms and conditions of Resolution No. OCSD 98-33 shall remain in full force and effect. Section 14: That all future amendments to Resolution No. OCSD 98-33 be made by Resolution. PASSED AND ADOPTED at a regular meeting held April 26, 2000. Chair ATIEST: Board Secretary \vadon\data1\wp.dta\admln\BS\Resolutions\2000\AR-ppupdate Reso 4-00.doc ® Orange County Policy Number: C110.00 Sanitation District Effective Date: April 26, 2000 - Subject: TRAVEL AND BUSINESS Supersedes: May 13, 1998 EXPENSES Approved by: 1.0 PURPOSE 1.1 The purpose of this policy is to establish uniform guidelines and procedures for reimbursing employees for travel and business expenses. 2.0 ORGANIZATIONAL UNITS AFFECTED 2.1 This policy applies to all current employees regardless of their organizational unit. 3.0 OE~INITIONS 3.1 IA'"ideRials ai:e Per DieSR is FR9R8Y paid tg aR &FRplgyee per day wl:lile QR tra1Jel fQr the Oistr:.ist& fer R=teals , gratwitie& aRd ir:isider:ital&c 4.0 POLICY 4.1 It is the District's~ policy to reimburse employees for travel and business expenses in accordance with the procedures of this policy. 5.0 PROCEDURE 5.1 The Districts will reimburse employees for reasonable travel and other expenses incurred in the course of representing the District& on official business provided that approval is obtained in advance. All reimbursement claims for such expenses must be submitted on a Reqwe&t fGr Travel A.w\AorizaijgR a1=1d Expense Reimbursement form With a "Dally E~~ B!eakaown" fQ_rm, airfare itinerary aJ}.q ~ll reguired r:~ipts ~ttachect_aloRg ~ti:! apprgpriate F96&ipt&, aRd A=iwst FR&et SQRditi9R& aRd reqwireA=ieRt& esta91isl:led by tt:ie ~iRar:ise OepartFR&Rt, aRd tl:le pF91Ji&i9R6 iiRQ SQRdiligR& iR tl:li& pglisy, 6.0 EXCEPTIONS 6.1 EXceptfons ro tfle policy musf6e lndiCated on the origfnal Request fur Trave Expense Relmbursemenr Form and an "Exceptiolls-Unauthorized Expenditures• meme sig_ned b the De at1ment Head with a full ex ran@n attached to the acl<a • 6.2 Business travel expenSes in~t'red in ex_cess of tftose desCribed in this pohcy are not reimbursable. For e>campJe., if employees choose to drive in~tead of fly trQm Los _f.ng es to Ph_gen~. ~e total reimbut'S~.£rl 'WJ!Lnet e~qeed the amount that Page J of8 wow<! have een incurre(j ha airWvel been usea{e.g .. mileagF.fodging and meal expense reimbursements resulting from ear travel canl]<?t ~eed the amg~nt re uired if.!irJ@Y.e! ~a~ be~l'J ~~~). 7.0 PROVISIONS AND CONDITIONS 7 .1 GENERAL INFORMATION 7.1.1 "Requests furlravet Authorization• forms should Qe subnjitted, and reservations ma~e, at least21 d~s in advance Ti::a>1el reqweste are tg be swb1;1itleg as br ir:i a9var:ise as pgssible to take advantage of discounted or reduced fares, etc. 7.1.2 The employee is responsi51e for completing the uReqij'est fOr Travel Expense _R~imbursement" form, and is ~spons!ble for !.Ub~itting all ~lpts, 7.1.3 Originalreceipts·ar~ {egl:Jired_fQr all r~imb~bte_exJ?.en~s regardl~~ of the dollar amount. . . . 7 .1.4 A'l<Requestfor Travel Expense Refmhursemenf' forrn~ould f>e submitted within ~o weeks .after the re~mbursable business expense has beep_ ir:i~urred: 7.1.5 Employees are to exercise every effort to minimize travel and meeting expenditures. When alternatives are available, the employee wlll utilize the least expensive alternative. 7.1.6 The desjgnatea travefcoordiriator Will audit and nnaliZe the MRequest for Travel Expense Reimbursement" form, sign, obtaiA approvals ~nd, forward all necessary foi:!!lS to ~e apJ)ropriate Division (Tra111in9.{e,ccount)ng), 7 .1. 7 The approval level required on the "Request for Travel Expense Reimbursemenr form is based on total expenses ingurred. Employees CC\'O·D.Ot appro~~-~~r own ~v~ exp~ry~~- 7.1.8 Meetlr:19 i:e9istr.ati9R is 9er:1eFally prepai9 by tl:le Oistr:ists ar:ig will be paig baseg 9R pfigr apprg1Jal. If ar:i eFRplgyee is a"8RQiRg a FReetiRg as a FRes:Rtler gf a prgfeGGi9r:ial gr:gaA~ati9R relat&Q t9 tl;ieir jgb i:e&p9R&ibilities. tl:le Ci&tFist& &Rall pay tl:le 9Rtir8 '>9&t gf registr.ati9Rc If R9lr tRe 91;1plgy99 &Rall pay tt:ie gi#er9R'>8 b8~"89A f:R91;1Q8F 3RQ R9R i:ReR=lber regi&trati9R fee_ 7.2 kf!.e§!!JG Page 2 of8 7.2.1 Lodging shall be in a hotel, motel or lodge. SiRgle F99Ff:l r:ates SRall apply fQr awtR9ri;;ig 9"ifRigRt traveli floteVrrio el ro0ms must be stcinClard (Sing eocoupancy) ratfierttian deluxe accommo0ations. The employee must pay lodging e~ses directly and include ttie original de~iled hotel ~ipt witt) the "Travel Expense Reimbursement" follTI before re@bursement Will be made. Dlrec{ billings to the OiStricf for employee lodgTng will not be accepted unless tfte circumstanres are unavoidable and written aytho~aljon from ttie General Manager's office is ot}tained1 in advance. Meals or other rei!Jib~~bfe f flar9es on ~~ hot~ bJll wj ll be ~pplied towarq§ the daily reimbursement maximum agaiRst ll=le per gieFf:l aUQ\ViR~&. 7.2.2 p.fikiii"g RBServations~\Mien making hotel reseriations, a!Ways ask for the lowest available rate the hotel is offering (e.g .. government, season ~~Jal ,!.~ich ..J!'8Y_t[e lowe~ tJ]an .tt:i~ 1:9nv~ntion/~nf~_ren~ ~te..: 7-2.3 tzance qg eseJWtlons -A t.ravefercancelingihe reservation must do S<> according to the hotel's policy in order to avoid charges. The District does not reimburse for non.c11ncefed reservations, eariy departilre, or late ca.ncellatlon charges unless approved bf the Dep.artment Head VI.a an "Exceptions.Unauthorized EXpendltures" memo. 7.3.:. L Employees must select the most economical, practical means of ground transportation tftat is appropriate for the particular site. The reimbursable distance for departures i$ the distance between the last stop (e.g., District or employee's residence) andlhe tenninal, and for anivals 1s the distance between the t~~iOEI and th~ first stgp (e.g .• Qi_W_ct o~ ~'!lf?lc;>Y,~ re_siden~). Automobile mileage reimbursement is given if an employee is required to use a personal vehicle for travel within the District's general geographical area, which includes Orange, L9s Angeles, Ventura, San Bernardino, Riverside, San Diego, Imperial and Kern Counties. Mileage is rei~l;H.irsed at tl:le ll'(S i:ate per R=iile. Tl:li& figwFe is adjwsteg peFiedisally 9ased ei::i IRS apprgveg Ff:lileage allewaRses, The District shall pay local transportation costs from the employeeos residence to the departure airport. If the employee uses their personal vehicle, then mileage will be paid at the current IRS-approved rate. Alternate travel to a departing airport shall be by bus, shuttle or taxi only. VaR& are R9t all91.ved wRless prier apfim~"al is gb~iRe9 , 7.3.L Re1 rsement r persona au o u5age for business will oe carculated per the current Jntemal Revenue Servfoe Guideli!\e. This-~§ s~pj~ ~-~E!!9~ 7.3.3 Round-1rip mil~eex~nses can be reimbursed wh~n ~JIY. chauffeuringjs tfte most eeonomical altern!ltive. 7.3.4 Olstrictvehjcles fri?y not t?e usecrto transP.<)rt non-District e~Qloyees. 7.3.5 Tl:1e Cisti:ists sl:iall ~ay travel ~peRses by sws. taxi gr vaR fi:eFR tRe ee&tiRatigR airpgrt tg &l:ie Ff:leetiRg site. Page 3 of8 7 .3.6 Travel while at the local destination sAaU. may be by shuttle, bus or taxi, as needed. A rental car may be allowed. ~sg~patPt, ~id gr f1.1ll siile), tl:le feast sgstly tg be d&ter~iRed by tl:l& d&si9Rat&d "'av&I a9&Rsy, if prigr apprgval is gbtaiRed . 7.3.7 Parking at the departure airport sl:lall b& iR a redwsed fee lgt '1Rly. ParkiR9 d1all be paid f9r tl:le ast1a1al sgst at gtl:ler lgsal area ~eetiR9G is reimbursable with receipts. 7.4 AQTORSNT~ Z,4.1 Rentea au · s stiould only be used When no other means of transportatio;n is econami~ly feasible~ of ai'P.Qrt or hotel shuttles 1s ~ncoura ed. 7 ~4.2 CJa saze -imediate or standard mooel. JOid-size car (Crass C). or the smallest siZemmpatit>le with the specific need, are to be used. · Exceptiens must 6e explained on an ·exceptions-Unauthorized- Expenditures• memo signea by the Department Head. The original qgpy of the car rental contraet and rece-t must be attached to the "Travef, ExQense Reimtiur:se~t" farm, - 7.4.3 Insurance -f\e DrstriCfis 1nsurea or self-lnsured1or damage to rental cars used on company business. ONLY the "Loss Damage Waiver Fee" Is to be accepted and Is reimbursable. Any_ additional in5_H.r~ce ~rchased for the rerital oar is not ~imb_ursable. 7.4.4 Rental COiilii -Wflen completing tfle rental agency contract., sign for the DIStltct, not as ~ individ!:.Jal (i.e. Orang~ County Sanitation District, CA,_ byj your name). 7.4.5 G!.!,SUriharge-~e Dlstrictwill not~ fuel su~harges. 7.4.6 Damage -ln ttle event of damage tO rentafcars, all details of the event reported to the polrce and/or the ren~I firm must also be provid~ ~ ttle Distiict~fy Manager wit!iin g_4 hOUfS of ~e incident 7.5 AIR TRAVE'b 7.5.1 Tne Distnct centralizes afrl ne an rental car reservations for business travel through WortcMew Trave.1 in order to QC!in efficiency and obtain cost savi~ Numbers to call for reservaJio'l~ !!:'<ui~~et defiVery a~: Buifnns Contact Pe_!SOn_ Address Wortdview ravel Cherie Lgwe- DiStriCt Traver Consultant 535 Anton Blvd., Suite 160 cesta Mesa CA 9g626 - (714) S.f~ifOO 1-800-627-8726 714 979-6040- Page 4 of8 http:/Jwww.worfclvlewtravel.com The Worldview Travel Agency will determine al r travel routes, class of service, carriers, and auto rentals according to company policy. The lowest practical airfare including discounts arid non-refundable fares shall be selected. An1 empleyee will not be reimbursed f~line tlcl<ets 9ptaine,9 from an Un?UthoriZe9 S.Q.!!fgLUnjes§_it is an emer.gency. Air;;br:es are fQr G:93QR eRly. 4-FraRge1+1eRts ar:e &e be R=tage 9Rly tl:li:gwgl:I tl:ie CistriQts~ gesi9Rateg tFavel ag&RQy, TRe ag&RQ~· SRall get&FFRiR& tl::le least Q9stly aiRar:& fQr tR& tr:ip. 7.5.2 Alrtine Reservations -Em-ployees must not make company business arrangements directly with airlines, ether travel agencies, or use an Internet service for business travel. Sueh transactions must go through designated trave~ coordination staff for the District to claim its negotiated rebates on volume purchases. Ticketing must oceur within 24 hours of making the reservation to e,resery!!,th~ quoted airfare price. 7.5.3_Frequent Flyer Miles -Employees who belong to frequent flyer programs are entitled to personally use all bonuses accrued by them on company business. Under no circumstances, however, may employees purchase more expensive tickets In order to accumulate frequent flier mileage or upgrade the class of service. First or Business Class upgrades may be used as long as the ticket still represents the Jow~§!.,PEctiCal aftJEe. 7 .5.4 Excess Baggage Fees-The District will not reimburse for excess baggage f~ if not_rel~ to compalJY busine~. Thi§ includes_§porting ~1!JpmeFJ.!. 7.5.5 Alternative AirportS ·Alternative airports w1tffin close proximity (Los Angeles, Long Beach, and Ontano) must be l!sed if the savings exceed $150. 7.5.6 Lost Ticket App1ication -Once an employee accepts a District paid ticket, he or she is responsible for it. If an employee loses a ticket. the replacement of the District-paid ticket and all related fees are the employee's responsibility. Worldview Travel may not be used for this purpose; however. employees must contact Wortdview Travel immediately, requesting them to file a Lost ncket Application with the airtine. If and when the District is reimbursed, the employee will be entitled to the cost of the original ticket less any fees incurred. Employees must take extra precautions to avoid losil)g tigcet(s), which result in ~~a fees and de~ys f~r refunds. 7 .5. 7 Unused Flight Tickets -Unused flight tickets must be returned to division clerical staff within seven days of issuance. Clericar staff will retain th~ un~sed flight ~cket fo_r future District air trav~I by the same person. 7.5--=-a-Ticket Cnanges -The District will P.aY the additional"fee to Change a tfcketed flight only if tne travel is required by the traveler's supervisor and an "Exceptions- Unauthorized Expenditures· memo is completed, signed by the Department Head and submitted with the "Travel Expense Reimbursement" form. If the chang~·isJor _the oonvenie11~e qf the traveler, no reimbursfilllent will be allowed. 7.5.9 Fllg t Limifitions-There should Be no more than 4 DisJ_ric.tFmploy~total. ~r fli ~t Th.i..§.!fill be..!!!Q.nitored f?Y the !f.ayel agency. 7.5.10 Safurday Night Stay-over-The DistriCt may require a Saturday night stay::Over if the stay-0ver results in significant cost savings to the District. In general, it is- expecteQ th~t business meetings that start on Tuesd~ or end on Thursgar... will Page:5ofR Safurdaf'nfgnt<stay-ovefexpenses·a e reim6ursable only if the sum of the airfar~ plus the expenses of the aadltional lod.ging; meals and incidentals resulting from ~e-stay-over are less than th.! lowest available airfare without 1he s~y-o~r. 7.?.11 Fl!gtlt lf'ISUra~ce :.. Flight insurance is not reimbursable. 7.6 MEALS/INCIDENTALS --~ ·--~--~._,..._...._ 7.6.1 7.6.2 7.6.3 On overm§fil stayS,blstnct employees are en '(fed to reimbursement up tO ~O per day. Detailed receip~ must sul5stantiate out-of-poc~et expenses. Tile dally maxim m includes !!l._altq,wa.!'ce of $6 for incld~~-~blll p9r gjQs;R allQ"'3RGQ st:iall QRly apply tg Q119rRigl::lt tl=ril"AL \Nhen a]Jjihig_g tunctiol).]r ,meetJrig ]oes not Involve oyemlght stay. If.a. 1+19et4Rg iRGl1.1ges a portioR of a gay, the p9r gieFR ~al r_eimbur'Sement will 9e pror;at&g 9ased oR s. a I not exceed' the following ma~im..JJ.ms: $40.00 p9rgay (Breakfast: $6.00; Lunch: $10.00; Dinner: $18.00~. R~ are uirect f§rreirn.._y em~t. AR erRplQyee st::iall RQt g9 eligi91e fQr fwll per dies:R oR sai:;ie gay tr;avel f9r ri::ieetiRg& wi~iR Orar::ige C91.1Rt)'. The G9&t gf lblRGl:I gr i::Ray 9e reir:;iliilwr&ed if Rot iRGlwdeg iR registrati9R fee. If a r:i::ieeth::i9 iRGlbldH a A:iaRda~i;y r:i::ieal tt:iat is 9reater tt:iaR tt:ie i::Real allgwaRG&& listed iR SeGti9R 7.7. per die1+1 f8i~~FRiAt will tile adj1.1sted lily tl::ie gi#ereRGe beWleeR tl:le allgwar:iGes iR Sesti9R 7.7 aRd tt::ie F&'!blired R:ieal Gl:large (9eReFally paig as part gf re9istrati9R fees). 7.6:4 __ P.rovlded Meals -Meal ex~nses are not reimburaable iffumished ~s part of the ey~nt Pl'Q>tid_!d b others. o..r iQ~u~_with aL~re. AA eR:iplgyee &t:lall R9t 9e eligi91e fer per gier:;i wl::ieR FReal& are prgvideg by air gr otl:ler G9A:iA:i9R sarriers. If a R:ieal is iRGlwged iR tl::ie regi&tNitiQR fee paid 9y tl:le Oi&trist&, aR ei::Rployee sl:lall R9t be &Rtitleg tg per diei::R fQr tt::iat r:;ieal. 7.7 GROUP EXPENSEJRE/Ml3URSEMENT 7.7.1 When emproyees travel in a group, tfley shoula pay their own ex~nses. If this is_ not praotical, 911e ~ber of the grou rr@Y~:. ~se reimt2_u~ent fqrm ~~a!!lf!.CJ~f!_e_; • -Names of the individuals-for whom the ~~~iise has be~incurred Department number to ~e.£h~~g~ Circumstances involv Expenses for.mealsetc. can !!~t ~ceed in,dfvidual.~xim£!!ls on an ~F.!9~ ~r~mpJ9y~ basi~. 7.8 ~c_OMB!Nl~G BUSINESS A11D PERSONA[: TRAVEL Page 6 of8 7.8.1 If an employee com6mes fiusiness an<!J personal travel, the ~rsonaf travel e)(J)eflses will be paid directly by the employee. For trips in which the primary purpose is personal, the District ~s only ~ po.[tion Qf !!'I~ !if P (!i~~ refated jQ 1'~~ h 8:2 BUsiness traVel Ts 6asect Q'n-aetua tiusineS's expepses-incurred: Therefore, no aQlusilnentis permitted betWeer;i ~se categories (e.g.~ funding extra aiffare e~nse in e><c!1~~ lQr reduc_ed Jogging !~ pfivate h~me on a ~rsol)~I side ti1Jlli 7~8.3 In general\ it Is not ~pproprfateror family members to aceompany employees on business trips. Any cestS in(!urred on geQalf of family members a not reimbursable. 7!~.1 _:-Rega7dless0fw.lien exlense reports-are submitted, the exchange rare ror converting {Qreign currency expenses mto l,l.S. dollars will be ~e ~te in effect al the time the l:J.S..:.. dollal:sare ronverted !2 foreign currea9}'· iH:la sue.e,o[ted b~ re&el~ i!.1<5 TECEPHONE ~us 7 .10.1 Bus1ness telephone caJlsanCI modem serVices'are reimoursa6Te with receipt On evemignt stay~_$4.~~ ~lowanee Is E.~vld£d ror ~~at tele iflone Is. l'Re Oistr:ists sf;iall i:eiR=19wi:se &R=lplgyee~ fgr QA& telepl:l9A9 sall tg l:l9FR8 per gay at a ratQ ngt tg exseeg $4.25 per gay .. Calls tg tt:ie Ci&tr:ists &Rall 9e R=1age 9y Oi&trists pre'Jided sredit •arg gr sgllest. liiwsiAess related faxes will be i:eiR=19wrsed if a reseipt is pfgvideQ. 7. f1 _GASH ADVANC 7.11.1 -casti aavanees may be requested for overnight stays •Only fOR EMERGENCY PURPOSES ONLY. The minimum r~uest amount J:?0r trfp is $100. The ~um request amount is i250 f!)er friR. To recE2_ive a cash adV~nce~ the traveler Is ~urmd to complete a "Request for Emergency C~sh Advanee" form, ab~in proper :§19!l~tures and ~mit the com Jeted form to tne acpunting £2.iv!Si~. 1:12.1 i;XP.ensesttia ~e persollal notair~ connectea willfOlstrict ousiness) are.nQ!! reimbursable unless ttiere are extenuating circumstances approved by the General Ma ~er. These inelude. but ar,e·not!lffilfe_d _to thtlollowing';J ~peRses R9t allgweg as detined in tl:lis p9lisy ai:e R9t i:eiFAbwrsa91e witl:lgwt prigrwr:itten apprgval. SwGl:l expeAses iAQlwge bwt ar9R9t liR=lited tg entertaiRFA&At, resi:eatien aAd perseAal iter:;:is, • Clotfting and tG>iletnes • Personal sid~p~ ~rsoo~J §nt~rtainmen! andJ>~,.rsQnat trip i~wan~ • Fees tor u.,_se_o""='f ..... recr ___ e __ a-ctio-onal. health and gym facilities • 1-io~ maintenanc;e, 'bal?.t sitting anQ. Qel~ding eXRe~ Page 7 ofS • Personal legal charges and traffic violations • Loss or1heft of cash~velers gt~ks, travel ticke~ ~n4 cre<f it cams • loss. theft or aamag_e to personal property such as luggage, auto and clothing • Medjcal expenses • AcclClent rerated costs resulting frol'!l. an ~mployee's business use,of a P-f3rso a1 auto • Tips exceeding 1~% • Movies • Al__.9.9.!lol Tl:le Cistri;ts g9 R9t pay fQr al;91;\g1i; 9evera9es. 7.13 AGEtfC'[fll:NDO,B-RI5JMB0RSl:D EXPENSfoS 7.13.1 When any meeting or training fees are 1o be reimbursed by an outside agency or vendor, the agency/vendor shall provide: a letter to tfle employee stating exactly whieh expenditures will be reimburSed. Tfie letter shall accompany the employee's reimbursement packa,ge. TI1e designated travel cooroinator shall prepare a letter to the agency/venaor listing all expenditures that the agency/vendor has agreed to reimburse and enclose a copy of the agencyNendor authoriZation letter and copies of all receipts. This letter is copied to the employee ~nd to the Accounts Receivable department so that the payment can be credited ta _the • pro~r account 7.14.1 OccaSionally, the District requestS ethers to travel either to the--Olstrict or on behalf of the District. In those instances, the Department Head shall prepare a lette-r autharizing the travel. After completing the travel, the traveler submits~ detailed invoice along witfi a payment request voucher to Accounts F?ayable for processing. A copy of the 'Cluthorizatign letter: sh~a<?_c.ompaQ)' the paym~nt ~voucher J 8.0 RELATED DOCUMENTS 8.1 "~eqwest fQr Travel Awtl:l9R'LatigR aRd Expense Reimbursement" form 8.2 "O"aily ~en~ 'Break. gwn• <Orm 8.3 "R~Hest fur !~~l Autfiorization"' mrm 8.4 "Ex -tiOns-IT~tfiOriZ~ EXpel).d~-iiJ~I@ 8.5 "R~uest ~rgni~~enqy Cash AQYanee....-rorm 8.6 CSCOC OCSD Administrative Standards and Procedures Guidelines, Section 111-22:-Travel and Training Page 8 of8 ORANGE COUNTY SANITATION DISTRICT REQUEST FOR TRAVEL EXPENSE REIMBURSEMENT After approval, submit this form, a completed Daily Expense Breakdown Form and receipts to Training or Accounts Payable. Receipts are to be taped to 8·112x11 white sheets. If expense receipts are missing, an approved "Exceptions Memo" must also be attached to the package. ---------- SECTION 1-EMPLOYEE & BUDGET INFORMATION ----,~ -. Name: Emp., No. Date: I Meeting: O Training: 0 Purpose: Duration: From: To:I Site/Location: ·-------Budget Subledger # or Capital Fund Div.# ~Object#_ _ _ ~-Attendee D_iv. # .P,roject #. -Subsidiary # or Phase # SECTION II • ITEMIZED EXPENDITURES --------~ (LIST ALL BUSINESS-RELATED EXPENSES-RECEIPTS ARE REQUIRE[ (A) .. (8) Amount DESCRIPTION Pre-Paid Actual Due Automobile: Co. Car: Personal Car; Miles: x $0.325 $ -$ - Air Fare: $ -$ - Transportation: Car Rental/ShuttlefTaxi -including tips $ -$ - Parking Fees: $ . $ - Registration Fees: OCSD Check or Pro card $ -$ - Meals: (receipts required--from Daily Expense Breakdown Form) $ -$ - Incidentals: ($6 per day allowance for overnight travel) $ -$ - Lodging Fees: (From Travel Detail Record) $ -$ - Telephone Calls: Personal: $4.25 per day Plus Business Calls and Fax I $ -$ -- Other Expenses~ (Must attach "Exceptions Memo") -$ -$ -- Emergency Cash Advance: (Subtract from Amount Due) $ -$ - ·- ~ TOTALS: $ -$ . - NOTE: Attach explanation for any expense(s) to be reimbursed by an outside AgencyNendor AMOUNT DUE: $ -·----~ .. ~ - SECTION 111-EXPENSE REIMBURSEMENT APPROVAL SECTION ~ = --- ___ ,... ___ Division Manager: (To $2000) Date: Department Head: (Over $2000) Date: If for Training: Training Manager: Date: Preparer's Signature: Date: Ext. CERTIFICATION: I hereby certify that the above expenses were incurred by me in connection with business for the District in accordance with the Policies set forth that said expenditures are true and just. and that payment thereof has not been received. Submission of fraudulent expenses shall be grounds for immediate dismissal. NOTE: Costs incurred within the final 90 days of service will not be reimbursed unless specifically authorized. Employee Signature: Ext Travel Expense RermbUl'SemBfll Fonn/Travel Eltpenso Refml> Form --------Revised ... , ,,.,li..,.,18,..,,/9""'9.----- ORANGE COUNTY SANITATION DISTRICT DAILY EXPENSE BREAKDOWN RECORD (Totals are to be entered in Section II of Travel Expense Reimbursement Form. Attach this sheet and receipts that have been taped onto 8-112 x 11 white sheet(s) to Travel Expense Reimbursement Form and submit to Accounts Payable) OUT" OF POCKET EXPENSES: ---- " Breakfast Lunch Dinner Daily ($34.00/day maximum) Date Weekday $ 6.00 $ 10.00 $ 18.00 Totals Include tax and tip. Receipts are $ -required for reimbursement. NOTE: $ $6 per day is allowed for incidentals - for overnight travel only. This is to $ - be noted separately on Travel $ -Expense Reimbursement form. $ - $ - $ - $ - TOTAL~ $ - ----LODGING Arrival Departure Room No.of Room Lodging Amount ACCOMMODATIONS: ---· Date Date Type Nights Rate {#Nights x Rate) Hotel: $ - Phone No: $ - Confirmation No: I TOTAL: $ - Detailed receipt required. AIRLINE INFORMATION: Date From To Depart Anival Airfare Time Time Amount -- Airline Name: Departure Flight No.: Connection Flight No.: Return Flight No.: Connection Flight No.: Attach copy of itinerary and ticket receipt. TOTAL: $ - TRANSPORTATION: ------' Tennx Rental Fee ' Rate No. Days Rate .. xTenn ---~ -' ----" . - Car Rental Agency: $ - Confirmation No.: TRANSPORTATION GRAND TOTAL: $ - Attach detailed receipt A receipt must be provided for each expense for which reimbursement is requested. If for any reason a receipt cannot be provided, an "Exceptions Memo" to the Accounts Payable Dept. must accompany the Expense Reimbursement package that explains why a receipt has not been provided (e.g., lost, not issued, etc.). Otherwise, reimbursement will not be paid for the item(s) in questions. The Exceptions Memo shall be signed by the Department Head. Page 2 of 2 ORANGE COUNTY SANITATION DISTRICT TRAVEL AUTHORIZATION REQUEST Note: This form must be fully completed and submitted as an email attachment when requesting authoriz.ation from your immediate Supervisor to travel on OCSD business. ----------: SECTION J -EMPLOYEE INFQRMA TICi>N ----· Name: Empl.#1 Date:! Meeting: D Training: D Purpose: Ou ration: From: To: Location: ------------o-------- SECTION II -BUDGET JNFORPMTION -----------Subledger # or Fund Budget Div.# Object# Attendee Div.# Capital Project# Subsidiary # or Phase # SECTION Ill • ESTJMA TED EXPENSES ---' - (UST AU. BUSINEss-RELATED EXPENSES) --~ Estimated Costs Comments I - Mileage: District Vehicle: D Personal Vebicle: D Miles: x $0.325 $ - Air Fare: Reg: $ Saturday Stay: $ $ Transportation: Car Rental/Shuttle/Taxi (including tips) $ - Parking Fees: $ Meals: (Guideline: $6 Breakfast, $10 Lunch, $18 Dinner, $6 Incidentals) $ Registration Fees: $ Lodging Fees: $ Telephone Personal -$4.25 per day I Calls: Plus Business Calls and Fax I $ - EMERGENCY Cash Advance ($100 minimum. Overnight only) (Emergency Cash Advance Form required) $ ~ - ~ TOTAL: $ - Note: If any portion of the above expenses will be paid by an outside agency, written confirmation from the tiosting agency rnust be submitted with this request Mileage lnformafion Trip will originate from: Cbcso Oiome O:>ther Departure Address: Destination Address: ~ -- SECTION IV -How will this support the goals of the Division or the District? ------- CERTIFICATION: By submitting this request, I agree to abide by current OCSD Policy and Procedures, understand that I must provide a receipt for each item for each reimbursement item and that failure to attend may impact my performance review. ""'vtsea 1 ""uiuu April 4, 2000 MEMORANDUM TO: Accounts Payable FROM: SUBJECT: Training/Meeting Expense Reimbursement -Lost/Unavailable Receipts The following receipt(s) have been lost or are unavailable: 1. 2. Other expenses not pre-authorized: I incurred the following unforeseen expenses: 1. 2. Contact me at Ext. _ if you have questions. (Employee Signature) (Department Head Signature) REQUEST FOR EMERGENCY CASH ADVANCE EMPLOYEE NAME: AMOUNT: DATE DUE/PAYABLE: Employee ID No.: PREPARED BY: DATE: --------~ EMPLOYEE: DATE: --------~ SUPERVISOR: DATE: --------~ MANAGER: DATE: --------~ DEPARTMENT HEAD: DATE: --------~ FINANCE APPROVAL: DATE: PURPOSE AND DESCRIPTION ITEM FUND# DIV# OBJ# EMP. SUBLEOGER# NO. QTY UNIT PRICE 99 10538 Attach signed Justification Memo before submitting to Accounting. Emergency Cash Advances may only be used for overnight travel. Minimum Cash Advance amount: $100 Maximum Cash Advance amount: $250 * .. **•GRAY AREA FOR ACCOUNTING DIVISION USE ONLY** .. * * ------ ------ ------ ------ ------ ------ ------ TOTAL AMOUNT $ - - - - - - - - - - - - SUPPLIER NUMBER INVOICE NUMBER SPECIAL HANDLING BATCH NUMBER VOUCHER NUMBER SECTION Ill 22.0 OFF-SITE MEETINGS AND TRAINING The District is committed to the standards of a "high-performance work place." In order to achieve this goal the District has made funds available, through the Annual Budget, to provide support in the development, implementation, and delivery of training programs, whether local or out of state. Forms for travel-meeting authorizations and expenses can be found in Ntglobal/Forms in the Travel and Meetings -Authorizations and Expenses folder. · I. PRE-TRAVEL The following guidelines are in accordance with the District's Human Resources Policies and Guidelines, Policy C110, "Travel and Business Expenses." Please refer to this policy for specific provisions and conditions associated with this topic. A. AUTHORIZATION ; District employees participating in off-site training functions or meetings must complete a "Request for Travel Authorization" form at least 21 days before the training function or meeting are to take place. This form is available in Outlook under Tools/Forms. • Upon completing the "Request for Travel Authorization" form, the form shall be forwarded to the employee's Department Head for approval. A copy of the approved form shall be forwarded to the Employee Development Division for budget tracking purposes. • The "Request for Travel Authorization" form shall remain in the employee's division, filed according to their divisional filing structure. This form does NOT need to accompany reimbursement packages or payment requests. B. REGISTRATION The designated division travel coordinators are responsible for registering division employees for training functions or meetings. Payment for registration is usually required before the date of the training function or meeting. To process registration payment the division travel coordinator shall: 4. Prepare a "Registration Payment Request Voucher" form Revision Date: 1/20/00 Section Ill 22-1 4. Attach a copy of the registration form or supporting documentation to the «Registration Payment Request Voucher" form 4. Obtain proper division signatures 4. Forward the paperwork to the HR Employee Development Division (Training) for training events or the Accounting Division for meetings/conferences. NOTE: If the function is charged to 51520, 51530 or 51540, the paperwork must be submitted to the HR Employee Development Division (Training); if the function is being charged to 51420, 51430, 51440, the paperwork should be submitted directly to the Accounting Division. C. AIR TRAVEL 1. OCSD centralizes airline and rental car reservations for business travel through Worldview Travel in order to gaih efficiency and obtain cost savings. Numbers to call for reservations and ticket delivery are: Business Contact Person Address Business Phone Business Phone 2 Business FAX E-mail Web Page Worldview Travel Cherie Lowe OCSD Travel Consultant 535 Anton Blvd., Suite 160 Costa Mesa, CA 92626 (714) 540-7400 1 .. soo-627-8726 (714) 979-6040 cherie@worldview.com http://www.worldviewtravel.com 2. Worldview Travel -The Worldview Travel Agency will determine air travel routes, class of service, carriers, and auto rentals according to company policy. The lowest practical airfare including discounts and non- refundable fares shall be selected. An employee will not be reimbursed for airline tickets obtained from an unauthorized source unless it is an emergency. 3. Airline Reservations -Employees must not make company business Revision Date: 1120/00 Section Ill 22-2 arrangements directly with airlines, other travel agencies, or use an on- line service for business travel. Such transactions must go through designated travel coordination staff for OCSD to claim its negotiated rebates on volume purchases. Ticketing must occur within 24 hours of making the reservation to preserve the airfare price quoted. 4. The Division Travel Coordinator is responsible for preparing the Airfare Blanket Purchase Order Request form as soon as a flight is booked with the travel agent. This form is found in Ntglobal/Forms in the Travel and Meeting -Authorizations and Expenses folder. 5. Obtain proper division signatures on the Airfare Blanket Purchase Order Request form. 4. Forward the paperwork to the HR Employee Development Division (Training) for training events or the Accounting Division for meetings/conferences. NOTE: If the function is charged to 51520, 51530 or 51540, the paperwork must be submitted to the HR Employee Development Division (Training); if the function is being charged to 51420, 51430, 51440, the paperwork should be submitted directly to the Accounting Division. II. POST-TRAVEL A. Completing the Expense Reimbursement Form (Step-by-Step Instructions) Before preparing the expense report, make sure all receipts are taped to 8-1 /2x11 white sheets. If any are missing, an exceptions memo must be prepared detailing the date, the expense and the amount and why the lack of a receipt The memo must be signed by the Department Head and attached to the Expense Reimbursement package. 1. Open Excel and g:\Ntglobal\forms\Travel and Meeting Expense folder. 2. Click on and open the Travel Expense Reimbursement Form document. 3. Click on the tab at the bottom of the screen named Daily Expense Breakdown worksheet. If completing the package by hand, print the form and complete in ink. If completing it on the computer, fill in the required information: A. Out-of-Pocket Expenses: Using either meal or hotel receipts, complete the daily expense form by noting actual expenses for meals including tax Revision Date: 1/20/00 Section Ill 22-3 and tip. There is a $34/day maximum reimbursement for meal expenses. If meals are provided by airlines or included in registration additional reimbursement for that meal will not be allowed. B. Lodging Accommodations: Fill in requested information. This may be done prior to travel. A copy of the hotel/motel. bill must be attached to the package. C. Airline Information: Fill in requested information. This may be done prior to travel. A copy of the itinerary and the ticket receipt are to be attached to the package. D. Transportation: If a rental car is used, complete this section. A copy of the receipt must be attached with the package. A copy of this form shall be included in the Travel Expense Package. 4. Click the tab at the bottom of the first worksheet entitled Travel Expense Reimbursement Form worksheet SECTION I -EMPLOYEE AND BUDGET INFORMATION Use the Tab key to move through the document. Fill in: Name Employee Number Today's Date Check whether a Meeting or Training Purpose Duration -From: To: Site/Location Complete the Accounting Information: Budget Div.# is the Division number the travel is charged to (either 520-Training or traveler's Division number. Object# -If travel is for Training, use 51530; if for meeting, use 51430. Attendee Div.# is the traveler's Division number. Subledger # or Capital Project# is for charging to specific projects. Subsidiary # or Phase # is for charging to specific projects. SECTION II -ITEMIZED EXPENDITURES Automobile: Check if using Company Car (mileage will not be reimbursed). Air Fare: Revision Date: 1120100 If using Personal Car, figure mileage using Yahoo! Maps on the Internet. Mileage is reimbursed at current IRS rate. Insert fare from itinerary or ticket receipt. Section Ill 22-4 Transportation: Insert total from Transportation section of Daily Expense Breakdown worksheet, or the total of expenses paid for taxis, shuttles, buses, etc. as evidenced by receipts. If receipts are missing or unavailable, then an Exceptions memo must be prepared and approved by Department head and submitted with the Expense package. Parking Fees: Total of all parking (hotel, event, airport) fees paid, evidenced by receipts. If receipts are missing or unavailable, then an Exceptions memo must be prepared and approved by Department head and submitted with the Expense package. Registration Fees: Place an 'x' before either OCSD Check or Procard to indicate how the registration was paid. Insert the amount in the prepaid section. If registration was paid on site, insert that amount in the "Actual" column, and attach a receipt as proof of expenditure. Meals: Insert total from Out-of-Pocket Expense section of Daily Expense Breakdown form. Incidentals: A $6 per day allowance is provided to cover incidentals. No receipts are required. Multiply the number of days of travel (overnight is 2) by $6 and insert that total. Lodging Fees: From the hotel/motel bill, insert the total charge for the room, including any taxes. Deduct other charges and include in the proper category, i.e. meals, telephone calls, parking, etc. Telephone Calls: A $4.25 per day allowance is provided for a personal call. All business calls and faxes, as evidenced by receipts, are reimbursable. If calls are made from a hotel/motel, the charges will appear on that bill. A 'P' (personal) or 'D' (District business) shall identify each call. If the traveler has a District-paid cellular phone, the $4.25 per day allowance may not be paid. Other Expenses: For expenses that can not be included in any of the above sections, prepare an Exceptions Memo detailing the expense and attach the receipt. Insert the total in the "Actual" box. Emergency Cash Advance: If the traveler has received an Emergency Cash Advance, insert the amount in the "(A) Pre-Paid) column. It will automatically be subtracted from the total amount due. At this point, save the document according to your division computer filing structure, Revision Date: 1 /20/00 Section Ill 22-5 using 'SAVE AS.' Print both worksheets. Staple the receipt sheets behind the forms and obtain signatures. NOTE: TAKE FIVE MINUTES BEFORE SIGNING THE FORMS TO REVIEW THE INFORMATION FOR ACCURACY. If Accounts Payable finds errors in a Travel Expense Reimbursement form, the package will not be processed and will be returned to the traveler's Department Head for review. Preparer's Signature: Whoever completes the form for signature approvals must sign and date it. Signing the form acknowledges that the information submitted is accurate and in accordance with District policy as evidenced by the information provided by the traveling employee. Employee Signature: The person requesting reimbursement shall sign the form before submitting for approval. Signing the form acknowledges that the information submitted is accurate and in accordance with District policy. SECTION Ill-EXPENSE REIMBURSEMENT APPROVAL SECTION Depending on the total of the incurred expenses, signatures are required per the Delegation of Authority Resolution, No. 99-23. After approvals are received, the Reimbursement package is submitted to: A. Training first, if the travel was required to attend a training session, or 8. Accounts Payable if the travel was necessary to attend a meeting or conference. Reimbursement is usually received within two weeks. Revision Date: 1120/00 Section Ill 22-6 SECTION Ill 22.1 ON-SITE TRAINING The Human Resources Employee Development Division handles the coordination of all on-site training except safety and compliance training. Safety and compliance training is coordinated through the Safety and Emergency Response Division. The mission statement of the Human Resources Employee Development Division is as follows: "Through cost effective, well-coordinated training and development activities, the Employee Development Division provides performance improvement support and learning programs to meet individual, departmental and organizational goals. " A. TRAINING CALENDAR A schedule of upcoming training classes is currently accessible through the District's Intranet website. The Training Schedule lists all on-site training scheduled by the Human Resources and Employee Development Division based on training requirements and the approved budget for the fiscal year. This calendar provides managers and supervisors with information to assist in planning and scheduling training for the employees within their division(s) and employees with information regarding training classes for Which they are scheduled. B. ENROLLMENT All District training is scheduled through the employee's Division Supervisor and/or Manager. Contact your Supervisor and/or Manager if you would like to enroll in training. C. CENTRALIZED RECORDKEEPING SYSTEM The Human Resources and Employee Development Division utilizes Training ServerTM, a database management system, to track District training information. Training ServerTM is a training records management system; however, it does much more than simply manage records. It provides a comprehensive link between employees present training records and their future training requirements. It allows training to be scheduled in advance, and detects various conflicts, such as individual schedules, training locations and training times. D. TUITION REIMBURSEMENT PROGRAM This program is designed to encourage self-development of District employees. It provides qualifying employees with tuition reimbursement for job-related educational courses at accredited colleges, universities, or other approved institutions. The program requires that such courses are primarily for the purpose of increasing capabilities in present positions, prepare employees for positions to which the employee could be reasonably expected to advance or update professional and/or technical capabilities that are pertinent and beneficial to the District. E. CERTIFICATION REIMBURSEMENT PROGRAM The purpose of this program is to encourage employees to attain District approved certification that verify levels of competency. To meet this goal, the District will provide qualifying employees with financial reimbursement for the fees associated with acquiring and maintaining District approved technical and professional licenses, certifications and registrations. This policy is also designed to cover the certification/license expenses for employees who participate in voluntary certification Revision Date: 1/20100 Section Ill 22-1 programs either required or preferred by the Districts. F. COMPUTER BASED TRAINING {CBT) Computer·based software training is an interactive training tool that helps you learn a computer application right at your desktop PC. Information is delivered to your screen, questions are posed, and you receive feedback on your responses. You navigate your way through the training process in a graphically enhanced environment, and finish with an exam that measures how much you have retained. This training gives you flexibility, by letting you take each course at your own pace, at your own workstation, and at a time that is best for you. For computer based software training, the Education and Training Division utilizes a system called SkillVantageTM Manager 2.3, a trademark of NETg. G. RESOURCES The Human Resources Employee Development Division has a library of various videos, books. audiotapes, magazines and periodicals that are available to District employees. Employees wishing to check out material should contact the staff of the Human Resources and Employee Development Division for assistance. Revision Date: 1/20/00 Section 111 22-2 @ Orange County Policy Number: 010.00 Sanitation District Effective Date: April 26, 2000 Subject: LEAVE-OF-ABSENCE WITH PAY Supersedes: April 22, 1998 Approved by: 1.0 PURPOSE 1.1 The purpose of this policy is to establish uniform guidelines arid procedures for use in the administration of the District's leave-of-absence with pay program. 2.0 ORGANIZATIONAL UNITS AFFECTED 2.1 All District's employees. 3.0 DEFINITIONS 4.0 POLICY 4.1 Vacation Leave. Except as otherwise provided, regular full-time employees accrue vacation leave, in accordance with the following schedule: Years of Service Hours-Biweekly Hours-Annually In years o through 1 3.08 80 In years 2 through 4 3.08 80 In years 5 through 10 4.62 120 lnyear11 4.93 -128 In year 12 5.24 136 In year 13 5.54 144 In year 14 5.85 152 In year 15 and over 6.16 160 4.1.1 Vacation leave begins to accrue after a new employee has completed six months of continuous service. After the first six months of service, the employee's account will be credited with 40 hours. After that time, the employee will accrue vacation hours consistent with the above chart. Vacation leave may only be utilized in increments of one-half hour or more. Vacation leave is accrued for all paid hours, including hours actually worked and hours in a paid-leave payroll status. A full-time, regular employee will be granted pro rata vacation leave credit during any pay period in which he/she is absent without pay for one (1) full working day. A part-time, regular employee will not be granted vacation leave credit during any period he/she is absent without pay on his/her regular working day. Employees may have a maximum accumulation of 200 hours as of the last day of the final pay period in December of each year. In the event an employee accrues vacation leave in excess of 200 hours, it must be used prior to said December date, all other remaining hours in excess of 200 will be paid to the employee in the first pay period in January at the employee's then current hourly rate of compensation. 4.2 Sick Leave. Sick leave is an insurance or protection provided by the District to be granted to employees in circumstances of adversity to promote the health and welfare of the individual employee. It is not an earned right to take time off from work. Sick leave is defined as the absence from duty of an employee because of a bona fide illness, injury, or pregnancy, or to attend to the illness or injury of a family member as hereinafter defined. Temporary employees are not entitled to sick leave benefits. 4.2.1 Sick-Leave Accrual. Full-time employees hired prior to November 27, 1981, accrue paid sick leave at the rate of three and one-half {3.5) hours for each biweekly pay period of continuous service (ninety-one {91) hours per year). Full-time employees hired on or after November 27, 1981, accrue paid sick leave at the rate of three (3.0) hours for each biweekly pay period of continuous service (seventy-eight [78) hours per year), beginning with the first day of employment. 4.2.2 Sick-Leave Credit. A full-time, regular employee shall be granted pro rata sick-leave credit during any pay period in which he/she is absent without pay. A part-time, regular employee shall not be granted sick-leave credit during any period he/she is absent without pay on his/her regular working day. In the event an employee is required to work part-time by direction of his/her physician, sick-leave credit shall be prorated, except that sick leave shall contihue to accrue if an employee is absent due to an injury arising out of or in the course of his/her employment and is entitled to Workersj Compensation benefits. 4.2.3 Annual Payoff. Employees may elect annually to be paid for any unused sick leave hours accrued through the end of October at their current hourly rate according to the following payoff schedule or as specified in a Memoranda of Understanding. Accrued Sick Leave Hours Rate of Payoff 0-100 0% 101-240 25% 241-560 35% Over 560 (mandatory) 50% 4.2.4 Sick Leave Incentive Plan. The Sick Leave Incentive Plan applies to Executive Management, Management, Supervisory and Professional and the Confidential Groups. The Plan will be administered on an individual Group basis. If the average sick leave usage of employees in a Group is under 40 hours per year, calculated on annualized actual time off during the period from January 1 to December 31 exclusive of catastrophic illness or injury requiring absence in excess of 200 hours or industrial injury leave in excess of 80 hours, the annual payoff for unused sick leave will be as follows: Accrued Sick Leave Hours Rate of Payoff 0-100 10% 101 -240 40% 241 -560 50% Over 560 (mandatory) 60% 4.2.5 Employees who separate for any reason other than retirement or death shall be compensated for any accrued and unused sick leave according to the above schedule. Employees who retire or decease shall be paid at the fifty percent (50%) rate for all accrued and unused sick leave. 4.2.6 Permissible Uses. In accordance with AB 109,; S_sick leave may be applied only to: a. Absense due to illness, injury or prcgrumcy ot an employee. The employee ls physically or mentally unable to perform his or her duties due t9 illness, irJjury, qt a medical condition of the employee. b. The absence is for the purpose of obtaining professional diagnosis or treatment for a medical condition. Absence due to medical and dental office appointments of an employee when approved by the employee's supervisor. c. The absence is for ether medical re~sons of the .ernplpyee, ~!JCh as pre,g_nancy. d. Absence tor the care of the employee's ~n law, mother, mother in law parent. brother, sister, R~ spO!JS!=?, child, step-child, g~11dc1'lild, grandparent, legal guardian, or any family member with whom the employee resides. e. Absence due to a job-related injury. 4.2.7 General Provisions. To qualify for sick-leave pay, the employee must notify the District at or in advance of the time the employee is scheduled to report for duty. Minimum charge to the employee's sick-leave account shall be one-half (.5) hour and thereafter in one-half (.5) hour increments. 4.2.8 Tho Dimstef-ef Human Resources shall be responsible for control of abuse of the sick-leave privilege. If notified in advance by a manager or supervisor, the employee may be required, at any time, to furnish a cectificate issued by a licensed physician or nurse, or other satisfactory evidence of illness; however, for absences of ten (10) consecutive working days or more, a request for leave and a medical statement, on proscribed forms, stating expected date of return must be submitted to Human Resources. Upon return to work, a written doctor's release must be submitted to Human Resources. For absences of one or more working days in an unpaid status, a request for leave and a rnedical statement, on prescribed forms, stating expected date of return must be submitted to Human Resources. 4.2.9 If the need for leave is due to the employee's serious health condition, as defined in the Family and Medical Leave Act ("FMLA") or the California Family Rights Act ("CFRA"), the certification requirement shall comply with provisions of these Acts. 4.3 Personal Leave. Personal leave is provided to allow employees time off with pay for vacation, personal business and non-job-related illness or injury. Personal leave is accrued by full-time employees for all paid hours, including hours actually worked and hours in a paid-leave payroll status, on a biweekly basis as follows: Personal Leave Hours Biweekly Annual Years of Service 0 through 1 2.31 80 .. 2 through 4 5.38 140 5 through 10 6.92 180 11 7.23 188 12 7.54 196 13 7.85 204 14 8.15 212 15 and over 8.46 220 *Only 60 hours may be taken in the first year; the 20 additional hours shall be credited to the accrual balance following successful completion of one year's service. 4.3.1 Scheduled Time Off. Management shall make a reasonable effort, considering the operational needs of the District, to accommodate all employee requests for time off. Scheduled time off should normally be requested at least two weeks in advance to increase the likelihood of those dates being approved. However, in the event unforeseen circumstances prevent such advance notification, employees may request scheduled time off with as little as one day's notice. Employees with at least one year's service must request at least 40 hours off each year. Preference among employees who request time off at least six months in advance shall be based on seniority. Requests received less than six months in advance shall be scheduled in the order received. Personal leave may only be reported in incrernents of one-half- hour or ffi9f0 one-hour increments. 4.3.2 Unscheduled Time Off. Personal leave that is classified as unscheduled time off provides income protection to an employee who is unable to work due the following: a) The employee is physically or mentally unable to perform his or her duties due to illness, injury, or a medical condition of the employee. b) The absence is for the purpose of obtaining professional diagnosis or treatment for a medical condition. Absence due to medical and dental office appointments of an employee when approved by the employee's supervisor. c) The absence is for other medical reasons of the employee, such as pregnancy, d) Absence for the care of the employee's parent, brother, sister, spouse, child, step-child, grandchild, grandparent, legal guardian, or any family mj3mber with whom the employee resides. e) Ab~ence due to a job-related injury. to illness, injury or pregnancy, or who is saring fer an ill or injured member of his/her irRmediate family or for other personal ernergencies. An employee must account for Unscheduled time off must be accounted for by mJ.Ag completion of an Unscheduled Time Off Report form (se&attaeAet!t upon the employee's return to work., mwept that iwo days of Poroonal Lea .. 'e may be charged to Unscheduled Time Off eaeh calendar year without documentation. When an employee has an unscheduled and undooumented absonee.1t:.o Cfflpleyee's supervisor will file an Unset:.eduled TiFRe Off Report form indieating that-the absenee is unseheduled anS--lindoouFnented. Y4=tsoheduled and undoeuFnented absences w111 be eoASkl~etefffiinino t~e employee's tota'I numbeF of unscheduled oocurreRGes. j;or all other days, Employees may be required to submit medical documentation ef. for their injury or illness. It is the responsibility of District's management to control the potential abuse of unscheduled time off privileges. Tardiness t:JOOef le~s thari 15 minutes shall not be deducted from the empfoyee's pay, but numerous occurrences will be addressed through the progressive discipline procedures. Tardiness of one h0ur or more shall be considered an unscheduled occurrence. 4.3.3 An employee's attendance record shall be reviewed with an employee after five separate occurrences of unscheduled time off, inoll:lding the two undoc1:1mented days reforred to in Sestion 4.3.2, to provide an opportunity to asses,s problems that could potentially lead to disciplinary action. The accumulation of the sixth and seventh occurrence within a calendar year shall result in a verbal warning. The eighth occurrence shall result in a written warning. Employees who are charged with ten occurrences ot absence within a twelve-month period shall be subject to termination. Absences of multiple consecutive days rnvolving the same injury or illness shall be considered a single occurrence. The District also has the right to discipline employees on the basis of total absences away from work. Employees must notify their supervisor prior to the start time of their shift when they are unable to report for work. Employees returning from an extended leave should notify their supervisor as soon as possible to facilitate personnel scheduling. 4.3.4 The DireGtef.-ef Human Resources shall be responsible for control of abuse of the unscheduled leave privilege. The employee may be required, at any timH, to furnish a certificate issued by a licensed physician or nurse, or other satisfactory evidence of illness; however, for unscheduled absences of ten (10) consecutive working days or more, a request for leave and a medical statement, on prescribed forms, stating expected date of return must be submitted to Human Resources. Upon return to work, a written doctor's release must be submitted to Human Resources. For absences of one or more working days in an unpaid status, a request for leave and a medical statement on prescribed forms, stating expected date of return must be submitted to Human Resources. 4.3.5 Personal Leave and Workers' Compensation Leave. Employees who are injured in the course of their employment are placed on Workers' Compensation Leave, and receive wage loss benefits to which they are entitled under the Workers' Compensation Act. Employees may request to receive prorated Personal Leave pay to supplement their Workers' Compensation payments in an amount such that the sum of both is equal to the employee's regular base pay. 4.3.6 Personal Leave Payoff. Employees (or their estate} who separate, retire or die shall be paid in full at their current rate of pay for all Personal Leave hours accrued. 4.3.7 Maximum Accrual. Employees may only accrue up to 400 hours of Personal Leave as of the last day of the final pay period in December of each year. Employees may request to be paid in full for up to 40 such hours in excess of the 400 limit; any remaining time shall be scheduled off by the District. 4.3.8 Sick Leave Bank. Employees who elect to bank sick leave accrued prior to the implementation of Personal Leave provisions may elect to use such time off for absence due to illness or injury once 40 continuous hours of Personal Leave have been used. Employees who retire or die shall be paid at the 50 percent rate for all Banked Sick Leave hours; an employee who separates shall be compensated for Banked Sick Leave as follows. Banked Sick Leave Hours Rate of Payoff 0 -100 o percent 101 -240 25 percent 241 -560 35 percent - Over 560 50 percent 4.3.9 If the need for leave is due to the employee's serious health condition, as defined in the Family and Medical Leave Act ("FMLA'') or the California Family Rights Act \'CFRA"), the certification requirement shall comply with the provisions of these Acts. 4.4 Jury Duty Leave. Any full-time, including probationary, employee who is called for jury duty shall, upon request on prescribed forms approved by the Director of Human Resources, be entitled to his/her regular pay for those hours of absence due to performance of the jury duty for a period up to twenty-two (22) working days, provided that his/her fees for such service. exclusive of mileage, are submitted to the District for deposit in the General Fund of the District. 4.4.1 Prior to jury duty service, each employee must complete the District's Leave-of· Absence Form and tum it in to Human Resources with a copy of the summons. To be entitled to receive regular pay for such jury leave, tRe Employees must report for work during their regularly scheduled work shift when they are relieved from jury duty service, unless there is less than one-half (1h) of their regular shift remaining aHRe Distrfots for time not aclually retained on jury service of one (1) hour or rnore prior to andlor upon completion of eaGh day's service, mcclusi¥o of travet-time. Employees are not compensated for jury duty occurring on scheduled days off. 4.4.2 An employee serving jury duty must obtain an attendance slip from the court to be submitted to Payroll with his/her time sheet in order to be eligible for regular pay for those hours of absence due to jury duty. '1.5 Witness Leave. Any full-time, including probationary, employee, who is required to be absent from work by a subpoena properly issued by a court, agency or commission legally empowered to subpoena witnesses, w hich subpoena compels his/her presence as a witness, except in a matter wherein he/she is named as a defendant or plaintiff or as an expert witness, shall , upon request on Leave-of-Absence Forms approved by the Director ef Human Resources, be entitled to the time necessary to comply with such subpoena, provided any fees received for such service, exclusive of mileage, are submitted to the District for deposit in the General Fund of the District. 4.5.1 An employee so subpoenaed must submit a copy of the subpoena with his/her time sheet in order to be eligible for pay for such absence. To be entitled to receive regular pay for such witness leave, the employee must report for work at the District for time not actually retained on witness service of one (1) hour or more prior to and/or upon completion of each day's service; exclusive of travel time. 4.6 Mititarv Leave. A request for military leave shall be made upon Leave-of-Absence Forms approved by the Oirector ef Human Resource and shall state the date when it is desired to begin the leave-of -absence and the date of anticipated return. A copy of the orders requiring such military service shall be submitted with the request. 4.6.1 Provisions of the Military and Veterans Code of the State of California, Sections 395- 395.5 shall govern military leave. In general, current law provides that an employee having one year or more service with a public entity is entitled to military leave. with pay not exceeding thirty (30) days per year if the employee is engaged in military duty ordered for purposes of active military training or encampment. An employee who is required to attend scheduled service drill periods or perform other inactive duty reserve obligations is entitled to military leave without pay, not exceeding seventeen (17) calendar days per year, although the employee may, at his or her option, elect to use vacation or personal leave time to attend the scheduled reserve drill periods or to perform other inactive drill period obligations. Employees who participate in weekend military drill duty are not eligible for leave with pay for such activity, but may have their regular work schedule changed to accommodate the required time off. 4.7 Bereavement Leave. Using the prescribed forms, approved by the-QirectoF of Human Resources, any full-time employee, whether probationary or regular, shall receive a maximum of three (3) days off with pay for the death or funeral of an immediate family member. Immediate family member is defined as the employee's father, father-in-law, mother, mother-in-law, brother, sister, husband, wife, child, step-child, st~p parent, grandchild, grandparent, legal guardiar:i, o_r. any family member with whom the e.!Tiployee resides or ic,ientified Jn the employee's merriorandum of understanding (MOU), if ~pplic~ble. 5.0 PROCEDURE 6.0 EXCEPTIONS Section 4.1, Vacation, including Subsections 4.11 and 4.12, of this policy does not apply to employees covered under the provisions of Personal Leave in the Operations and Maintenance (including General Services Administration employees) Memorandum of Understanding. Section 4.2, Sick Leave, including Subsections 4.21 through 4.28, of this policy does not apply to employees covered under the provisions of Personal Leave in the Operations and Maintenance (including General Services Administration employees) Memorandum of Understanding. Section 4.3, Personal Leave, including Subsections 4.31 through 4.39, of this policy applies only to those employees covered under the provisions of Personal Leave in the Operations and Maintenance (including General Services Administration employees) Memorandum of Understanding. Vacation leave is not accrued for overtime hours worked. Accrued balances of vacation leave, compensatory leave, and personal leave may be cashed out at the employee's request on an annual basis in December of each calendar year. 7.0 PROVISIONS AND CONDITIONS 7 .1 Employees may have a maximum accumulation of 200 hours of vacation as of the last day of the final pay period in December of each year. 7.2 In the event an employee accrues vacation leave in excess of 200 hours, it must be used prior to the December date, all other remaining hours in excess of 200 will be paid to the employee in the first pay period in January at the employee's then current hourly rate of compensation. 7 .3 Employees are not eligible to schedule vacation leave until the completion of six months continuous service. 7.4 Employees may not maintain a negative balance on vacation, sick, compensatory, or personal leave accruals. 8.0 RELATED DOCUMENTS 8.1 Operations and Maintenance MOU 8.2 Administrative and Clerical MOU 8.3 Engineering MOU 8.4 Technical Services MOU 8.5 Supervisory and Professional MOU 8.6 Personal Leave Unscheduled Time Off Report Form @ Orange County Policy Number: D20.00 Sanitation District Effective Date: April 26, 2000 Subject: LEAVE-OF-ABSENCE Supersedes: October 22, 1997 WITHOUT PAY Approved by: 1.0 PURPOSE 1.1 The purpose of this policy is to establish uniform guidelines and procedures for use in the administration of the District's leave-of-absence without pay program. 2.0 ORGANIZATIONAL UNITS AFFECTED 2.1 All District's employees. 3.0 DEFINITIONS 4.0 POLICY 4 .1 It is the policy of the District to grant employees ex1ended leave-of-absences under certain circumstances. Except as stated below, employees shall not receive compensation during an extended leave-of-absence. 4.1.1 Family and Medical Leave Act and California Family Rights Act Leave. Using the prescribed forms, approved by #le Direotor of Human Resources, any full-time, including probationary, or part-time employee with at least fifty-two (52) weeks of service and at least one thousand two hundred fifty (1,250) hours of service, may be granted an FMLA or CFRA leave-of-absence without pay, not to exceed twelve (12) weeks in a twelve (12) month calendar period. A request for leave-of-absence without pay must be made upon prescribed forms In all instances where an employee is absent without pay for more than five (5) consecutive working days, or for absences of ten (10) consecutive working days or more when using paid sick leave accruals. 4.1.2 Substitution of Paid Leave. Employees who request FMLA or CFRA leave for qualifying purposes other than the employee's own "serious health condition" shall be required to use all vacation and other leave accruals, except sick leave accruals, before unpaid leave is granted. Vacation, personal leave and sick leave credit shall not accrue during any pay period that an employee is absent without pay for more than one day. 4.1.3 Sick Leave -Pennissible Uses. Accrued sick leave may be used for the care of the employee's ~r, father ln law, mother, mother iA-law parent, brother, sister, husband, w#e ~pouse, child, step-child, grandchild, grandparent, legal guardian, or any family member with whom the employee resides, in addition to leave for the employee's own serious health condition, sucn as: Page 1 .a) The employee is physically or mentally unable to perform his or her. duties due to illness, injury, or .a medical cpndition of the employee; b) The absence is for the. purpose of pbtaining _professional dja~n.o.§is or tregitment for a medical condition.: c) The absence is for other m~dic;:~I reasoris 9f th~ employee, SUQh as pregnancy; 4.2 Permissible Uses. The following are FMLA and CFRA leave permissible uses: 4.2.1 FMLA Leave. Unpaid FMLA leave may be used for 1} child care fotlowlng the birth or placement of a child, 2) the care of a father, father •n law, mether, mother in law parent, brother, sister, ~usband, wife, spouse, child, step-child, grandchild, grandparent, legal guardian, or any family member with whom the employee resides who has a "serious health condition,'' as defined in the Act or 3} for the employee's own "serious health condition" that renders the employee unable to perform the essential functions of his or her position, including incapacity due to pregnancy. 4.2.2 CFRA Leave. Unpaid CFRA leave may be used tor the same purposes as FMLA Leave, and shall run concurrently except that an employee's incapacity due to pregnancy is not eligible for CFRA leave. However, such incapacity may entitle an employee to up to four (4) months of pregnancy disability leave, with medical approval, plus another twelve (12) weeks of FMLA leave, to care for the child, in a twelve (12) month period. 4.3 General Provisions. The following general provisions shall apply: 4.3.1 Requests for FMLA and CFRA Leave. Where the need for leave is foreseeable, the District requests thirty (30) days advance notice. 4.3.2 Medical Certification. As a condition of FMLA or CFRA leave because of a "serious health condition," the District may require certification by a health care provider. 4.3.3 Medical and Dental Premiums. During FMLA and CFRA leave, the District shall pay for medical and dental benefits at the same level as coverage would have been provided if the employee was not on leave. The employee shall be required to pay his or her share of medical and dental premiums. 4.3.4 Reinstatement. Upon expiration of FMLA or CFRA leave, the employee shall be reinstated to the same or a comparable position unless the employee would not otherwise have been entitled to that position for reasons unrelated to such leave (e.g., lay-offs), in which case the District's obligation to continue health and dental or other benefits shall cease. 4.3.5 Failure to Return to Work. If, upon the expiration of FMLA or CFRA Leave, or any District-approved extension thereof, an employee fails to return to work, the employee shall be considered to have automatically Page2 resigned from his/her position. The District shall review vacancies to determine whether or not a vacant position exists that the employee is qualified to perform with or without reasonable accommodation. If the employee is still unable to perform the essential duties of his/her position, the employee shall be considered to have automatically resigned from his/her position, unless eligible for disability retirement. 4.3.6 Bridge of Service. If an employee automatically resigns from his/her position as a result of a "bona-fide" injury or illness, and then is rehired to a position within the District within one year, the District shall bridge the employees' service date. "Bridging of service" means adding the total number of days away from work to the employees' original date of hire. 4.4 Married Employees. Employees of the District who are marri~d to each other shall be limited to a combine,d total of twelve (12) weeks FMLA or CFRA Leave in a twelve (12) month calendar period if t~e leave is tak.en: for the care of a parent 01'-Rewly-born or plaoed shild. (1) for birth of the employee's son or daughter or.to_ care for·1he chil~ after birth; {2) for placement of a son or daughter with the employee for a~optjon or foster; care, or to care tor the child after placement; or (3) to o~re for the employ~e's parept with a serious healtb condition~ Where the husband arid wife both use a portion of the total 12-week FMLA leave entitlement for one of the above purposes, the husband and wife would each be entitled to the difference between the amount he or she has taken individually and 12 weeks for FMLA l~?Ve for a P~.rpose s4ch ~s his or her own §erious health condition. 4.5 ~effil::I Limit on YftaajE! Leaves-of-Absence. In no e¥ent shall a eombination ef Authorized leave-of-absences, whether paid or unpaid, shall not exceed six (6) months in a twenty-four (24) month period, unless required by the FMLA, CFRA or other law. 4.6 General Leave. Subject to Section 4.5, "Sf>c MontR Limit on Unpaid Leaves of Absence," employees may be granted a general leave-of-absence to attend to personal matters, or for FMLA or CFRA qualifying events, after the expirations of previously authorized leave, if tRe-9irector of Human Resources determines that an extended period of time away from the job shall be in the best interests of the employee and the District. 4.6.1 During a general leave-of-absence, the employee shall be required to pay both the District's and the employee's share of medical and dental premiums. 4.7 Return to Work Policy for Non-Work-Related Leave. An employee who has been absent from work due to a medical, non-work-related reason shall be subject to a Return-to-Work medical evaluation. 4. 7.1 If it is determined that the job demands of the position last held by the employee are not compatible with the employee's restrictions (with reasonable accommodation if the employee is disabled within the meaning of the ADA) and the employee is willing to return to work, placement in an alternative position, if available, shall be considered. The employee shall be re-classified as "medically disqualified" white alternative positions are being considered. Such time off shall be without Page3 pay; however, the employee may elect to use accrued leave hours, such as vacation, sick or personal, to receive compensation. Placement of an employee in an alternative position requires a pre-placement medical evaluation for the alternative job. 4.7.2 If it is determined !hat the job demands of the position last held by the employee are not compatible with the employee's restrictions (and cannot be reasonably accommodated if the employee is disabled within the meaning of American with Disabilities Act) and there is not an alternative position, or the employee's restrictions are not compatible with an alternative position, or the employee is not willing to return to work, the employee shall be re-classified as "medically disqualified" and not permitted to work. Thereafter, the employee shall be retired for disability, if eligible, or dismissed. Such dismissal shall not constitute disciplinary action for cause. If requested, the employee's file will indicate the employee left for personal reasons. 4.8 Compliance with Law. These Leave-of-Absence provisions shall be interpreted and applied in a manner that is consistent with the provisions of FMLA. CFAA, ADA and all other laws. In the event there is a direct conflict between these provisions, as written or applied, the provisions of law shall govern. 5.0 PROCEDURE 6.0 EXCEPTIONS 7.0 PROVISIONS AND CONDITIONS 8.0 RELATED DOCUMENTS 8.1 Operations and Maintenance MOU 8.2 Administrative and Clerical MOU 8.3 Engineering MOU 8.4 Technical Services MOU 8.5 Supervisory and Professional MOU Page4 ~ Orange County Policy Number: D30.00 Sanitation District Effective Date: April 26, 2000 Subject: HOLIDAYS Supersedes: May 13, 1998 Approved by: 1.0 PURPOSE 1.1 The purpose of this policy is to establish uniform guidelines and procedures for holidays. 2.0 ORGANIZATIONAL UNITS AFFECTED 2.1 This policy applies to all current employees regardless of their organizational unit. 3.0 DEFINITIONS 4.0 POLICY 4.1 It is the District's policy to grant employees 12 paid holidays per year in accordance with this policy. 5.0 PROCEDURE 5.1 Full-time employees shall receive holiday pay if their entire scheduled work shift immediately preceding and following the holiday is in a paid payroll status. When an employee's work schedule requires that they work on an observed holiday, the employee shall be paid at the employee's regular rate of pay for the holiday or receive an equivalent amount of holiday compensatory time off, and shalt also receive overtime pay at the rate of one-and-one-half times their regular hourly rate for all hours actually worked. 5.2 Holiday pay for part-time employees is based on a nine (9) ~our workday. It is paid 9n 1h~ follqwing .pror!'lted ~asis: NORr-'.~LY ~CHEDULEO Hc;>URS OF WORK'. PERCENT BENEF1T/SliBSIDY PERWEEl< 0-under 19 None 20-under 29 50% -( 4.5) hours 30-39 75% -(6.75) hours 5.3 When a holiday occurs on an employee's regularly scheduled day off, the employee will accrue compensatory time off tor those hours. In no case may an employee accumulate more than 50 hours holiday compensatory time off. 5.4 The days listed below are observed by the District as holidays for 2000, 2001 and 2002. SCHEDULE A HOLIDAY 2000 2001 2002 New Year's Day Friday, December 31 Monday, January 1 Tuesday, Janµary 1' Lincoln's Birthday Friday, February 11 Monday, February 12 Tuesday, February 12 President's Day Monday, February 21 Monday, February 19 Monday, February 18 Memorial Day Monday, May 29 Monday, May 28 Monday, May Z1 Independence Day TUesday, July 4 Wednesd11y, July" Thursday, July 4 Labor Day Monday, September 4 Monday, September3 Monday. Septernber 2 Veteran's Day Friday, November 10 Monday, November 12 Monday, November 1"t Thanksgiving Day Thursday, November 23 Thursday, November 2~ Thursday, November 28 Day after Thanksgiving Frl~ay, Novem\)er24 Friday, November 30 frlday, November 29 Day before Christmas Monday, December 25 Monday. Decemtier 24 Tuesday,December24 Christmas Day Tuesday, December 26 Tuesday, December25 Wednescjay , December 2S Floating Holiday ... •* ... SCHEDULE B HOLIDAY 2000 2001 2002 New Year's Day Saturday, January 1 Monday, January 1 Tuesday, January 1 Lincoln's Birthday Saturday, February 12 Monday, February 12 Tuesday, February 12 President's Day Monday, February 21 Monday, February 1!! Monday, February 18 Memorial Day Monday, May 29 Monday, May 28 Monday, May 27 Independence Day Tuesday, July 4 Wednesday, July 4 Thursday, July 4 Labor Day Monday, September 4 Monday, September 3 Monday, September 2 Veteran's Day Saturday, November 11 Sunday, November 11 Monday, NoV11mber 11 Thanksgiving Day Thursday, November 23 Thursday, November 29 Thursday, November 28 Day after Thanksgiving Friday, November 24 Friday, November 30 Friday, November 29_ Day before Christmas Sunday, December 24 Monday, Decen:iber 24 Tuesday, December 24 Christmas Day Monday, pacembar 25 Tuesday, December 2.5 Wednesday , December is Floating Holiday ... ... •• Employees may elect one day during each year as a ''Floating Holiday". The 11Floating Holiday'' must be used within the year it is accrued. Every effort shall be made to grant an employee's request for a "Floating Holiday" off providing an employee gives sufficient notice to their supervisor. 6.0 EXCEPTIONS 6.1 When an employee is on medical or'pregnancy ieave, holidays will be paid only during disability waiting period if employee is iA a continuous paid status. All other holieiays that occur outside tl'!e '>{a_iting peiied will not be p,ajd, reg~rdless it employ~~ is in p.aid status or J:l!:>!. 7.0 PROVISIONS AND CONDITIONS 7.1 If a regularly scheduled holiday occurs on a Saturday, the previous Friday shall be taken off as the "holiday" for pay purposes. If a regularly scheduled holiday occurs on a Sunday, then the following Monday shall be taken off as the "holiday" for pay purposes. 8.0 RELATED DOCUMENTS ~ Orange County Policy Number: 040.00 Sanitation District Effective Date: April 26, 2000 Subject: CONFERRAL/DONATION Supersedes: October 22, 1997 OF LEAVE Approved by: 1.0 PURPOSE 1.1 The purpose of this policy is to establish uniform guidelines and procedures for use in the administration of the Districts! conferral of leave program. 2.0 ORGANIZATIONAL UNITS AFFECTED 2.1 All Districts!-employees. 3.0 DEFINITIONS 4.0 POLICY 4.1 Employees may on occasion face catastrophic medical conditions involving either themselves or their immediate family that result in their exhausting all of their accrued sick, vacation, personal or other paid leave. Such employees may request, or be nominated for, conferral of certain forms of paid leave by other employees. 4.2 Employees may, on a one time Cj!S~-by-c~s!:l basis and in accordance with the provisions of the Districts's policy regarding Conferral of Paid Leave, elect to donate accrued and unused Personal Leave, Vacation Leave or Compensatory Time Off to an individual employee who has depleted his or her own paid leave as a direct result of a catastrophic medical condition. 4.3 All donations shall be volunteered on a form provided by the Director of Human Resources. Employees may donate vacation, compensatory or personal leave time to the eligible employee. 5.0 PROCEDURE 5.1 Upon receipt of a request or nomination for donation of paid leave, the Director of Human Resources shall request approval by the General Manager to implement the provisions of the Conferral of Leave Policy. 5.2 Upon such approval, all employees shall be notified of the program. Page 1 5.3 The vacation, compensatory or personal leave time donated to an employee shall be converted to a dollar value based on the hourly rate of the donor. 5.4 Those dollars shall then be converted into sick leave at the hourly rate of the recipient of the donation, and added to their account. 6.0 EXCEPTIONS 6.1 Employees who have not exhausted their paid leave -vacation, sick, personal and compensatory time off -are not eligible to participate in the Conferral of Leave Program. 6.2 6.3 Sick leave may not be donated by one employee to another. 7.0 PROVISIONS AND CONDITIONS 7.1 To be eligible to participate in the Donation of Leave Program, employees must have exhausted all of their paid leave, including vacation, sick, personal and compensatory time off. 7 .2 Employees may be requested to provide medical documentation of a catastrophic health condition involving their child, parent or spouse, or involving the employee's own catastrophic health condition. 7.3 All such time must be conferred on a form provided by the Director of Human Resources. 7.4 Donations must be made in whole hour increments, and are irrevocable. 7.4.1 Any such hours that remain at the conclusion of the leave period shall remain available for the use of the recipient and shall be treated as regularly accrued sick leave. 8.0 RELATED DOCUMENTS 8.1 Donation of Leave Donation Form. Page2 @) Orange County Policy Number: 060.00 Sanitation District Effective Date: April 26, 2000 ~ Subject: BENEFITS OPTION PLAN Supersedes: October 27, 1999 (BOP) Approved by: 1.0 PURPOSE 1.1 The purpose of this policy is to establish uniform guidelines and procedures for administering the Benefits Option Plans (BOP). 2.0 ORGANIZATIONAL UNITS AFFECTED 2.1 This policy applies to employees in the Professional, Supervisory, Management and Executive Management Groups. 3.0 DEFINITIONS The Benefits Option Plan is a provision in the District's policies that provides employees in the Professional, Supervisory, Management and Executive Management groups with supplemental income that can be used for a variety of purposes as specified herein. k The, reimbursement piiiod is ctefined as the SIX; lllQnths prior to ttie ifufQ..{h~m wfiict,i ttie BOP 1S to be paid cul 4.0 POLICY 4.1 It is the District's policy to allow employees in the Professional, Supervisory, Management and Executive Management groups to participate in the BOP in accordance with this policy. 5.0 PROCEDURE 5.1 Employees in the Professional, Supervisory, Management and Executive Management group who have successfully completed their probationary period are entitled to participate in the BOP. Employees f!!Ust be 2ff probation ~in Che re~~m!n!~~ tO be ajjmble [Or Jl.Qf. Under the provisions of the BOP, Professional employees will receive $1 ,000 annually, and Supervisors, Management and Executive Management employees will receive $1250 annually to offset the cost of professional licenses, memberships, subscriptions, tuition reimbursement and medical expenses. The Benefits Option Plan will be distributed semi-annually in January and July of each year. 6.0 EXCEPTIONS 6.1 Employees who are within their initial six-month probationary period are not eligible for BOP. 7.0 PROVISIONS AND CONDITIONS 8.0 RELATED DOCUMENTS @ Orange County Policy Number: D100.00 Sanitation District Effective Date: April 26, 2000 - Subject: :+ECMNl~~L. AtalQ Supersedes: November 17 ~ 1999 ~ROJiliS SIOtal.6.L l.u:;:&NSEit REi'91S:+~,:+ION ANO CERTIFICATION REIMBURSEMENT PROGRAM Approved by: 1.0 PURPOSE 1.1 The purpose of this program is to encourage employees to broaden and further develop their job skills. To meet this goal, the District will provide qualifying employees with financial reimbursement for the fees associated with acquiring and maintaining District-approved city, county, state and federal technical and professional licenses, certifications and registrations. This policy is also designed to cover the certification/license expenses for employees who participate in voluntary certification programs either required or preferred by the District for the purpose of: 1.1. 1 Increasing capabilities in their present positions within the District. 1.1.2 Updating professional and/or technical capabilities that are pertinent and beneficial to the District. 2.0 ORGANIZATIONAL UNITS AFFECTED 2.1 This policy applies to all District' regular, full-time employees. 3.0 DEFINITIONS 3.1 Qualifying Employees: regular, full-time employees who have completed their initial probationary period. 3.2 Regular Full-time Employees: employees who regularly work an 80-hour, biweekly, full benefit pay period. 3.3 Certification Reimbursement: a program of eligible expense reimbursement for qualifying employees who acquire and maintain District-approved city, county, state and federal technical and professional licenses, certifications and registrations on their own time. 4.0 POLICY 4.1 The District will reimburse employees who successfully complete approved required or preferred licenses, certification and/or registration requirements in Page I of3 compliance With section 1.0 PURPOSE, that are in an effort to increase technical proficiency or promote cross-training for other positions approved by the General Manager. 5.0 REQUIREMENTS 5.1 Employees who need training to prepare for a license, certification, registration or examination, required as a condition of employment, is considered job-essential and will normally be covered through regular training procedures. 5.2 Employees who pursue training to prepare for license, certification or registration solely for the purpose of advancement or access to promotional opportunities can be reimbursed under the Tuition Assistance Program as part of career development. 5.3 Organization and Association Membership Fees are not eligible for reimbursement. 6.0 PROCEDURE 6.1 Pre-Approval Proc-ess 6.1.1 Prior to applying for an original License, Registration or Certification, the Human Resources and Employee Development Division must receive a LICENSE, REGISTRATION or CERTIFICATION REIMBURSEMENT PRE-APPROVAL APPLICATION form from the employee, with sections 1, 2 and 3 (manager's review and pre-approval) completed. 6.1.1.1 For a renewal or upgrade of a license, registration or certification, omit Section 6.1.1 of the Pre Approval Process and proceed to Section 6.2.1 of the Reimbursement Process. 6.1.2 The Human Resources and Employee Development Division Manager will review the application for approval. 6.1.2.1 Upon approval, the application will be signed and a copy will be forwarded back to the employee with a LICENSE, REGISTRATION or CERTIFICATION REIMBURSEMENT APPLICATION form. 6.1.2.2. Upon non-approval, the application will be forwarded back to the employee with a status form indicating the reason(s) for non-approval. 6.1.2.2.1 Non-approved applications that are incomplete must be corrected and returned to the Human Resources and Employee Development Division by the date indicated on the status form. Page2 of3 6.2 Reimbursement Process 6.2.1 Within 60 calendar days of obtaining License, registration or certification, the employee will submit the LICENSE, REGISTRATION or CERTIFICATION REIMBURSEMENT APPLICATION form, with Section 1 completed, to the Human Resources and Employee Development Division with the following documents attached: 6.2.1.1 6.2.1.2 6.2.1.3 6.2.1.4 Proof of payment, such as: copy of both sides of cancelled checks or copy of monthly credit card statement (black-out non applicable transactions) NOTE: a photocopy of the front side of a personal check does not qualify as valid proof. Printout of fees paid from issuing body Proof of license, registration or certification i.e. photocopy of certificate, card or license Official transcript or photocopy of final grade (for original certification, licensure or registration) 6.2.2 The Human Resources and Employee Development Division Manager will review the LICENSE, REGISTRATION or CERTIFICATION REIMBURSEMENT APPLICATION form for approval. 6.2.2.1 6.2.2.2 7.0 EXCEPTIONS Upon approval, the Human Resources and Employee Development Division Manager will sign the application and forward it to the Accounting Division and a copy indicating their reimbursement status will be sent to the employee. Upon non-approval, a copy of the application will be forwarded back to the employee with a status form indicating the reason(s) for non-approval. 7 .1 Because they are provided compensation under the District's Benefits Option Plan to pay for their certifications, licenses or registrations, employees in the Professional, Supervisory, Management and Executive Management Groups are ineligible for participation in this program. 8.0 PROVISIONS AND CONDITIONS 8.1 Reimbursement will be at the discretion of the District provided the employee meets the criteria specified in this policy. Page 3 of3 @) Orange County Policy Number: E60.00 Sanitation District Effective Date: April 26, 2000 Subject: INTERNET USAGE Supersedes: October 22, 1997 Approved by: 1.0 BACKGROUND 1.1 To .~stablish 4niform guigelines for lnt.13roet u~ag~; 1.2 The District makes every effort to provide its employees with technology-based resources in order to conduct official business more effectively. In this regard, the District has installed personal computers, local area networks (LANs), electronic mail (e-mail) and access to the Internet. 2.0 SCOPE 2.1 This policy statement applies to all District employees, eontractors and consultants. Additionally, all personnel 'who perform any services·for the·Distnct and Who n~ve acce~s tp, the Internet, regardless of their employment status, are covered_bytffi~ poJicy. 3.0 DEFINITIONS Attachment: An application specific file, such as a Word or Excel document that is transported with an e-mail message. The recipient must have suitable software for viewing the attachment. E-mail: A message, possibly with attachments, composed on a computer and received by a computer. A network, potentially including the Internet, is the transmission medium. Internet: A worldwide network of computers, adhering to universal standards that are capable of exchanging data with each other. 4.0 POLICY 4.1 .Qepartment Heads must authorize Internet use. Connection is initiated by filling out aA 4Aternet Connection Request form and submitting it to Information Technology. Each employee will be responsible for the security of his,lher account password and held responsible for the use or misuse of the aceount. 4.2 /\II data createG-en all District rosouroes, inoruding printed material and email, are owned by !Re District. MaRagoment reserves the right to monitor ane access all e mail files created, stored or recei'led on all District systems, at any time, with no prior aotice. There is NO expectation of personal pri•.iacy in the 1::1se of the Internet and email. 4.3 The District is not responsible for items originating in the Internet. 4.4 The Qistrict reseFYes the Fight to restrict aecess to poFtions of the Internet. 4.5 Relevant, existing District policies apply to Internet usage. In particular: 4.0.1 Internet resources shall not be used to obtain or disseminate any sexually --914ented material. 4.6.2 The use of the Internet to send threatening, slaneereus, racially andlor sexually harassing messages is prohibited. Page 1 of3 4.6.3 Th& use of any District resource for personal gain is prohibited. 4 .6.4 Copyrighted software shall not be downloaded unless it is a "demo" paskage prm>'ided by the vendor. 4.6.5 l\U do·,.mloaded data and soft\'tare must be soaAned for '+'iruses. 4.5.6 Unencrypted, oontidential doouments must never be sent via e mail. 4.5 When using email, remember that eaoh employee ~e13resents the District Do notspeaj( tor the Oistriot unless you are authorized to do -so. 4,1 Access to the Internet is designed to facilitate communication among users and other business associates for information, messages, or memoranda. Access to this resource is provided to facilitate communication With other govemm~ntentities, cqi:npanJes, and individuals for the benefit of the District. · 4.2 Internet access is intended primarily for Distript business. The system-is notto be.used.tor personal gain or to support or advocate non-Dis1rict-refated business or purposes. All data and other electronic messages within this system are the property of the DfStrict. Since computer systems are not completely secure, the Internet is not intended to transmit sensitive material. Public ageney transmittals are found to ~e public recqrd i:ind m~y pe Sllbj~ct !O th~ righMo-lmow laws, depending µppn their content. 4.3 The District's Information Technology Department purchases. ewns, and admif'.listets the necessary software and licenses to provide access to Internet services. Usets may be held responsible for any damages caused by unauthorized softw~re or vi~s they tntroduce into the system. 4.4 Management reserves the right to monitor and access all Internet flies created, st0red ~or received on all District systems. at any tlme, with no prior notice. There is NG expectation of personal privacy in the use of the Internet. The District may review the contents of all transmitted communications over its systems at ~ny time. 4.5 The District is not responsible for items originating from t.he Internet. 4.6 The District reserves the right to restrict employee ac.cess to the Internet or to certai" Internet content. 4.7 Prohibited Uses 4.7.1 Internet resources shall not be used to obtain or disseminate any $~X~all~ oriented material, images or mess~g~s. 4.7.2 The use of the Internet to send threatening, slanQerQ!JS, @yially an~or se~ually harassing messages is prohibited. 4.7.3 The use of Internet resources for personal gain, solicitation of commercial ventures, religious or political causes, or other non-job~related solicitatipns is prohibited. 4.7.4 Copyrighted software shall not be downloaded unless it is a "dem9~ package provided by the vendor and must be scanned for viruses. 4.7.5 Unencrypted, confidential documents must n~ver be sent via the Internet 4.7.6 Any other use that may compromise the integrity of the District and its busjness in any way Is strictly prohibited. Page 2 uf3 4.7.7 When using the Internet, remember that each employee represfOts th~Dlstrict!~ Do not speak for the District unless you are authorized to do so: 5.0 PROCEDURES 5.1 lnt~m~t Messages The Internet provides the District with significant access and dissemination of informatjon to individuals outside of the District. Like all e-mail messages, Internet messages are c&pable of being forwarded without the express permission of tne origina.1 auttior. Users must use caution in the transmission and disseminatio('I of mes~~ges outside of the District, and must comply with ~II state and federal laws~ 5.2 Signature Block All correspondence using the Internet system should include a signature blook at the end q_f all transmitted messages. This usually consists of the sender.ls name, title1 and comj:>any name, direct telephone number, fax number, and e-mail ~q~r~s. 6.0 ENFORCEMl:NT 6.1 A violation of standards, procedures or guidelines established pursuant to this policy shall be presented to the District's Management for appropriate action and may result in disciplinary action including termination. If, based on the District's audit and review of an employee's Internet usage, the District has reason to believe that an employee's use of the Internet violates the law in any manner, the District may refer to matter to the proper authorities for prosecution. 7.0 EXCEPTIONS 8.0 PROVISIONS AND CONDITIONS 8.1 This policy will be reviewed b'f eaoh emplo>yee and his/her immediate supef\lisor pFior to the fi~st use of any lnten~et FClated resoume. 9.0 RELATED DOCUMENTS 9.1 E-mail Usage Policy E70.00 Page 3 of3 ~ Orange County Policy Number: E70.00 Sanitation District Effective Date: April 26, 2000 Subject: E-mail Usage Supersedes: Approved by: 1.0 PURPOSE 1.1 To establish uniform guidelines for electronic mail usage. 1.2 This administrative regulation sets forth the District's policy with regard to access to and disclosure of electronic mail messages sent or received by District employees with the use of the District's electronic mail system. It also sets for the policies and procedures on the proper use of the electronic mail system provided by the District. 2.0 ORGANIZATIONAL UNITS AFFECTED 2.1 This policy applies to all District employees. Additionally, all personnel who perform any services for the District and who have access to the network, regardless of their employment status, are covered by this policy. 3.0 DEFINITIONS Attachment: An application specific file, such as a Word or Excel document, which is transported with an e-mail message. The recipient must have suitable software for viewing 1he attachment. E-mail: A message, possibly with attachments, composed on a computer and received by a computer. A network, potentially including the Internet, is the transmission medium. Internet: A worldwide network of computers, adhering to universal standards that are capable of exchanging data with each other. 4.0 POLICY 4.1 The District's electronic mail system (e-mail) is designed to facilitate communication among users and other business associates for messages or memoranda. Access to these resources is provided to facilitate communication with each other, other government entities, companies, and individuals for the benefit of the District. 4.2 The e-mail system is District property and intended for District business. The system is not to be used for personal gain or to support or advocate non-District-related business or purposes. All data and other electronic messages within this system are the property of the District. Since computer systems are not completely secure, the e-mail system is not intended to transmit sensitive material. 4.3 Employee's should be aware that all records, whether on paper or computerized, are subject to the mandatory public disclosure requirements of the Public Records Act, subject to the exceptions provided under the Act. 4.4 The District's Information Technology Department purchases, and administers the necessary software and licenses to provide access to e-mail and Internet services. Users may not rent, copy or loan the software or its documentation, nor provide Pagel of4 alternative software to access the system. Users may be held responsible for any damages caused by unauthorized software or v1ruses they introduce into the system. Department Heads are responsible for the implementation and adherence of this policy within their departments. 4.5 Management reserves the right to monitor and access all e-mail accounts and e-mail messages that are created, transmitted or received on District systems, at any time, with no prior notice. There is NO expectation of personal privacy in the use of the e- mail system. The District may review the contents of all transmitted communication over its electronic systems at any time. 5.0 PROCEDURES 5.1 Passwords Users will define their own confidential password, but should be aware that this does not mean that the system is for personal confidential communication, nor does it suggest that e-mail is the property of the user. To ensure the security of the e-mail system, the system will prompt the user to change their password every six months and requires that passwords contain a minimum at 10 characters. The system will not let the user reuse their last 24 passwords. Should the user forget their password and attempts to input a password they are not sure of, the system will lock them out after three failed attempts. Users should not share their passwords with anyone else. 5.2 Internet Messages The Internet provides the District with significant access and dissemination of information to individuals outside of the District. Like all e-mail messages, Internet messages are capable of being forwarded without the express permission of the original author. Users must use caution in the transmission and dissemination of messages outside of the District, and must comply with all state and federal laws. 5.3 Signature Block E-mail should include a signature block at the end of all transmitted messages. This usually consists of the sender's name, title, company name, direct telephone number, fax number and e-mail address. 5.4 Prohibited Uses E-mail messages should be sent with appropriateness and good Judgement at all times. The following are examples of e-mail uses that are prohibited: 5.4.1 Communication that in any way may be construed as disruptive, offensive, abusive or threatening; 5.4.2 Communication of sexually explicit images or messages; 5.4.3 Communications that contain ethnic slurs, racial epithets or anything that may be construed as harassment of others based on race, color, national origin, sex, age, disability or religious beliefs. 5.4.4 Solicitation of commercial ventures, religious or political causes, outside organizations, chain-letters or other non-job-related solicitations; and 5.4.5 Any other use that may compromise the integrity of the District and its business in any way. 5.5 Electronic Mail Is Not Archived An shall Not Be Used As A Permanent Storage Medium Page 2 of4 5.5.1 Electronic mail is not backed-up on a permanent. basis. The District stores electronic mail only to the degree that allows the District to restore current electronic mail in the event of a systems failure. 5.5.2 Electronic mail is not a permanent storage medium and staff is expressly forbidden to use it as such. Electronic mail in-trays and out-trays shall be purged on a regular basis, and upon implementation of the appropriate technology, the District may, it its discretion, purge any such mail on an automatic basis. 5.5.3 If employees wish to maintain any electronic mail as a permanent record, they must save the electronic mail as a disk file or print it out in hard copy form for permanent filing. The Information Technology Department recommends that users exit Outlook and log off the computer every evening and reboot at least once a week. DO NOT shut down the computer. To ensure that deleted messages are not automatically backed up: • Before leaving each evening, right-click on the "Deleted Items" Icon and select "Empty 'Deleted Items' Folder" or, • Configure Outlook, upon exit, to automatically delete the deleted items. Select Tools, Options, Other and click on the "Empty the Deleted Items Folder Upon Exiting" checkbox. 5.6 "Everyone" E-mails The primary purpose of sending "Everyone" e-mail is to communicate District-wide related information. This information should be of a high-priority nature and pertain to all users. This information can be routed to all users utilizing the "Everyone" e-mail distribution list that has been created in Outlook. Contact the Communications Department if clarification ls required prior to sending an ''Everyone" e-mail. To send a non-District-related message to "everyone'', such as items for sale, discussion items, etc., a ''Bulletin Board" folder has been created in Outlook, located in the Public Folders section. The following guidelines should apply when sending this type of e-mail: • Every posting may still be considered a public record. • User's name is recorded on the posting • The time of day is recorded. • User is responsible for using District's time and facilities prudently These e-mail messages are similar to printed communication and the user should exercise good judgement when utilizing the e-mail system. • If further clarification is required prior to sending an "Everyone" e-mail, please contact the Communications Department. 6.0 ENFORCEMENT 6.1 A violation of standards, procedures, or guidelines established pursuant to this policy shall be presented to District's Management for appropriate action and may result in disciplinary action, up to and including termination. If, based on the Districts audit and review of user's e-mail and Internet usage, the District has reason to believe that Page.3 of4 the user has violated the law in any manner, the District may ref er this matter to the proper authorities for prosecution. 7.0 EXCEPTIONS 8.0 PROVISIONS AND CONDITIONS 9.0 RELATED DOCUMENT 9.1 Internet Usage Policy No. E60.00 Page4 of 4 @ Orange County Policy Number: F20.00 Sanitation District Effective Date: April 26, 2000 Subject: HOURS OF WORK -Supersedes: December 9, 1998 NON-EXEMPT EMPLOYEES Approved by: 1.0 PURPOSE 1.1 The purpose of this policy is to establish uniform guidelines and procedures for use in the administration of the District's work hours. 2.0 ORGANIZATIONAL UNITS AFFECTED 2.1 This pollcy applies to all District non-exempt employees in all organizational units and departments unless otherwise specified. 3.0 DEFINITIONS The Day Shift is an assigned work shift of at least seven consecutive hours between the hours of 6:00 a.m. and 6:00 p.m. The Night Shift is an assigned work shift of at least seven consecutive hours between the hours of 6:00 p.m. and 6:00 a.m. Flextime is the option of employees to choose the starting and finishing times of their shift, with supervisory pre2approval. Overtime is the number of hours in paid status in excess of 40 during a workweek unless assigned to an alternative work schedule. Nonexempt Employees are employees who are covered by the minimum wage and overtime provisions of the Fair Labor Standards Act, as amended. Such employees, because of the type of work that they perform and their earnings level, are subject to receiving overtime pay in addition to any entitlement otherwise provided for in applicable Memoranda of Understanding or other policies. Core Hours are the hours between 8:00 a.m. and 4:00 p.m. on any given day. Payday is the Wednesday before the end of the subsequent pay period. Pav Periods are bi weekly beginning at 12:01 a.m. on the Fl'lday following payda•1 and Gontln~ing for a 14 day period ending at midnight on tho Thl:lFSday following the ne><t payday occur bi-weekly and are calculated on the basis of 80-hours worked for full-time employees. Workweek means a seven day period starting at 12:01 a.m. Friday and ending at midFlight OR the following ThuFSday means 40-hours of work per 168-hour period for full-time employees. The workweek is a f i)Ced and recurring period of 168-hours, or seven consecutive 24-hour periods. Dfstrict employee workweeks are structured on an individual and/or group basis so that 40·hqurs of w9rk regul~rly occ;:urs ~urin,g the fjxed and r~gularty r~urring period of 1 €?~-hour~. 4.0 POLICY 4.1 It is the policy of the District to establish the time and duration of working hours as required by work load, operations flow, customer service needs, the efficient management of human resources, and any applicable law. Page 1 5.0 PROCEDURE 5.1 Normal Business Hours. Administrative and business functions are normally performed between the hours of 7:30 a.m. and 5:30 p.m., Monday through Thursday, and between the hours of 7:30 a.m. and 4:30 p.m. on Friday. However, the District allows flextime for employees to choose their starting and finishing times as long as employees whose jobs involve contact with the public or outside organizations are present between the core hours of 8:00 a.m. and 4:00 p.m. In addition, department heads may deny flextime to certain employees for reasons of business necessity, work flow, or customer service needs. 5.2 Core Hours. Individual divisions may schedule work beyond the core hours of 8:00 a.m. and 4:00 p.m., subject to approval by the department head, to meet specific operating or service requirements in the most cost-effective and efficient manner. Actual starting and ending times of an employee's shift may vary depending on the operational requirements of each department. 5.3 Shift Schedules. For time moord keeping and accountiAg purposes, the work schedule for full time emi:>loyees Is 4Q houFS per week based on a biweekl>y payroll period of 80 houFS. The aotual work periods may be scheduled in shifts of four 9 hour days eaoh week and one additional 8 hour shift on alternate weeks (Q/80 schedule}, frt'e 8 hour days each week (1 Q,lSO schedule), or fo1:1r 1 Q hour days each week (8/80 sshedule). Operations employees ffiay work three 12 hour shifts each week and ORO aaamonal 8 hour shift on alternate weeks (7/80 sched1:.1le). For time record keeping and accounting purposes, the "workweek" for full-time employees is 40 hours per 168-hour period, to be paid on a biweekly payroll basis of 80 hours worked. The actual work periods may be scheduled in shifts of four 9-hour days and one 4-hour day each workweek {9/80 schedule), five 8-hour days each workweek (10/80). four 10-hour days each workweek (8/80), or three 12·hour days and one 4-hour day each workweek (7/80). The starting and ending times ot individual employees' workweeks may vary. Day shifts typically begin between 5:00 a.m. and 8:00 a.m. 5.4 Overtime. Supervisors may schedule overtime or extra shifts as necessary. Supervisors will assign overtime to nonexempt employees In the particular job for which overtime is required. Non-exempt employees are not permitted to work overtime without the prior written or verbal approval of their supervisor, division manager, or department head. 5.5 Meeting Attendance. Employee attendance at lectures, meetings, and training programs will be considered as part of an employee's work hours if attendance is requested by management. Overtime or compensatory time may be allowed for such attendance only in unusual circumstances and must be approved by the department head in advance of the meeting. 5.6 Make-up Time. At their discretion, supervisors may allow nonexempt employees to make-up lost time during a given workweek. However, make-up time may not be allowed if the lost time results from conditions the employee could control, if there is no work the employee is qualified to do, or if adequate supervision is not available. 5.7 Time Sheets -Nonexempt Employees. All employees are required to complete an individual time record, hereinafter ref erred to as a "time sheet" showing the daily hours worked. The following points should be considered by employees in filling out time sheets: 5. 7 .1 Employees should record their total hours worked for each workday on their time sheets and sign their own time sheets at the end of the pay period. 5.7.2 Employees are not permitted to begin work before their normal starting time or work after their normal quitting time without the prior approval of their supervisor. 5.7.3 Employees are required to take scheduled lunch breaks and are required to take scheduled morning and afternoon breaks. 5.7.4 Employee time sheets should be checked and signed by the supervisor involved. 5.7 .5 Unapproved absences are not considered as hours worked for pay purposes. Supervisors should inform employees if they will not be paid for certain hours in which they are or were absent from work. Page2 5. 7 .6 Filling out another employee's time sheet, without management ~utho.ri?ation; or falsifying any time sheet is prohibited and may be grounds for disciplinary action, up to and including termination. 5.7.7 Time sheets must be completed in ink. Time worked should be charged to the appropriate work order category, and time sheets must be signed by both the employee and supervisor. If an employee is unable to complete their time sheet due to absence, the timesheet must be completed by the sup~rvi~or_or desigr:iee (e.g .• desl~inee authorjzeCi by maQ§Q~ment to proge~s emptoy~e's tir:ne sh~et whi!e .on a 1.eave-of-ab,$,ence) and submitted to timekeeping. When the employee returns to work, another copy of the timesheet should be signed by both the employee and the supervisor and sent to timekeeping. 5.7.8 An employee must record all time taken as paid or unpaid leave. Any day with less than the typical amount of time for that shift recorded, usually 8, 9, 10or12 hours, must be supported by an explanation of the missing hours in an appropriate space on the sheet. Total hours recorded for each day or shift must agree with the total time for the pay period. 5.7.9 Time sheets will be distributed and collected by supervisors or other designated individuals and submitted to Timekeeping in the Accounting Office no later than Friday noon each week. Time sheets may vary depending upon the operational needs of each department, but will conform to the above requirements. Supervisors are responsible for ensuring that time sheets are submitted in a ttmely manner. Corrections to a time sheet entry may only be made by supervisors drawing a single line through the incorrect entry, writing the correct entry in the margin, and initialing the change. 5.8 Payday. Paychecks are distributed on the Wednesday immediately preceding the close of a pay period. Checks received on Wednesday cover the period worked during the previous pay period. If a payday falls on a holiday, checks will normally be distributed on the last working day preceding the holiday. Employees who will not be at work on payday may request that their checks be held, forwarded to their supervisor, or mailed directly to them. Unclaimed checks will be held in the Payroll Office. Checks ot individuals who terminate their employment with the District, or are separated, will be mailed directly to them on the next regular payday subsequent to the separation date unless other arrangements are made to hold the check. 6.0 EXCEPTIONS 6.1 Flextime does not apply to the Operations and Maintenance Department and General Services Administration Department. 7.0 PROVISIONS AND CONDITIONS 8.0 RELATED DOCUMENTS 8.1 Fair Labor Standards Act, as amended. Page3 ~ Orange County Policy Number: F20.10 Sanitation District Effective Date: April 26, 2000 Subject: HOURS OF WORK -EXEMPT Supersedes: December 9, 1998 EMPLOYEES Approved by: 1.0 PURPOSE 1.1 The purpose of this policy is to establish uniform guidelines and procedures for use in the administration of the District's working hours. 2.0 ORGANIZATIONAL UNITS AFFECTED 2.1 This policy applies to all District exempt employees in all organizational units and departments unless otherwise specified. 3.0 DEFINITIONS Exempt Employees are employees who are not covered by the minimum wage and overtime provisions of the Fair Labor Standards Act. Such employees are considered exempt by virtue of their duties in conformance with the Act's definition of Executive, Administrative and Professional employees. Flextime is the option of employees to choose the starting and finishing times of their shift. Overtime is the number of hours in paid status in excess of 40 during a workweek. Memo time is the number of hours in excess or short of the normal working hours for an employee in a single workday. The normal working hours could be 8, 9, 1 O or 12 depending on the-employee's assigned schedule. Make-up time is time worked in the second week of the pay period to make-up for a shortage of time in the first week of the pay period. Core Hours are the hours between 8:00 a.m. and 4:00 p.m. on any given day. Payday is the Wednesday before the end of the subsequent pay period. Pay Periods are bi wee~y beginning at 12:01 a.Ffl. on the Friday following payeay and continuing for a 14 day period ending at mienight on the ThtJrsday following the nC*t payday. oc<;ur bi-weekly and are calculated on the basis of 80-hours worked for full-time employees. Werkv:eek Ffleans a se1+1en day perioc:J starting at 12:01 a.FA. Friday and ending at FAidnight on the following ThtJrsday. means 40-hours of work per 168-hour period for full-time employees. The wori<week is a fvced and recurring period of 168-hours, or seven consecutive 24-hour periods. District employee workweeks are structured on an Individual and/or group basis so that 40-hours of work regularly occurs during the fixed and regul_arly recurring peripd of 168·hours. 4.0 POLICY 4.1 It is the policy of the District to require exempt employees to complete weekly timesheets. Exempt employees must use sick time, vacation time or compensatory time for any partial-day absences. 4.2 In certain situations employees may not be required to use leave time for partial-day absences and may be eligible to use "make up time" or "memo time" if they will be working more than eighty (80) hours in the same pay period. (Please refer to the sample timesheet.) Page 1 5.0 PROCEDURE 5.1 Normal Business Hours. Administrative and business functions are normally performed between the hours of 7:30 a.m. and 5:30 p.m., Monday through Thursday, and between 1he hours of 7:30 a.m. and 4:30 p.m. on Friday. However, the District allows flextime for employees to choose their starting and finishing times as long as employees whose jobs involve contact with the public or outside organizations are present between the core hours of 8:00 a.m. and 4:00 p.m. In addition, department heads may deny flextime to certain employees for reasons of business necessity, worktlow, or customer service needs. 5.2 Core Hours. Individual divisions may schedule work beyond the core hours of 8:00 a.m. and 4:00 p.m., subject to approval by the department head, to meet specific operating or service requirements in the most cost-effective and efficient manner. Actual starting and ending times of an employee's shift may vary depending on the operational requirements of each department. 5,3 Shift Schedules. For time record keeping and aocounting purposes, the >Nork schedule for tull time employees is 40 hours 13er week based on a biweekly payroll period of 80 hours. The actual work periods may be scheduled in shifts of four 9 hour days each week and one additional 8 hol:Jr shif.t-GA alternate weeks (9/8G-schedul&), fl .. ·e 8 hour days each week (10./80 sched1:1ler,-er fol:Jr 1 O ho1:1r days each week (8,<80 scl=leaule) at the dissretion of tl:le supervisor. For time record keeping and accounting purposes, the icworkweek" for full-time employees I s 40 hours per 168-hour period, to be paid on a biweekly payroll basis of 80 hours worked. The actual work periods may be scheduled in shifts of four 9- hour days and one 4-hour day each workweek (9/80 schedule), five 8-hour days each workweek (10/80). four 10-hovr days each workweek (8/80), or three 12-hour days ~nd one 4-hour day each workw~k (7/80) at the discretion of 1he supervisor. 5.4 Meeting Attendance. Employee attendance at lectures, meetings, and training programs will be considered as part of an employee's work hours if attendance is requested by management. Overtime or compensatory tlme may be allowed for such attendance only in unusual circumstances and must be approved by the department head in advance of the meeting. 5.5 Time Sheets -Exempt Emplovees. Personnel. as defined by the exempt job classifications generally of the Fair Labor Standards Act, are not eligible to receive overtime pay; however, exempt employees must account for daily attendance. 5.5.1 Time sheets for exempt employees should indicate the days worked during the pay period and include all time taken as paid or unpaid leave. Timesheets should report a total of eighty (80) hours per pay period plus any applicable memo time. 5.5.2 Hours in excess or short of the daily total should be accounted for in the work description line titled "Memo Time". (Please see the attached timesheet example). The appropriate subledger number should be entered, and the time sheet signed by the appropriate management level. When using subledger numbers time should be recorded in blocks of half hours or more. 5.5.3 Employees may be able to draw hours from their "memo time" in certain situations. Memo time is NOT compensatory time and will NOT be granted on an hour for hour basis. It is to be used on an exception basis and must be approved in advance by the supervisor. For example, if Employee works 48.5 total hours in week one and needs to use 2.5 hours to go to a doctor's appointment in week two, the supervisor may approve using memo time. (Please refer to the attached sample timesheets). Memo time, in some occurrences, may be allowed tor an entire day. 5.5.4 Make-up time may be used if the employee will need to use the 2.5 hours in the first week of the pay period and will work an extra hours (of a least 2.5 hours) in the second week of the pay period to 11make up" for the shortage of hours. Again, it is to be used on an exception basis and must be approved in advance by the supervisor. 5.5.5 Exempt personnel time sheets should be submitted to Timekeeping in the Accounting office no later than Friday of each week. In addition, exempt employees will not receive overtime Page2 compensation (except as specifically agreed to in an applicable bargaining unit MOU) but occasionally may be eligible for time-off after working abnormally long hours. 5.5.6 Time sheets must be completed in. Time worked should be charged to the appropriate work order category, and time sheets must be signed by both the employee and supervisor. If an employee is unable to complete their time sheet due to absence, the timesheet must be completed by the supervisor or designee (e.g., designeeauthorized by management to pre>Qess employee's time sheet whi!~ on a le~ve-of-absence) and submitted to timekeeping. When the employee returns to work, another copy of the timesheet should be signed by both the employee and the supervisor and sent to timekeeping. 5.5. 7 Coworkers, witt)_(:>ut man~gement ~uthorjZa.jJgn, completing another coworker's time sheet or employee's falsifying any timesheet is prohibited and may be grounds for disciplinary action, up to and including termination. 6.0 EXCEPTIONS 7.0 PROVISIONS AND CONDITIONS 8.0 RELATED DOCUMENTS 8.1 Fair Labor Standards Act, as amended. 8.2 Professional and Supervisory M.O.U. Pages @ Orange County Policy Number: F70.00 Sanitation District Effective Date: April 26, 2000 Subject: DISCIPLINE Supersedes: October 22, 1997 Approved by: 1.0 PURPOSE 1.1 The purpose of this policy is to establish uniform guidelines and procedures for use in the administration of fair and consistent discipline in instances where employees have exceeded the limits of acceptable behavior or performance. 2.0 ORGANIZATIONAL UNITS AFFECTED 2.1 All District employees. 3.0 DEFINITIONS Discipline is the occurrence of any of the following actions taken for just cause with respect to any eemployee: oral reprimand, counseling memo, written warning, suspension~ without pay, deferral or denial of a meFit increase, reduction in pay, demotion to a classification with a lower tep stey m~jmum r~t~ of pay, or dismissal. Dismissal is the separation from District employment of a non-probationary employee initiated by +the District for proper cause. "Termination" means dismissal, and the terms are used interchangeably throughout this policy manual. 4.0 POLICY 4.1 The District is committed to practicing supervisory and management practices and procedures which support effective operations in the interest of the District and of our employees. Such procedures include the administration of fair and consistent discipline in instances where employees have exceeded the limits of acceptable behavior or performance. Employment with the District is voluntarily entered into, and employees have the right to resign at any time to pursue other interests. Similarly, the District has the right to conclude an employment relationship for proper cause when it is believed to be in the District's best interests. 4.2 The General Manager is authorized and directed to exercise supervision over all employees and to impose discipline, for just cause, upon any person employed under the provisions of this Policy for both general and serious violations. 4.3 The General Manager shall establish rules and guidelines pertaining to the procedures governing such actions. Page 1 4.4 The General Manager is authorized to delegate his authority herein to the Department Heads, Division Mangers, Director of Human Resources and other management and supervisory employees, as the General Manager deems appropriate. Notwithstanding the foregoing, "at-will" Executive Management employees may be dismissed at any time, without notice or just cause. 4.5 Notwithstanding the foregoing, Executive Management and contract employees who have signed an agreement to serve at the pleasure of the Joint Boards or General Manager are "at-will" and may be dismissed at any time, without notice or just cause. 5.0 PROCEDURE 5.1 Discipline occurs when any of the following actions are taken for just cause with respect to any employee: oral reprimand, counseling memo, written warning, suspension witR-&f without pay, Eleferr-al or denial of a merit inorease, reduction in pay, demotion to a classification with a lower top step maxlmum rate of pay, or dismissal. Dismissal is the termination from Distrlct employment, of a non-probationary employee, initiated by the District for proper cause. Employees exempt from overtime pursuant to the Fair Labor Standards Act, however, shall not be subject to suspension without pay for less than one week except for major safety violations. 5.2 A Notice of Intent to impose disciplinary action is not required when the disciplinary action involves an oral reprimand, cmmseling memo, written warning or suspension without pay for five or fewer working days (with or wlthout pay) or deferral or denial of a merit increase. 5.3 A Notice of Intent to impose disciplinary action is required and will be given to an employee whenever the disciplinary action involves suspension without pay for more than five working days, reduction in pay, demotion to a classification with a lower top step maximum rate of pay or dismissal. The Notice of Intent shall be given to the affected employee either by delivery in person or by Certified Mail sent to the employee's last know address. The Notice of Intent shall indicate the date on which it was personally delivered or deposited in the mail, which shall be the date of issuance. 5.3.1 The Notice of Intent shall contain a description of the disciplinary action intended, the effective date of the action, the reasons for the proposed action, and a copy of the charges and materials upon which the action is based. The Notice shall also provide a statement of the employee's right to respond, either orally or in writing to the authority initially imposing the discipline, the person to whom any response must be directed, and the fact that such response must be received within ten business days of the date of issuance of the notice. The Notice will also advise the employee of their right to representation. 5.4 Prior to the effective date of any proposed disciplinary action requiring a Notice of Intent, the employee will be given an opportunity to responsd either orally or in writing to a management representative with authority to make an effective recommendation on a proposed action. After review of an employee's response, the District will notify the employee in writing of any action to be taken. Such action may not involve discipline more severe than that described in the Notice of Intent; however, the District may reduce discipline without further notice. 5.5 Dismissal shall be proceeded by at least one written warning, except in those situations in which the employee knows or reasonably should have known that the performance or conduct was unsatisfactory. Such performance or conduct may involve, but is not limited to: dishonesty, possession, use, sale or being under the influence or drugs or alcohol, theft or misappropriation of District's property, falsification of District' records, fighting on the job, Insubordination, acts endangering people or property, or other serious misconduct. The Page2 District may also substitute a documented suspension, with or without pay, in lieu of the written warning requirement herein. 5.6 If a Notice of Intent is upheld and the disciplinary action is imposed, the employee may request a post-disciplinary hearing. The request must be submitted to the Director of Human Resources within ten business days after the date of issuance of the notice of disciplinary action. The Director of Human Resources shall schedule a post~disciplinary hearing with the General Manager or his designee. The General Manager, or his designee, may uphold the disciplinary action, which has been taken or may reduce such discipline without the issuance of further notice. The decision of the General Manager or his designee shall be final. 5.7 The above procedure, including the right to post disciplinary hearing, shall apply to the discipline and dismissal of Executive Management employees, who have not signed an at-will employment agreement and who are not governed by a memorandurf\ of understanding. 5.8 The District may place an employee on im•estigatory c;ldminist~tiv.~ leave without prior notice in order to review or investigate allegations of conduct which, in the District's view, would warrant relieving the employee immediately from all work duties. If, upon conclusion of the investigation, neither suspension without pay nor dismissal is determined by the District to be approP.riate, the employee shall be paid for the leave. Although an in¥esti9at<>ry ~dminl$tra_tiv~ leave may exceed fifteen business days, if a suspension without pay is determined to be the appropriate discipline, a maximum of fifteen business days of the ffivestlgatory ~dministratiV~ leave period may be applied to such suspension without pay. 6.0 EXCEPTIONS 7.0 PROVISIONS AND CONDITIONS 8.0 RELATED DOCUMENTS 8.1 Policy B100.00 Employee Separation. Page3 FAHR COMMllTEE Meeting Date To Bd. of Dir. 4/1'2/00 AGENDA REPORT It.em Number It.em Number FAHR00-31 Orange County Sanitation District FROM: David Ludwin, Director of Engineering Originator: Jim Burror, Contract Project Manager SUBJECT: COOPERATIVE PROJECTS PROGRAM, JOB NO. J-73 GENERAL MANAGER'S RECOMMENDATION This report is an informational item. SUMMARY The Cooperative Projects Program (CPP) was established in 1998 to realize the District's Strategic Plan goal for inflow and infiltration (l&I) reduction. The CPP is generally focused on reducing peak flows experienced at the Districfs treatment plants. The l&I element in the Strategic Plan has a goal to reduce wet weather peaks experienced at the District's two wastewater treatment plants by 20%, over the next 20 years. Once a year, the local agencies have an opportunity to apply for CPP funds. Funding includes grants and low interest loans, for up to 50% of the total project cost, for projects that help reduce flows into the District's system. Currently, the Guidance Review Committee (GRC), oversees the implementation of the CPP. Applications are first reviewed by the GRC. Projects with merit are forwarded to the Operations, Maintenance, and Technical Services (OMTS) Committee for funding consideration. Upon receiving a recommendation for approval by the OMTS, the applications are moved to the District's Board of Directors for approval. The purpose of this report is to provide the Finance, Administration, and Human Resources (FAHR) Committee with information on the application review process. Staff will make a presentation at the meeting to discuss the current program and new projects submitted for consideration. PROJECT/CONTRACT COST SUMMARY The FY 1999-00 budget includes $3.0 Million for cooperative project funding for each year from 1999-00 through 2003-04. Fifteen projects totaling $2.3 Million were approved for funding for FY 1999-00. BUDGET IMPACT D This item has been budgeted. (Line item: ) D This item has been budgeted, but there are insufficient funds. D This item has not been budgeted. ~ Not applicable (information item) Page 1 ADDITIONAL INFORMATION Background The Board's Cooperative Projects Guidance Review Committee (GRC), currently overseeing the Cooperative Projects Program (CPP), consists of nine members, as follows: District Directors McGuigan, Ferryman, and Anderson; District General Manager, Don Mcintyre, and Engineering Supervisor, Jim Herberg; Garden Grove City Manager, George Tindall; Huntington Beach City Administrator, Ray Silver; and one open seat formerly held by Midway City Sanitation District General Manager, Del Boyer. The District solicits project applications from the local agencies and submits the funding requests for approval by the GRC, the Operations, Maintenance, and Technical Services (OMTS) Committee, and finally the Board of Directors. This year, the local agencies were sent invitations to a CPP workshop held January 31, 2000. At the workshop, the application packets were distributed and explained. The deadline for this year's applications was April 1, 2000. As of this writing, 26 applications have been received from 12 agencies for FY 2000-01 . The projects are evaluated utilizing the estimated payback period which is based on the Strategic Plan's estimated cost savings for flow reduction. Preferential consideration will be given to projects with a payback of seven (7) years or less. However, projects may be recommended for funding based on other overriding considerations when the payback is greater than seven (7) years. Overriding considerations might include overall flow reduction, the potential for agency adoption of program ordinance requirements, and environmental benefits. ALTERNATIVES No Action CEQA FINDINGS Not Applicable ATTACHMENTS None JDH:JB:jak:jo H:\wp.dla\agenda\FAHR\FAHR2000\2000 Agenda Reports\FAHRQ0.31.dot Page2 FAHR COMMITTEE Meeting Oate To Bd. of Dir. 04/12/00 04/26/00 AGENDA REPORT Item Number ~IJ.f. bO· )./i Item Number Orange County Sanitation District FROM: Gary Streed, Director of Finance Originator: Steve Kozak, Financial Manager SUBJECT: TREASURER'S REPORT FOR THE MONTH OF MARCH 2000 GENERAL MANAGER'S RECOMMENDATION Receive and file Treasurer's Report for the month of March 2000. SUMMARY Pacific Investment Management Co. (PIMCO), serves as the District's professional external money manager, and Mellon Trust serves as the District's third-party custodian bank for the investment program. The District's Investment Policy, adopted by the Board, includes reporting requirements as listed down the left most column of the attached PIMCO Monthly Report for the "Liquid Operating Monies" and for the "Long-Term Operating Monies" portfolios. The District's external money manager is operating in compliance with the requirements of the District's Investment Policy. The District's portfolio contains no reverse repurchase agreements. Historical cost and current market values are shown as estimated by both PIMCO and Mellon Trust. The District's portfolios are priced to market ("mark-to-market") as of the last day of each reporting period. The slight differences in value ~re related to minor variations in pricing assumptions by the valuation sources at the estimate date. PROJECT/CONTRACT COST SUMMARY None. BUDGET IMPACT D This item has been budgeted. D This item has been budgeted, but there are insufficient funds. D This item has not been budgeted. [gJ Not applicable (information item) llradonldala1\wp.dlallin\210\cranelFAHR\Fahr20001Apr\Treasurets Report-Mar.doc Re'<ised: 8/20/98 Page 1 ADDITIONAL INFORMATION Schedules are attached summarizing the detail for both the short-term and long-term investment portfolios for the reporting period. In addition, a consolidated report of posted investment portfolio transactions for the month is attached. The attached yield analysis report is presented as a monitoring and reporting enhancement. In this report, yield calculations based on book values and market values are shown for individual holdings, as well as for each portfolio. Mellon Trust, the District's custodian bank, is the source for these reports. Transactions that were pending settlement at month end may not be reflected. These reports accurately reflect all District investments and are in compliance with California Government Code Section 53646 and the District's Investment Policy. Sufficient liquidity and anticipated revenues are available to meet budgeted expenditures for the next six months. The table below details the book balances of the District's funds at month-end. A graphical representation of month-end balances is shown by the attached bar chart. Funds/Accounts State of Calif. LAIF Union Bank Checking Account Union Bank Overnight Repurchase Agreement PIMCO -Short-term Portfolio PIMCO -Long-term Portfolio District 11 GO Bond Fund 921 Debt Service Reserves @Trustees Petty Cash TOTAL ALTERNATIVES None. CEQA FINDINGS None. ATTACHMENTS 1. Monthly Investment Reports 2. Monthly Transaction Report llradon\data1\wp.dlalfin\21 O\O"ane\F AHR\Fahr2000\Apt\Treasurets Report -Mar.doc Re'Jised: 8/20/98 Book Balances Estimated March 31, 2000 Yield(%) $ 21,775,271 5.8 387,204 - 2,130,000 5.2 19,675,168 5.5 347,848, 151 4.1 2,010 5.8 32,155,893 6.2 8,000 - $423,981,697 Page2 Prepared by Finance, 04/10/2000, 1 :21 PM Oct, 99 Monthly Treasurer's Report District Fund Balances Nov, 99 Dec, 99 l!9 PIMCO -Long-term a Debt Service Reserves &:I Bank Accts CJ Dist 11 GO Bond Fund Jan,00 Ill PIMCO -Short-term CDLAIF •Petty Cash G:\excel.dta\fin\2220'Qeggi\Finance\monthly treasurers report Feb, 00 Mar, 00 MONTHLY REPORT ORANGE COUNTY SANITATION DISTRICT INVESTMENT MANAGEMENT PROGRAM PIMCO'S PERFORMANCE MONITORING & REPORTING (for the month ending 31March2000) Liquid Operating Monies (603) 15.1.1 PORTFOLIO COST AND MARKET VALUE Current Market Value Estimate: • PIM CO • Mellon Historical Cost: • PIM CO • Mellon 15.1.2 MODIFIED DURATION Of Portfolio: Of Index: 15.1.3 1% INTEREST RATE CHANGE Dollar Impact (gain/loss) of 1 % Change: 15.1.4 REVERSE REPOS % of Portfolio in Reverse Repos: (see attached schedule) 15.1.5 PORTFOLIO MATURITY % of Portfolio Maturing within 90 days: 15.1.6 PORTFOLIO QUALITY Average Portfolio Credit Quality: 15.1.7 SECURITIES BELOW "A" RATING % of Portfolio Below "A": 15.1.8 INVESTMENT POLICY COMPLIANCE ''In Compliance'' 15.1.9 PORTFOLIO PERFORMANCE Total Rate of Return(%) by Period: 1 Month: 3 Months: 12 Months: Year-to-Date: Commentary • tntcrcst rates at the short-end of the yield curve rose slightly in March (three-month T-Bills up 9 basis points to 5.88%). while the Jong-end posted positive total returns. • The Liquid portfolio outperformed its benchmark by 3 basis points in March. • PJMCO's emphasis on corporates and commercial paper slightly enhanced returns. $19,671,956 $19,675,168 $19,695, 733 $19,696,183 0.25 0.20 $49,715 0% 66% ''AAA." See Note See Note Portfolio Index 0.50 0.47 1.54 1.35 5.51 4.99 1.54 1.35 • NOTE: On March 31, 2000, S&P downgraded Finvoa Capital Corp. from A-lo BBB+ with a $table Outlook, due to the parent company's (Finova Group, lnc,) announcement of a special accounting charge to earnings. A Finova Capital Corporate Note, $475,000 per wnount, 6.375% coupon, maturing on October I 5, 2000, is held in the Liquid Oper-c1ting Monies portfolio. The note comprises about 2.4% of Ute nearly S20 mill Ion portfolio. PIMCO has undertaken appropriate steps to analyze the Q'Cdit and will advise the District as to disposition o·r the security in complianee with the District's tnvcstmcnt Policy. H:L.IFJNANC£1._ \JIEVISED UQ0300.RPT MONTHLY REPORT ORANGE COUNTY SANITATION DISTRICT INVESTMENT MANAGEMENT PROGRAM PlMCO'S PERFORMANCE MONITORING & REPORTING (for the month ending 31 March 2000) Long-Term Operating Monies (203) 15.1.l PORTFOLIO COST AND MARKET VALUE Current Market Value Estimate: • PIM CO • Mellon Historical Cost: • PIM CO • Mellon 15.1.2 MODIFIED DURATION Of Portfolio: Of Index: 15.1.3 1 % INTEREST RATE CHANGE Dollar Impact (gain/loss) of I% Change: 15.1.4 REVERSE REPOS % of Portfolio in Reverse Repos: (see attached schedule) 15.1.5 PORTFOLIO MATURITY % of Portfolio Maturing within 90 days: 15.1.6 PORTFOLIO QUALITY Average Portfolio Credit Quality: 15.1.7 SECURITIES BELOW "A" RATING % of Portfolio Below "A": 15.1.8 INVESTMENT POLICY COMPLIANCE "In Compliance" 15.1.9 PORTFOLIO PERFORMANCE Total Rate of Return(%) by Period: 1 Month: 3 Months: 12 Months: Year-to-Date: Commentary $347,943,513 $347,848,151 $349,466,057 $350,233,364 2.17 2.29 $7,628,724 0% 40% "AAA" 0% Yes Portfolio Index 0.99 0.78 l.63 1.27 3.52 3.07 1.63 1.27 • While short-end yields (one-year and less) rose slightly in March (three-month T-Bills up 9 basis points to 5.88%), yields on longer maturities declined{five-year Treasury Notes down 28 basis points to 6.32%), posting positive total returns. • The Long-Term portfolio outperformed its benchmark by 21 basis points in March. • PIMCO's emphasis on intermediate maturities (2 to 5 years) added to returns as Jong-term interest rates dectined. • PIMCO's corporate security selections, and decision to hold mortgage securities, added to relative returns. H:I \/i'fHANCEIZIO\. VIEV!SFIJIAVJOO.RPT @ ORANGE COUNTY SANITATION DISTRICT PAGE: 1 BASE: USD NET ASSET SECTOR SUMMARY OCSF0751ll02 31-MAR-2000 FINAL LIQUID OPER-PJMCO %OF UNREALIZED PORTFOLIO DISTRIBUTION COST MARKET VALUE TOTAL GAIN/LOSS CASH & CASH EQUIVALENTS PAYABLES -611 ,460.00 -611 ,460.00 -3.07% 0.00 TOTAL -611,460.00 -611,460.00 -l.07% 0.00 UNITED STATES COMMERCIAL PAPER -DISCOUNT 2,672, 177. 75 2,672, 177.75 13.44% 0.00 FEDERAL HOME LOAN MORTGAGE-LESS 1,785,484.33 1,785,484.33 8.98% 0.00 FNMA ISSUES -LESS THN 1 YR 2,077,894.58 2,077,894.58 10.45% 0.00 FED HM LOAN BNK -LESS THN lYR 3,766,940.00 3,766,940.00 18,94% 0.00 MUTUAL FUNDS 82,985.93 82,985.93 0.42% 0.00 TOTAL UNITED STATES 10,385,482.59 10,385,482.59 52.22% 0.00 TOTAL CASH & CASH EQUIVALENTS 9,774,022.59 9,774,022.59 49.14% 0.00 FIXED INCOME SECURITIES UNITED STATES U.S. GOVERNMENTS 3,483,457.03 3,484,145.00 17.52% 687.97 U.S. AGENCIES 999,200.00 1,000,000.00 5.03% 800.00 ABS: CAR LOAN 905,913.00 901,701.00 4.53% -4,212.00 BANK.ING & FINANCE 1,497,145.50 1,495,420.25 7.52% -1,725.25 INDUSTRIAL 2,028,520.00 2,016,004.00 10.14% -12,516.00 UTILITY -GAS 495,845.00 496,515.00 2.50% 670.00 UTILITY -TELEPHONE 5L2,080.00 507,360.00 2.55% -4,720.00 TOTAL UNITED STATES 9,922,160.53 9,901,145.25 49.78% -21,015.28 TOT AL FIXED INCOME SECURITIES 9,922,160.53 9,901,145.25 49.78% -21,015.28 OTHER PORTFOLIO ASSETS PAYABLES/RECEIVABLES 213,381.78 213,381,78 1.07% 0.00 TOTAL 213,381.78 213,381.78 1.07% 0.00 10-Apr-2000 9:11:07 Executive Workbench OCSF07511102 LJQUJD OPER-PIMCO PORTFOLIO DISTRIBUTION TOTAL OTHER PORTFOLIO ASSETS NET PORTFOLIO ASSETS /0-Apr-2000 9: 11 :07 ORANGE COUNTY SANITATION DISTRICT NET ASSET SECTOR SUMMARY 31-MAR-2000 COST MARKET VALUE 213,381.78 213,381.78 19,909,564.90 19,888,549.62 %OF TOTAL 1.07% 100.00% PAGE: 2 BASE: USD FINAL UNREALIZED GAIN/LOSS 0.00 -21,015.28 Executive Workbench @ ORANGE COUNTY SANITATION DISTRICT II PAGE: BASE: USD NET ASSET SECTOR SUMMARY OCSF07522202 31-MAR-2000 FINAL LONG TERM OPER-PIMCO %OF UNREALIZED PORTFOLIO DISTRIBUTlON COST MARKET VALUE TOTAL GAIN/LOSS CASH & CASH EQUIVALENTS RECEIVABLES 7,496,098.35 7,496,098.35 2.13% 0.00 PAYABLES -45, 178,650.42 -45, 178,650.42 -12.86% 0.00 TOTAL -37,682,552.07 -37,682,552.07 -10.72% 0.00 UNITED STATES COMMERCIAL PAPER -DISCOUNT 50,273,852.40 50,,273,852.40 14.31% 0.00 FEDERAL HOME LOAN MORTGAGE -LESS 18,035,087.78 18,035,087. 78 5.13% 0.00 FNMA ISSUES -LESS THN 1 YR 11,978,460.69 11,978,460.69 3.41% 0.00 MUTUAL FUNDS 1,112,352.49 1, 112,352.49 0.32% 0.00 TOT AL UNITED STA TES 81,399,753.36 81,399,753.36 23.16% 0.00 TOTAL CASH & CASH EQUIVALENTS 43,717,201.29 43,717,201.29 12.44% 0.00 FIXED INCOME SECURITIES UNITED STATES U.S. GOVERNMENTS 101,587,357.65 101,173,514.69 28.79% -413,842.96 U.S. AGENCIES 76,465, 768.35 75,981,579.61 21.62% -484,188.74 GNMA SINGLE FAMILY POOLS 16,799,218.76 16,866,825.00 4.80% 67,606.24 GNMAMULTI FAMILY POOLS 3,528,930. 75 3,490,167.26 0.99% -38,763.49 FHLMCPOOLS 9,144,340.51 8,938,695.74 2.54% -205,644. 77 FHLMC MULTICLASS 7,965,362.01 7,717,362.20 2.20% -247,999.81 ASSET BACKED SECURITIES 45,02L05 44,936.42 0.01% -84.63 ABS: HOME EQUITY 377,576.09 376,511.33 0.11% -1 ,064.76 OTHER GOVERNMENT OBLIGATIONS 2,849, 782.94 2,851,899.29 0.8 1% 2,1 16.35 MUTUAL FUNDS 1,000,000.00 986,460.00 0.28% -l'.3,540.00 BANKING & FINANCE 66,983,810.20 66,627,940.50 18.96% -355,869.70 INDUSTRIAL 7,126,189.00 6,815,542.30 1.94% -310,646.70 UTILITY -ELECTRIC 5,145,550.00 4,945,290.00 1.41% -200,260.00 UTILITY -TELEPHONE 7,497,255.00 7,314,225.00 2.08% -183,030.00 TOTAL UNITED STATES 306,516, 162.31 304,130,949.34 86.55% -2,385,212.97 TOTAL FIXED INCOME SECURITIES 306,516,162.31 304,130,949.34 86.55% -2,385,212.97 1 O-Apf'-2000 9:12:57 F.xecutive Workbench @ ORANGE COUNTY SANITATION DISTRICT PAGE: 2 BASE: USD NET ASSET SECTOR SUMMARY OCSF07522202 31-MAR-2000 FINAL LONG TERM OPER-PIMCO %OF UNREALIZED PORTFOLIO DISTRffiUTION COST MARKET VALUE TOTAL GAIN/LOSS OTHER PORTFOLIO ASSETS PAYABLES/RECEIVABLES 3,558,671.68 3,558,671.68 1.01% 0.00 TOTAL 3,558,671.68 3,558,671.68 1.01% 0.00 TOTAL OTHER PORTFOLIO ASSETS 3,558,671.68 3,558,671.68 1.01% 0.00 NET PORTFOLIO ASSETS 353, 792,035.28 351,406,822.31 100.00% -2,385,212.97 IO-Apr-2000 9:12:57 Executive Workbench YLDANAL OCSF07511102 DISTRICT: LIQUID OPERATJNG YIELD ANALYSIS 2000/03/ll = = PAR VALUE SP.r.llRITY 10 SECURITY PF.SCRJPTTON CASH & CASH EQUIVALENTS 821 985.93 DREYFUS TREASURY CASH MGMT 996085247 3,800,000.00 FEDERAL HOME LN BK CONS DISC N 313384VZ9 HAT 04/24/2000 1,300,000.00 FEDERAL QOHE LN MTG CORP DISC 313396WA7 HAT 04/25/2000 INCOME AT HAT 900,000.00 XEROX CORP DISC 98412CDCO 04/12/2000 2,100,000.00 FEDERAL NATL MTG ASSN DISCOUNT 313588WSO Kl'>T 05/11/2000 500,000.00 FEDERAL HOME LN MTG CORP DISC 313396VT7 HAT 04/18/2000 900,000.00 DAIMLERCHRYLSER DISC 2338EODA1 04/10/2000 900,000.00 GOLDMAN SACHS GROUP L P DISC 38142TEQ4 05/24/2000 TOTAL CASH & CASH EQUIVALENTS FIXED INCOME SECURITIES l,000,000.00 FEDERAL DOME LN MTG CORP DEBS 3134A3RT5 FLTG RT 05/18/2000 DD 05/18/99 3,500,000,00 U S TREASURY NOTES 9128274Q2 05 .125\ 08/31/2000 DD 08/31/98 475,000,00 ASSOCIATES CORP NORTH AMER OH003EL9 ' •. ooo\ 06/15/2.000 900,000.00 FORD MTR CR ~TN t TR 00538 345402YX1 7,020% 10/10/2000 DD 10/10/95 YTH AT CURRENT MOODY MARKET BOOK YIELD S-P PRICE .ooo 5.629 5.851 .ooo 5.858 .000 5.885 .ooo 5 .892 .ooo 5.913 .ooo S.941 .ooo 6 .008 .ooo 5.194 .012 .ooo 4.705 6 .112 5.1'8 6 .296 6.009 6 .312 7.007 AAA AAA P -1 A-1+ P-1 A-1+ P~l P-1 A-1+ P-1 A-1+ P-1 AA3 A+ Al A 100.000 99 .130 99.097 9'. 061 98.947 99.445 99 .149 98.699 100.000 99,547 99 .858 100.189 PAGE RUN DATE RUN TIME 1 I 04/06/00 13.20.16 ===="-'-=-·====<======-~-=.:::::. TOTAL COST/ AARJ<tT VIU,UE 82,985.93 82,995.93 3,766,940.00 3,766,940.00 1,288,261.00 l,288,261.00 891,546.50 891,546.50 2,077,894.58 2,077,994,59 497,223.33 497,223.33 892,343.00 892,343.00 888,288.25 988,288.25 10,385,492.59 10,385,482.59 999,21)0.00 l,000,000.00 3,483,457.03 3,484,145.00 4'74,273.25 474, 325.50 905, 913, OQ 901, 701.00 \ TYPE \ TOTAL ,79 .n 36.27 18.57 12 .40 6.35 8 .58 4.39 20.00 10 . 24 4,79 2.45 8.59 4. 40 8.55 4.38 100.00 51.19 10.09 4.93 35.18 17 .11 4 .79 2 .34 9.10 4 ,44 YLDANAL OCSF07511102 DISTRICT: LIQUID OPERATING YIELD ANALYSIS 2000/03/31 PAGE RUN DATE RUN TIME 2 04/06/00 13.20 .16 ==:=:::::=::::=======-==========-==============-=---==~======-==::=.====-==============================:;---=---=-==-=-===::=:====-c::==-===-===== PAR VALUE rTH AT CURRENT HOO DY MARKET TOTAL COST/ \ TYPE SECURITY ID SECURITY DESCRIPTIO!I BOOX YIELD S-P PRICE KARXBT VALUE \ TOTAL --------------------------------------------------------------------------------------- 400,000.00 LEHMAN BROS HLDGS MTN TR 00252 6.353 6.416 Al 99.758 400,216 .00 4.0l 52517PLH1 6.400\ 08/30/2000 DD 09/26/'J7 A J'J'J,032.00 1. 97 .900,000.00 GENERAL HTRS CORP NTS 6.425 9.480 A2 101.SH 922,860.00 9. 22 370442AH8 'J.625\ 12/01/2000 DO 12/01/90 A 913,806.00 4.50 150,000.00 HORGAN J P ' CO MTN SR 00043 6.tJO 6.153 Al 99.546 149,625.00 1.50 61687YBUO 6.125\ 10/02/2000 DD 10/02/97 AA 149, 319. 00 .74 600,000.00 SEARS ROEBUCK ACCEP CORP NT 6.574 6.505 Al 99.928 599,760.00 6.05 812404-'f:l 6.500\ 06/15/2000 DD 06/ll/95 A-599,568,00 2.96 soo,000.00 BURLINGTON RES INC NT 6.578 9.575 Al 100.526 SOS,900.00 5.07 122014AB9 9 .625\ 06/15/2000 DD 06/28/90 A-502,630.00 2.48 soo,000.00 GTE CORP DEB 6.669 9,239 BAAl 101.472 512,080.00 5,12 362320AQ6 9.375\ 12/01/2000 A 507,360,00 2.so 475,000.00 FJNOVA CAP CORP 6.820 6.405 BAAl 99.525 473,031.25 4. 77 318074AF8 6.375\ lO/lS/2000 DD 10/11/95 A-472, 743. 75 2 • .33 soo,000.00 UGI UTILS INC MTN ITR 00006 6. 899 6.213 AJ 99.303 495, 845.00 5,01 90269QAF6 6.170\ 03/06/2001 DD 03/06/98 A-496,515.00 2.45 ---------------------------------------- TOTAL FlXEO INCOME SECURlTIES 5.Jll 5.974 9,922,160.53 100.00 9,901,145.25 48.81 ------------------------------------------TOTAL 5,512 3.686 20,307,643.12 100.00 20,286,627.84 100,00 ~==-=-~ YIJDANAL OCSF0752220i DISTRICT: LONG-TERH OPERATING YIELD ANALYSIS 2000/03/31 PAGE RUN DATE RUN TIME 3 04/06/00 13.20.16 ====~===-===============-====~====-==-----==================-=============-=-===-=--=·=======:==-===-==-----=======:===========-===---== PAR VALUE SECURITY ID SECURITY DESCRIPTION CASH & CASH EQUIVALENTS 1,112,352.49 DREYFUS TREASURY CASH MGHT 996085247 10,000,000.00 FEDERAL NATL MTG ASSN DISCOUNT 313588WK7 MATURES 05/04/2000 9,l00,000.00 GENERAL ELEC CAP DISC 36959HD79 04/07/2000 41 3001000.00 JBM CR CO(ll> DISC 44922ADA5 04/10/2000 18,200,000.00 FEDERAL HOH.E LN MTG CORP DISC lll396WB2 MATURES 03/07/2000 7001 000.00 OAIMLERCHRYLSER DISC 2338EODA1 04/10/2000 14,ooo,ooo.oo XEROX CORP DISC 98412CD89 04/17/2000 2,soo,000.00 CBA (DELAWAR) DISC l2478JDJ7 04/03/2000 7,0001000.00 GENERAL ELEC CAP DISC 36959SEK9 05/19/2000 2,700,000.00 EASTMAN KODAX CO DISC 27746AEJ4 05/18/2000 6001 000.00 USAA CAP CORP DISC 90328AF65 06/06/2000 s,Joo,000.00 ALUMINUM co AMER DISC 0222SAEC2 05/12/2000 41 700,000.00 USAA C.AP CORP DISC 90328AEF6 05/15/2000 4001 000.00 MONSANTO CO DISC 61166AFE4 06/14/2000 YTM AT CUR.RENT MOODY MARJtET BOOK YIELD S-P PRICE .ooo 5.629 5.859 .ooo 5.865 .ooo S.869 .ooo 5.878 .ooo 5,884 .ooo S.888 .ooo 5.913 .ooo 6.00!1 .ooo 6.041 .ooo 6.054 .ooo 6.078 .000 6,086 .ooo 6.157 .ooo P-1 A-1+ P-1 P-1 P-1 A-1+ P-1 P-1 P-1 P-1 P-1 P-1 P-1 100.000 99 . 001 98,999 99.094 99.254 99 .012 98.927 98.682 98.823 98.607 99.047 99 .079 TOTAL COST/ MARKET VALUE 1,112,352 .49 1,112,352.49 9,900, 111. ll 9,900, 111.11 8,222,307.39 8,222,307.39 4,?56,97'3 .72 4,256,973.72 18,0351 087.78 18,035,087.78 69't,77&.44 694' 77'6 .44 13,861,699.45 13,861,699.45 2,769,970.00 2,769,970.00 6,907,755.5& 6,907,75~L56 2 ,668,209.15 2 ,668,209.75 591,642.00 591,642.00 S,249,482.17 5,249,482.17 4,6561701.25 4,656,701.25 394,334.67 394,334,67 \ TYPE % TOTAL l. )6 .29 12 .16 2.57 10.10 2.13 s.22 1.10 22.15 4 .68 .es .1e 17.02 3.60 3.40 .72 8.48 l. 79 3.21 .69 .12 .15 6.44 1. 36 s. 72 1.21 .48 .10 YLDANAL YU?LD ANALYSIS PAGE 4 OCSF07522202 2000/03/31 RUN DATE 04/06/00 DISTRICT I LONG-TERM OPERATING RUN TIME 13.20.16 =-==-=---------==--===e==================:=-c:c=============================:===========,=========~=-===========---=========--=-= PAR VALUE YTH A'l' CURRENT HOO DY MARXET TOTAL COST/ ' TYPE SECURITY IO SECURITY DESCRIPTION BOOK YIELD S-P PRICE MAR:KET VALUE ' TOTAL -------------------------------------------------------------------------------------------- 2,100,000.00 FEDERAL NATL MTG ASSN DISCOUNT 13.393 .ooo P-1 98.969 2,078,349 .58 2 .ss ll3588W4 HAT 04/20/2000 A-1+ 2,018, 349 .s8 .54 -------------------------------------- TOTAL CASH & CASH EQUIVALENTS s. 790 .122 81,399,753.36 100.00 81,399,753 .36 21.11 FIXED INCOME SECURITIES 2,000,000.00 BANKERS TR NY CORP GLOBAL NT .000 S .188 Al 100.130 1,992,800.00 .6S 06636SDW4 FLTG RT 05/11/2003 DD 05/11/98 A-2,002,600.00 .52 1,soo,000.00 CHRYSLER FINL LLC HTN ITR0061S .ooo 6.142 Al 100.031 3 I 49 8, 6 JS. 00 1.15 17120QE80 FLTG RT 08/08/2002 DD 04/08/98 A+ 3 1 5011085.00 .91 3,000,000.00 CONSOLIDATED EDISON N y DEBS .000 6.178 Al 100.049 2 ,994,300.00 .98 209111CU5 FLTG RT 06/15/2002 DD Q6/20/97 A+ 3,001,470.00 .78 335,063.0S FRLHC GROUP t1e-60,;4 .ooo 6 .475 AAA 98.594 326,895.89 .10 31348SWZ3 6.384\ 01/01/2028 OD 12/01/97 AAA 330,352 .06 .09 2,000,000.00 FORD MTR CR CO GLOBAL NTS .ooo 6.243 Al 99.687 l,992,580.00 .65 345397RV7 FLTG RT 02/13/2003 DD 02/13/98 A 1,993,1 40.00 .s2 2,000,000.00 FORD MTR CR CO TERH ENHANCED .ooo 6 .215 Al 99.921 1,999,613.60 .65 34S397SC8 FLTG RT 08/27/2006 DD 08/27/98 A+ 1,998,420.00 .52 3,000,000.00 FORD MTR CR CO GLOBAL LANDffARJ< .000 6 .356 Al 99 .906 3,000,000.00 .98 345397SR5 FLTG RT 03/17/2003 DD 03/16/00 A+ 2,997,180.00 .78 3,000,000.00 GMAC HTN FLTG RT .ooo 6.525 A2 100,343 3,010,830,00 .98 37042WVR9 12/17/2001 DD 12/lS/98 A 3,010,290.00 .78 3,000,000.00 GENERAL ~TRS ACCEP t'l'R 00562 .ooo 6.264 A2 99.921 2,996,430.00 ,98 37042WSJ<O FL'l'G RT 02/14/2003 DD 02/14/00 A 2,997,630.00 .78 3 ,950,000.00 GMAC NTS FLTG RT .ooo 5.573 A2 99.903 3,918,768.50 1. 29 370425QVS 08/18/2003 OD 08/17/98 A 3,946,168.50 1.02 2,753,088.21 GNHA GTO REMIC TR 2000-9 FD .000 6.333 AM 99.801 2,753,088.21 .90 383784NX9 VAR RT 02/16/2030 AAA 2,747,60.9.56 .n 2,000,000.00 HELLER FINANCIAL INC NTS .ooo 6.495 Al 100.196 2 ,000,000.00 .65 423328BK8 FLTG RT 06/25/2001 DD 06/25/99 A-2,003,920 .00 .52 llLDJl.NAL YIELD ANALYSIS PAGE 5 OCSF07522202 2000/03/31 RUN DATE I 04/06/00 DISTRICT: LONG-TERH OPERATING RUN TIME I 13.20.16 ================-=::=::=== --a----=-~=====-=:::a.:=.~ PAR VALUE YTH AT CURRENT HOODll HAR.KET TOTAL COST/ ' TYPE SECURITY ID SECURITY DESCRIPTION SOOK Y1ELD S-P PRICE MARXET VALUE l TOTAL -----------------------------------~--------------------------------------------------------- 3,000,000.00 HELLER FINL HTH fTR 00246 .000 6.306 A3 99.903 3,000,000.00 .98 42333HLF7 FLTG RT 04/28/2001 DD 04/27/99 A-2 1 9!H1 090.00 .78 4,000,000.00 HOUSEHOLD FIN CO MTN .ooo 6 .410 A2 100.461 c,000,000.00 l. 32 441811CZA5 FLTG RT 06/24/2003 DD 06/24/98 A 4,018,520.00 l.04 1,000,000.00 HOUSEHOLD FIN MTN SR f 00570 .000 5 .730 A2 100.234 9U,188.90 .12 441811CZT4 FLTG RT 08/01/2001 DD 09/04/98 A 1,002,140.00 .26 2,100,000.00 LEHMAN BROS HLDGS MTN TR 00333 .ooo 6 .856 Al 100.102 2,322,179 .00 .76 52517PPW5 FLTG RT 04/01/2002 DD 03/29/99 A 2,316, 146 .oo ,60 5,000,000.00 LEHMAN BROS HLDGS MTN .ooo 6.659 Al 100.218 5,000,000.00 1.64 525171'QQ7 FLTG RT 12/12/2002 DD 12/07/99 A 5 ,010,900.00 l.30 1,100,000.00 HORGAN STAHLEY M'l'N tTR 00311 .ooo 6.167 AA3 99 .968 l,69ll,517.20 .55 61745ENY3 FLTG RT 01/28/2002 DD 01/27/00 A+ 1,699,456 .00 .44 2,855,918.71 STUDENT LN MKTG ASSN 98-2 Al .ooo 5.997 AAA 99.85ll 2,849,782.94 .93 78442G8AJ FLTG RT 04/25/2007 DD 06/18/98 AAA 2,851,89,9 .29 .74 8,636,896,00 US TREASURY INFLATION INDEX NT 3.703 3.636 AAA 99 .703 8,607,476.19 2.83 9128273A8 J ,625, 07/15/2002 DD 07/15/97 AAA 8,611,244.42 2 .23 19, 164, 780.00 US TREASURY iNFLATION INDEX NT 3.821 3.504 AAA 96 .312 i 8, 515, 997. 63 6.06 9128272Hl 3.175• 01/15/2007 DD 01/15/97 AAA 18,457,982.91 4.79 1,002,630 .00 US TREASURY INFLATION INDEX NT 4.338 4 .169 AAA 101.953 995,550.00 .33 9128275W8 t .250•001/15/2010 DD 01/15/oo AAA 1,022,211.36 .27 4,000,000.00 MORGAN STANLEY MTN fTR 00299 5.170 5.467 AAJ 99.875 3,997,788.00 1. 31 61745EKL1 FLTG RT 04/lS/2002 DD 04/15/99 A+ 3,995,ooo.oo 1 .04 2,100,000.00 U S TREASURY NOTES S.294 6.388 AAA 99.797 2, 167, 321.15 .68 9128272154 06.375\ 09/30/2001 DD 09/30/96 AAA 2,095, 737.00 .54 s,200,000.00 U S TREASURY BONDS 5.617 10 .165 AAA 116.828 6 ,698,250.00 1.99 9l2810DGO 11.875, 11/15/2003 DD 10/05/83 AAA 6,075,056.00 1.58 1,5001 000.00 ASSOCIATES CORP N A SR NTS 5.650 6 .599 AA3 98.493 1,543,215.00 .48 046003BY8 6.500\ 07/15/2002 OD 07/11/97 A+ 1,477,3.95.00 .38 1,000,000.00 HELLER FINANCIAL INC NTS 5 .760 5.890 Al 97.630 999,730.00 .32 42333Hl(JO 5 .750\ 09/25/2001 DD 09/25/98 A-976,300.00 .25 YLOANAL YIELD ANALYSIS PAGB 6 OCSF07S22202 2000/03/31 RUN DATE 04/06/00 DISTRICT: LONG-TERH OPERATING RUN TIK2 I 13.20. lti ==---=-----===--=-===-.-;::-=-==---===-=----=======-=~-=-====-=== = = =-=--~ PAR VALUE YTH AT CURRENT HOO DY HARJIBT TOTAL COST/ t TYPE SECURITY lD SECURITY DESCRIPTION BOOK YIELD S-P PRICE KAR.UT VALUE t TOTAL ------------------------------------------------------------------------------------- 2,005,000.00 SEARS ROEBUCIC ACCEP CORP HTN 5.804 6.139 .A3 97,046 2f060,739.00 .63 81240QGW6 6.540\ 02/20/2003 DD 02/20/97 A-1,945,772.30 .so 23,430,000.00 U S TREASURY NOTES 5.807 5.696 AAA 98.750 23,351,289.85 7.60 912827501 05.625\ 09/30/2001 DD 09/30/99 AAA 23,137,125.00 6.00 5,000,000.00 U S TREASURY NOTES 5.811 6.279 AAA 99 .531 5,086,402.25 1.63 9128272L5 06.250\ 02/28/2002 OD 02/28/97 AAA 4,976,550.00 1 .29 l,000,000.00 SEARS ROEBUCIC ACCEP CORP MTN 5.849 6. "182 Al 97. 765 3,073, 110.00 ·" 81240QJA1 6.630\ 07/09/2002 DD 07/09/97 A-2.,932,950.00 .76 6,000,000.00 NATIONSBAHK CHARLOTTE N C MTN 5.882 5 .850 AAl 100,000 5f996,400.00 1.97 63858JDE6 5.850\ 04/07/2000 DD 04/07/98 AA-6,000,000.00 1. 56 461,847.45 FBLMC MULTICL MTG P/C 1574 B S.912 S.937 99.375 461, 197.97 .15 3133'1'02D5 5.900\ 06/15/2017 458,960.90 .12 15,ooo,ooo.oo FEDERAL NATL MTG ASSN MTN 5,981 5.902 AAA 98.609 14;955,300,00 4 .86 31364G2VO 5,820\ 07/19/2001 DD 07/19/99 AAA 14, 791, 350.00 3 .84 2,soo,000.00 MERRILL LYNCH NOTES 5.995 6.t53 AAl 98.784 2,526,725.00 .81 S9018SXP4 6,375\ 10/01/2001 DD 10/03/97 AA-2,469,600.00 .64 1,soo,000.00 BBLLSOUTK TELECOMMUNICATIONS 6.010 6 .152 AA2 97.523 7,497,255.00 2.40 079867AXS 6,000\ 06/15/2002 DD 06/15/98 AAA 7 ,314, 225. 00 1.90 12,500,000.00 FEDERAL HOME LN HTG CORP DBBS 6.062 6.064 AAA 98.940 12,485,625.00 4.06 l134A3ZM1 6 .000\ 07/20/2001 DD 07/20/99 AAA 12,367,500.00 3.21 2,000,000.00 BAHICBOSTON CORP SR HTS 6.133 6.269 A2 97.698 1,999,600,00 .64 06605TAL6 6,125' 03/15/2002 DD 03/12/99 A l,953,960 .00 .51 45,021.06 FXFTH THIRD BX AUTO TR 96A CLA 6,200 6 .212 AAA 99.812 45,021.05 .01 31677EAA4 6.200\ 09/01/2001 DO 03/15/96 U,936.42 .01 1,000,000.00 POPULAR INC MTN fTR 00004 6 .201 6 .285 Al 98.646 1,000,000.00 .32 73317PAD1 6.200\ 04/30/2001 DD 04/21/99 888+ 986,460.00 .26 2 1 4781 ll5.75 FKLHC HULTICLASS CTF 2146 QT 6.207 6.170 AAA 97.250 2,434,391.17 .79 3133TXXU3 6.000\ 11/15/2011 AAA 2,409,987.02 .63 377,576.09 GREEN TREB CORP 99-D CL A-1 6 .290 6.308 AAA 99, 718 377,576,09 .12 3935052Y7 6.290\ 10/15/2013 DD 08/26/99 AAA 376,511.33 .10 YLDANAL YIELD ANALYSIS PAGE 7 OCSF07522202 2000/03/31 RUN DA';l'E 04/06/00 DISTRICT1 LONG-TERM OPERATING RUN TIME I 13.20.16 ====;===-:-=~--~:=~~~~==-=-==-====-:::::s==== =oc: c---=-=z -==-=-- PAR VALUE YTH AT CURR.ENT MOODY MARKET TOTAL COST/ ' TYPE SECURITY ID SECURITY DESCRIPTION BOOK YIELD S-P PRICE ~T VALUE \ TOTAL -------------------------·---------------------------------------------------------------- 4,500,000.00 FEDERAL NATL MTG ASSN MTN 6.291 6.316 AAA 98.641 4, 488, 705 .oo 1.45 31364CXV5 6,230• 03/01/2002 DD 03/03/97 AAA 4,438,845.00 1.15 3,065,542.18 FHLMC HULTICLASS CTF El A 6.316 6.355 AAA 95.960 3,068,894.87 .96 3133TCE95 VAR RT 08/15/2032 AAA 2,941,694 .28 . u. 2,000,000.00 BEAR STEAR!f S COS INC 6.330 6.899 A2 97.845 2,031,960.00 .64 073902AH1 6.750• 04/15/2003 A 1,956,900.00 .51 6,2so,ooo.oo COMMIT TO PUR GNHA SF MTG 6.492 6 .557 AAA 91.500 5,662,109.38 1. 88 01N060643 6.000\ 04/15/2029 AAA s,118,750.00 1.48 2,000,000.00 FBLHC HULTICLASS CTF Tll A6 6.496 6.818 AAA 95,336 2,000,888.00 .62 3133TOPV2 6.500• 09/25/2019 MA 1,906,720.00 .49 11,250,000.00 COMMIT TO PUR GNMA II ARMS 6,501 6.559 MA 99.094 11,137,109.38 3.66 168062651 6 .500\ 05/20/2030 AAA 11,148,075.00 2.89 2,410,486.00 FBLHC HULTICLASS CTF SER 1620Z 6.526 7. 059 AAA 84.998 2,254,346.06 .67 3133Tl1A4 6.ooo• 11/15/2023 DD 11/01/93 MA 21 0'81 862.72 .53 23,000,000.00 11 S TREASURY NOTES 6.621 6.446 AAA 100,844 22,850,859,38 7.62 912827162 06.500, 10/15/2006 DD 10/15/96 AAA 23, 194, 120.00 6.02 8,681, 791.64 FBJ.HC GROUP fG5-0476 6.628 7.060 AAA 99.154 8,817,4U.62 2.83 312BDDQ55 7.000\ 02/01/2003 DD 02/01/98 AAA 8,608,343.68 2.23 21,soo,000.00 COMMIT TO PUR GNHA SF MTG 6.673 6.892 AAA 94.312 20,015,156.25 6.66 01N06260 6.500\ 04/15/2030 AAA 20,277,090.00 5.26 1,977,123.27 GHHA II POOL f080088M 6.705 6.327 AAA 100. 766 2,020,372.84 .6S 36225CC20 VAR RT 06/20/2027 OD 06/01/97 AAA 1,992,268.03 .s2 10,500,000.00 FEDERAL BOMB LK MTG CORP DEBS 6 . 711 6.532 AAA 96.453 10 ,323,075.00 3.33 3134A3TCO 6,lOOt 06/01/2004 DD 06/01/99 AM l0,127,565.00 2.63 2,000,000.00 HARSH ' MCLENNAN COS INC SR NT 6. 717 6.841 A2 96 .841 1,992,280.00 .63 571748AB8 6.625t 06/15/2004 DD 06/14/99 AA-1,936,820.00 .so 3,000,000.00 FORD MTR CR CO GLOBAL LAffDMARX 6.139 6.894 Al 91.189 2,995,oeo.oo .95 345397S.J3 6.70Qt 07/1&/2004 DD 07/l&/99 A+ 2,915,li70.00 . 7' 900,000,00 FEDERAL HOME LN BK CONS BOS 6.777 6.772 AAA 99.672 899,550.00 .29 ll33HAQ.Jl 6.750\ 02/01/2002 DD 02/01/00 AAA 897,048.00 .23 YLOANAL YIELD ANALYSIS PAGE 8 OCSF07522202 2000/03/31 RUN DATE 04/06/00 OlSTRlCTt LONG-TERH OPERATING RUN TIME 13.20.16 ==:=---:==:=-==m w ™-~=====:a --== -=== ~-=-·---.--:.==:==== PAR VALUE YTH AT CURRENT MOODY HAU ET TOTAL COST/ \ TYPE SECURITY JO SECURITY DESCRIPTION BOO.It YIELD S-P PRICE HAR.ltBT VALUE \ TOTAL ---------------------------------------------------------------~--------------------- 2,500,000.00 COUNTRYWIDE HOME LHS INC NT 6 .866 7.080 Al 96.758 2,498,400.00 .19 22237UAB8 6 ,850\ 06/15/2004 DD 06/24/99 A 2 ,'418, 950. 00 .63 1,4831 979.50 GNHA II.POOL 10080023 6.992 7.059 AAA 100.938 1,508,557.91 .49 36225CAZ9 7.125\ 12/20/2026 DD 12/01/96 AAA 1,497,899.23 .39 2,000,000.00 GHHA GTD RBJClC TR 2000-2 PA 7.014 7.047 AAA 99.328 1,996,975.00 .65 3837U3C70 7.000\ 12/20/2022 AAA 1,986,560.00 .52 2,100,000.00 FEDERAL HA'J'L MTG ASSN DEBS 7,113 6,889 AAA 96.172 2,030,133.00 .66 3ll59MEY5 6,625\ 09/15/2009 DD 09/01/99 AAA 2,019,612.00 .52 2,000,000.00 COMMIT TO PUR GNHA SF MTG 7.298 1.no AAA 101.lU 2 1 007,187.SO .66 01N08064l 8.000\ 04/15/2030 AAA 2,0221920.00 .52 2,000,000.00 LONG ISLAND LTG CO DEB 7 .SU 8.437 BAAl 97 .191 2,151,250.00 .63 54267lC'1"7 8.200\ 03/15/2023 DD 03/28/93 A-1,943,820.00 .so 1,121,469.79 GR.l!YSTONE SVCNG CORP PUA 195-7 7.564 7.540 AAA 98.539 1,302,163.94 .42 398lOIAE4 7.430\ 06/01/2003 DO 02/29/00 AAA 1,302,163.94 .34 1,000,000.00 FORD MOTOR CR CO NT 7.580 6.968 Al 96.868 965,170.00 .31 345397GV9 6.750\ 05/15/2005 A+ 968,680.00 .25 975,755.58 WHP/BUNTOON PAIGE 1000-11150 7.6U 7.667 AAA 97.828 954,563.39 .]l 302998GE3 7.500\ 12/01/2030 DD 10/21/99 AAA 954,563.39 .25 9,600,000,00 U S TREASURY BONDS 7 .966 8.821 AAA 141. 703 13,314,211.20 4,47 912810DL9 12.500\ 08/15/2014 DO 08/15/84 AAA 13,603,488.00 3.53 ------------------------·---------------TOTAL FIXED INCOME SECURITIES 3.951 5.985 306,5H;, 162.31 100.00 304,130,90.34 78.91 ·---------------------------------TOTAL 4.087 5 .551 397,915,915.67 100.00 385,530,702.70 100.00 = ~ =====:==== OCSGOOOJ 0000 OCSD-CONSOL/DATED SHARES/PAR SECURITY ID TRANSCODE ORANGE COUNTY SANITATION DISTRICT PORTFOLIO DETAIL 01-MAR-2000-31-MAR-2000 TRANSACTION DESCRIPTION/ BROKER TRADE DATE/ SETTLDATE/ COMPLDATE RECEIPTS AND DISBURSEMENT TRANSACTIONS OTHER ADMJNISTRATIVE EXPENSES LONG TERM OPER-PIMCO 0.00 FED WIRE FEES Ol-Mar-2000 99366Y204 GOLDMAN SACHS LP REPO cw Ol-Mar-2000 LONG TERM OPER-PIMCO 0.00 FED WIRE FEES 02-Mar-2000 99366Y832 LEHMAN BROTHERS REPO cw 02-Mar-2000 LONG TERM OPER-PIMCO 0.00 FED WIRE FEES 03-Mar-2000 99367A080 LEHMAN BROTHERS REPO cw 03-Mar-2000 LONG TERM OPER-PIMCO 0.00 FED WIRE FEES FOR FEB 06-Mar-2000 NA9 123459 cw 06-Mar-2000 LONG TERM OPER-PIMCO 0.00 FED WIRE FEES 06-Mar-2000 993678179 LEHMAN BROTHERS REPO cw 06-Mar-2000 LIQUID OPER-PlMCO 0.00 FED WIRE FEES FOR FEB 06-Mar-2000 NA9123459 cw 06-Mar-2000 07-Apr-2000 15:57:14 PAGE: 1 AMOUNT/ COST/ GAIN/LOSS -3.40 0.00 0.00 -1.70 0.00 0.00 -1.70 0.00 0.00 -'20.40 0.00 0.00 -l.70 0.00 0.00 -I l.05 0.00 0.00 Executive Workbench OCSGOOOJ 0000 OCSD·CONSOLIDATED SHARES/PAR SECURITY ID TRANSCODE PURCHASES 0.00 99367C219 cw CASH & CASH EQUIVALENTS 3,800,000.00 3l3384VZ9 B 3,800,000.00 313384VZ9 FC 31,500,000.00 99366Y832 B 3 I ,500,000.00 99366Y832 FC 77,058.20 996085247 B 07-Apr-2000 15:57: 14 ORANGE COUNTY SANITATION DISTRICT PORTFOLIO DETAIL 01-MAR-2000 -31-MAR-2000 TRANSACTION DESCRIPTION/ BROKER LONG TERM OPER-PIMCO FED WIRE FEES LEHMAN BROTHERS REPO LIQUID OPER-PIMCO FEDERAL HOME LN BK CONS DISC MAT 04/24/2000 MORGAN STANLEY &CO INC, NY LIQUID OPER-PIMCO FEDERAL HOME LN BK CONS DISC MAT 04/24/2000 MORGAN STANLEY & CO INC, NY LONG TERM OPER-PIMCO LEHMAN BROTHERS REPO 05.570% 03/02/2000 DD 03/01/ LEHMAN BROS INC, NEW YORK LONG TERM OPER-PIMCO LEHMAN BROTHERS REPO 05.570% 03/02/2000 DD 03/0l/ LEHMAN BROS INC, NEW YORK LONG TERM OPER·PIMCO DREYFUS TREASURY CASH MGMT TRADE DATE/ SETTLDATE/ COMPLDATE 07-Mar-2000 07-Mar-2000 Ot-Mar-2000 Ol-Mar-2000 Ol-Mar-2000 0 l-Mar-2000 Ol-Mar-2000 Ol-Mar-2000 Ol-Mar-2000 Ol-Mar-2000 Ol-Mar-2000 01-Mar-2000 02-Mar-2000 02-Mar-2000 PAGE: 2 AMOUNT/ COST/ GAIN/LOSS -1.70 0.00 0.00 -3, 766,940.00 3, 766,940.00 0.00 -3, 766,940.00 0.00 0.00 ·31,500,000.00 31,500,000.00 0.00 -31 ,500,000.00 0.00 0.00 -77,058.20 77,058.20 0.00 Executive Workbench @ ORANGE COUNTY SANITATION DISTRICT PAGE: 3 PORTFOLIO DETAIL OCSGOOOJ 0000 Ol-MAR-2000-31-MAR-2000 OCSD-CONSOLTDATED SHARES/PAR TRADE DATE/ AMOUNT/ SECURITY ID TRANSACTION DESCRIPTION/ SETTLDATE/ COST/ TRANSCODE BROKER COMPLDATE GAIN/LOSS LONG TERM OPER-PIMCO 77,058.20 DREYFUS TREASURY CASH MGMT 02-Mar-2000 -77,058.20 996085247 02-Mar-2000 0.00 FC 02-Mar-2000 0.00 LIQUID OPER-PIMCO 2,500,000.00 FEDERAL NATL MTG ASSN DISCOU 02-Mar-2000 -2,499,617.36 313588TV7 MAT 03/03/2000 02-Mar-2000 2,499,617.36 B GOLDMAN SACHS & CO, NY 0.00 LIQUID OPER-PIMCO 2,500,000.00 FEDERAL NA TL MTG ASSN DISCOU 02-Mar-2000 -2,499,617.36 313588TV7 MAT 03/03/2000 02-Mar-2000 0.00 FC GOLDMAN SACHS & CO, NY 02-Mar-2000 0.00 LONG TERM OPER-PIMCO 28,600,000.00 LEHMAN BROTHERS REPO 02-Mar-2000 -28,600,000.00 99367A080 05.600% 03/03/2000 DD 03/02/ 02-Mar-2000 28,600,000.00 B LEHMAN BROS INC, NEW YORK 0.00 LONG TERM OPBR-PIMCO 28,600,000.00 LEHMAN BROTHERS REPO 02-Mar-2000 -28,600,000.00 99367A080 05.600% 03/03/2000 DD 03/02/ 02-Mar-2000 0.00 fC LEHMAN BROS INC, NEW YORK 02-Mar-2000 o.oo LONG TERM OPER·PIMCO I,404,336.08 DREYFUS TREASURY CASH MGMT 03-Mar-2000 -1,404,336.08 996085247 03-Mar-2000 1,404,336.08 B 0.00 LONG TERM OPER-PIMCO 1,404,336.08 DREYFUS TREASURY CASH MGMT 03-Mar-2000 -1,404,336.08 996085247 03-Mar-2000 0.00 PC 03-Mar-2000 0.00 07-Apr-2000 15:57: 14 Executive Workbench @ ORANGE COUNTY SANITATION DISTRICT PAGE: 4 PORTFOLIO DETAIL OCSGOOO I 0000 Ol-MAR-2000 -31-MAR-2000 OCSD-CONSOLJDATED SHARES/PAR TRADE DATE/ AMOUNT/ SECURITY ID TRANSACTION DESCRIPTION/ SETTLDATE/ COST/ TRANSCODE BROKER COMPLDATE GAIN/LOSS LIQUID OPER-PlMCO 2,500,000.00 FEDERAL NATL MTG ASSN orscou 03-Mar-2000 -2,498,825.00 313588TYl MAT 03/06/2000 03-Mar-2000 2,498,825.00 B GOLDMAN SACHS & CO, NY 0.00 LIQUID OPER-PIMCO 2,500,000.00 FEDERAL NATL MTG ASSN DISCOU 03-Mar-2000 -2,498,825.00 313588TY1 MAT 03/06/2000 03-Mar-2000 0.00 FC GOLDMAN SACHS & CO, NY 03-Mar-2000 0.00 LONG TERM OPER-PIMCO 17,300,000.00 LEHMAN BROTHERS REPO 03-Mar-2000 -17,300,000.00 993678179 05.650% 03/06/2000 DD 03/03/ 03-Mar-2000 17,300,000.00 B LEHMAN BROS INC, NEW YORK 0.00 LONG TERM OPER-PlMCO I 7,300,000.00 LEHMAN BROTHERS REPO 03-Mar-2000 -17,300,000.00 993678179 05.650% 03/06/2000 DD 03/03/ 03-Mar-2000 0.00 FC LEHMAN BROS INC, NEW YORK 03-Mar-2000 0.00 LONG TERM OPER-PIMCO 10,000,000.00 FEDERAL NATL MTG ASSN DISCOU 03-Mar-2000 -9,900, 111.1) 313588WK7 MATURES 05/04/2000 03-Mar-2000 9,900, 111.11 B MERRILLLYNCHPIERCEFENNER 0.00 LONG TERM OPER-PIMCO 10,000,000.00 FEDERAL NATL MTG ASSN DISCOU 03-Mar-2000 -9,900, 111.1 l 313588WK7 MA TURES 05/0412000 03-Mar-2000 0.00 FC MERRILL LYNCH PIERCE FENNER 03-Mar-2000 0.00 LONG TERM OPER-PIMCO 17,400,000.00 LEHMAN BROTHERS REPO 06-Mar-2000 -17,400,000.00 99367C219 05.630% 03/07/2000 DD 03/06/ 06-Mar-2000 17,400,000.00 B LEHMAN BROS lNC, NEW YORK 0.00 07-Apr-2000 15:57: 14 Executive Workbench OCSGOOOJ 0000 OCSD-CONSOLIDAJ'ED SHARES/PAR SECURITY ID TRANSCODE 17,400,000.00 99367C219 FC 900,000.00 38142TEQ4 B 900,000.00 38142TEQ4 FC 2,500,000.00 313588TZ8 B 2,500,000.00 313588TZ8 FC 67,631.69 996085247 B 67,631.69 996085247 FC 07-Apr-2000 . 15:57:14 ORANGE COUNTY SANITATION DISTRICT PORTFOLIO DETAIL 01-MAR-2000 -31-MAR-2000 TRANSACTION DESCRIPTION/ BROKER LONG TERM OPER-PIMCO LEHMAN BROTHERS REPO 05.630% 03/07/2000 DD 03/06/ LEHMAN BROS INC, NEW YORK LIQUID OPER-PIMCO GOLDMAN SACHS GROUP LP DISC 05/24/2000 GOLDMAN SACHS & CO, NY LIQUID OPER-PIMCO GOLDMAN SACHS GROUP LP DISC 05/24/2000 GOLDMAN SACHS & CO, NY LIQUID OPER-PIMCO FEDERAL NATL MTG ASSN DISC N MATURES 03/07/2000 MERRILL LYNCH PIERCE FENNER LIQUlD OPER·PIMCO FEDERAL NATL MTG ASSN DISC N MATURES 03/07/2000 MERRILL LYNCH PIERCE PENNER LONG TERM OPER-PIMCO DREYFUS TREASURY CASH MGMT LONG TERM OPER-PIMCO DREYFUS TREASURY CASH MGMT TRADE DATE/ SETTLDATE/ COMPLDATE 06-Mar-2000 06-Mar-2000 06-Mar-2000 06-Mar-2000 06-Mar-2000 06-Mar-2000 06-Mar-2000 06-Mar-2000 06-Mar-2000 06-Mar-2000 06-Mar-2000 06-Mar-2000 06-Mar-2000 07-Mar-2000 07-Mar-2000 07-Mar-2000 07-Mar-2000 07-Mar-2000 PAGE: 5 AMOUNT/ COST/ GAIN/LOSS -17,400,000.00 0.00 0.00 -888,288.25 888,288.25 0.00 -888,288.25 0.00 0.00 -2,499,613.19 2,499,613.19 0.00 -2,499,613.19 0.00 0.00 -67,631.69 67,631.69 0.00 -67,631.69 0.00 0.00 Executive Workbench @ ORANGE COUNTY SANITATION DISTRICT PAGE: 6 PORTFOLIO DETAIL OCSGOOOJOOOO 01-MAR-2000 -31-MAR-2000 OCSD-CONSOLJDATED SHARES/PAR TRADE DATE/ AMOUNT/ SECURITY ID TRANSACTION DESCRIPTION/ SETTLDATE/ COST/ TRANSCODE BROKER COMPLDATE GAIN/LOSS LIQUID OPER-PIMCO 2,100,000.00 FEDERAL NATL MTG ASSN OISCOU 07-Mar-2000 -2,077,894.58 313588WSO MAT 05/11/2000 07-Mar-2000 2,077,894.58 B LEHMAN GOVT SECS INC, NY 0.00 LIQUID OPER-PIMCO 2, l 00,000.00 FEDERAL NATL MTG ASSN DISCOU 07-Mar-2000 -2,077 ,894.58 3!3588WSO MAT 05/11/2000 07-Mar-2000 0.00 PC LEHMAN GOVT SECS INC, NY 07-Mar-2000 0.00 LONG TERM OPER-PJMCO 18,200,000.00 FEDERAL HOME LN MTG CORP DIS 07-Mar-2000 -18,035,087.78 313396WH2 MATURES 03/0712000 07-Mar-2000 18,035,087.78 B GOLDMAN SACHS & CO, NY 0.00 LONG TERM OPER-PIMCO 18,200,000.00 FEDERAL HOME LN MTG CORP DIS 07-Mar-2000 -18,035,087. 78 313396WH2 MA TURES 03/07 /2000 07-Mar-2000 0.00 fC GOLDMAN SACHS & CO, NY 07-Mar-2000 0.00 LONG TERM OPER-PIMCO 2, 700,000.00 EASTMAN KODAK CO DISC 08-Mar-2000 -2,668,209.75 27746AEJ4 05/18/2000 08-Mar-2000 2,668,209.75 B MORGAN JP SECS -FIXED INCO 0.00 LONG TERM OPER-PJMCO 2,700,000.00 EASTMAN KODAK CO DISC 08-Mar-2000 -2,668,209. 75 27746AEJ4 05/18/2000 08-Mar-2000 0.00 FC MORGAN J P SECS -FIXED INCO 08-Mar-2000 0.00 LIQUID OPER-PIMCO 51,379.68 DREYFUS TREASURY CASH MGMT IO-Mar-2000 -51,379.68 996085247 10-Mar"2000 51,379.68 B 0.00 07-Apr-2000 15:57:14 Executive Workbench 8 ORANGE COUNTY SANITATION DISTRICT . PAGE: 7 PORTFOLIO DETAIL OCSGOOOJ 0000 01-MAR-2000 -31-MAR-2000 OCSD-CONSOLIDATED SHARES/PAR TRADE DATE/ AMOUNT/ SECURITY ID TRANSACTION DESCRIPTION/ SETILDATE/ COST/ TRANSCODE BROKER COMPLDATE GAIN/LOSS LIQUID OPER-PIMCO 51,379.68 DREYFUS TREASURY CASH MGMT 10-Mar-2000 -51,379.68 996085247 10-Mar-2000 0.00 FC 10-Mar-2000 0.00 LONG TERM OPER-'PIMCO l, 120,362.97 DREYFUS TREASURY CASH MGMT I O-Mar-2000 -1 ,120,362.97 996085247 10-Mar-2000 1,120,362.97 B 0.00 LONG TERM OPER-PIMCO I, 120,362.97 DREYFUS TREASURY CASH MGMT I O-Mar-2000 -1.120,362.97 996085247 10-Mar-2000 0.00 FC 1 O-Mar-2000 0.00 LONG TERM OPER-PIMCO 1,300,000.00 DISNEY WALT CO DISC 13-Mar-2000 -1,299,582.56 2546ROCF5 03/15/2000 13-Mar-2000 1,299,582.56 B LEHMAN GOVT SECS INC, NY 0.00 LONG TERM OPER-PIMCO 1,300,000.00 DISNEY WALT CO DISC 13-Mar-2000 -1,299,582.56 2546ROCF5 03/1512000 l 3-Mar-2000 0.00 FC LEHMAN GOVT SECS INC, NY 13-Mar-2000 0.00 LONG TERM OPER·PIMCO 600,000.00 USAA CAP CORP DISC 14-Mar-2000 -591,642.00 90328AF65 06/06/2000 14-Mar-2000 591,642.00 B MERRILL LYNCH PIERCE FENNER o.oo LONG TERM OPER-PIMCO 600,000.00 USAA CAP CORP DISC 14-Mar-2000 -591,642.00 90328AF65 06/06/2000 l 4-Mar-2000 o.oo FC MERRILL LYNCH PIERCE FENNER 14-Mar-2000 0.00 fT7-Apr-2000 15:57: 14 Executive Workbench ~ ORANGE COUNTY SANITATION DISTRICT PAGE: 8 PORTFOLIO DETAIL OCSGOOOJ 0000 01-MAR-2000 -31-MAR-2000 OCSD-CONSOLJDATED SHARES/PAR TRADE DATE/ AMOUNT/ SECURITY ID TRANSACTION DESCRIPTION/ SETTLDATE/ COST/ TRANSCODE BROKER COMPLDATE GAINILOSS LIQUID OPER-PIMCO 27,026.67 DREYFUS TREASURY CASH MGMT I 5-Mar-2000 -27,026.67 996085247 I 5-Mar-2000 27,026.67 B 0.00 LIQUID OPER-PIMCO 27,026.67 DREYFUS TREASURY CASH MGMT 15-Mar-2000 -27,026.67 996085247 15-Mar-2000 0.00 FC I 5-Mar-2000 0.00 LONG TERM OPER-PIMCO 658,224.41 DREYFUS TREASURY CASH MGMT 15-Mar-2000 -658,224.41 996085247 15-Mar-2000 658,224.41 B 0.00 LONG TERM OPER-PIMCO 658,224.41 DREYFUS TREASURY CASH MGMT 15-Mar-2000 -658,224.41 996085247 I 5-Mar-2000 0.00 FC 15-Mar-2000 0.00 LONG TERM OPER-PIMCO 17,948.76 BSDT-LATE MUNEY DEPOSIT ACCT 15-Mar-2000 -17,948.76 996087094 15-Mar-2000 17,948.76 B 0.00 LIQUID OPER-PIMCO 500,000.00 FEDERAL HOME LN MTG CORP DIS 15-Mar-2000 -497,223.33 313396VT7 MAT 04/18/2000 15-Mar-2000 497,223.33 B CREDIT SUISSE FIRST BOSTON C 0.00 LIQUID OPER·PJMCO 500,000.00 FEDERAL HOME LN MTG CORP DIS 15-Mar-2000 -497,223.33 3l3396VT7 MAT 04/18/2000 15-Mar-2000 0.00 FC CREDIT SUISSE FIRST BOSTON C l 5-Mar-2000 0.00 07-Apr-2000 15:57:14 &ecu/ive Workbench @ ORANGE COUNTY SANITATION DISTRICT PAGE: 9 PORTFOLIO DETAIL OCSGOOO 10000 01-MAR-2000 -31-MAR-2000 OCSD-CONSOLIDATED SHARES/PAR TAADEDATE/ AMOUNT/ SECURITY ID TRANSACTION DESCRIPTION/ SETTLDATE/ COST/ TRANSCODE BROKER COMPLDATE GAJN/LOSS LONG TERM OPER-PIMCO 1,300,000.00 XEROX CR CORP DlSC 15-Mar-2000 -1,299' 786. 94 98412MCGO 03/16/2000 t 5-Mar-2000 1,299, 786.94 B GOLDMAN SACHS & CO, NY 0.00 LONG TERM OPER-PIMCO U00,000.00 XEROX CR CORP DISC l 5-Mar-2000 -1,299,786.94 98412MCGO 03/1612000 15-Mar-2000 0.00 FC GOLDMAN SACHS & CO, NY l 5-Mar-2000 0.00 LONG TERM OPER-PIMCO 79,096.99 DREYFUS TREASURY CASH MGMT 16-Mar-2000 -79,096.99 996085247 16-Mar-2000 79,096.99 B 0.00 LONG TERM OPER-PIMCO 79,096.99 DREYFUS TREASURY CASH MGMT l 6-Mar-2000 -79,096.99 996085247 16-Mar-2000 0.00 FC l 6-Mar-2000 0.00 LONG TERM OPER-PIMCO 61,658.46 BSDT-LATE MONEY DEPOSIT ACCT 16-Mar-2000 -61 ,658.46 996087094 l 6-Mar-2000 61,658.46 B 0.00 LONG TERM OPER-PIMCO 5,300,000.00 ALUMINUM CO AMER DISC 16-Mar-2000 -5,249,482.17 02225AEC2 05/12/2000 16-Mar-2000 5,249,482.17 B CREDIT SUISSE FIRST BOSTON C 0.00 LONG TERM OPER-PIMCO 5,300,000.00 ALUMINUM CO AMER DISC 16-Mar-2000 -5,249,482.17 02225AEC2 05/12/2000 16-Mar-2000 0.00 FC CREDIT SUISSE FIRST BOSTON C l 6-Mar-2000 0.00 07-Apr-2000 15:57:14 Executive Workbench OCSGOOOJ 0000 OCSD-CONSOLIDATED SHARES/PAR SECURITY ID TRANSCODE 4,579.58 996085247 B 4,579.58 996085247 FC 83,352.16 996085247 B 83,352.16 996085247 FC 4,700,000.00 90328AEF6 B 4,700,000.00 90328AEF6 PC 400,000.00 61 l66AFE4 B 07-Apr-2000 15:57: 14 ORANGE COUNTY SANITATION DISTRICT PORTFOLIO DETAIL Ol-MAR-2000-31-MAR-2000 TRANSACTION DESCRIPTION/ BROKER LIQUID OPER-PIMCO DREYFUS TREASURY CASH MGMT LIQUID OPER-PIMCO DREYFUS TREASURY CASH MGMT LONG TERM OPER-PlMCO DREYFUS TREASURY CASH MGMT LONG TERM OPER-PIMCO DREYFUS TREASURY CASH MGMT LONG TERM OPER-PIMCO USAA CAP CORP DISC 05/1512000 MERRILL LYNCH PIERCE FENNER LONG TERM OPER-PIMCO USAA CAP CORP DISC 05/15/2000 MERRILLLYNCHPlERCEFENNER LONG TERM OPER-PIMCO MONSANTO CO DISC 06/14/2000 GOLDMAN SACHS & CO, NY TRADE DATE/ SETTLDATE/ COMPLDATE 20-Mar-2000 20-Mar-2000 20-Mar-2000 20-Mar-2000 20-Mar-2000 20-Mar-2000 20-Mar-2000 20-Mar-2000 20-Mar-2000 20-Mar-2000 21-Mar-2000 21-Mar-2000 2 l-Mar-2000 21 -Mar-2000 21-Mar-2000 22-Mar-2000 22-Mar-2000 PAGE: 10 AMOUNT/ COST/ GAIN/LOSS -4,579.58 4,579.58 0.00 -4,579.58 0.00 0.00 -83,352.16 83,352.16 0.00 -83,352.16 0.00 0.00 -4,656, 701.25 4,656, 70 l. 25 0.00 -4,656,701.25 0.00 0.00 -394,334.67 394,334.67 0.00 Executive Workbench @ ORANGE COUNTY SANITATION DISTRICT PAGE.: 11 PORTFOLIO DETAIL OCSGOOOJ 0000 01-MAR-2000 -31-MAR-2000 OCSD-CONSOLIDATED SHARES/PAR TRADE DATE/ AMOUNT/ SECURITY ID TRANSACTION DESCRIPTION/ SETTLDATE/ COST/ TRANSCODE BROKER COMPLDATE GAIN/LOSS LONG TERM OPER-PIMCO 400,000.00 MONSANTO CO DISC 22-Mar-2000 -394,334.67 61166AFE4 06/14/2000 22-Mar-2000 0.00 FC GOLDMAN SACHS & CO, NY 22-Mar-2000 0.00 LONG TERM OPER-PlMCO 56,103.33 DREYFUS TREASURY CASH MGMT 23-Mar-2000 -56,103.33 996085247 23-Mar-2000 56,103.33 B 0.00 LONG TERM OPER-PlMCO 56,103.33 DREYFUS TREASURY CASH MGMT 23-Mar-2000 -56, 103.33 996085247 23-Mar-2000 0.00 FC 23-Mar-2000 0.00 LONG TERM OPER-PIMCO 65,115.56 DREYFUS TREASURY CASH MGMT 24-Mar-2000 -65,l 15.56 996085247 24-Mar-2000 65,) 15.56 B 0.00 LONG TERM OPER-PlMCO 65,115.56 DREYFUS TREASURY CASH MGMT 24-Mar-2000 -65,115.56 996085247 24-Mar-2000 o.oo FC 24-Mar-2000 0.00 LONG TERM OPER-PIMCO 77,785.94 DREYFUS TREASURY CASH MGMT 27-Mar-2000 -77,785.94 996085247 27-Mar-2000 77,785.94 B 0.00 LONG TERM OPER-PIMCO 77,785.94 DREYFUS TREASURY CASH MGMT 27-Mar-2000 -77,785.94 996085247 27-Mar-2000 0.00 FC 27-Mar-2000 o.oo 07-Apr-2000 I 5:57: 14 Executive Workbench OCSGOOOJOOOO OCSD-CONSOLJDATED SHARES/PAR SECURIT\' ID TRANSCODE 6,664.69 996085247 B 6,664.69 996085247 PC 722,585.09 996085247 B 722,585.09 996085247 FC FIXED INCOME SECURITIES 10,500,000.00 OIN06263t FC l l,000,000.00 01N062631 FC 6,250,000.00 OIN060635 FC 07-Apr-2000 15:57;14 ORANGE COUNTY SANITATION DISTRICT PORTFOLIO DETAIL Ol-MAR-2000 -31-MAR-2000 TRANSACTION DESCRIPTION/ BROKER LONG TERM OPER-PIMCO DREYFUS TREASURY CASH MGMT LONG TERM OPER-PIMCO DREYFUS TREASURY CASH MGMT LONG TERM OPER-PIMCO DREYFUS TREASURY CASH MGMT LONG TERM OPER-PIMCO DREYFUS TREASURY CASH MGMT LONG TERM OPER-PIMCO COMMIT TO PUR. GNMA I SF MTG 6.500% 03/15/2029 MERRILL LYNCH PIERCE FENNER LONG TERM OPER.-PIMCO COMMIT TO PUR GNMA I SF MTG 6.500% 03/15/2029 BEAR STEARNS & CO INC, NY LONG TERM OPER-PIMCO COMMIT TO PUR GNMA SF MTG 6.000% 03/15/2029 GOLDMAN SACHS & CO, NY TRADE DATE/ SETTLDATE/ COMPLDATE 29-Mar-2000 29-Mar-2000 29-Mar-2000 29-Mar-2000 29-Mar-2000 3 t-Mar-2000 31-Mar-2000 31-Mar-2000 3 l-Mar-2000 3 t -Mar-2000 02-Feb-2000 22-Mar-2000 22-Mar-2000 02-Feb-2000 22-Mar-2000 22-Mar-2000 14-Feb-2000 22-Mar-2000 22-Mar-2000 PAGE: 12 AMOUNT/ COST/ GAIN/LOSS -6,664.69 6,664.69 0.00 -6,664.69 0.00 0.00 -722,585.09 722,585.09 0.00 -722,585.09 0.00 0.00 -9,699,375.00 0.00 0.00 -10,161,250.00 0.00 0.00 -5,593, 750.00 0.00 0.00 Executive 1forkbench OCSGOOOJ 0000 OCSD.CONSOLIDATED SHARES/PAR SECURITY ID TRANSCODE 1,321,469.79 39810#AE4 B l,32 1,469.79 39810#AE4 IB l,32 1,469.79 39810#AE4 FC 25,000,000.00 912827Z62 PC 3,000,000.00 209111CU:5 FC 3,500,000.00 9128274Q2 B 3,500,000.00 9128274Q2 IB 07-Apr-ZOOO 15: 57: 14 ORANGE COUNTY SANITATION DISTRICT PORTFOLIO DETAIL 01-MAR-2000 -31-MAR-2000 TRANSACTION DESCRIPTION/ BROKER LONG TERM OPER-PIMCO GREYSTONE SVCNG CORP FHA #95 7.430% 06/01/2003 DD 02/29/0 CREDIT SUISSE FIRST BOSTON C LONG TERM OPER-PIMCO GREYSTONE SVCNG CORP FHA #95 7.430% 06/01/2003 DD 02/29/0 LONG TERM OPER-PIMCO GR.EYSTONE SVCNG CORP FHA #95 7.430% 06/01/2003 OD 02129/0 CREDIT SUISSE FlRST BOSTON C LONG TERM OPER-PIMCO US TREASURY NOTES 06.500% 10/15/2006 DD 10/15/ MORGAN STANLEY & CO INC, NY LONG TERM OPER-PIMCO CON SOLID A l'ED EDISON N Y DEBS FL TG RT 06/15/2002 DD 06/20/ MERRILL LYNCH PIERCE FENNER LIQUID OPER-PIMCO US TREASURY NOTES 05.125% 08/31/2000 DD 08/31/ CREDIT SUISSE FIRST BOSTON C LIQUID OPER-PIMCO US TREASURY NOTES 05.125% 08/31/2000 DD 08/31/ TRADE DATE/ SETTLDATE/ COMPLDATE 15-Feb-2000 03-Mar-2000 15-Feb-2000 03-Mar-2000 15-Feb-2000 03-Mar-2000 03-Mar-2000 28-Feb-2000 Ol-Mar-2000 Ol-Mar-2000 29-Feb-2000 02-Mar-2000 02·M~2000 02-Mar-2000 02-Mar-2000 02-Mar-2000 02-Mar-2000 . PAGE: 13 AMOUNT/ COST/ GAIN/LOSS -1,302,163.94 l,302,163.94 0.00 -545.47 0.00 0.00 -t,302,709.41 0.00 0.00 -25,450,595.55 0.00 0.00 -3,034,478.13 0.00 0.00 -3,483,457.03 3,483,457.03 0.00 -974.86 0.00 0.00 &ecutive Workbench @ ORANGE COUNTY SANITATION DISTRICT PAGE: 14 PORTFOLIO DETAIL OCSGOOOJ 0000 01-MAR-2000-31-MAR-2000 OCSD-CONSOLJDATED SHARES/PAR TRADE DATE/ AMOUNT/ SECURITY ID TRANSACTION DESCRIPTION/ SETTLDATE/ COST/ TRANSCODE BROKER COMPLDATE GAIN/LOSS LIQUID OPER-PIMCO 3,500,000.00 U S TREASURY NOTES 02-Mar-2000 -3,484,431.89 9128274Q2 05.125% 08/31/2000 DD 08/31/ 02-Mar-2000 0.00 FC CREDIT SUISSE FIRST BOSTON C 02-Mar-2000 0.00 LIQUID OPER-PIMCO 500,000.00 UGI UTILS INC MTN #TR 00006 02-Mar-2000 -495,845.00 90269QAF6 6.170% 03/06/2001 DD 03/06/9 07-Mar-2000 495,845.00 B PRUDENTIAL SEC INC, NEW YORK 0.00 LIQUID OPER-PIMCO 500,000.00 uor UTILS INC MTN #TR 00006 02-Mar-2000 -9,597.78 90269QAF6 6.170% 03/06/2001 DD 03/06/9 07-Mar-2000 0.00 m 0.00 LIQUID OPER-PJMCO 500,000.00 UGI UTILS INC MTN #TR 00006 02-Mar-2000 -505,442.78 90269QAF6 6.170% 03/06/2001 DD 03/06/9 07-Mar-2000 0.00 FC PRUDENTIAL SEC INC, NEW YORK 07-Mar-2000 0.00 LONG TERM OPER-PIMCO 2,855,918.71 STUDENT LN MKTG ASSN 98-2 Al 08-Mar-2000 -2,849,782.94 78442GBA3 FLTG RT 04/25/2007 DD 06/18/ 10-Mar-2000 2,849,782.94 B BEAR STEARNS & CO INC, NY 0.00 LONG TERM OPER-PIMCO 2,855,918.71 STUDENT LN MKTG ASSN 98-2 A l 08-Mar-2000 -22,498.55 78442GBA3 FLTG RT 04/25/2007 DD 06/18/ 10-Mar-2000 0.00 IB 0.00 LONG TERM OPER-PIMCO 2,855,918.71 STUDENT LN MKTG ASSN 98-2 A I 08-Mar-2000 -2,872,281.49 78442GBA3 FLTG RT 04/25/2007 DD 06/18/ 10-M~2000 0.00 FC BEAR STEARNS & CO INC, NY 10-Mar-2000 0.00 07-ApY-7.000 15:57:14 &ecutive Worlih1mch 8 ORANGE COUNTY SANITATION DISTRICT PAGE: 15 PORTFOLIO DETAIL OCSGOOOJ 0000 Ol-MAR-2000 -31-MAR-2000 OCSD-CONSOLTDATED SHARES/PAR TRADE DATE/ MfOUNT/ SECURITY ID TRANSACTION DESCRIPTION/ SETTLDATE/ COST/ TRANSCODE BROKEa. COMPLDATE GAIN/LOSS LONG TERM OPER-PIMCO 3,000,000.00 FORD MTR CR CO GLOBAL LANDMA 09-Mar-2000 -3,000,000.00 345397SR5 FLTG RT 03/17 /2003 DD 031161 16-Mar-2000 3,000,000.00 B MORGAN J P SECS -FIXED INCO 0.00 LONG TERM OPER-PIMCO 3,000,000.00 FORD MTR CR CO GLOBAL LANDMA 09-Mar-2000 ·3,000,000.00 345397SR5 FLTG RT 03/17/2003 DD 03/16/ 16-Mar-2000 0.00 FC MORGAN J P SECS -FIXED INCO 16-Mar-2000 0.00 LONG TERM OPER-PIMCO 3,000,000.00 GENERAL MTRS ACCEP #TR 00562 09-Mar-2000 -2,996,430.00 37042WZKO FLTG RT 02/14/2003 DD 02/14/ 14-Mar-2000 2,996,430.00 B LEHMAN GOVT SECS INC, NY 0.00 LONG TERM OPER-PIMCO 3,000,000.00 GENERAL MTRS ACCEP #TR 00562 09-Mar-2000 -15,125.31 37042WZKO FLTG RT 02/14/2003 DD 02/14/ 14-Mar-2000 0.00 IB 0.00 LONG TERM OPER-PIMCO 3,000,000.00 GENERAL MTRS ACCEP #TR 00562 09-Mar-2000 -3,01 1,555.31 37042WZKO FLTG RT 02/14/2003 DD 02114/ l 4-Mar-2000 0.00 FC LEHMAN GOVT SECS INC, NY I 4-Mar-2000 0.00 LONG TERM OPER-PIMCO J 1,000,000.00 COMMIT TO PUR GNMA SF MTG 13-Mar-2000 • 10,240,312.50 OIN062649 6.500% 04/15/2029 I 9-Apr-2000 I 0,240,3 I 2.50 B BEAR STEARNS & CO INC, NY o.oo LONG TERM OPER-PIMCO 10,500,000.00 COMMIT TO PUR GNMA SF MTG l 3-Mar-2000 -9, 774,843. 75 01N062649 6.500% 04/15/2029 l 9-Apr-2000 9, 774,843. 75 B MERRILL LYNCH PIERCE FENNER 0.00 07-Apr-2000 15:57: 14 Executive Workbench @ ORANGE COUNTY SANITATION DISTRICT PAGE: 16 PORTFOLIO DETAIL OCSGOOO I 0000 01-MAR-2000-31-MAR-2000 OCSD-CONSOLJDATED SHARES/PAR TRADE DATE/ AMOUNT/ SECURITY ID TRANSACTION DESCRIPTION/ SETTLDATE/ COST/ TRANSCODE BROKER COMPLDATE GAIN/LOSS LONG TERM OPER-PIMCO 1,262,580.00 US TREASURY INFLATION INDEX 15-Mar-2000 -1,256,316.42 9J28273A8 3.625% 07/15/2002 DD 07/15/ 17-Mar-2000 1,256,316.42 B BANK OF NY BARCLAYS DE ZOETE 0.00 LONG TERM OPER-PIMCO 1,262,580.00 US TREASURY INFLATION INDEX l 5-Mar-2000 •7,795.74 9128273A8 3.625% 07/15/2002 DD 07/15/ 17-Mar-2000 0.00 IB 0.00 LONG TERM OPER-PIMCO 1,262,580.00 US TREASURY INFLATION INDEX l 5-Mar-2000 -l,264,112.16 9128273A8 3.625% 07/15/2002 DD 07f l5f l 7-Mar-2000 0.00 FC BANK OP NY BARCLAYS DE ZOETE 17-Mar-2000 0.00 LONG TERM OPER-PlMCO 10,000,000.00 COMMIT TO PUR GNMA 11 ARMS l 5-Mar-2000 -9,898,437 .50 16H062651 6.500% 05/20/2030 24-May-2000 9,898,437.50 B BEAR STEARNS & CO INC, NY 0.00 LONG TERM OPER-PIMCO 1,250,000.00 COMMIT TO PUR GNMA II ARMS I 5-Mar-2000 • 1,238,671.88 16H062651 6.500% 05/20/2030 24-May-2000 1,238,67 I .88 B CREDIT SUISSE FIRST BOSTON C 0.00 LONG TERM OPER-PIMCO 6,250,000.00 COMMIT TO PUR ONMA SF MTG 16-Mar-2000 -5,662, 109.38 OIN060643 6.000% 04/15/2029 19-Apr-2000 5,662, l 09.38 B GOLDMAN SACHS & CO, NY 0.00 LONG TERM OPER-PIMCO 3,000,000.00 COMMlT TO PUR GNMA SF MTG 21-Mar-2000 -2,952, 187.50 OIN072655 7.500% 05/15/2029 22-May-2000 2, 952, 187.50 B CREDIT SUISSE FIRST BOSTON C 0.00 07-Apr-2000 15:57: 14 Executive Workbench @ ORANGE COUNTY SANITATION DISTRICT PAGE: 17 PORTFOLIO DETAIL OCSGOOOJ 0000 Ol-MAR-2000 -31-MAR-2000 OCSD-CONSOLJDATED SHARES/PAR TRADE DATE/ AMOUNT/ SECURITY ID TRANSACTION DESCRIPTION/ SETTLDATE/ COST/ TRANSCODE BROKER COMPLDATE GAIN/LOSS LONG TERM OPER-PIMCO 2,100,000.00 FEDERAL NATL MTG ASSN DEBS 22-Mar~2000 -2,030,133.00 31359MEY5 6.625% 09/15/2009 DD 09/0l/9 22-Mar-2000 2,030, 133.00 .B MERRILL LYNCH PIERCE PENNER 0.00 LONG TERM OPER-PIMCO 2,100,000.00 FEDERAL NATL MTG ASSN DEBS 22-Mar-2000 -2,705.2 1 31359MEY5 6.625% 09/15/2009 DD 09/0119 22-Mar-2000 0.00 m 0.00 LONG TERM OPER-PIMCO 2,100,000.00 FEDERAL NATL MTG ASSN DEBS 22-Mar-2000 -2,032,&38.2 l 31359MEY5 6.625% 09/15/2009 DD 0910119 22-Mar-2000 0.00 FC MERRILLLYNCHPIERCEFENNER 22-Mar-2000 0.00 LONG TERM OPER-PIMCO 8,512,400.00 US TREASURY INFLATION INDEX 22-Mar-2000 -8, 142,642.63 9128272M3 3.375% 01/15/2007 DD 01/15/ 23-Mar-2000 8,142,642.63 B BANK OF NY BARCLAYS DE ZOETE 0.00 LONG TERM OPER-PIMCO 8,512,400.00 US TREASURY INFLATION INDEX 22-Mar-2000 -53,670.21 9J28272M3 3.375% 01115/2007 DD 01/15/ 23-Mar-2000 0.00 lB 0.00 LONG TERM OPER-PIMCO 8,512,400.00 US TREASURY INFLATION lNDEX 22-Mar-2000 -8, 196,312.84 9128272M3 3.375% 01115/2007 DD 01/15/ 23-Mar-2000 0.00 FC BANK OF NY .BARCLAYS DE ZOETE 23-Mar-2000 0.00 LONG TERM OPER-PlMCO 2,300,000.00 LEHMAN BROS HLDGS MTN TR 003 23-Mar-2000 -2,322,379.00 52517PPW5 FLTG RT 04/0l/2002 DD 03/291 23-Mar-2000 2,322,379.00 B PRUDENTIAL SEC INC, NEW YORK 0.00 07-Apr-2000 15:57:14 Executive Workbench @ ORANGE COUNTY SANITATION DISTRICT PAGE: 18 PORTFOLIO DETAIL OCSGOOO J 0000 01-MAR-2000 -31-MAR-2000 OCSD-CONSOLIDATED SHARES/PAR TRADE DATE/ AMOUNT/ SECURITY ID TRANSACTION DESCRIPTION/ SETTLDATE/ COST/ TRANSCODE BROKER COMPLDATE GAIN/LOSS LONG TERM OPER-PIMCO 2,300,000.00 LEHMAN BROS HLDGS MTN TR 003 23-Mar-2000 -35,285.83 52517PPW5 FLTG RT 04/01/2002 DD 03/29/ 23-Mar-2000 0.00 IB 0.00 LONG TERM OPER-PIMCO 2,300,000.00 LEHMAN BROS HLDGS MTN TR 003 23-Mar-2000 -2,357,664.83 525 17PPW5 FLTG RT 04/01/2002 DD 031291 23-Mar-2000 0.00 FC PRUDENTIAL SEC INC, NEW YORK 23-Mar-2000 0.00 LIQUID OPBR-PIMCO 600,000.00 SEARS ROEBUCK ACCEP CORP NT 29·Mar-2000 -599, 760.00 812404AEI 6.500% 06/15/2000 DD 06113/9 03-Apr-2000 599,760.00 B ADVEST CO, HARTFORD 0.00 LlQUJD OPER-PIMCO 600,000.00 SEARS ROEBUCK ACCEP CORP NT 29-Mar-2000 -11,700.00 812404AE1 6.500% 06/15/2000 DD 06/13/9 03-Apr-2000 0.00 1B 0.00 LONG TERM OPER-PIMCO 2,000,000.00 COMMIT TO PUR GNMA SF MTG 29-Mar-2000 -2,007,187.50 01N080641 8.000% 04/15/2030 19-Apr-2000 2,007,187.50 B SALOMON BROS INC, NEW YORK 0.00 LONG TERM OPER-PIMCO 1,000,000.00 FORD MOTOR CR CO NT 31-Mar-2000 -965, t 70.00 345397GV9 6. 750% 05/J 5/2005 05-Apr-2000 965,170.00 B CHASE SECURITIES, NEW YORK 0.00 LONG TERM OPER-PIMCO l,000,000.00 FORD MOTOR CR CO NT 3 l-Mar-2000 -26,250.00 345397GV9 6.750% 05115/2005 05-Apr-2000 0.00 IB 0.00 PAY UPS 07-Apr-2000 I 5:57: 14 Executive Workbench OCSGOOO 10000 OCSD-CONSOLIDATED SHARES/PAR SECURITY ID TRANSCODE FIXED INCOME SECURITIES 29,780.00 9128272M3 PU 29,780.00 9128272M3 FC 2,300.00 9128275W8 PU 2,300.00 9128275W8 FC 18,296.00 9128273A8 PU 18,296.00 9128273A8 FC 47.00 3133TCE95 PU 07-Apr-2000 15:57: 14 ORANGE COUNTY SANITATION DISTRICT PORTFOLIO DETAIL 01-MAR-2000 -31-MAR-2000 TRANSACTION DESCRIPTION/ BROKER LONG TERM OPER-PIMCO US TREASURY INFLATION INDEX 3.375% 01/lS/2007 DD 011151 LONG TERM OPER-PIMCO US TREASURY INFLATION INDEX 3.375% 01/l5/2007 DD 01115/ LONG TERM OPER-PlMCO US TREASURY INFLATION INDEX 4.250%001/15/2010 DD 01115/ LONG TERM OPER-PIMCO US TREASURY INFLATION INDEX 4.250%001 /15/2010 DD Ot/15/ LONG TERM OPER-PIMCO US TREASURY INFLATION INDEX 3.625% 07/15/2002 DD 07/151 LONG TERM OPER-PIMCO US TREASURY INFLATION INDEX 3.625% 07/15/2002 DD 07/15/ LONG TERM OPER-PlMCO FHLMC MULTI CLASS CTF E3 A VAR RT 08/15/2032 TRADE DATE/ SETTLDATE/ COMPLDATE 15-Jan-2000 15-Jan-2000 I 5-Jan-2000 15-Jan-2000 31-Mar-2000 15-Jan-2000 15-Jan-2000 15-Jan-2000 15-Jan-2000 3 l-Mar-2000 15-Jan-2000 15-Jan-2000 15-Jan-2000 15-Jan-2000 31-Mar-2000 Ol-Mar-2000 01-Mar-2000 PAGE: 19 AMOUNT/ COST/ GAIN/LOSS -29,780.00 29,780.00 0.00 -29,780.00 0.00 0.00 -2,300.00 2,300.00 0.00 ·2,300.00 0.00 o.oo -18,296.00 18,296.00 0.00 -18,296.00 0.00 0.00 -47.00 47.00 0.00 E.xecutive Workbench OCSGOOOJ 0000 OCSD-CONSOLLDATED SALES SHARES/PAR SECURITY ID TRANSCODE 47.00 3133TCE95 FC 11,992.36 3133Tl7A4 PU 11,992.36 3133T17A4 PC CASH & CASH EQUIVALENTS -297,535.48 996085247 8 -297,535.48 996085247 FC -56,500,000.00 99366Y204 s 07-Apr-2000 15:57; 14 ORANGE COUNTY SANITATION DISTRICT PORTFOLIO DETAIL 01-MAR-2000 -31-MAR-2000 TRANSACTION DESCRIPTION/ BROKER LONG TERM OPER-PIMCO FHLMC MUL TlCLASS CTF E3 A VAR RT 08/15/2032 LONG TERM OPER-PIMCO FHLMC MULTI CLASS CTF SER 162 6.000% 11/15/2023 DD 11101/9 LONG TERM OPER-PIMCO FHLMC MULTICLASS CTF SER 162 6.000% 11/15/2023 DD l 1101/9 LONG TERM OPER-PIMCO DREYFUS TREASURY CASH MGMT LONG TERM OPER-PIMCO DREYFUS TREASURY CASH MGMT LONG TERM OPER-PIMCO GOLDMAN SACHS LP REPO 05.600% 03/01/2000 DD 02/29/ GOLDMAN SACHS & CO, NY TRADE DATE/ SETTLDATE/ COMPLDATE 01-Mar-2000 01-Mar-2000 l 5-Mar-2000 01-Mar-2000 0 t-Mar-2000 Ol-Mar-2000 01-Mar-2000 16-Mar-2000 Ol-Mar-2000 Ol-Mar-2000 Ol-Mar-2000 Ol-Mar-2000 01-Mar-2000 01-Mar-2000 O 1-Mar-2000 PAGE: 20 AMOUNT/ COST/ GAIN/LOSS -47.00 0.00 0.00 -11,992.36 11,992.36 0.00 -ll,992.36 0.00 0.00 297,535.48 -297,535.48 0.00 297,535.48 0.00 0.00 56,500,000.00 -56,500,000.00 0.00 Executive Workbench @ ORANGE COUNTY SANITATION DISTRICT PAGE: 21 PORTFOLIO DETAIL OCSGOOOJ 0000 01-MAR-2000 -31-MAR-2000 OCSD-CONSOLIDATED SHARES/PAR TRADE DATE/ AMOUNT/ SECURITY ID TRANSACTION DESCRIPTION/ SETTLDATE/ COST/ TRANSCODE BROKER COMPLDATE GAIN/LOSS LONG TERM OPER-PIMCO -56,500,000.00 GOLDMAN SACHS LP REPO Ol-Mar-2000 8,788.89 99366Y204 05.600% 03/01/2000 DD 02/29/ Ol-Mar-2000 0.00 rs 0.00 LONG TERM OPER-PIMCO -56,500,000.00 GOLDMAN SACHS LP REPO Ol-Mar-2000 56,508, 788.89 99366Y204 05.600% 03/01/2000 DD 02/29/ Ol-Mar-2000 0.00 FC GOLDMAN SACHS & CO, NY 01-Mar-2000 0.00 LONG TERM OPER-PIMCO -31,500,000.00 LEHMAN BROTHERS REPO 02-Mar-2000 31,500,000.00 99366Y832 05.570% 03/02/2000 DD 03/01 / 02-Mar-2000 -31,500,000.00 s LEHMAN BROS INC, NEW YORK 0.00 LONG TERM OPER-PIMCO -31,500,000.00 LEHMAN BROTHERS REPO 02-Mar-2000 4,873.75 99366Y832 05.570% 03/02/2000 DD 03/01/ 02-Mar-2000 0.00 rs 0.00 LONG TERM OPER-PIMCO -31,500,000.00 LEHMAN BROTHERS REPO 02-Mar-2000 31,504,873.75 99366Y832 05.570% 03/02/2000 DD 03/01/ 02-Mar-2000 0.00 FC LEHMAN BROS INC, NEW YORK 02-Mar-2000 0.00 LONG TERM OPER·PIMCO -28,600,000.00 LEHMANBROTHERSREPO 03-Mar-2000 28,600,000.00 99367A080 05.600% 03/03/2000 DD 03/02/ 03-Mar-2000 -28,600,000.00 s LEHMAN BROS INC, NEW YORK 0.00 LONG TERM OPER-PIMCO -28,600,000.00 LEHMANBROTHERSREPO 03-Mar-2000 4,448.89 99367A080 05.600% 03/03/2000 DD 03/02/ 03-Mar-2000 0.00 IS 0.00 07-Apr-2000 J 5:57: 14 Executive Workbench @ II ORANGE COUNTY SANITATION DISTRICT PAGE: 22 PORTFOLIO DETAIL OCSGOOO 10000 01-MAR-2000 -31-MAR-2000 OCSD-CONSOLIDATED SHARES/PAR TRADE DATE/ AMOUNT/ SECURITY ID TRANSACTION DESCRIPTION/ SETTLDATE/ COST/ TRANSCODE BROKER COMPLDATE GAIN/LOSS LONG TERM OPER-PTMCO -28,600,000.00 LEHMAN BROTHERS REPO 03-Mar-2000 28,604,448.89 99367A080 05.600% 03/03/2000 DD 03/02/ 03-Mar-2000 0.00 FC LEHMAN BROS INC, NEW YORK 03-Mar-2000 0.00 LONG TERM OPER-PTMCO -1,394,586.09 DREYFUS TREASURY CASH MGMT 06-Mar-2000 1,394,586.09 996085247 06-Mar-2000 -1,394,586.09 s 0.00 LONG TERM OPER-PIMCO -1,394,586.09 DREYFUS TREASURY CASH MGMT 06-Mar-2000 1,394,586.09 996085247 06-Mar-2000 0.00 FC 06-Mar-2000 0.00 LONG TERM OPER-PIMCO -17,300,000.00 LEHMAN BROTHERS REPO 06-Mar-2000 17 ,300,000.00 99367Bl79 05.650% 03/06/2000 DD 03/03/ 06-Mar-2000 -17,300,000.00 s LEHMAN BROS INC, NEW YORK 0.00 LONG TERM OPER-PIMCO -17,300,000.00 LEHMAN BROTHERS REPO 06-Mar-2000 8,145.42 993678179 05.650% 03/06/2000 DD 03/03/ 06-Mar-2000 0.00 IS 0.00 LONG TERM OPER-PIMCO -17,300,000.00 LEHMAN BROTHERS REPO 06-Mar-2000 17,308,145.42 993678179 05.650% 03/06/2000 DD 03/03/ 06-Mar-2000 0.00 FC LEHMAN BROS INC, NEW YORK 06-Mar-2000 0.00 LONG TERM OPER-PIMCO -17,400,000.00 LEHMAN BROTHERS REPO 07-Mar-2000 17,400,000.00 99367C219 05.630% 03/07/2000 DD 03/06/ 07-Mar-2000 -17,400,000.00 s LEHMAN BROS INC, NEW YORK 0.00 07-Apr-2000 15:57: 14 Executive Workbench, @ ORANGE COUNTY SANITATION DISTRICT -PAGE: 23 PORTFOLIO DETAIL OCSGOOOJ 0000 01-MAR-2000 -31-MAR-2000 OCSD-CONSOLIDATED SHARES/PAR TRADE DATE/ AMOUNT/ SECURITY ID TRANSACTION DESCRIPTION/ SETTLDATE/ COST/ TRANSCODE BROKER COMPLDATE GAIN/LOSS LONG TERM OPER-PIMCO -17,400,000.00 LEHMAN BROTHERS REPO 07-Mar-2000 2,721.17 99367C219 05.630% 03/07/2000 DD 03/06/ 07-Mar-2000 0.00 IS 0.00 LONG TERM OPER-PIMCO -17,400,000.00 LEHMAN BR0111ERS REPO 07-Mar-2000 17,402,72l.17 99367C219 05.630% 03/07/2000 DD 03/06/ 07-Mar-2000 0.00 FC LEHMAN BROS INC, NEW YORK 07-Mar-2000 0.00 LONG TE;RM OPER-PIMCO -68,209.75 DREYFUS TREASURY CASH MGMT 08-Mar-2000 68,209.75 996085247 08-Mar-2000 -68,209.75 s 0.00 LONG TERM OPER-PIMCO -68,209.75 DREYFUS TREASURY CASH MGMT 08-Mar-2000 68,209.75 996085247 08-Mar-2000 0.00 FC 08-Mar-2000 0.00 LONG TERM OPER-PIMCO -4,000,000.00 FEDERAL HOME MTG MTG CORP DI lO-Mar-2000 3,969,280.00 313396UP6 MAT 03/21/2000 10-Mar-2000 ·3,969,280.00 s HSBC SECS INC, NEW YORK 0.00 LONG TERM OPER-PIMCO -4,000,000.00 FEDERAL HOME MTG MTG CORP DI I O-Mar-2000 23,802.22 313396UP6 MAT 03/21/2000 10-Mar-2000 0.00 IS 0.00 LONG TERM OPER-PIMCO -4,000,000.00 FEDER.At HOME MTG MTG CORP DI I O-Mar-2000 3,993,082.22 313396UP6 MAT 03/2112000 l O-Mar-2000 0.00 FC HSBC SECS INC, NEW YORK 13-Mar-2000 0.00 07-Apr-2000 l 5: 57: 14 Executive Workbench @ ORANGE COUNTY SANITATION DISTRICT PAGE: 24 PORTFOLIO DETAIL OCSGOOOJ 0000 01-MAR-2000 -31-MAR-2000 OCSD-CONSOLIDATED SHARES/P Alt TRADE DATE/ AMOUNT/ SECURITY ID TRANSACTION DESCRIPTION/ SETTLDATE/ COST/ TRANSCODE BROKER COMPLDATE GAIN/LOSS LONG TERM OPER·PIMCO -1,209,234.55 DREYFUS TREASURY CASH MGMT 13-Mar-2000 1,209,234.55 996085247 13-Mar-2000 -1,209,234.55 s 0.00 LONG TERM OPER-PIMCO -1 ,209,234.55 DREYFUS TREASURY CASH MGMT 13-Mar-2000 1,209,234.55 996085247 l 3-Mar-2000 o.oo FC 13-Mar-2000 0.00 LONG TERM OPER-PIMCO -3,197.31 DREYFUS TREASURY CASH MGMT 14-Mar-2000 3,197.31 996085247 14-Mar-2000 -3,197.31 s 0.00 LONG TERM OPER-PIMCO -3,197.31 DREYFUS TREASURY CASH MGMT 14-Mar-2000 3,197.31 996085247 14-Mar-2000 0.00 FC 14-Mar-2000 0.00 LONG TERM OPER-PIMCO -17,948.76 BSDT-LATB MONEY DEPOSIT ACCT l 6-Mar-2000 17,948.76 996087094 16-Mar-2000 -17,948.76 s 0.00 LONG TERM OPER-PIMCO -61,658.46 BSDT-LATE MONEY DEPOSIT ACCT l 7-Mar-2000 61,658.46 996087094 17-Mar-2000 -61,658.46 s 0.00 LONG TERM OPER-PIMCO -653,351.81 DREYFUS TREASURY CASH MGMT I 7-Mar-2000 653,351.81 996085247 17-Mar-2000 -653,351.81 s 0.00 07-Apr-2000 15: 57: 14 Executive Workbench @ ORANGE COUNTY SANITATION DISTRICT PAGE: 25 PORTFOLIO DETAIL OCSGOOOJ 0000 Ol-MAR-2000 -31-MAR-2000 OCSD-CONSOL/DATED SHARESfPAR TRADE DATE/ AMOUNT/ SECURITY ID TRANSACTION DESCRIPTION/ SETTLDATE/ COST/ TRANSCODE BROKER COMPLDATE GAIN/LOSS LONG TERM OPER-PIMCO -653,35 J.81 DREYFUS TREASURY CASH MGMT 17-Mar-2000 653,351.81 996085247 l 7-Mar-2000 0.00 FC 17-Mar-2000 0.00 LONG TERM OPER-PIMCO -500,000.00 FEDERAL HOME MTG MTG CORP DI 17-Mar-2000 496,160.00 313396UP6 MAT 03/21/2000 l 7-Mar-2000 -496,160.00 s LEHMAN GOVT SECS INC, NY 0.00 LONG TERM OPER-PIMCO -500,000.00 FEDERAL HOME MTG MTG CORP DI 17-Mar-2000 3,528.89 3l3396UP6 MAT 03/21 /2000 I 7 -Mar-2000 0.00 IS 0.00 LONG TERM OPER-PIMCO -500,000.00 FEDERAL HOME MTG MTG CORP DI 17-Mar-2000 499,688.89 313396UP6 MAT 03/21/2000 17-Mar-2000 0.00 FC LEHMAN GOVT SECS INC, NY 20-Mar-2000 0.00 LONG TERM OPER-PIMCO -45,034.58 DREYFUS TREASURY CASH MGMT 21-Mar-2000 45,034.58 996085247 21-Mar-2000 -45,034.58 s 0.00 LONG TERM OPER-PIMCO -45,034.58 DREYFUS TREASURY CASH MGMT 21-Mar-2000 45,034.58 996085247 21-Mar-2000 0.00 FC 21-Mar-2000 0.00 LONG TERM OPER-PIMCO -152, l 82.22 DREYFUS TREASURY CASH MGMT 22-Mar-2000 152,182.22 996085247 22-Mar-2000 -152,182.22 s 0.00 07-Apr-2000 15:57:14 Executive Workbench OCSGOOO 10000 OCSD-CONSOL!DATED SHARES/PAR SECURITY ID TRANSCODE -152,182.22 996085247 FC ·8,300,000.00 313588VV4 s -8,300,000.00 313588VV4 IS -8,300,000.00 313588VV4 FC FIXED INCOME SECURITIES -10,500,000.00 OIN062631 s -10,500,000.00 01N06263l FC -11,000,000.00 OIN062631 s 07-Apr-2000 15:57: 14 II ORANGE COUNTY SANITATION DISTRICT PORTFOLIO DETAIL 01-MAR-2000 -31-MAR-2000 TRANSACT10N DESCRIPTION/ BROKER LONG TERM OPER-PIMCO DREYFUS TREASURY CASH MGMT LONG TERM OPER-PIMCO FEDERAL NATL MTG ASSN DISCOU MAT 04/20/2000 MORGAN J P SECS -FIXED JNCO LONG TERM OPER-PIMCO FEDERAL 'NA 1L MTG ASSN DlSCOU MAT 04/20/2000 LONG TERM OPER-PIMCO FEDERAL NATL MTG ASSN DISCOU MAT 04/20/2000 MORGAN IP SECS -FIXED INCO LONG TERM OPER-PIMCO COMMIT TO PUR GNMA I SF MTG 6.500% 03/15/2030 MERRILLLYNCHPIERCEFENNER LONG TERM OPER-PIMCO COMMIT TO PUR GNMA I SP MTG 6,500% 03/15/2030 MERRlLL LYNCH PIERCE FENNER LONG TERM OPER-PIMCO COMMIT TO PUR GNMA I SF MTG 6.500% 03/15/2030 BEAR STEARNS & CO lNC, NY TRADE DATE/ SETTLDATE/ COMPLDATE 22-Mar-2000 22-Mar-2000 22-Mar-2000 23-Mar-2000 23-Mar-2000 23-Mar-2000 23-Mar-2000 23-Mar-2000 23-Mar-2000 23-Mar-2000 13-Mar-2000 22-Mar-2000 13-Mar-2000 22-Mar-2000 22-Mar-2000 IJ-Mar-2000 22-Mar-2000 PAGE: 26 AMOUNT/ COST/ GAIN/LOSS 152,182.22 0.00 0.00 8,214,429.31 -8,214,429.31 0.00 47,353.80 0.00 0.00 8,261, 783.J 1 0.00 0.00 9,783,457.03 ·9,699,375.00 84,082.03 9, 783,457.03 0.00 0.00 10,249,335.94 -10,161,250.00 88,085.94 &ecutive Workbenclt @ ORANGE COUNTY SANITATION DISTRICT II .. PAGE: 27 PORTFOLIO DETAIL OCSGOOO 10000 Ol-MAR-2000-31-MAR-2000 OCSD-CONSOLIDATED SHARES/PAR TRADEDATEf AMOUNTf SECURITY ID TRANSACTION DESCRIPTION{ SETTLDATEf COST/ TRANSCODE BROKER COMPLJ>ATE GAIN/LOSS LONG TERM OPER-PIMCO -11,000,000.00 COMMIT TO PUR GNMA I SF MTG 13-Mar-2000 10,249,335.94 OIN'062631 6.500% 03/15/2030 22-Mar-2000 0.00 FC BEAR STEARNS & CO INC, NY 22-Mar-2000 0.00 LONG TERM OPER-PIMCO -974,577.64 FNMA POOL #0252703 15-Mar-2000 944,426.65 31371HU48 6.500% 09/01/2006 DD 08/01/ 23-Mar-2000 -954,324.69 s BEAR STEARNS & CO INC, NY -9,898.04 LONG TERM OPER-PIMCO -974,577.64 FNMA POOL #0252703 15-Mar-2000 3,871.24 31371HU48 6.500% 09/0112006 DD 08/01/ 23-Mar-2000 0.00 IS 0.00 LONG TERM OPER-PIMCO -974,577-64 FNMA POOL #0252703 15-Mar-2000 948,297.89 31371HU48 6.500% 09/0112006 DD 08/01/ 23-Mar-2000 0.00 FC BEAR STEARNS & CO INC, NY 23-Mar-2000 0.00 LONG TERM OPER-PIMCO -7,700,000.00 US TREASURY NOTES 15-Mar-2000 6,843,375.00 9128274Vl 04.750% 11115/2008 DD U/15/ 16-Mar-2000 -6,761,244.70 s MORGAN STANLEY & CO INC, NY 82,130.30 LONG TERM OPER-PIMCO -7, 700,000.00 US TREASURY NOTES 15-Mar-2000 122,586.54 9128274Vl 04.750% 11115/2008 DD 11/15/ 16-Mar-2000 0.00 IS 0.00 LONG TERM OPER-PIMCO -7,700,000.00 U S TREASURY NOTES 15·Mar•2000 6,965,961.54 9128274Vl 04.750% 11115/2008 DD 11/15/ I 6-Mar-2000 0.00 FC MORGAN ST ANLBY & CO INC, NY 17-Mar-2000 0.00 07-Apr-2000 I 5: 57: 14 Executive Workbench @ ORANGE COUNTY SANITATION DISTRICT PAGE: 28 PORTFOLIO DETAIL OCSGOOOJ 0000 01-MAR-2000 -31-MAR-2000 OCSD-CONSOLIDATED SHARES/PAR TRADE DATE/ AMOUNT/ SECURITY ID TRANSACTION DESCRIPTION/ SETTLDATE/ COST/ TRANSCODE BROKER COMPLDATE GAIN/LOSS LONG TERM OPER-PIMCO -6,250,000.00 COMMIT TO PUR GNMA SF MTG 16-Mar-2000 5,665,771.48 01N060635 6.000% 03/15/2029 22-Mar-2000 -5,593, 750.00 s GOLDMAN SACHS & CO, NY 72,021.48 LONG TERM OPER-PIMCO -6,250,000.00 COMMIT TO PUR GNMA SF MTG 16-Mar-2000 5,665, 771.48 01N060635 6.000% 03/15/2029 22-Mar-2000 0.00 PC GOLDMAN SACHS & CO, NY 22-Mar-2000 0.00 LONG TERM OPER-PIMCO -2, 100,000.00 FEDERAL NATL MTG ASSN DEBS 21-Mar-2000 2,028,096.00 3l359MEY5 6.625% 09/15/2009 DD 0910119 22-Mar-2000 -2,008,440.00 s MERRJLL LYNCH PlERCE PENNER 19,656.00 LONG TERM OPER-PIMCO -2, J 00,000.00 FEDERAL NATL MTG ASSN DEBS 21-Mar-2000 2,705.21 3l359MEY5 6.625% 09/15/2009 DD 09/01/9 22-Mar-2000 0.00 IS 0.00 LONG TERM OPER-PIMCO -2, 100,000.00 FEDERAL NATL MTG ASSN DEBS 21-Mar-2000 2,030,801.21 31359MEY5 6.625% 09/15/2009 DD 09/01/9 22-Mar-2000 0.00 FC MERRJLL LYNCH PIERCE FENNER 22-Mar-2000 0.00 LONG TERM OPER-PIMCO -3,000,000.00 COMMJTTO PURGNMASFMTG 22-Mar-2000 2,953,593.75 01N072655 7.500% 05/15/2029 22-May-2000 -2,952,187.50 s CREDIT SUISSE FIRST BOSTON C t,406.25 LONG TERM OPER-PIMCO ·2,000,000.00 U S TREASURY NOTES 30-Mar-2000 2,014,843.74 912827262 06.500% 10/15/2006 DD 10/15/ 03-Apr-2000 -1,987,031.25 s GREENWICH CAP MK.TS INC, GREE 27,812.49 07-Apr-2000 I 5:51:14 &ecutive Workbench @ ' ORANGE COUNTY SANITATION DISTRICT PAGE: 29 PORTFOLIO DETAIL OCSGOOO 10000 01-MAR-2000 -31-MAR-2000 OCSD-CONSOLIDATED SHARES/PAR TRADE DATE/ AMOUNT/ SECURITY ID TRANSACTION DESCRIPTION/ SETTLDATE/ COST/ TRANSCODE BROKER COMPLDATE GAIN/LOSS LONG TERM OPER-PIMCO -2,000,000.00 US TREASURY NOTES 30-Mar-2000 60,737.70 912827262 06.500% 10/15/2006 DD 101151 03-Apr-2000 0.00 IS 0.00 PRINCIPAL PAYMENTS FIXED INCOME SECURITIES LONG TERM OPER-PIMCO 46,853.50 FHLMC MULTICLASS CTF E3 A Ol-Feb-2000 -46,853.50 3133TCE95 6.324% 08/15/2032 Ol-Feb-2000 46,904.74 PDC 51.24 LONG TERM OPER-PIMCO -558.80 WMP/ffiJNTOON PAIGE #000-111 SO Ol-Feb-2000 558.80 302998GE3 7.500% 12101/2030 DD 10/2119 01-Feb-2000 0.00 FC 02-Mar-2000 0.00 LONG TERM OPER-PIMCO -46,900.50 FBLMC MULTICLASS CTF E3 A 01-Feb-2000 46,900.50 3133TCE95 VAR RTOS/1 5/2032 0 l-Feb-2000 -46,951.79 PD -51.29 LONG TERM OPER-PIMCO -46,900.50 FHLMC MULTICLASS CTF E3 A 01-Feb-2000 46,900.50 3133TCE95 VAR RTOS/15/2032 01-Feb-2000 0.00 FC l 5-Mar-2000 0.00 LONG TERM OPER-PIMCO -216,743.73 FHLMC GROUP #G5-0476 Ol-Mar-2000 216,743.73 3128DDQ55 7.000% 02/01/2003 DD 02/01/ Ol-Mar-2000 -220,130.35 PD -3,386.62 07-Apr-2000 15:57:14 E.xecutive Workbench OCSGOOOJ 0000 OCSD-CONSOLJDATED SHARES/PAR SECURITY ID TRANSCODE ·216,743.73 3128DDQ55 FC -32,736.00 3133T02D5 PD -32,736.00 3133T02D5 FC -21,864.25 3133TKKU3 PD -21,864.25 3133TKKU3 FC -1,069.45 31371HU48 PD -1,069.45 31371HU48 FC 07-Apr-2000 15:57: 14 ORANGE COUNTY SANITATION DISTRICT PORTFOLIO DETAIL 01-MAR-2000-31-MAR-2000 TRANSACTION DESCRIPTION/ BROKER LONG TERM OPER-PIMCO FHLMC GROUP #05-04 76 7.000% 02/01/2003 DD 02/01/ LONG TERM OPER-PIMCO FHLMC MULTICL MTG P/C 1574 E 5.900% 06/15/2017 LONG TERM OPER-PIMCO FHLMCMULTICLMTG P/C 1574 E 5.900% 06/15/2017 LONG TERM OPER-PIMCO FHLMC MULTICLASS CTF 2146 QT 6.000% 11/15/2011 LONG TERM OPER-PIMCO FHLMC MULTICLASS CTF 2146 QT 6.000% 11/15/2011 LONG TERM OPER-PIMCO FNMA POOL #0252703 6.500% 09/01/2006 DD 08/01/ LONG TERM OPER-PIMCO FNMA POOL #0252703 6.500% 09/01/2006 DD 08/01/ TRADE DATE/ SETTLDATE/ COMPLDATE Ol -Mar-2000 Ol-Mar-2000 15-Mar-2000 01-Mar-2000 Ol-Mar-2000 Ot-Mar-2000 01-Mar-2000 l 5-Mar-2000 Ol-Mar-2000 01-Mar-2000 Ol-Mar-2000 Ol-Mar-2000 l 5-Mar-2000 01-Mar-2000 01-Mar-2000 Ol-Mar-2000 Ol-Mar-2000 27-Mar-2000 II PAGE: 30 AMOUNT/ COST/ GAIN/LOSS 216,743.73 0.00 0.00 32,736.00 -32,689.96 46.04 32,736.00 0.00 0.00 21,864.25 -21,478.21 386.04 21,864.25 0.00 0.00 1,069.45 -1,047.23 22.22 l,069.45 0.00 0.00 Executive Workbench OCSGOOOJ 0000 OCSD-CONSOL/DATED SHARES/PAR SECURITY ID TRANSCODE -31,007.65 36225CC20 PD -31,007.65 36225CC20 PC -32,671.20 36225CAZ9 PD -32,671.20 36225CAZ9 FC -5,748.75 31348SWZ3 PD -562.70 302998GE3 PD -562.70 302998GE3 FC 07-Apr-2000 15:57:14 ORANGE COUNTY SANITATION DISTRICT PORTFOLIO DETAIL 01-MAR-2000 -31-MAR-2000 TRANSACTION DESCRIPTION/ BROKER LONG TERM OPER-PIMCO GNMA II POOL #080088M VAR RT 06/20/2027 DD 06/0 I /9 LONG TERM OPER-PIMCO GNMA II POOL #080088M VAR RT 06/20/2027 DD 06/01/9 LONG TERM OPER-PIMCO GNMA Il POOL #0080023 7.125% 12120/2026 DD 12/01/ LONG TERM OPER-PIMCO GNMA II POOL #0080023 7.125% 12/20/20260012/01/ LONG TERM OPER-PIMCO FHLMC GROUP #78-6064 6.384% Ol/01/2028 DD 12/01/ LONG TERM OPER-PIMCO WMP/HUNTOON PAIGE #000-11150 7.500% 12/01/2030 DD 10/21/9 LONG TERM OPER-PIMCO WMP/HUNTOON PAIGE #000-11150 7.500% 12/01/2030 DD 10/21/9 TRADE DATE/ SETTLDATE/ COMPLDATE Ol-Mar-2000 Ol-Mar-2000 Ol-Mar-2000 0 1-Mar-2000 20-Mar-2000 Ol-Mar-2000 Ol-Mar-2000 01-Mar-2000 01-Mar-2000 20-Mar-2000 0 l-Mar-2000 01-Mar-2000 01-Mar-2000 Ol-Mar-2000 Ol-Mar-2000 Ol-Mar-2000 29-Mar-2000 . PAGE: 31 AMOUNT/ COST/ GAIN/LOSS 31,007.65 -31,685.94 -678.29 31,007.65 0.00 0.00 32,671.20 -33,212.32 -541.12 32,671.20 0.00 0.00 5,748.75 -5,608.62 140.13 562.70 -550.48 12.22 562.70 0.00 0.00 F.xec11tive Workbench @ ORANGE COUNTY SANITATION DISTRICT PAGE: 32 PORTFOLIO DETAIL OCSGOOO 10000 Ol-MAR-2000 -31-MAR-2000 OCSD-CONSOLIDATED SHARES/PAR TRADE DATE/ AMOUNT/ SECURITY ID TRANSACTION DESCRJPTION/ SETTLDATE/ COST/ TRANSCODE BROKER COMPLDATE GAIN/LOSS LONG TERM OPER-PIMCO -43,976.50 FHLMC MULTICLASS CTF E3 A OI-Mar-2000 43,976.50 3133TCE95 VAR RT 08/J 5/2032 01-Mar-2000 -44,024.60 PD -48.10 LONG TERM OPER-PlMCO -7,604.76 FIFTH THIRD BK AUTO TR 96A C 15-Mar-2000 7,604.76 31677BAA4 6.200% 09/0 1/2001DD03/15/9 l 5-Mar-2000 -7,604.76 PD 0.00 LONG TERM OPER-PIMCO -7,604.76 FIFTH THIRD BK AUTO 1R 96A C 15-Mar-2000 7,604.76 31677EAA4 6.200% 09/01/2001 DD 03/15/9 15-Mar-2000 0.00 FC 15-Mar-2000 0.00 LONG TERM OPER-PlMCO -27,601.52 GREEN TREE CORP 99-D CL A-1 15-Mar-2000 27,601.52 3935052Y7 6.290% 10/15/2013 DD 08/26/9 15-Mar-2000 -27,601.52 PD 0.00 LONG TERM OPER-PlMCO -27,601.52 GREEN TREE CORP 99-D CL A-1 15-Mar-2000 27,601.52 3935052Y7 6.290% 10/15/2013 DD 08/26/9 15-Mar-2000 0.00 FC I 5-Mar-2000 0.00 LONG TERM OPER-PIMCO -46,911.79 GNMA GTD REMIC TR 2000-9 FH l 6-Mar-2000 46,911.79 3837H4NX9 V ARRT 02/16/2030 16-Mar-2000 -46,911 .79 PD 0.00 LONG TERM OPER-PIMCO -46,91 1.79 GNMA GTD REMlC TR 2000-9 FH l 6-Mar-2000 46,9 11. 79 3837H4NX9 VAR RT 02/16/2030 16-Mar-2000 0.00 FC I 6-Mar-2000 0.00 MATURITIES 07-Apr-2000 15: 57: 14 Executive Workbench @ ORANGE COUNTY SANITATION DISTRICT • PAGE: 33 PORTFOLIO DETAIL OCSGOOOJOOOO 01-MAR-2000-31-MAR-2000 OCpD-CONSOLIDATED SHARES/PAR TRADE DATE/ AMOUNT/ SECURITY ID TRANSACTION DESCRIPTION/ SETTLDATE/ COST/ TRANSCODE BROKER COMPLDATE GAIN/LOSS CASH & CASH EQUIVALENTS LIQUID OPER-PIMCO -3,800,000.00 FEDERAL HOME LN BK CONS DISC 01-Mar-2000 3,799,396.22 3133841T6 MAT 03/01/2000 01-Mar-2000 -3, 799,396.22 MT 01-Mar-2000 0.00 LIQUID OPER-.PIMCO -2,500,000.00 FEDERAL NATL MTG ASSN DISCOU 02-Mar-2000 2,488,916.67 313588TU9 MAT 0.3/02/2000 02-Mar-2000 -2,488,916.67 MT 02-Mar-2000 0.00 LIQUID OPER·PIMCO -3,500,000.00 US TREASURY BILLS 02-Mar-2000 3,411,181.67 912795DK4 03/02/2000 DD 03/04/99 02-Mar-2000 -3,411,181.67 MT 02-Mar-2000 0.00 LONG TERM OPER-PIMCO -200,000.00 FEDERAL NAlL MTG ASSN DISCOU 02-Mar-2000 199,528.33 3l3588TU9 MAT 03/02/2000 02-Mar-2000 -199,528.33 MT 02-Mar-2000 0.00 LIQUID OPER-PIMCO -2,500,000.00 FEDERAL NA TL MTG ASSN DISCOU 03-Mar-2000 2,499,617.36 3l3588TV7 MAT 03/03/2000 03-Mar-2000 -2,499,617.36 MT 03-Mar-2000 0.00 LIQUID OPER-PIMCO -2,500,000.00 FEDERAL NATL MTG ASSN DISCOU 06-Mar-2000 2,498,825.00 313588TYI MAT 03/06/2000 06-Mar-2000 ·2,498,825.00 MT 06-Mar-2000 0.00 LIQUID OPER-PrMCO -900,000.00 FLORIDA PWR CORP DISC 06-Mar-2000 895,336.00 341 IOAC68 03/06/2000 06-Mar-2000 -895,336.00 MT 06-Mar-2000 0.00 07-Apr-2000 15:57:14 Executive Workbench @ ORANGE COUNTY SANITATION DISTRICT PAGE: 34 PORTFOLIO DETAIL OCSGOOOJ 0000 Ol-MAR-2000 -31-MAR-2000 OCSD-CONSOLIDATED SHARES/PAR TRADE DATE/ AMOUNT/ SECURITY ID TRANSACTION DESCRIPTION/ SETTLDATE/ COST/ TRANSCODE BROKER COMPLDATE GAIN/LOSS LIQUID OPER-PIMCO -2,500,000.00 FEDERAL NATL MTG ASSN DISCN 07-Mar-2000 2,499,613.19 313588TZ8 MATURES 03/07/2000 07-Mar-2000 -2,499,613.19 MT 07-Mar-2000 0.00 LONG TERM OPER-PIMCO -700,000.00 FEDERAL HOME LN MTG CORP DIS 07-Mar-2000 696,923.89 313396TZ6 MAT 03/07/2000 07-Mar-2000 -696,923.89 MT 07-Mar-2000 0.00 LONG TERM OPER-PIMCO -2,600,000.00 FORD MTR CR CO DISC 08-Mar-2000 2,585,83 1.44 34539TC86 03/08/2000 08-Mar-2000 -2,585,831.44 MT 08-Mar-2000 0.00 LONG TERM OPER-PIMCO -3,600,000.00 ALUMINUM CO AMER DISC 14-Mar-2000 3,589,632.00 02225ACEO 03/14/2000 14-Mar-2000 -3,589,632.00 MT 14-Mar-2000 0.00 LONG TERM OPER-PIMCO -1,300,000.00 DISNEY WALT CO DISC 15-Mar-2000 l,299,582.56 2546ROCF5 03/15/2000 l 5-Mar-2000 -1,299,582.56 MT 15-Mar-2000 0.00 LONG TERM OPER·PIMCO -l ,300,000.00 XEROX CR CORP DISC 16-Mar-2000 1,299,786.94 98412MCGO 03/16/2000 16-Mar-2000 -1,299,786.94 MT I 6-Mar-2000 0.00 LONG TERM OPER-PIMCO -600,000.00 FEDERAL HOME MTG MTG CORP Dl 21-Mar-2000 595,392.00 313396UP6 MAT 03/21/2000 21-Mar-2000 -595,392.00 MT 2 l-Mar-2000 0.00 07-Apr-2000 15:57:14 Executive Workbench OCSGOOOJ 0000 OCSD-CONSOLIDATED SHARES/PAR SECURITY ID TRANSCODE -4,000,000.00 44922ACMO MT -1,400,000.00 13443ACP8 MT FIXED INCOME SECURJTIES INTEREST -500,000.00 460146AJ2 MT 0.00 996087094 IT 0.00 996087094 IT 4,500,000.00 31364CXV5 IT 07-Apr-2000 15:57:14 ORANGE COUNTY SANITATION DISTRICT PORTFOLIO DETAIL 01-MAR-2000 -31-MAR-2000 TRANSACTION DESCRIPTION/ BROKER LONG TERM OPER-PIMCO IBM DISC 03/21/2000 LONG TERM OPER-PIMCO CAMPBELL SOUP CO DISC 03/23/2000 LIQUlD OPER-PIMCO INTERNATIONAL PAPER CO NT 9.700% 03/15/2000 DD 03/21/9 LONG TERM OPER-PIMCO BSDT-LATE MONEY DEPOSIT ACCT LIQUID OPER-PIMCO BSDT-LATE MONEY DEPOSIT ACCT LONG TERM OPER-PIMCO FEDERAL NATL MTG ASSN MTN 6.230% 03/01/2002 DD 03/03/9 TRADE DATE/ SETTLDATE/ COMPLDATE 21-Mar-2000 21-Mar-2000 21-Mar-2000 23-Mar-2000 23-Mar-2000 23-Mar-2000 15-Mar-2000 15-Mar-2000 15-Mar-2000 OI-Mar-2000 Ol-Mar-2000 01-Mar-2000 Ol-Mar-2000 Ol-Mar-2000 OI-Mar-2000 01-Mar-2000 01-Mar-2000 01-Mar-2000 PAGE: 35 AMOUNT/ COST/ GAIN/LOSS 3,973,650.17 -3,973,650.17 0.00 1,393,526.56 -1,393,526.56 0.00 500,000.00 -506,445.00 -6,445.00 0.10 0.00 0.00 0.02 0.00 0.00 140,175.00 0.00 0.00 Executive Workbench OCSGOOOJ 0000 OCSD-CONSOLJDATED SHARES/PAR SECURITY ID TRANSCODE 0.00 996085247 TT 0.00 996085247 1T 3,800,000.00 31338411'6 IT 2,500,000.00 313588TU9 IT 200,000.00 313588TU9 IT 3,500,000.00 912795DK4 IT 558.80 302998GE3 IT 07-Apr-2000 15:57: 14 ORANGE COUNTY SANITATION DISTRICT PORTFOLIO DETAIL 01-MAR-2000 -31-MAR-2000 TRANSACTION DESCRJPTION/ BROKER LIQUID OPER-PJMCO DREYFUS TREASURY CASH MGMT LONG TERM OPER-PIMCO DREYFUS TREASURY CASH MGMT LIQUID OPER-PIMCO FEDERAL HOME LN BK CONS DISC MAT 03/01/2000 LIQUID OPER-PIMCO FEDERAL NATL MTG ASSN DISCOU MAT 03/02/2000 LONG TERM OPER-PIMCO FEDERAL NATL MTG ASSN DISCOU MAT 03/02/2000 LIQUID OPER-PIMCO US TREASURY BILLS 03/02/2000 DD 03104199 LONG TERM OPER-PIMCO WMP/HUNTOON PAIGE #000-11150 7.500% 12/01/2030 DD 10/21/9 TRADE DATE/ SETTLDATE/ COMPLDATE Ol-Mar-2000 Ol-Mar-2000 Ol-Mar-2000 Ol-Mar-2000 01-Mar-2000 Ol-Mar-2000 01-Mar-2000 Ol-Mar-2000 01-Mar-2000 02-Mar-2000 02-Mar-2000 02-Mar-2000 02-Mar-2000 02-Mar-2000 02-Mar-2000 02-Mar-2000 02-Mar-2000 02-Mar-2000 02-Mar-2000 Ol-Feb-2000 02-Mar-2000 PAGE: 36 AMOUNT/ COST/ GAIN/LOSS 919.95 0.00 0.00 4,099.48 0.00 0.00 603.78 0.00 0.00 ll,083.33 0.00 0.00 471.67 0.00 0.00 88,818.33 0.00 0.00 6,105.48 0.00 0.00 Executive Workbench OCSGOOOJ 0000 OCSD-CONSOLIDATED SHARES/PAR SECURITY ID TRANSCODE 2,500,000.00 313588TV7 IT 2,500,000.00 313588TY1 IT 900,000.00 34110AC68 IT 2,500,000.00 313588TZ8 IT 700,000.00 313396TZ6 IT 2,600,000.00 34539TC86 IT 0.00 313384TS8 IT 07-Apr-2000 15:57:14 ORANGE COUNTY SANITATION DISTRICT PORTFOLIO DETAIL Ol-MAR-2000 -31-MAR-2000 TRANSACTION DESCRIPTION/ BROKER LIQUID OPER-PIMCO FEDERAL NATL MTG ASSN DISCOU MAT 03/0312000 LIQUID OPER-PIMCO FEDERAL NA TL MTG ASSN DISCOU MAT 03/06/2000 LIQUID OPER-PIMCO FLORIDA PWR CORP DISC 03/06/2000 LlQUID OPER-PIMCO FEDERAL NATL MTG ASSN DISC N MATURES 03/07/2000 LONG TERM OPER-PJMCO FEDERAL HOME LN MTG CORP DIS MAT 03/07/2000 LONG TERM OPER-PIMCO FORD MTR CR CO DISC 03/08/2000 LIQUID OPER-PIMCO FEDERAL HOME LN BK CONS DISC MAT 02/29/2000 TRADE DATE/ SETTLDATE/ COMPLDATE 03-Mar-2000 03-Mar-2000 03-Mar-2000 06-Mar-2000 06-Mar-2000 06·Mat-2000 06-Mar-2000 06-Mar-2000 06-Mar-2000 07-Mar-2000 07-Mar-2000 07-Mar-2000 07-Mar-2000 07-Mar-2000 07-Mar-2000 08-Mar-2000 08-Mar-2000 08-Mar-2000 1 O-Mar~2000 29-Feb-2000 10-Mar-2000 PAGE: . 37 AMOUNT/ COST/ GAIN/LOSS 382.64 0.00 0.00 l,l 75.00 0.00 0.00 4,664.00 0.00 0.00 386.81 0.00 0.00 3,076.l l 0.00 0.00 l4,l68.56 0.00 0.00 596.39 0.00 0.00 Executive Workbench @ ORANGE COUNTY SANITATION DISTRICT PAGE: 38 PORTFOLIO DETAIL OCSGOOO 10000 01-MAR-2000 -31-MAR-2000 OCSD-CONSOLIDATED SHARES/PAR TRADE DATE/ AMOUNT/ SECURJTYID TRANSACTION DESCRIPTION/ SETTLDATE/ COST/ TRANSCODE BROKER COMPLDATE GAIN/LOSS LONG TERM OPER-PIMCO 5,000,000.00 LEHMAN BROS HLDGS MTN 13-Mar-2000 89,910.25 52517PQQ7 FLTG RT 12/12/2002 DD 12/07/ I 3-Mar-2000 0.00 IT 13-Mar-2000 0.00 LONG TERM OPER-PIMCO 3,600,000.00 ALUMINUM CO AMER DISC 14-Mar-2000 10,368.00 02225ACEO 03/14/2000 14-Mar-2000 0.00 IT 14-Mar-2000 0.00 LIQUID OPER-PIMCO 500,000.00 INTERNATIONAL PAPER CO NT 15-Mar-2000 24,250.00 460146AJ2 9. 700% 03/15/2000 DD 03/21/9 15-Mar-2000 0.00 IT 15-Mar-2000 0.00 LONG TERM OPER-PIMCO 2,100,000.00 FEDERAL NATL MTG ASSN DEBS 15-Mar-2000 74,972.91 31359MEY5 6.625% 0911512009 DD 09/01/9 l 5-Mar-2000 0.00 IT l 5-Mar-2000 0.00 LONG TERM OPER-PIMCO 3,0001000.00 CONSOLIDATED EDISON NY DEBS 15-Mar-2000 46,874.48 209111CU5 PL TG RT 06/15/,2002 DD 06/20/ l 5-Mar-2000 0.00 IT l 5-Mar-2000 0.00 LONG TE'RM OPER-PIMCO 2,000,000.00 LONG ISLAND LTG CO DEB 15-Mar-2000 82,000.00 542671CT7 8.200% 03/15/2023 DD 03/28/9 15-Mar-2000 0.00 IT 15-Mar-2000 0.00 LONG TERM OPER-PIMCO 1,300,000.00 DISNEY WALT CO DISC 15-Mar-2000 417.44 2546ROCF5 03/15/2000 15-Mar-2000 0.00 IT 15-Mar-2000 0.00 07-Apr-2000 15:57: 14 Exeoutive Workbench OCSGOOO 10000 OCSD-CONSOLIDATED SHARES/PAR SECURITY ID TRANSCODE 216,743.73 3128DDQ55 IT 21,864.25 3133TKKU3 IT 32,736.00 3133T02D5 IT 7,604.76 3J677EAA4 IT 46,900.50 3133TCE95 IT 47.00 3133TCE95 IT 27,601.52 3935052Y7 IT 07-Apr-2000 15:57:14 ORANGE COUNTY SANITATION DISTRICT PORTFOLIO DETAa 01-MAR-2000 -31-MAR-2000 TRANSACTION DESCRIPTION/ BROKER LONG TERM OPER-PIMCO FHLMC GROUP #G5-0476 7.000% 02/01/2003 DD 02/01/ LONG TERM OPER-PIMCO FHLMCMULTICLASS CTF 2146 QT 6.000% ll/15/2011 LONG TERM OPER-PIMCO FHLMC MUL TICL MTG P/C 1574 E 5.900% 06/15/2017 LONG TERM OPER-PIMCO FIFTH THIRD BK AUTO TR 96A C 6.200% 09/01/2001 OD 03/15/9 LONG TERM OPER-PIMCO FHLMC MULTICLASS CTF EJ A VAR RT 08/15/2032 LONG TERM OPER-PIMCO FHLMC MUL Tl CLASS CTF E3 A VAR RT 08/15/2032 LONG TERM OPER-PIMCO GREEN TREE CORP 99-D CL A-1 6.290% 10/15/2013 DD 08/26/9 TRADE DATE/ SETTLDATE/ COMPLDATE l 5-Mar-2000 Ol~Mar-2000 15-Mar-2000 15-Mar-2000 Ol-Mar-2000 15-Mar-2000 15-Mar-2000 01-Mar-2000 15-Mar-2000 15-Mar-2000 l 5-Mar-2000 l 5-Mar-2000 15-Mar-2000 Ol-Feb-2000 l 5-Mar-2000 15-Mar-2000 Ol-Feb-2000 15-Mar-2000 15-Mar-2000 l 5-Mar-2000 l 5-Mar-2000 . PAGE: 39 AMOUNT/ COST/ GAIN/LOSS 51,908.12 0.00 0.00 12,500.00 0.00 0.00 2,431.70 0.00 0.00 271.90 0.00 0.00 15,776.95 0.00 0.00 47.00 0.00 0.00 ,2,123.82 0.00 0.00 Executive Workbench ~ II ORANGE COUNTY SANITATION DISTRICT PAGE: 40 PORTFOLIO DETAIL OCSGOOOJOOOO Ol-MAR-2000 -31-MAR-2000 OCSD-CONSOUDATED SHARES/PAR TRADE DATE/ AMOUNT/ SECURITY ID TRANSACTION DESCRIPTION/ SETTLDATE/ COST/ TRANSCODE BROKER COMPLDATE GAIN/LOSS LONG TERM OPER-PIMCO 2,000,000.00 BANK.BOSTON CORP SR NTS J 5-Mar-2000 61,930.56 06605TAL6 6.125% 03/15/2002 DD 0311219 1 S-Mar-2000 0.00 IT I 5-Mar-2000 0.00 LONG TERM OPER-PlMCO l,300,000.00 XEROX CR CORP DISC 16-Mar-2000 213.06 984l2MCGO 03/16/2000 16-Mar-2000 0.00 IT 16-Mar-2000 0.00 LONG TERM OPER-PIMCO 11,992.36 f}fl,MC MULTICLASS CTF SER 162 16-Mar-2000 t l,992.36 3!33Tl7A4 6.000% 11/15/2023 DD 11/01/9 OJ-Mar-2000 0.00 lT 16-Mar-2000 0.00 LONG TERM OPER-PIMCO 46,911.79 GNMA GTD REMIC TR 2000-9 FH 16-Mar-2000 14,746.67 3837H4NX9 VAR RT 02116/2030 16-Mar-2000 0.00 IT 16-Mar-2000 0.00 LONG TERM OPER-PIMCO 3,000,000.00 GENERAL MTRS ACCEP MTN 17-Mar-2000 49,413.00 37042WVR9 FLTG RT 12117/2001DD12/15/ 17-Mar-2000 0.00 lT 17-Mar-2000 0.00 LIQUID OPER-PIMCO 1,000,000.00 FEDERAL HOME LN MTG CORP DEB 20-Mar-2000 4,579.58 3134A3RT5 FLTG RT 05/18/2000 DD 05/18/ 18-Mar-2000 0.00 IT 20-Mar-2000 0.00 LONG TERM OPf.R-PIMCO 32,671.20 GNMA II POOL #0080023 20-Mar-2000 9,005.11 36225CAZ9 7.125% 12/20/2026 DD 12/01/ Ol-Mar-2000 0.00 IT 20-Mar-2000 0.00 07-Apr-2000 I 5: 57:14 Executive Workbench ' , OCSGOOO I 0000 OCSD-CONSOLJDATED SHARES/PAR SECURITY ID TRANSCODE 31,007.65 3622SCC20 lT 0.00 17120QE80 IT 2,000,000.00 3837H3C70 IT 600,000.00 313396UP6 IT 4,000,000.00 44922ACMO 1T 1,400,000.00 13443ACP8 IT 4,000,000.00 44181KZA5 IT 07-Apr-2000 15:57.14 ORANGE COUNTY SANITATION DISTRICT PORTFOLIO DETAIL Ol-MAR-2000-31-MAR-2000 TRANSACTION DESCRIPTION/ BROKER LONG TERM OPER-PIMCO GNMA Il POOL #080088M VAR RT 06/20/2027 DD 06/0119 LONG TERM OPER-PIMCO CHRYSLER FINL LLC MTN #TR006 FLTG RT 08/08/2002 DD 04/08/ LONG TERM OPER-PIMCO GNMA GTD REMIC TR 2000-2 PA 7.000% 12120/2022 LONG TERM OPER-PIMCO FEDERAL HOME MTG MTG CORP DI MAT 03/2112000 LONG TERM OPER-PIMCO lBMDlSC 03/2112000 LONG TERM OPER-PIMCO CAMPBELL SOUP CO DISC 03/23/2000 LONG TERM OPER-PIMCO HOUSEHOLD FIN CO MTN FL TG RT 06/24/2003 DD 06/24/ TRADE DATE/ SETTLDATE/ COMPLDATE 20-Mar-2000 Ol-Mar-2000 20-Mar-2000 20-Mar-2000 20-Mar-2000 20-Mar-2000 21-Mar-2000 Ol -Mar·2000 21-Mar-2000 21-Mar-2000 21-Mar-2000 21-Mar-2000 21-Mar-2000 21-Mar-2000 21-Mar-2000 23-Mar-2000 23-Mar-2000 23-Mar-2000 24-Mar-2000 24-Mar-2000 24-Mar-2000 PAGE: 41 AMOUNT I COST/ GAINILOSS 10,668.20 0.00 0.00 16,387.77 0.00 0.00 11,666.67 0.00 0.00 4,608.00 0.00 0.00 26,349.83 0.00 0.00 6,473.44 0.00 0.00 65,11 5.56 0.00 0.00 Executive Workbench @ 11 ORANGE COUNTY SANITATION DISTRICT PAGE: 42 PORTFOLIO DETAIL OCSGOOO 10000 01-MAR-2000 -31-MAR-2000 OCSD-CONSOLJDATED SHARES/PAR TRADE DATE/ AMOUNT/ SECURITY ID TRANSACTION DESCRIPTION/ SETTLDATE/ COST/ TRANSCODE BROKER COMPLDATE GAIN/LOSS LONG TERM OPER-PIMCO 1,000,000.00 1-lELLER FJNANCIAL INC NTS 27-Mar-2000 28,750.00 42333HKJO 5.750% 09/25/2001 DD 0912519 25-Mar-2000 0.00 IT 27-Mar-2000 0.00 LONG TERM OPER-PIMCO 2,000,000.00 FHLMC MULTICLASS CTF Tl 1 A6 27-Mar-2000 10,833.33 3133TDPV2 6.500% 09/25/2018 25-Feb-2000 0.00 IT 27-Mar-2000 0.00 LONG TERM OPER-PIMCO 2,000,000.00 HELLER FINANCIAL INC NTS 27-Mar-2000 31,848.40 423328BK8 FLTG RT 06/25/2001DD061251 25-Mar-2000 0.00 IT 27-Mar-2000 0.00 LONG TERM OPER-PIMCO l,0Li9.45 FNMA POOL #0252703 27-Mar-2000 5,284.76 31371HU48 6.500% 09/01/2006 DD 08/0 I/ 01-Mar-2000 0.00 IT 27-Mar-2000 0.00 LONG TERM OPER-PIMCO 562.70 WMP/HUNTOON P ALGE #000-111 50 29-Mar-2000 6,101.99 302998GE3 7.500% 12/01/2030 DD 10/2119 Ol-Mar-2000 0.00 lT 29-Mar-2000 0.00 LONG TERM OPER-PIMCO 0.00 US TREASURY INFLATION INDEX 31-Mar-2000 2,300.00 9128275W8 4.250%001115/2010 DD 01/15/ 0.00 CD 3 l-Mar-2000 0.00 LONG TERM OPER-PIMCO 0.00 SHORT TERM FDS INT ADJ 3 l-Mar-2000 -3,321.16 990000PJ4 NET OF OVERNIGHT INTEREST 3 l-Mar-2000 0.00 CW 3 l-Mar-2000 o.oo 07-Apr-2000 15:57:14 Executive W.Drkbencl• OCSGOOOI 0000 OCSD-CONSOLIDATED SHARES/PAR SECURITY ID TRANSCODE 23,430,000.00 9128275Ql rr 2,100,000.00 912827Z54 IT 0.00 9128272M3 CD 0.00 9J28273A8 CD 07-Apr-2000 I 5:57: 14 ORANGE COUNTY SANITATION DISTRICT PORTFOLIO DETAIL Ol -MAR-2000 -31-MAR-2000 TRANSACTION DESCRIPTION/ BROKER LONG TERM OPER-PIMCO US TREASURY NOTES 05.625% 09/30/2001 DD09/30/ LONG TERM OPER-PIMCO US TREASURY NOTES 06.375% 09/30/2001 DD 09/30/ LONG TERM OPER-PIMCO US TREASURY INFLATION INDEX 3.375% 01/15/2007 DD Ol/15/ LONG TERM OPER-PIMCO US TREASURY INFLATION INDEX 3.625% 07/15/2002 DD 07/15/ TRADE DATE/ SETTLDATE/ COMl'L DATE 31-Mar-2000 31-Mar-2000 3 l-Mar-2000 31-Mar-2000 31-Mar-2000 3 l-Mar-2000 3 l-Mar-2000 31-Mar-2000 31-Mar-2000 3 l-Mar-2000 II . . PAGE: 43 AMOUNT/ COST/ GAIN/LOSS 658,968.75 0.00 0.00 66,937.50 0.00 0.00 29,780.00 0.00 0.00 18,296.00 0.00 0.00 Executive Workbench 1 I • ~--~fu>~ t?7 ,&tt~~ d:f ~ t//;J. /lb ?74-1'4(_ t!/>,1#1, -- ~ Orange County Policy Number: 010.00 ~-Sanitation District Effective Date: April 26, 2000 Subject: LEAVE-OF-ABSENCE WITH PAY Supersedes: April 22, 1998 1.0 - Approved by: PURPOSE 1.1 The purpose of this policy is to establish uniform guidelines and procedures for use in the administration of the District's leave-of-absence with pay program. 2.0 ORGANIZATIONAL UNITS AFFECTED 2.1 All District's employees. 3.0 DEFINITIONS 4.0 POLICY 4.1 Vacation Leave. Except as otherwise provided, regular full-time employees accrue vacation leave, in accordance with the following schedule: Years of Service Hours-Biweekly Hours-Annually In years 0 through 1 3.08 80 In years 2 through 4 3.08 80 In years 5 through 10 4.62 120 In year 11 4.93 128 - lnyear12 5.24 136 In year 13 5.54 144 In year 14 5.85 152 - In year 15 and over 6.16 160 4.1.1 Vacation leave begins to accrue after a new employee has completed six months of continuous service. After the first six months of service, the employee's account will be credited with 40 hours. After that time, the employee will accrue vacation hours consistent with the above chart. Vacation leave may only be utilized in increments of one-half hour or more. Vacation leave is accrued for all paid hours, including hours actually worked and hours in a paid-leave payroll status. A full-tirne. regular employee will be granted pro rata vacation leave credit during any pay period in which he/she is absent without pay for one (1) full working day. A part-time, regular employee will not be granted vacation leave credit during any period he/she is absent - without pay on his/her regular working day. Employees may have a maximum accumulation of 200 hours as of the last day of the final pay period in December of each year. In the event an employee accrues vacation leave in excess of 200 hours, it must be used prior to said December date, all other remaining hours in excess of 200 will be paid to the employee in the first pay period in January at the employee's then current hourly rate of compensation. 4.2 Sick Leave. Sick leave is an insurance or protection provided by the District to be granted "to employees in circumstances of adversity to promote the health and welfare of the individual employee. It is not an earned right to take time off from work. Sick leave is defined as the absence from duty of an employee because of a bona fide illness, injury, or pregnancy, or to attend to the illness or injury of a family member as hereinafter defined. Temporary employees are not entitled to sick leave benefits. 4.2 .1 Sick-Leave Accrual. Full-time employees hired prior to November 27, 1981 , accrue paid sick leave at the rate of three and one-half (3.5) hours for each biweekly pay period of continuous service (ninety-one (91) hours per year). Full-time employees hired on or after November 27, 1981 , accrue paid sick leave at the rate of three (3.0) hours for each biweekly pay period of continuous service (seventy-eight (78] hours per year), beginning with the first day of employment. 4.2.2 Sick-Leave Credit. A full-time, regular employee shall be granted pro rata sick-leave credit during any pay period in which he/she is absent without pay. A part-time, regular employee shall not be granted sick-leave credit during any period he/she is absent without pay on his/her regular working day. In the event an employee is required to work part-time by direction of his/her physician, sick-leave credit shall be prorated, except that sick leave shall continue to accrue if an employee is absent due to an injury arising out of or in the course of his/her employment and is entitled to Workers' Compensation benefits. 4.2.3 Annual Payoff. Employees may elect annually to be paid for any unused sick leave hours accrued through the end of October at their current hourly rate according to the following payoff schedule or as specified in a Memoranda of Understanding. Accrued Sick Leave Hours Rate of Payoff -- 0-100 0% ---- 101-240 11 25% 241-560 35% Over 560 (mandatory) 50% I I I - 4.2.4 Sick Leave Incentive Plan. The Sick Leave Incentive Plan applies to Executive Management, Management, Supervisory and Professional and the Confidential Groups. The Plan will be administered on an individual Group basis. If the average sick leave usage of employees in a Group is under 40 hours per year, calculated on annualized actual time off during the period from January 1 to December 31 exclusive of catastrophic illness or injury requiring absence in excess of 200 hours or industrial injury leave in excess of 80 hours, the annual payoff for unused sick leave will be as follows: Accrued Sick Leave Hours Rate of Payoff 0-100 10% 101-240 40% ----- 241-560 50% Over 560 (mandatory) 60% I - 4.2.5 Employees who separate for any reason other than retirement or death shall be compensated for any accrued and unused sick leave according to the above schedule. Employees who retire or decease shall be paid at the fifty percent (50%) rate for all accrued and unused sick leave. 4.2.6 Permissible Uses. Sick leave may be applied only tG.wtien: a. The employee is physically or mentally unaole to p'erform his gr her normal functions due to illness, injury, or a medical condition. b. The absence is for the purpose of obtaining professional diagnosis or treatment for a.me~ical condition of the employee or the absence is due to medical a11d dental office appointments of an employee when approved by the employee's supervisor. c. Tlie absence is for 'other medical reasons of the employee, such as pregnancy or obtaining a physical examir:ia~~on. d. The absence is for the care of the employee's parent.~. father-in-law, ~9&hQF; mother-in-law, brother, Sister, hws9aRQ, "'if9 spouse, Child, Step-child, graricfohild, grandparent, legal guardian, or any family member with whom the employee resides. e. The absence is due to a job-related injury. f. In accordance with. Labor·cocfe· Secfiori.233, the absence is because the employee's presence is needed to attend·to an illness of a·parent (biqlogical, foster or adoptive), step parent; legal guardian, spouse. child {biological, foster or adopted). step child, legal ward or a child of a person standing in loco parentis, provided that no more than the amount of sick leave that would accrue to the employee during six (6) months at the employee's then current rate of aqcrual shall be appJic31ble. to t~is. type of sick leave in each c,alendar year. 4.2.7 General Provisions. To qualify for sick-leave pay, the employee must notify the District at or in advance of the time the employee is scheduled to report for duty. Minimum charge to the employee's sick-leave account shall be one-half (.5) hour and thereafter in one-half (.5) hour increments. 4.2.8 The Oirestgr gf Human Resources shall be responsible for control of abuse of the sick-leave privilege. If notified in advance by a manager or supervisor, the employee may be required, at any time, to furnish a certificate issued by a licensed physician or nurse, or other satisfactory evidence of illness; however, for absences of ten (10) consecutive working days or more, a request for leave and a medical statement, on prescribed forms, stating expected date of return must be submitted to Human Resources. Upon return to work, a written doctor's release must be submitted to Human Resources. For absences of one or more working days in an unpaid status. a request for leave and a medical statement, on prescribed forms, stating expected date of return must be submitted to Human Resources. 4.2.9 If the need for leave is due to the employee's serious health condition, as defined in the Family and Medical Leave Act ("FMLA") or the California Family Rights Act ("CFRA"), the certification requirement shall comply with provisions of these Acts. 4.3 Personal Leave. Personal leave is provided to allow employees time off with pay for vacation, personal business and non-job-related illness or injury. Personal leave is accrued by full-time employees for all paid hours, including hours actually worked and hours in a paid-leave payroll status, on a biweekly basis as follows: Personal Leave Hours Biweekly Annual Years of Service 0 through 1 2.31 80* - 2 through 4 5.38 140 5 through 10 6.92 180 11 7.23 188 12 7.54 196 - 13 7.85 204 ----- 14 8.1 fi 212 15 and over 8.46 220 "Only 60 hours may be taken in the first year; the 20 additional hours shall be credited to the accrual balance following successful completion of one year's service. 4.3.1 Scheduled Time Off. Management shall make a reasonable effort, considering the operational needs of the District, to accommodate all employee requests for time off. Scheduled time off should normally be requested at least two weeks in advance to increase the likelihood of those dates being approved. However, i11 the event unforeseen circumstances prevent such advance notification, employees may request scheduled time off with as little as one day's notice. Employees with at least one year's service must request at least 40 hours off each year. Preference among employees who request time off at least six months in advance shall be based on seniority. Requests received less than six months in advance shall be scheduled in the order received. Personal leave may only be reported in insF9R18Rts gf one-half- hour or ~ one-:h~µt increments. 4.3.2 Unscheduled Time Off. Personal leave that is classified as unscheduled time off provides income protection to an employee who is unable to work due the following: a. The employee is physically or mentally unable to perform his or her normal functions due to illness, injury, or a medical condition. b. The absence is for the purpose of obtaining professional diagnosis or treatment for.a medical condition of the employee or the absence is due to medical and dental office appointments of an employee when approved by the employee's supervisor. c. The· absence is for other.medical reasons of the employee, such as pregnancy or obtaining a physical examination. d. The absence is-for the care of the employee's parent,~. father-in-law, FR9tl:ier, mother-in-law, brother, sister, t::u.isbam~. wif& spouse, child, step-child, gra.n-dchild, grandparent, legal guardian, or any family member with whom the employee resides. e. The absencEtis due to a job-related injury. f. In accordance witli Labo r Code Section 233, the absence is because the employee's presence is needed to attend to an illness of a parent (biological, foster or adoptive), step parent, legal guardian, spouse, child (biological, foster or adopted), step child, legal ward or a child of a person standing in loco parentis, provided that no more than the amount of sick leave that would accrue to the employee during six (6) months at the employee's then current rate of accrual shall be applicable to this type of sick leave in each calendar year. tg illr::i&s&, iR11o1ry gr pr&9RaRGY1 gr whg is Garir::i9 fQr ar::i ill gr ir::ij1o1r9g R=l9FR9er gf l:iis/l::l&r iR=iFRegiat& iai:;;iily gr fQr gtl:ier p&rsgr::ial 9FR&;99RGies. AR 9i:;;iplgygg r:;:i1o1st asG91o1Rt fQr Unscheduled time off must be accounted for by ~completion of an Unscheduled Time Off Report ferR'I (see eUaGl::l88) upon the employee's return to work., exse1aHf<at t\vg gays gf 128FS9Ral beav9 FRa~· be sl:iar9eg te Ur::isGl:ieg1o1(9g TiFRe OU eaGl:l saler::igar year 1A1ithg1o1t Q9QlolFR9Rtati9R. \O,ll:ieR aR 9FRpJgyee l::ia& aR lolRSGR9Qlol(Qg ar::ig lolRQ9GlolFR9Rted a9s&RGe, tl:ie eFRplgye&'s s1o1pen.1iser 'Nill tile ar::i Ur::i&Gl:ieEi11o1l9g Tir::i:ie OU Repgrt fQrFR ir::igiGatir::i9 tl::lat tl:i& a9seRG9 is 1o1RsGl:led1o1l9g ar::ig 1o1RgQGlolR=l&Rteg, URSGRQg1o1l9g ar::ig 1o1RgQGloll+l9Rteg abG9RG8S will be G9R6iggrgg WRQR g9ter:rRiRiR9 tl::le &1+1plgy99's tetal r::i1o1FRb&r ef 1o1RsGl::leg1o1lelil 9GGWFF9RGes. fgr all gtl::l&r gays, Employees may be required to submit medical documentation 9f for their injury or illness. It is the responsibility of District's management to control the potential abuse of unscheduled time off privileges. Tardiness ~less than 15 minutes shall not be deducted from the employee's pay, but numerous occurrences will be addressed through the progressive discipline procedures. Tardiness of one nour or more shall be conside.red an unscheduled occurrence. 4.3.3 An employee's attendance record shall be reviewed with an employee after five separate occurrences of unscheduled time off, iRGll:ldir::i9 tt:le t\l'e 1o1r::igeGWf:R8Rteg gays r&feri:gg le iR aeGtieR 4 ,3 .2, to provide an opportunity to assess problems that could potentially lead to disciplinary action. The accumulation of the sixth and seventh occurrence within a calendar year shall result in a verbal warning. The eighth occurrence shall result in a written warning. Employees who are charged with ten occurrences of absence within a twelve-month period shall be subject to termination. Absences of multiple consecutive days involving the same injury or illness shall be considered a single occurrence. The District also has the right to discipline employees on the basis of total absences away from work. Employees must notify their supervisor prior to the start time of their shift when they are unable to report for work. Employees returning from an extended leave should notify their supervisor as soon as possible to facilitate personnel scheduling. 4.3.4 Tl::le !Jirestgr gf Human Resources shall be responsible for control of abuse of the unscheduled leave privilege. The employee may be required, at any time, to furnish a certificate issued by a licensed physician or nurse, or other satisfactory evidence of illness; however, for unscheduled absences of ten ( 10) consecutive working days or more, a request for leave and a medical statement, on prescribed forms, stating expected date of return must be submitted to Human Resources. Upon return to work, a written doctor's release must be submitted to Human Resources. For absences of one or more working days in an unpaid status, a request for leave and a medical statement on prescribed forms, stating expected date of return must be submitted to Human Resources. 4.3.5 Personal Leave and Workers' Compensation Leave. Employees who are injured in the course of their employment are placed on Workers' Compensation Leave, and receive wage loss benefits to which they are entitled under the Workers' Compensation Act. Employees may request to receive prorated Personal Leave pay to supplement their Workers' Compensation payments in an amount such that the sum of both is equal to the employee's regular base pay. 4.3.6 Personal Leave Payoff. Employees (or their estate) who separate, retire or die shall be paid in full at their current rate of pay for all Personal Leave hours accrued. 4.3.7 Maximum Accrual. Employees may only accrue up to 400 hours of Personal Leave as of the last day of the final pay period in December of each year. Employees may request to be paid in full for up to 40 such hours in excess of the 400 limit; any remaining time shall be scheduled off by the District. 4.3.8 Sick Leave Bank. Employees who elect to bank sick leave accrued prior to the implementation of Personal Leave provisions may elect to use such time off for absence due to illness or injury once 40 continuous hours of Personal Leave have been used. Employees who retire or die shall be paid at the 50 percent rate for all Banked Sick Leave hours; an employee who separates shall be compensated for Banked Sick Leave as follows. Banked Sick Leave Hours Rate of Payoff 0 -100 0 percent -.. 101-240 25 percent ---- 241 -560 35 percent - Over 560 50 percent 4.3.9 If the need for leave is due to the,employee's serious health condition, as defined in the Family and Medical Leave Act ("FMLA") or the California Family Rights Act ("CFRA"), the certification requirement shall comply with the provisions of these Acts. 4.4 Jury Duty Leave. Any full-time, including probationary, employee who is called for jury duty shall, upon request on prescribed forms approved by tl:i9 Qir9stgr gf Human Resources, be entitled to his/her regular pay for those hours of absence due to performance of the jury duty for a period up to twenty-two (22) working days, provided that his/her fees for such service, exclusive of mileage, are submitted to the District for deposit in the General Fund of the District. 4.4.1 Prior to jury duty service, each employee must complete the District's leave-of- Absence Form and turn it in to Human Resources with a copy of the summons. To be entitled to receive regular pay for such jury leave, tA& ~ployee~ must report for worK during their regularly scheduled work shift when they are relieved from jury duty service, unless there is less than one-half (~) of their regular shift remaining ~ Qistrists fQr tiFR9 r:igt astwally r9tair:i9g QR jwi:y ser •iG9 gf 9R9 (1) l:ig wr gr FRQr& ~rigr tg aRg.fgr t.1p9R G9FRpl9ti9R gf 9aci'l c:ld1y's servis&, exGlw&h'& gf=tra119I UFR&. Employees are not compensated for jury duty occurring on scheduled days off. 4.4.2 An employee serving jury duty must obtain an attendance slip from the court to be submitted to Payroll with his/her time sheet in order to be eligible for regular pay for those hours of absence due to jury duty. 4.5 Witness Leave. Any full-time, including probationary, employee, who is required to be absent from work by a subpoena properly issued by a court, agency or commission legally empowered to subpoena witnesses, which subpoena compels his/her presence as a witness, except in a matter wherein he/she is named as a defendant or plaintiff or as an expert witness, shall, upon request on Leave-of-Absence Forms approved by tl:ie Dir9ster ~ Human Resources, be entitled to the time necessary to comply with such subpoena, provided any fees received for such service, exclusive of mileage, are submitted to the District for deposit in the General Fund of the District. 4.5.1 An employee so subpoenaed must submit a copy of the subpoena with his/her time sheet in order to be eligible for pay for such absence. To be entitled to receive regular pay for such witness leave, the employee must report for work at the District for time not actually retained on witness service of one (1) hour or more prior to and/or upon completion of each day's service, exclusive of travel time. 4.6 Military Leave. A request for military leave shall be made upon Leave-of-Absence Forms approved by tt:ie Oir:est9r ef Human Resource and shall state the date when it is desired to begin the leave-of-absence and the date of anticipated return. A copy of the orders requiring such military service shall be submitted with the request. 4.6.1 Provisions of the Military and Veterans Code of the State of California, Sections 395- 395.5 shall govern military leave. In general, current law provides that an employee having one year or more service with a public entity is entitled to military leave with pay not exceeding thirty (30) days per year if the employee is engaged in military duty ordered for purposes of active military training or encampment. An employee who is required to attend scheduled service drill periods or perform other inactive duty reserve obligations is entitled to military leave without pay, not exceeding seventeen (17) calendar days per year, although the employee may, at his or her option, elect to use vacation or personal leave time to attend the scheduled reserve drill periods or to perform other inactive drill period obligations. Employees who participate in weekend military drill duty are not eligible for leave with pay for such activity, but may have their regular work schedule changed to accommodate the required time off. 4.7 Bereavement Leave. Using the prescribed forms, approved by tl:ie Oirester ef Human Resources, any full-time employee, whether probationary or regular, shall receive a maximum of three (3) days off with pay for the death or funeral of an immediate family member. Immediate family member is defined as the employee's father, father-in-law, mother, mother-in-law, brother, sister, husband, wife, child, step-child, st~R, parent, grandchild, grandparent, legal guardian, or any family member with whom the employee resides or who is identified in the employee's memorandum of understandlhg {MOU), if aptJlieaf>le. 5.0 PROCEDURE 6.0 EXCEPTIONS Section 4.1, Vacation, including Subsections 4.11 and 4.12, of this policy does not apply to employees covered under the provisions of Personal Leave in the Operations and Maintenance (including General Services Administration employees) Memorandum of Understanding. Section 4.2, Sick Leave, including Subsections 4.21 through 4.28, of this policy does not apply to employees covered under the provisions of Personal Leave in the Operations and Maintenance (including General Services Administration employees) Memorandum of Understanding. Section 4.3, Personal Leave, including Subsections 4.31 through 4.39, of this policy applies only to those employees covered under the provisions of Personal Leave in the Operations and Maintenance (including General Services Administration employees) Memorandum of Understanding. Vacation leave is not accrued for overtime hours worked. Accrued balances of vacation leave, compensatory leave, and personal leave may be cashed out at the employee's request on an annual basis in December of each calendar year. 7.0 PROVISIONS ANO CONDITIONS 7.1 Employees may have a maximum accumulation of 200 hours of vacation as of the last day of the final pay period in December of each year. 7 .2 In the event an employee accrues vacation leave in excess of 200 hours, it must be used prior to the December date, all other remaining hours in excess of 200 will be paid to the employee in the first pay period in January at the employee's then current hourly rate of compensation. 7 .3 Employees are not eligible to schedule vacation leave until the completion of six months continuous service. 7.4 Employees may not maintain a negative balance on vacation, sick, compensatory, or personal leave accruals. 8.0 RELATED DOCUMENTS 8.1 Operations and Maintenance MOU 8.2 Administrative and Clerical MOU 8.3 Engineering MOU 8.4 Technical Services MOU 8.5 Supervisory and Professional MOU 8.6 Personal Leave Unscheduled Time Off Report Form ® Orange County Policy Number: 020.00 Sanitation District Effective Date: April 26, 2000 Subject: LEAVE-OF-ABSENCE Supersedes: October 22, 1997 1.0 WITHOUT PAY Approved by: PURPOSE 1.1 The purpose of this policy is to establish uniform guidelines and procedures for use in the administration of the District's leave-of-absence without pay program. 2.0 ORGANIZATIONAL UNITS AFFECTED 2.1 All District's employees. 3.0 DEFINITIONS 4.0 POLICY 4.1 It is the policy of the District to grant employees extended leave-at-absences under certain circumstances. Except as stated below, employees shall not receive compensation during an extended leave-of-absence. 4.1.1 Family and Medical Leave Act and California Family Rights Act Leave. Using the prescribed forms, approved by tR8 Oii:eGtQF Qf Human Resources, any full-time, including probationary, or part-time employee with at least fifty-two (52) weeks of service and at least one thousand two hundred fifty {1,250) hours of service, may be granted an FMLA or CFRA leave-of-absence without pay, not to exceed twelve (12) weeks in a twelve (12) month calendar period. A request for leave-of-absence without pay must be made upon prescribed forms in all instances where an employee is absent without pay for more than five (5) consecutive working days, or for absences of ten (1 0) consecutive working days or more when using paid sick leave accruals. 4.1.2 -Substitution of Paid Leave. Employees who request FMLA or CFRA leave for qualifying purposes other than the employee's own "serious health condition" shall be required to use all vacation and other leave accruals, except sick leave accruals, before unpaid leave is granted. Vacation, personal leave and sick leave credit shall not accrue during any pay period that an employee is absent without pay for more than one day. Employees may elect to substifute sick leave, with District approval if such leave is authorized, pursuant to Section 4.2.6, Permissible Uses, of Policy 010.00, Leave-of-Absence with Pay. 4 I1.~ P8FFRi&&i918 1..1&8& I IR 'dGGQpQQAQi witR Alli 1 og, S&iGk l9au9 FRay QQ appli8Q erily t9: - -- Page 1 a, A9s&R69 ewe t9 illRess, iRjwry 9r pre9RaR6Y 9f aR &fRpl9yee The tiir&eA i~ii;auy ~iRtalo/ Wi:lalile tg -pai:iGi+R Rii gr"'Rer-i:u11~al ~R-4iQR~WQ t'1 illA8ie 1 ~1.1ry, Q£1l '"'~uili•iill GQRQ~QA; 9. lR9 3Qi9AGQ i&-fQr1Re=pw;pGi9 Qfgl;\aiRIRS pretat sieRal Qi39£19&is QF &i:&•eRt fej a s;:ie&iiG,!1 G&J.laitieR &f #le p~g'°'' .Al~ser:i6& ewe l9 fR8ei6al ar:ig Q8Rtal 9~68 app9iRtfR8Rts 9f a p9FS9R \"R8R appF9\'8Q 9y tt:ie &fRple~·ee's swpervis&r "' tAe ~~iQ~Q i• fQrgtJ:ii"r-FR&QilSar F8i1S9Ri gf tR& p i i::G&A, &w;l:I 41i PF89RilRG~J e. A9s&R68 fgr tt:ie 6are 9f tl:le &fRpl&yee's p~reAt, fatl:ler, fatl:ler iR law, R=i9tl:ler, R=i9tl:ler iR law, 9F9tl:ler, sister. l:lws9aRe1 wifQ spgw_&e, 61:lile, step GRil&i1 9rali;t~;, graR9parer:i~ legal gwar9iar:i, er ar:iy taFRily FR9FR9er witl:l VlRQR=i tl:le &R=ipl9yee resiees. e. •0.9s&R68 91.19 t9 a j99 relatee iRjwry. 4.2 Permissible Uses. The following are FMLA and CFRA leave permissible uses: 4.2.1 FMLA Leave. Unpaid FMLA leave may be used for 1) child care following the birth or placement of a child, 2) the care of a parent, iatl:ler, father-in-law. R=i9lRer, mother-in-law, brother, sister, l:lws9aR9 , wife, spouse. child, step-child, grandchild, grandparent, legal guardian, or any family member with whom the employee resides who has a "serious health condition," as defined in the Act or 3) for the employee's own "serious health condition" that renders the employee unable to perform the essential functions of his or her position, including incapacity due to pregnancy. 4.2.2 CFRA Leave. Unpaid CFRA leave may be used for the same purposes as FMLA Leave, and shall run concurrently except that an employee's incapacity due to pregnancy is not eligible for CFRA leave. However, such incapacity may entitle an employee to up to four (4) months of pregnancy disability leave, with medical approval, plus another twelve (12) weeks of FMLA leave, to care for the child, in a twelve {12) month period. 4.3 General Provisions. The following general provisions shall apply: 4.3.1 Requests for FMLA and CFRA Leave. Where the need for leave is foreseeable, the District requests thirty (30) days advance notice. 4.3.2 Medical Certification. As a condition of FMLA or CFRA leave because of a "serious health condition," the District may require certification by a health care provider. 4.3.3 Medical and Dental Premiums. During FMLA and CFRA leave, the District shall pay for medical and dental benefits at the same level as coverage would have been provided if the employee was not on leave. The employee shall be required to pay his or her share of medical and dental premiums. 4.3;4 Reinstatement. Upon expiration of FMLA or CFRA leave, the employee shall be reinstated to the same or a comparable position unless the employee would not otherwise have been entitled to that position for reasons unrelated to such leave (e.g., lay-offs), in which case the District's obligation to continue health and dental or other benefits shall cease. Page 2 4.3.5 Failure to Return to Work. If, upon the expiration of FMLA or CFRA Leave, or any District-approved extension thereof, an employee fails to return to work, the employee shall be considered to have automatically resigned from his/her position. The District shall review vacancies to determine whether or not a vacant position exists that the employee is qualified to perform with or without reasonable accommodation. If the employee is still unable to perform the essential duties of his/her position, the employee shall be considered to have automatically resigned from his/her position, unless eligible for disability retirement. 4.3.6 Bridge of Service. If an employee automatically resigns from his/her position as a result of a "bona-fide" injury or illness. and then is rehired to a position within the District within one year, the District shall bridge the employees' service date. "Bridging of service" means adding the total number of days away from work to the employees' original date of hire. 4.4 Married Employees. Employees of the District who ar~ married to each other shall be limited to a combined total of twelve (12) weeks FMLA or CFRA Leave in a twelve (12) month calendar period if the leave is takeri: fQr tl:ie Gare gf a parer::it gr r::iewly 9grr::i gr plaGed Gl:lilg, (1) for birtfi'of the employee's' son (fr dailghter or to care for the-child'after birth; (2) for placement of a son or daughter with the employ~e for adoption or foster care, or to care for the child after placement; or (3) to care for the employee's parent with a serious heafth condition. Where the husband and wife both use a portiOn of the total 12-week FMLA leave entitlement for one of the above purposes, the husband and wife would each be entitled to the difference between the amount he or she has taken indiVidually and 12 weeks for FMLA leave for a purpose such as his or her own serious-· health condition.· ·· .. · · · · · 4.5 Six Mgntl:i Limit on Ui:ipai9 Leaves-of-Absence. lr::i RQ e11ei:it sl:iall a G91+11dii:iatigri 9f Authorized leave-of-absences. whether paid or unpaid, st)~ll not exceed six (6) months in a twenty-four (24) month period, unless required by the FMLA, CFRA or other law. 4.6 General Leave. Subject to Section 4.5, "Six l\.4gr:itl:i Limit on Ur::i~ai9 Leaves of Absence," employees may be granted a general leave-of-absence to attend to personal matters, or for FMLA or CFRA qualifying events. after the expirations of previously authorized leave, if tl:ie OireGtgr gf Human Resources determines that an extended period of time away from the job shall be in the best interests of the employee and the District. 4.6.1 During a general leave-of-absence, the employee shall be required to pay both the District's and the employee's share of medical and dental premiums. 4.7 Return to Work Policy for Non-Work-Related Leave. An employee who has been absent from work due to a medical, non-work-related reason shall be subject to a Return-to-Work medical evaluation. 4. 7 .1 If it is determined that the job demands of the position last held by the employee are not compatible with the employee's restrictions (with reasonable accommodation if the employee is disabled within the Page 3 meaning of the ADA) and the employee is willing to return to work, placement in an alternative position, if available, shall be considered. The employee shall be re-classified as "medically disqualified" while alternative positions are being considered. Such time off shall be without pay; however, the employee may elect to use accrued leave hours, such as vacation, sick or personal, to receive compensation. Placement of an employee in an alternative position requires a pre-placement medical evaluation for the alternative job. 4.7.2 If it is determined that the job demands of the position last held by the employee are not compatible with the employee's restrictions (and cannot be reasonably accommodated if the employee is disabled within the meaning of American with Disabilities Act) and there is not an alternative position, or the employee's restrictions are not compatible with an alternative position. or the employee is not willing to return to work, the employee shall be re-classified as "medically disqualified" and not permitted to work. Thereafter, the employee shall be retired for disability, if eligible, or dismissed. Such dismissal shall not constitute disciplinary action for cause. If requested, the employee's file will indicate the employee left for personal reasons. 4.8 Compliance with Law. These Leave-of-Absence provisions shall be interpreted and applied in a manner that is consistent with the provisions of FMLA, CFRA, ADA and all other laws. In the event there is a direct conflict between these provisions, as written or applied, the provisions of law shall govern. 5.0 PROCEDURE 6.0 EXCEPTIONS 7.0 PROVISIONS AND CONDITIONS 8.0 RELATED DOCUMENTS 8.1 Operations and Maintenance MOU 8.2 Administrative and Clerical MOU 8.3 Engineering MOU 8.4 Technical Services MOU 8.5 Supervisory and Professional MOU 8.6 Policy 010.00. Leav~J-Abf?en~~wfth Fiay Page4 @ Orange County Policy Number: E70.00 Sanitation District Effective Date: April 26, 2000 Subject: E-mail Usage Supersedes: November 4, 1999 - Approved by: - 1.0 PURPOSE 1.1 To establish uniform guidelines for electronic mail usage. 1 .2 This administrative regulation sets forth the District's policy with regard to access to and disclosure of electronic mail messages sent or received by District employees with the use of the District's electronic mail system. It also sets forth policies and procedures on the proper use of the electronic mail system provided by the District. 2.0 ORGANIZATIONAL UNITS AFFECTED 2.1 This policy applies to all District employees. Additionally, all personnel who perform any services for the District and who have access to the network, regardless of their employment status, are covered by this policy. 3.0 DEFINITIONS Attachment: An application specific file, such as a Word or Excel document, which is transported with an e-mail message. The recipient must have suitable software for viewing the attachment. E-mail: A message, possibly with attachments, composed on a computer and received by a computer. A network, potentially including the Internet, is the transmission medium. Internet: A worldwide network of computers, adhering to universal standards that are capable of exchanging data with each other. 4.0 POLICY 4.1 The District's electronic mail system (e-mail) is designed to facilitate communication among users and other business associates for messages or memoranda. Access to these resources is provided to facilitate communication with each other, other government entities, companies, and individuals for the benefit of the District. 4.2 The e-mail system is District property and intended for District business. The system is not to be used for personal gain or to support or advocate non-District-related business or purposes. All data and other electronic messages within this system are the property of the District. Since computer systems are not completely secure, the e-mail system is not intended to transmit sensitive material. 4.3 Employees should be aware that all records, whether on paper or computerized, are subject to the mandatory public disclosure requirements of the Public Records Act, subject to the exceptions provided under the Act. 4.4 The District's Information Technology Department purchases, and administers the necessary software and licenses to provide access to e-mail and Internet services. Users may not rent, copy or loan the software or its documentation, nor provide Page 1 alternative software to access the system. Users may be held responsible for any damages caused by unauthorized software or viruses they introduce into the system. Department Heads are responsible for the implementation and adherence of this policy within their departments. 4.5 Management reserves the right to monitor and access all e-mail accounts and e-mail messages that are created, transmitted or received on District systems, at any time, with no prior notice. There is NO expectation of personal privacy in the use of the e- mail system. The District may review the contents of all transmitted communication over its electronic systems at any time. 5.0 PROCEDURES 5.1 Passwords Users will define their own confidential password, but should be aware that this does not mean that the system is for personal confidential communication, nor does it suggest that e-mail is the property of the user. To ensure the security of the e-mail system, the system will prompt the user to change their password every six months and requires that passwords contain a minimum of 10 characters. The system will not let the user reuse their last 24 passwords. Should the user forget their password and attempt to input a password they are not sure of, the system will lock them out after three failed attempts. Users should not share their passwords with anyone else. 5.2 Internet Messages The Internet provides the District with significant access and dissemination of information to individuals outside of the District. Like all e-mail messages, Internet messages are capable of being forwarded without the express permission of the original author. Users must use caution in the transmission and dissemination of messages outside of the District, and must comply with all state and federal laws. 5.3 Signature Block E-mail should include a signature block at the end of all transmitted messages. This usually consists of the sender's name. title, company name, direct telephone number, fax number and e-mail address. 5.4 Prohibited Uses E-mail messages should be sent with appropriateness and good judgement at all times. The following are examples of e-mail uses that are prohibited: 5.4.1 Communication that in any way may be construed as disruptive, offensive, abusive or threatening; 5.4.2 Communication of sexually explicit images or messages; 5.4.3 Communications that contain ethnic slurs, racial epithets or anything that may be construed as harassment of others based on race, color, national origin, sex, age, disability or religious beliefs. 5.4.4 Solicitation of commercial ventures, religious or political causes, outside organizations, chain-letters or other non-job-related solicitations; and 5.4.5 Any other use that may compromise the integrity of the District and its business in any way. Page2 5.5 Electronic Mail Is Not Archived And Shall Not Be Used As A Permanent Storage Medium 5.5.1 Electronic mail is not backed-up on a permanent basis. The District stores electronic mail only to the degree that allows the District to restore current electronic mail in the event of a systems failure. 5.5.2 Electronic mail is not a permanent storage medium and staff is expressly forbidden to use it as such. Electronic mail in-trays and out-trays shall be purged on a regular basis, and upon implementation of the appropriate technology, the District may, in its discretion, purge any such mail on an automatic basis. 5.5.3 If employees wish to maintain any electronic mail as a permanent record, they must save the electronic mail as a disk file or print it out in hard copy form for permanent filing. The Information Technology Department recommends that users exit Outlook and log off the computer every evening and reboot at least once a week. DO NOT shut down the computer. To ensure that deleted messages are not automatically backed up: • Before leaving each evening, right-click on the "Deleted Items" icon and select "Empty 'Deleted Items' Folder" or, • Configure Outlook, upon exit, to automatically delete the deleted items. Select Tools, Options, Other and click on the "Empty the Deleted Items Folder Upon Exiting" checkbox. 5.6 "Everyone" E-mails The primary purpose of sending "Everyone" e-mail is to communicate District-wide related information. This information should be of a high-priority nature and pertain to all users. This information can be routed to all users utilizing the "Everyone" e-mail distribution list that has been created in Outlook. Contact the Communications Department if clarification is required prior to sending an "Everyone" e-mail. To send a non-District-related message to "everyone", such as items for sale, discussion items, etc., a "Bulletin Board" folder has been created in Outlook, located in the Public Folders section. The following guidelines should apply when sending this type of e-mail: • User's name is recorded on the posting • The time of day is recorded. • User is responsible for using District's time and facilities prudently These e-mail messages are similar to printed communication and the user should exercise good judgement when utilizing the e-mail system. If further clarification is required prior to sending an "Everyone" e-mail, please contact the Communications Department. ~O ENFORCEMENT 6.1 A violation of standards, procedures, or guidelines established pursuant to this policy shall be presented to District's Management for appropriate action and may result in disciplinary action, up to and including termination. If, based on the Districts audit and review of user's e-mail and Internet usage, the District has reason to believe that the user has violated the law in any manner, the District may refer this matter to the proper authorities for prosecution. 7.0 EXCEPTIONS Page 3 8.0 PROVISIONS AND CONDITIONS 9.0 RELATED DOCUMENT 9.1 Internet Usage Policy No. E60.00 Page 4 eg Orange County Policy Number: F20.00 Sanitation District Effective Date: April 26, 2000 - Subject: HOURS OF WORK -Supersedes: December 9, 1998 NON-EXEMPT EMPLOYEES Approved by: 1.0 PURPOSE 1.1 The purpose of this policy is to establish uniform guidelines and procedures for use in the administration of the District's work hours. 2.0 ORGANIZATIONA L UNITS AFFECTED - 2.1 This policy applies to all District non-exempt employees in all organizational units and departments unless otherwise specified. 3.0 DEFINITIONS The Day Shift is an assigned work shift of at least seven consecutive hours between the hours of 6:00 a.m. and 6:00 p.m. The Night Shift is an assigned work shift of at least seven consecutive hours between the hours of 6:00 p.m. and 6:00 a.m. Flextime is the option of employees to choose the starting and finishing times of their shift, with supervisory pre-approval. Overtime is the number of hours in paid status in excess of 40 during a workweek wRl8GG assi9R89 tg aR alt8C:RatiV8 WQFk GSl:l8Qbll8. Nonexempt Employees are employees who are covered by the minimum wage and overtime provisions of the Fair Labor Standards Act, as amended. Such employees, because of the type of work that they perform and their earnings level, are subject to receiving overtime pay in addition to any entitlement otherwise provided for in applicable Memoranda of Understanding or other policies. Core Hours are the hours between 8:00 a.m. and 4:00 p.m. on any given day. Payday is the Wednesday before the end of the subsequent pay period. Pay Per iods ar8 9i W88kly 989iRRiR9 at 1 :.?iQ1 a.F'R QR tl:l8 Fi:ieay fGllgwiRQ pay9ay aR9 G9RtiRwiR9 fgr a 14 gay p8FiQQ QRQiR§ at FRieRiQl:lt QR tl:l8 Thwrseay fglfgwiR§ tl:l8 RQXt pay9ay OCCUr bi-weekly and are calculated on the "b'asls of eo:hours worked for full-time employees. Workweek F'R8aRG a S9"8R Ela~· perigg slarti1=19 at 1 ~iQ1 a.FR. Vri9ay ari9 8RQiRQ at r=Rit;lni9f:lt QR tl:le h~ll9"'ir19 Tl:lwrsga~' means 40-hours of work per 168-hour period fGr fWll ~~9 e~~h~ye9&. The workweek is a fixed and recurring period of 168-hours, or seven consecutive 24-hour periods. District employee workweeks are structured on an individual and/or group basis so that 40-hours of work regularly occurs during the fixed and regularly recurring period of 168-hours. The specific workweek for each employee is fixed by the General Manager, ~r his designee, and is _!Tlaintained by the accounting payroll office. Page 1 4.0 POLICY 4.1 It is the policy of the District to establish the time and duration of working hours as required by work load, operations flow. customer service needs. the efficient management of human resources, and any applicable law. 5.0 PROCEDURE 5.1 Normal Business Hours. Administrative and business functions are normally performed between the hours of 7:30 a.m. and 5:30 p.m., Monday through Thursday, and between the hours of 7:30 a.m. and 4:30 p.m. on Friday. However, the District allows flextime for employees to choose their starting and finishing times as long as employees whose jobs involve contact with the public or outside organizations are present between the core hours of 8:00 a.m. and 4:00 p.m. In addition, department heads may deny flextime to certain employees for reasons of business necessity, work flow. or customer service needs. 5.2 Core Hours. Individual divisions may schedule work beyond the core hours of 8:00 a.m. and 4:00 p.m., subject to approval by the department head, to meet specific operating or service requirements in the most cost-effective and efficient manner. Actual starting and ending times of an employee's shift may vary depending on the operational requirements of each department. 5.3 Shift Schedules. f=gr tir:i:ie r:es9Hil k99piri9 ar:ig assgwRtiRg pwr:pQG9G, tl:ie wQi:k ssl:iegwle fgr fl-Ill tir:R9 er:i:ipleyees is 4Q l:iewrs per week 9aseg QR a 9iweekly payrgll perigg gf 6Q RQ\H&. Tl:ie ash.ial WQrk periQg& 1+1ay be ssl:iegwleg iR sf:lifts gf fQwr Q f:lgwr gays easl:i week arig QRQ aggitigr:ial 6 f:lgwr sf:lift QR alterriate "'eeks (Q'60 ssf:legwle)1 fi"e 6 RQblF gays easl:I "'eek (1 Q/60 ssf:legwleh gr fewr 10 l:lewr 9ays easl:l 'Neek (6/60 ssl:le9wle), Operati9R& er:i:iplgyees FRay wgrk ll:lree 1 ;l l:\gwr sl:lift& easl:I we9k aRg QRQ a99ili9Ral 6 RQblr &Rift QR alterriate WQQk& (7/60 &QR9Qlol19)c 'For time record keeping and accounting purposes, the ''workweek" for full-time employees is 40 hours Rer 168-hour period, to be paid on a biweekly payroll basis of 80 hours worked. The actual work periods may be scheduled in shifts of four 9-hour days and one 4-hour:.day each workweek {9/80 schedule}, five 8-hour days each workweek (10/80), four 10-hour days ·each workweek (8/80), or three 12-hour days and one 4-hour day each workweek (7/80). The starting and ending times of individual employees' workweeks may vary. Day shifts typically begin between 5:00 a.m. and 8:00 a.m. 5.4 Overtime. Supervisors may schedule overtime or extra shifts as necessary. Supervisors will assign overtime to nonexempt employees in the particular job for which overtime is required. Non-exempt employees are not permitted to work overtime without the prior written or verbal approval of their supervisor, division manager, or department head. 5.5 Meeting Attendance. Employee attendance at lectures, meetings, and training programs will be considered as part of an employee's work hours if attendance is requested by management. Overtime or compensatory time may be allowed for such attendance only in unusual circumstances and must be approved by the department head in advance of the meeting. 5.6 Make-up Time. At their discretion, supervisors may allow nonexempt employees to make-up lost time during a given workweek. However, make-up time may not be allowed if the lost time results from conditions the employee could control, if there is no work the employee is qualified to do, or if adequate supervision is not available. 5.7 Time Sheets -Nonexempt Employees. All employees are required to complete an individual time record, hereinafter referred to as a "time sheet" showing the daily hours worked. The following points should be considered by employees in filling out time sheets: 5.7, 1 Employees should record their total hours worked for each workday on their time sheets and sign their own time sheets at the end o~ the pay period. 5. 7 .2 Employees are not permitted to begin work before their normal starting time or work after their normal quitting time without the prior approval of their supervisor. Page2 5.7.3 Employees are required to take scheduled lunch breaks and are required to take scheduled morning and afternoon breaks. 5.7.4 Employee time sheets should be checked and signed by the supervisor involved. 5.7.5 Unapproved absences are not considered as hours worked for pay purposes. Supervisors should inform employees if they will not be paid for certain hours in which they are or were absent from work. 5.7 .6 Filling out another employee's time sheet, without management authoriz~tion, or falsifying any time sheet is prohibited and may be grounds for disciplinary action, up to and including termination. 5.7.7 Time sheets must be completed in ink. Time worked should be charged to the appropriate work order category, and time sheets must be signed by both the employee and supervisor. If an employee is unable to complete their time sheet due to absence, the timesheet must be completed by the supervisor or designee (e.g., designee authorized by management to process employee's ti~ ~heei while on a leave-of-absence) and submitted to timekeeping. When the employee returns to work, another copy of the timesheet should be signed by both the employee and the supervisor and sent to timekeeping. 5. 7 .8 An employee must record all time taken as paid or unpaid leave. Any day with less than the typical amount of time for that shift recorded, usually 8, 9, 10 or 12 hours, must be supported by an explanation of the missing hours in an appropriate space on the sheet. Total hours recorded for each day or shift must agree with the total time for the pay period. 5.7.9 Time sheets will be distributed and collected by supervisors or other designated individuals and submitted to Timekeeping in the Accounting Office no later than Friday noon each week. Time sheets may vary depending upon the operational needs of each department, but will conform to the above requirements. Supervisors are responsible for ensuring that time sheets are submitted in a timely manner. Corrections to a time sheet entry may only be made by supervisors drawing a single line through the incorrect entry, writing the correct entry in the margin, and initialing the change. 5.8 Payday. Paychecks are distributed on the Wednesday immediately preceding the close of a pay period. Checks received on Wednesday cover the period worked during the previous pay period. If a payday falls on a holiday, checks will normally be distributed on the last working day preceding the holiday. Employees who will not be at work on payday may request that their checks be held, forwarded to their supervisor. or mailed directly to them . Unclaimed checks will be held in the Payroll Office. Checks of individuals who terminate their employment with the District, or are separated, will be mailed directly to them on the next regular payday subsequent to the separation date unless other arrangements are made to hold the check. 6.0 EXCEPTIONS 6.1 Flextime does not apply to the Operations and Maintenance Department and General Services Administration Department. 7.0 PROVISIONS ANO CONDITIONS 8.0 RELATED DOCUMENTS 8.1 Fair Labor Standards Act, as amended. Page 3 --- @ Orange County Policy Number: F20.10 Sanitation District I ' Effective Date: April 26, 2000 ~ Subject: HOURS OF WORK -EXEMPT Supersedes: December 9, 1998 EMPLOYEES - Approved by: 1.0 PURPOSE 1 .1 The purpose of this policy is to establish uniform guidelines and procedures for use in the administration of the District's working hours. 2.0 ORGANIZATIONAL UNITS AFFECTED 2.1 This policy applies to all District exempt employees in all organizational units and departments unless otherwise specified. 3.0 DEFINITIONS Exempt Employees are employees who are not covered by the minimum wage and overtime provisions of the Fair Labor Standards Act. Such employees are considered exempt by virtue of their duties in conformance with the Act's definition of Executive, Administrative and Professional employees. Flextime is the option of employees to choose the starting and finishing times of their shift. Overtime is the number of hours in paid status in excess of 40 during a workweek. Memo time is the number of hours in excess or short of the normal working hours for an employee in a single workday. The normal working hours could be 8, 9, 10 or 12 depending on the employee's assigned schedule. Make-up time is time worked in the second week of the pay period to make-up for a shortage of time in the first week of the pay period. Core Hours are the hours between 8:00 a.m. and 4:00 p.m. on any given day. Payday is the Wednesday before the end of the subsequent pay period. Pay Periods ai:e 9i weekly g99iRRiR9 at 12;01 a.1+1. gn tl:le ~i:iGay fQlle"'iR9 fjlaygay ang GentiRwiRQ l'ei: a 14 gay perieg engiRQ at 1+1iQRi9l:it QR tl:le TRwrGgay '9lle"<iR9 tl:ie Re~ ~aygay, occur bi-weekly and are calculatecfOn'the basis of 80-ho~rs worked for' f\ill.:time employees. \AJerlw.ieak 1+1eaR& a G9119R gay ~erieg GtartiRQ at 12;01 a.1+1. ~riGay aF1Q 9RQiR9 at r:RiQRi9~t QR tl:le fQllgwiR9 Tl:ib1FG9a;r, means 40-hours of work per 168-hour period fQr fWll 'ir:R9 er:i::ipleyees. The workweek is a fixed and ree.urring period of 168-hours, or seven consecutive 24-hour periods. District employee workweeks are structured on an individual and/or group basis so that 40-hours of work regularly occurs during the fixed and regularly recurring period of 168-hours. The specific workweek for each employee is fixed by the General Manager, or his designee, and is maintained by the accounting payroll office. 4.0 POLICY 4.1 It is the policy of the District to require exempt employees to complete weekly timesheets. Exempt employees must use sick time, vacation time or compensatory time for any partial-day absences. Page 1 4.2 In certain situations employees may not be required to use leave time for partial-day absences and may be eligible to use "make up time" or "memo time" if they will be working more than eighty (80) hours in the same pay period. (Please refer to the sample timesheet.) 5.0 PROCEDURE 5.1 Normal Business Hours. Administrative and business functions are normally performed between the hours of 7:30 a.m. and 5:30 p.m., Monday through Thursday, and between the hours of 7:30 a.m. and 4:30 p.m. on Friday. However, the District allows flextime for employees to choose their starting and finishing times as long as employees whose jobs involve contact wjth the public or outside organizations are present between the core hours of 8:00 a.m. and 4:00 p.m. In addition, department heads may deny flextime to certain employees for reasons of business necessity, workflow, or customer service needs. 5.2 Core Hours. Individual divisions may schedule work beyond the core hours of 8:00 a.m. and 4 :00 p.m., subject to approval by the department head, to meet specific operating or service requirements in the most cost-effective and efficient manner. Actual starting and ending times of an employee's shift may vary depending on the operational requirements of each department. 5.3 Shift Schedules. ~Qr ilr:r:i9 r9sgrg k99pir.:ig ar.:ig assewr.:itiRg pwi:.p9&9&, tl:l9 wgrk ssl:l99Wl9 fQr fwll tir.:i:i9 9r.:i:iplgy9es is 40 l:lgwrs per week easeg QR a eiweekly payrgll p9rigg gf 60 RQl.lrs. Tl:le astwal wgrk perie9s r:Ray 9e ssl:le9wle9 iR sl:lifts gf fQwr Q l:lgwr 9ays easl:l "'99k aR9 9R9 a99itieRal 6 l:IQwr sl:lif:t QR alterRate weeks (Q/60 ssl:leewle), fi¥9 Q 9gwr 9ays easl:i week (1Q,£QQ ssf;:iegwle), QF fQwr 10 l:lgwr 9ays easl:l \V98k (6.liO SQRQQl,jl8) at tl:le 9i&GF9tigri gf tl:le swp9F¥i&QF: For time record keeping and accounti119 ~urposes, the 'Workweek" for rull:time employees is 40 hours per 168-hour period, to be paid on a biweekly payroll basis of 80 hours worked. The actual work periods may be scheduled in sniftS of four 9-hour days and one 4-hour day each workweek (9/80 schedule), five 8-hour days each workweek (10/80), four 10-hour days each workWeek {8/80)~ or thrfm 12·hour days and one 4-!_lour day each workweek (7/80) at the di~cretion of the supervisor. 5.4 Meeting Attendance. Employee attendance at lectures, meetings, and training programs will be considered as part of an employee's work hours if attendance is requested by management. Overtime or compensatory time may be allowed for such attendance only in unusual circumstances and must be approved by the department head in advance of the meeting. 5.5 Time Sheets -Exempt Employees. Personnel, as defined by the exempt job classifications generally of the Fair Labor Standards Act, are not eligible to receive overtime pay; however, exempt employees must account for daily attendance. 5.5.1 Time sheets for exempt employees should indicate the days worked during the pay period and include all time taken as paid or unpaid leave. Timesheets should report a total of eighty (80) hours per pay period plus any applicable memo time. 5.5.2 Hours in excess or short of the daily total should be accounted for in the work description line titled "Memo Time". (Please see the attached timesheet example). The appropriate subledger number should be entered, and the time sheet signed by the appropriate management level. When using subledger numbers time should be recorded in blocks of half hours or more. 5.5.3 Employees may be able to draw hours from their "memo time" in certain situations. Memo time is NOT compensatory time and will NOT be granted on an hour for hour basis. It is to be used on an exception basis and must be approved in advance by the supervisor. For example, if Employee works 48.5 total hours in week one and needs to use 2.5 hours to go to a doctor's appointment in week two, the supervisor may approve using memo time. (Please refer to the attached sample timesheets). Memo time, in some occurrences, may be allowed for an entire day. 5.5.4 Make-up time may be used if the employee will need to use the 2.5 hours in the first week of the pay period and will work an extra hours (of a least 2.5 hours) in the second week of the Page 2 pay period to "make up" for the shortage of hours. Again, it is to be used on an exception basis and must be approved in advance by the supervisor. 5.5.5 Exempt personnel time sheets should be submitted to Timekeeping in the Accounting office no later than Friday of each week. In addition, exempt employees will not receive overtime compensation (except as specifically agreed to in an applicable bargaining unit MOU) but occasionally may be eligible for time-off after working abnormally long hours. 5.5.6 Time sheets must be completed in. Time worked should be charged to the appropriate work order category, and time sheets must be signed by both the employee and supervisor. If an employee is unable to complete their time sheet due to absence, the timesheet must be completed by the supervisor or designee (e.g., designee authorized by management to pro~s employee's time sheet while on a leave-of-absence) and submitted to timekeeping. When the employee returns to work, another copy of the timesheet should be signed by both the employee and the supervisor and sent to timekeeping. 5.5.7 Coworkers, withoyt managemfEnt authorization. completing another coworker's time sheet or employee's falsifying any timesheet is prohibited and may be grounds for disciplinary action, up to and including termination . 6.0 EXCEPTIONS 7.0 PROVISIONS AND CONDITIONS 8.0 RELATED DOCUMENTS 8.1 Fair Labor Standards Act, as amended. 8.2 Professional and Supervisory M.O.U. Page 3 j)titr~~/ t; ~~it~ (.~7" ~ t,1)<>(/Jil' r-~~~ t.~•'14'-~ OCSD COOPERATIVE PROJECTS PROGRAM Proposed Evaluation Criteria Cost Benefit: Reduction of Flow Payback less than 7 Years Payback between 7 and 20 Years Peak Flow Reduction greater than 10 MGD Peak Flow Reduction between 1 MGD and 10 MGD Payback over 20 years or Peak Reduction under 1 MGD Funding Requested Grant Funding Combination -Low Interest Loan and Grant Low Interest Loan Environmental Benefit Reduces Sewage Leakage (Exfiltration) Potential Identification/Elimination of Illegal Connections Studies/Investigations I/I Study Sewer Master Plan with I/I Element I/I Identification Equipment (CCTV, Smoke testing, etc.) Other OCSD Program Goals and Objectives Total Points 150 75 150 75 0 0 25 50 25 25 50 50 50 Are there other overridihg considerations for this project? Description:------------------------ Yes No Revised : April 2000 10 0 H:lwp.dta\eng\JOBS & CONTRACTSU-73\Cooperative Projects ProgramlGSAICooperative Projects Program\2000 Evaluation Form .doc OCSD COOPERATIVE PROJECTS PROGRAM 2000 Application Summary Agency Projects Project Description(s) City of Buena Park 1 Sliplining City of Cypress 1 Sewer Master Plan City of Fountain Valley 1 Sewer Master Plan City of Garden Grove (GGSD) 3 Sliplining/Sewer MP/l&I Equip City of Huntington Beach 2 Sliplining/Sewer MP Irvine Ranch Water District 1 Peak Shaving Reservoir City of La Habra 1 Sliplining Midway City Sanitary District 1 Manhole Rehab City of Orange 4 Sliplining(2)/Sewer MP/l&I Equip City of Placentia 1 Sewer Repairs Rossmoor/Los Alamitos Sanitation District 3 Sewer MP/MH lnsp./CC1V City of Santa Ana 4 Sewer MP/MH lnsp./CCTV/Storrnwater Imp City of Seal Beach 1 Sliplining City of Stanton 1 Sliplining Sunset Beach Sanitary District 3 Sliplining/Sewer MP/Repairs City of Villa Park 1 Sewer Master Plan Update Totals 29 Requested Dollars $70,000 $37,500 $135,000 $429,617 $1,150,000 $4,055,500 $573,000 $375,000 $455,000 $75,000 $112,500 $697,000 $448,200 $400,000 $83,500 $10.000 $9,106,817