OJAI VALLEY SANITARY DISTRICT A Public Agency 1072 Tico Road, Ojai, California 93023 (805) 646-5548 • FAX (805) 640-0842 www.oJalsan.org
NOTICE OF MEETING
NOTICE IS HEREBY GIVEN that the Ojai Valley Sanitary District Board of Directors will hold a regular meeting at 6:00 p.m. on Monday January 27, 2014 at the District Office locat ed at 1072 Tico Road, Ojai California.
If you require special accommodations for attendance at or participation in this meeting, please notify our office 24 hours in advance at (805) 646-5549. (Govt. Code Section 54954.1 and 54954.2(a).
The Ojai Valley Sanitary District Board of Directors encourages all interested parties to speak on any issue or subject matter subject to the District's jurisdiction. It is the desire of the Board that its business be conducted in an orderly and efficient manner.
PUBLIC INPUT:
All comments from the public are to be addressed to the Board of Directors, not to District Staff, Consultants or District Legal Counsel.
Items Not On The Aaenda: All speakers are requested to fill out a Speaker Card (Green) and submit it to the Clerk of the Board. All speakers are requested to present their information to the Board as concisely as possible with a three (3) minute time limit. This time limit may be modified by the Board Chairperson if necessary. If a member of the public does not wish to speak but wishes the Board to have benefit of their posi tion on an issue, they can present a Comment Card (Peach) which will be acknowledged by the Chairperson. No response will be given or action taken unless an emergency exists as defined in subdivision (b) of the Government Code 54954.2. Items requiring action will be referred to staff or placed on a subsequent agenda.
Items On The Aaenda: All speakers are requested to fill out a Speaker's Card (Green) and submit it to the Clerk of the Board before the item is taken up for consideration. All speakers are requested to present their in formation to the Board as concisely as possible with a three (3) minute time limit. Allowing an indi vidual to speak more than three minutes is at the discretion of the Chairperson of the Board. Speak ers are encouraged to refrain from restating previous testimony. If a member of the public does not wish to speak but wishes the Board to have benefit of their position on an issue, they can present a Comment Card (Peach) which will be acknowledged by the Chairperson.
AGENDA The agenda is posted at the District Office no later than 5 p.m. on the Friday preceding the Board meeting, and contains all items on which Board action will be allowed pursuant to Government Code Section 54954.2. Action will be taken on unanticipated items only when an emergency (as defined in Section 54956.5) exists or as otherwise allowed under Section 54954.2(b). All Board meetings are recorded in their entirety (excluding authorized closed sessions).
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The business to be transacted is as follows:
1. Call to Order
2. Roll Call
3. Pledge of Allegiance
4. Additions or amendments to the Agenda
5. Public Concerns (items not on the agenda - three minute limit).
This is an opportunity for members of the public to speak on items not on the agenda.
6. Board Concerns (Items not on the agenda - three-minute limit)
PUBLIC HEARINGS:
None
CONSENT ITEMS: - All consent items are considered in a single motion and voted on with out discussion. Any item removed from the consent list at the request of a Board member or the public will be considered immediately following approval of the remaining consent items.
7. Approval of Minutes - Special Meeting December 16, 2013 (a recording of each meeting is retained at the District Office for a minimum of 4 years)
8. Deferred Payment of Capacity Charges Agreement
a. Approve the Agreement Affecting Real Property as listed below:
• 033-0-280-115 Timothy Wayne Sokolowski
b. Authorize the Chairman to sign the approved Agreement; and
c. Direct staff to record the Agreement with the County of Ventura Recorder's Office.
9. Poindexter & Company Certified Public Accountant - Audit Engagement Let ter
Authorize the Chairman to sign the audit engagement letter from Poindexter & Company, Certified Public Accountant, dated January 10, 2014.
10. Approval of Checks
Approve the checks for payment as submitted.
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ACTION ITEMS:
11. Annual Investment Policy - Resolution No. 2014-01
a. Adopt Resolution No. 2014-01, Resolution of the Board of Directors of the Ojai Valley Sanitary District Stating the Investment Policy For District Funds; and
b. Direct staff to continue working with Morgan Stanley Smith Barney to provide investment management services for the District.
OR
c. Direct staff as the Board deems appropriate in regard to the investment of the District's funds.
12. Contract No. 2014-01 -Inflow & Infiltration Data Analysis and Masterplan Preparation
a. Accept MNS Engineers, Inc.'s proposal for providing engineering services for the for the preparation of an Inflow and Infiltration (1&1) Masterplan; and
b. Authorize the Chairman to sign Contract No. 2014-01, Between Ojai Valley Sanitary District and MNS Engineers, Inc. for professional engineering ser vices for the preparation of an Inflow and Infiltration (1&1) Masterplan, in an amount not to exceed $30,230; and
c. Adopt Budget Adjustment No. 2014-13 transferring funds from the Collection System Replacement Reserve to provide funding for this contract.
13. Contract No. 2014-02 - Professional Services For Replacement of Treatment Plant Rear Entry Gate
a. Accept Watkins Fence Company proposal for providing professional services for the replacement of the rear entry gate at the Treatment Plant; and
b. Authorize the Chairman to sign Contract No. 2014-02, Between Ojai Valley Sanitary District and Watkins Fence Company for professional services for replacement of rear entry gate at the Treatment Plant, in an amount not to exceed $15,650; and
c. Adopt Budget Adjustment No. 2014-14 transferring funds from the Treatment Plant Replacement Reserve to provide funding for this contract.
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14. Contract No. 2014-03 - Professional Services For the Construction of The Ti co Road Driveway Project
a. Accept L.A. Thompson Construction's proposal for providing professional services for the construction of the Tico Road Driveway Project; and
b. Authorize the Chairman to sign Contract No. 2014-03, Between Ojai Valley Sanitary District and L.A. Thompson Construction, Inc. for professional ser vices for the construction of the Tico Road Driveway Project, in an amount not to exceed $13,010; and
c. Adopt Budget Adjustment No. 2014-15 transferring funds from the Building Reserve to provide funding for this contract.
15. Equipment Purchase - Flatbed Trailer Replacement
a. Authorize staff to accept Plumbers Depot Inc.'s quote to purchase a 5'X8' flatbed trailer configured to the District's specifications in an amount not to exceed $4,223.68; and
b. Authorize staff to sell the 3'x5' flatbed trailer as surplus; and
c. Adopt Budget Adjustment No. 2014-16 transferring $4,224 from the Equip ment Replacement Reserve into the Major Expenditure account to cover the cost of the purchase of flatbed trailer.
16. Replacement of Treatment Plant Tractor - Budget Adjustment No. 2014-17
a. Authorize staff to purchase the Kubota tractor from Diamond A Equipment for a total cost not to exceed $42,367.90, including tax; and
b Adopt Budget Adjustment No. 2014-17 from Equipment Replacement Re serve into Major Expenditures - Treatment Plant.
17. Vehicle Replacement - Budget Adjustment No. 2014-18
a. Authorize staff to purchase a 2014 Edge SEL from Vista Ford Oxnard for a cost not to exceed the quoted total price of $31,840.58; and
b. Adopt Budget Adjustment No. 2014-18 transferring $31,841 from the Vehicle Equipment Reserve into the Major Expenditures-Admin. to provide funding for the purchase of this vehicle.
18. Appointment of Board Committees & Representatives
Chairman Murphy will present his appointment of individual Directors to serve on the Board's Committees and as the Board's representative to boards, committees and agencies outside the District for calendar year 2014.
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INFORMATION ITEMS - FOR RECEIPT & FILE
19. Ventura River Watershed Council - Update
20. Board Subcommittee Organization Bylaws & Ordinance Review
21. Monthly Financial Reports
22. Quarterly Investment Report
23. Staff Reports - Operations, Administration and Management of the District
24. Committee Reports
25. Reports On Meetings, Seminars, or Conferences Attended
26. Items of Interest/Correspondence/Articles
27. Discussion (items not on the agenda - three-minute limit)
a. Public - (Public is requested to present completed speaker's card to Clerk of the Board) b. Board Members c. General Manager
28. Adjournment
A staff report providing more detailed information is available for most agenda items, and may be reviewed in the District office during regular business hours (Monday through Friday from 8 a.m. to 5 p.m.). Copies of individual reports may be requested from the Clerk of the Board (646-5548).
ATTEST TO POSTING:
January 22, 2014 @ 4:30p.m. Brenda Krout - Clerk of the Board Date & Time Posted At District Office
\\OVSD-ARCHIVE1 \My Documents\8oard Mtgs\2014\2014-01-27\agenda.docx 5 OJAI VALLEY SANITARY DISTRICT A Public Agency 1072 Tico Road, Ojai, California 93023 (805) 646-5548 • FAX (805) 640-0842 www.ojaisan.org
MINUTES OF SPECIAL MEETING OF BOARD OF DIRECTORS OJAI VALLEY SANITARY DISTRICT
The Special Meeting of the Ojai Valley Sanitary District Board of Directors was held at the District Office, 1072 Tico Road on December 16, 2013. The meeting was called to order by Chairman Kaiser at 6:00 p.m. roll call taken as follows:
DIRECTORS PRESENT: William M. Stone Russ Baggerly William C. Murphy John R. (Randy) Burg William D. O'Brien Peter M. Kaiser Stan Greene
DIRECTORS ABSENT: None
STAFF PRESENT: Jeff Palmer, General Manager Brenda Krout, Clerk of the Board Ronald E. Sheets, Operations Superintendent
OTHERS PRESENT: Mark Zirbel, District Legal Counsel
3. Pledge of Allegiance
Chairman Kaiser led the pledge of allegiance.
4. Additions or amendments to the Agenda (Special Meeting None Permitted)
None
5. Public Concerns (items not on the agenda - three minute limit).
This is an opportunity for members of the public to speak on items not on the agenda.
None
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6. Board Concerns (Items not on the agenda - three-minute limit)
Director O'Brien expressed his interest in the District remaining involved in the Ventura River Watershed Council (VRWC) and the planning of the VRWC's fu ture. A VRWC planning meeting is scheduled in January 2014. Director O'Brien explained his reasons for viewing the VRWC as an important strategic topic for the District. Director O'Brien requested the General Manager provide the Board a status report on the VRWC at the Board's January 27, 2014 meet ing, and requested the Board (at that time) consider the District's role in the VRWC for planning and grant funding, and provide direction to the General Manager regarding these topics. Director O'Brien stated he would provide a written memorandum to staff outlining his interests and concerns regarding the VRWC.
CONSENT ITEMS: - All consent items are considered in a single motion and voted on without discussion. Any item removed from the consent list at the request of a Board member or the public will be considered immediately following approval of the remaining consent items.
ACTION
Upon motion of Director Baggerly, seconded by Director Murphy and passed by unanimous roll call vote Item Nos. 7, 8 & 9 on the consent calendar were ap proved as submitted.
7. Approval of Minutes - Regular Meeting November 25,2013 (a recording of each meeting is retained at the District Office for a minimum of 4 years)
8. Statement of Decision For Violation No. 2013-0093 - Certificate of Lien
Direct staff to notify the Board if all or any portion of the charges set forth in the Statement of Decision for Violation No. 2013-0093 remain delinquent and un paid for sixty (60) days from the date of mailed notice to the property owner so that the Board may direct the General Manager to file a certificate of lien secur ing those charges in accordance with Health and Safety Code Sections 5473.11 and 6520.12.
9. Approval of Checks
Approve the checks for payment as submitted.
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ACTION ITEMS:
10. Election of Officers & Appointment of Committees & Board Representa tives
Mr. Palmer discussed the District's progress over this past year and thanked the Board for their support and guidance. Mr. Palmer reviewed the committee structure and offered suggestions for reducing the number of standing commit tees.
Director Baggerly requested staff think about establishing a definition for each of the committees outlining each committee's responsibilities and establishing a regular meeting schedule for each committee.
Potential revisions to the Bylaws were discussed, including adding language to Section 6.1 to include "attendance at the request of the General Manager".
Mr. Palmer suggested the Board approve the reduction of the standing commit tees and at a future meeting staff will bring the Bylaws, and the Ordinance ad dressing Board compensation, back to the Board to consider along with the oth er suggested revisions.
Chairman Kaiser announced that according to District Bylaws, the Clerk of the Board should conduct the Election of Officers.
Mrs. Krout conducted the election beginning with nominations for Chairman.
Mrs. Krout called for nominations for Chairman. Directors O'Brien and Murphy were nominated for Chairman. Nominations were closed. Mrs. Krout conduct ed a roll call vote for the office of Chairman. Director Murphy received 5 votes and Director O'Brien received 2 votes. Director Murphy was elected Chairman.
Mrs. Krout called for nominations for Vice-Chairman. Directors O'Brien, Stone and Baggerly were nominated for Vice-Chairman. Nominations were closed. Mrs. Krout conducted a roll call vote for the office of Vice-Chairman. Director O'Brien received 3 votes, Director Stone received 2 votes and Director Baggerly received 2 votes. None of the three nominees received a majority of votes; consequently, a run-off vote was required.
Director Baggerly declined nomination for Vice-Chairman.
Mrs. Krout conducted a run-off vote for Vice-Chairman between Directors O'Brien and Stone. A roll call vote was taken with Director Stone receiving 4 votes and Director O'Brien receiving 3 votes. Director Stone was elected Vice Chairman.
Mrs. Krout called for nominations for Secretary. Directors Burg and O'Brien were nominated for Secretary. Mrs. Krout conducted a roll call vote for the of fice of Secretary. Director O'Brien received 4 votes and Director Burg received 3 votes. Director O'Brien was elected Secretary.
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Mrs. Krout called for nominations for Assistant Secretary. Director Burg was nominated for Assistant Secretary. Nominations were closed. Director Burg was elected Assistant Secretary.
Chairman Murphy assumed leadership of the meeting following the conclusion of the elections.
The revised Bylaws, establishing the Standing Committees for calendar year 2014, were reviewed.
ACTION
Upon motion of Director Baggerly, Seconded by Director Burg and passed by unanimous roll call vote Resolution No. 2013-11, Adoption of Ojai Valley Sani tary District Bylaws authorizing the 5 listed Standing Committees to be active for 2014 was adopted.
Chairman Murphy announced that he would postpone the appointment of indi vidual Directors to serve on Board Committees and as the Board's representa tive to outside boards, committees and agencies for calendar year 2014, until the January 2014 regular Board Meeting, giving time for Directors to notify him of their individual areas of interest.
It was agreed that within the next few months, staff will bring the Bylaws and compensation ordinance back to the Board for discussion and consideration of the cost effectiveness of the committee structure and the other suggested revi sions.
INFORMATION ITEMS
11. Monthly Financial Reports
Received and filed.
12. Monthly Investment Report
Received and filed.
13. Staff Reports - Operations, Administration and Management of the District
Received and filed.
14. Committee Reports
No Reports
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15. Reports On Meetings, Seminars, or Conferences Attended
Director O'Brien reported on his attendance to the Special Districts' Committee meeting for appointing a representative to serve on the Ventura Regional Sani tation District's Board of Directors. Director O'Brien reported that AI Fox from Cam rosa Water District was appointed as the representative for 2014.
Director Baggerly provided a written report on his attendance to the CSRMA Executive Board of Directors meeting on December 9, 2013.
16. Items of InteresUCorrespondence/Articles
Received and filed.
17. Discussion (items not on the agenda - three-minute limit)
a. Public - (Public is requested to present completed speaker's card to Clerk of the Board)
None
b. Board Members
None
c. General Manager
Mr. Palmer updated the Board on the following issues:
• New employee, Noah Sharp, begins his position as Collection System Operator I, on December 30,2013. Mr. Sharp comes to the position already possessing a Class B driver's license and a Collection System Operator I certification . • Even with the small amount of rain received in the past few weeks, we are seeing small bumps up in the baseline flow numbers; this is an in dication of 1&1. • Occasionally the issue of multiple properties utilizing one common lat eral comes up, many times the situation involves a land locked parcel; frequently, customers feel the District should take ownership of these common laterals. • Santa Ana Lift Station Relocation Project should be finished this week; the cleanup of the private property that was disturbed during the pro ject is the final task to be completed. The next phase of the rehabilita tion of the lift station will be coming forward in the near future.
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18. Adjournment
Chairman Murphy adjourned the meeting at 7:23 p.m.
William D. O'Brien, Secretary
APPROVED:
William C. Murphy, Chairman
7-t
\\OVSD-ARCHIVE1 \My Documents\Board Mtgs\2013\2013-12-16 Sp Mtg\Minutes.docx 11 OJAI VALLEY SANITARY DISTRICT A Public Agency 1072 Tico Road, Ojai, California 93023 (805) 646-5548 • FAX (805) 640-0842 www.o]aIsan.org
January 13, 2014
Board of Directors Ojai Valley Sanitary District Ojai, CA 93023
DEFERRED PAYMENT OF CAPACITY CHARGES AGREEMENT
On June 20, 2011 you adopted Ordinance No. OVSD-67 which provided procedures for property owners to enter into an Agreement with the District to defer the payment of the capacity charges owed to the District; this executed agreement will be recorded on the property's title. This Ordinance and these procedures became effective June 30, 2011.
The option to defer the payment of capacity charges is available to property owners with new connections to the public sewer and property owners complying with the District's Unpermitted Connection Ordinance. Each property owner has the choice of deferring the payment over a period of 5, 10 or 15 years. The Agreement states the property owner will pay annual installments over the duration of the deferment period, the first in stallment due at the signing of the Agreement and the remaining annual installments will be collected via the County property tax roll. The Agreement also has an optional provi sion allowing the property owner to pay the first installment in equal monthly payments over a period of months, to be completed prior to the end of the current fiscal year and not to exceed 1 year.
Currently, for your consideration is the fully executed capacity charge deferment agree ment, known as Agreement Affecting Real Property, from one property owner. The property owner is paying for 1 capacity unit to accommodate the construction of one sin gle family residence on their property requiring one capacity un it; there will be a total of 1 capacity unit serviced on this property.
The Agreement presented for your approval is listed below by assessor's parcel number and owner's name:
• 033-0-280-115 Timothy Wayne Sokolowski
The Agreement has been approved by District Legal Counsel as to form and legal suffi ciency.
If you have any questions or need additional information please call me at 646-5548.
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RECOMMENDATION
It is recommended the Board: a. Approve the Agreement Affecting Real Property as listed below:
• 033-0-280-115 Timothy Wayne Sokolowski b. Authorize the Chairman to sign the approved Agreement; and c. Direct staff to record the Agreement with the County of Ventura Recorder's Office. ua~~ Brenda Krout Administrative Officer
Enc.
APPROVED FOR JANUARY 27, 2014 AGENDA:
JE ~ RAL MANAGER
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RECORDING REQUESTED BY AND WHEN RECORDED MAIL TO:
Ojai Valley Sanitary District 1072 Tico Road Ojai, California 93023
SPACE ABOVE THIS LINE FOR RECORDER'S USE
AGREEMENT AFFECTING REAL PROPERTY
AGREEMENT FOR DEFERRED PAYMENT OF OJAI VALLEY SANITARY DISTRICT CAPACITY CHARGES
APN: 033-0-280-115
THIS AGREEMENT is entered into this ~~ ay of January, 2014 by and between OJAI VALLEY SANITARY DISTRICT, a public sanitary district in the County of Ventura, California formed pursuant to the Sanitary District Act of 1923, Health and Safety Code Section 6400 et seq., ("District") and Timothy Wayne Sokolowski ("Owner").
RECITALS
A. Owner is the owner of that certain real property known as 1936 Country Place, Ojai, California 93023 APN: 033-0-280-115 ("Property"), more particularly described in that Quitclaim Deed executed on June 11, 2013, recorded in the County of Ventura as Document 20130618-00108969-00 on 06/18/2013, attached hereto as "Exhibit A" and incorporated herein by this reference. The Property is located within the District's service area.
B. Chapter 3 of the Ojai Valley Sanitary District Code of Regulations ("Code") authorizes the District to impose certain Capacity Charges on Owner as a condition of the District permitting Owner to establish a new sewer connection or to expand the use of an existing sewer connection to the Property.
C. Owner desires to connect the Property to the public sewer for residential use requiring Owner to pay District Treatment Plant Capacity Charges, Trunk Sewer Capacity Charges, Local Sewer Capacity Charges and Plan Check Fees based upon one (1) Sewer Capacity Unit (hereinafter collectively referred to as "Total Capacity Charges").
1 83 \\OVSD-ARCH IVE 1IMy DocumentslContractslDefer Connection and Sewer Service FeesI033-0-280-115 1936 Country PI Ojai Jan14 SOLOWSKI NEW CONNECTION (1). doc 14 D. Chapter 3, Section 301.20 of the Code authorizes District and Owner to enter into this "Agreement for Deferred Payment of Ojai Valley Sanitary District Capacity Charges" ("Agreement") providing that the Owner may, in accordance with Health and Safety Code Section 5474 et seq., pay the Total Capacity Charges required to develop the Property in installments at a set rate of interest and further providing that the amount of the charges plus the interest thereon may constitute a lien against the Property.
E. The District Board of Directors found on ! 2014 that executing this Agreement will relieve the financial burdens on the Owner and serves the purposes of the District and its service area.
F. District and Owner desire to enter into this "Agreement for Deferred payme ~ District Capacity Charges" on the terms and conditions set forth herein. @ NOW, THEREFORE, IT IS AGREED AS FOLLOWS: 20 P 1. Recitals and Exhibits. The parties agree that all Recitals set forth above and all Exhibits attached to this Agreement are intended to be and hereby are specifically made a part of this Agreement.
2. Definitions. The parties agree that all words and phrases in this Agreement which have been defined in the District Code or other District regulation shall have the same meaning in this Agreement as they have in the District Code or other District regulation.
3. Election of Payment Option. Owner has elected and agrees to pay the Total Capacity Charges required to connect the Property to the public sewer in accordance with the payment option set forth in District Code Chapter 3, Sections 301.20 and 301.20.2. Said charges are more specifically described in "Exhibit B," attached hereto and incorporated herein by this reference.
4. Deferred Payment of Capacity Charges. Owner shall pay the Total Capacity Charges set forth in "Exhibit B" as follows: Immediately upon execution of this Agreement, Owner agrees to pay the District an initial annual installment in the amount of Two thousand four hundred ninety-eight dollars and eighty-two cents ($2,498.82), followed by four (4) equal annual installments in the amount of Three thousand five hundred dollars and no cents ($3,500.00) each. All installments shall be based on zero percent (0%) annual interest rate, as set forth in the amortization schedule attached hereto as "Exhibit C" and incorporated herein by this reference.
5. Collection of Charges on the Tax Roll. Following Owner's payment of the Initial Installment, the District may, in accordance with Health and Safety Code Section 5474 et seq., collect each remaining Annual Installment at the same time and in the same manner as taxes levied against the Property, which installments may constitute a lien against the Property.
2 \\OVSD-ARCHIVE1\My DocumentslContracts\Oefer Connection and Sewer Service FeesI033-0-280-115 1936 Country PI Ojai Jan14 ~I SOLOWSKI NEW CONNECTION (l ).doc 15 6. Termination of Service for Nonpayment. The District may terminate sewer service to the Property to compel payment of the capacity charges which are the subject of this Agreement should those charges not be paid in accordance with this Agreement. District's right to such termination is contingent upon District providing ten (10) calendar days' notice, in writing, to Owner and to any parties known to the District to have an interest in the Property of breach of this Agreement, and ten (10) days for cure to be made to the District's sole satisfaction.
7. Indemnification by Owner. Owner agrees to indemnify and hold harmless District, and its officers, directors, employees, agents, and representatives (hereinafter collectively referred to as "District Indemnities"), from and against, and shall reimburse each District Indemnitee on demand for any and all direct or indirect claims, suits, actions, proceedings, liabilities, obligations, judgments, fines, pen ~ claims, losses, damages, costs and expenses of any kind (including, ~? ~ limitation, the reasonable fees and disbursements of counsel, accountants and ot ~ experts whether incurred in connection with any of the foregoing or in connec&fu::/ with any investigative, administrative or adjudicative proceeding, whether or not suc ~ District Indemnitee shall be designated a party thereto), together with any and aiY'J'12.. reasonable costs and expenses associated with the investigation of the same, which ~ may be incurred by such District Indemnitee relating to, based upon, resulting from or arising out of:
a. the breach of any representation or warranty made by Owner in this Agreement;
b. the breach or default in performance of any agreement, covenant or obligation of Owner contained in this Agreement;
8. Recordation. This Agreement shall be recorded with the Ventura County Recorder.
9. Charges Due and Payable Upon Change of Ownership or Refinancing. Owner shall notify District, in writing, no later than fourteen (14) days prior to the consummation of any sale, assignment, change of ownership or other transfer (hereinafter collectively referred to as "Change of Ownership") of the Property or portion thereof. Change of Ownership includes, without limitation, any transfer of title between an individual and a legal entity, or between legal entities, regardless of whether the proportional interests of the transferors and transferees partnership interest remain the same after transfer. Owner agrees that, in the District's sole discretion, the District may require that Owner pay the total unpaid balance of the Capacity Charges which are the subject of this Agreement prior to or upon consummation of such Change of Ownership.
The District may collect the total unpaid balance of Capacity Charges due under this provision in any manner authorized by law, including electing to have that total unpaid balance added to and collected with the annual real property tax assessment on the Property. Owner understands, acknowledges and agrees that all the procedures and remedies provided by law for nonpayment and/or late payment which apply to real property tax collection may likewise apply to the collection of such total unpaid balance if the District does so elect.
3 \\OVSD-ARCH IVE 1\ My DocumentslContracts\Defer Connection and Sewer Service Fees\033-0-280-11S 1936 Country PI Ojai JanI4 g:-S- SOLOWSKI NEW CONNECTION (1) doc 16 10. Prepayment. Owner may elect to prepay all or any portion of the outstanding principal balance of the Capacity Charges which are the subject of this Agreement without prepayment penalty. In the event of prepayment, annual installment payment amounts will be recalculated to reflect the decrease in outstanding balance.
11. Compliance with other Laws. Owner's compliance with the terms and conditions of this Agreement shall not relieve Owner from complying with any other District regulation and other applicable law governing Owner's cormection to the District's facilities, including, without limitation, those regulations requiring that 0Yffler pay applicable annual sewer service charges and other sewer-related fees an ~~ .
12. Run with Land. This Agreement and the rights, duties, and obligation ~~ parties hereto shall bind and inure to the benefit of the Parties hereto and ~~' respective successors and assigns, and shall be construed as covenants an restrictions which shall run with the land under and pursuant to California Civil Cod Section 1468 and other applicable law.
13. Heirs, Successors & Assigns. This Agreement shall be binding on the heirs, successors, and assigns of the parties he~eto, and Owner shall furnish any successors, assigns or purchasers of any part or all of the Property with a copy of this Agreement; provided, however, that Owner's failure, or that of any other person, to so furnish such copy shall in no way prejudice the right of District to require Owner's heirs, successors, and assigns to comply with the terms and conditions of this Agreement.
Should Owner or Owner's successors-in-interest fail to pay Capacity Charges in accordance with the terms and conditions of this Agreement, or as otherwise required by the District Code or District regulations, neither Owner nor the Owner's successor-in-interest shall have the right to access and use that portion of the District's sewer system capacity necessary to serve the Property.
Should Owner or Owner's successors-in-interest fail to pay any Capacity Charges in accordance with the terms and conditions of this Agreement, the District may seek any lawful remedy, including, without limitation, terminating sewer service to the Property.
Nothing in this Agreement shall relieve Owner or Owner's successor-in-interest from liability they may incur as a result of their failure to comply with the District Code of Regulations and other applicable law.
14. Effective Date; Termination. This Agreement shall become effective upon execution by both parties, and shall terminate as soon as all payments required by this Agreement are received by District. Upon District's receiving all payments required under this Agreement, District shall record a "Notice of Termination of Agreement" with the Ventura County Recorder.
15. No Assignment. Neither this Agreement, nor any interest herein, may be assigned, conveyed, or in any manner transferred by Owner.
4 \IOVSD-ARCH IVE 1 ,My Documents\Contracts\Defer Connection and Sewer Service Fees,033-0-280-115 1936 Country PI Olai Jan14 ~-b SOLOWSKI NEW CONNECTION (l).doc 17 16. Notices. All notices, necessary or convenient to the performance of the parties hereunder, shall be in writing, and may be given to the parties by personal delivery, or by mail, first class (or equivalent) postage prepaid,
Addressed in case of DISTRICT as follows: Attention: General Manager Ojai Valley Sanitary District 1072 Tico Road Ojai, California 93023
Addressed in case of OWNER as follows: Timothy Wayne Sokolowski 11011 Limerick Avenue Chatsworth, CA 91311
Or such other addresses as District or Owner may designate, in writing, from time to time.
17. Choice of Law. This Agreement is made in Ventura County, California and shall be construed in accordance with and governed by the laws of the State of California. Any action relating to this Agreement shall be instituted and prosecuted in courts of Ventura County.
18. Entire Agreement. This Agreement and the exhibits attached hereto contain the entire agreement between the parties hereto with respect to the subject matter of this Agreement. It is expressly understood by each of the parties that this Agreement may not be altered, amended, modified or otherwise changed in any respect whatsoever, except by a writing executed by all parties hereto.
19. Waiver. In order to be binding, a waiver must be executed in writing by the party making the waiver. No waiver of any provision of this Agreement shall constitute a waiver of any other provision, nor shall any waiver constitute a continuing waiver. The failure of any party to object or declare the other party in default shall not constitute a waiver.
20. Severability: If any term or provision of this Agreement is, to any extent, held invalid or unenforceable, the remainder of this Agreement shall not be affected.
21. Attorneys Fees. In the event that any dispute between parties arising under this Agreement results in litigation or arbitration, the prevailing party in such dispute shall be entitled to recover from the other party all reasonable fees, costs and expenses (including attorney's fees) incurred in such action.
22. Authority to Execute. Each person executing this Agreement warrants and represents to the other party that it has the authority to execute this Agreement, that it has read and fully understands this Agreement, and that it is entering into this Agreement freely and voluntarily.
5 \\OVSD-ARCH IVE 1\My DocumentsiContracts\Deier Connection and Sewer Service Fees \033-0-280-115 1936 Country PI Ojai SOLOWSKI NEW CONNECTION (1).doc 18 DISTRICT: Ojai Valley Sanitary District ATTEST:
By: ______William C. Murphy - Chairman By c?@~ Board of Directors Brenda Krout, Clerk of the B ?
APPROVED AS TO FORM: Arnold, LaRochelle, Mathews, VanConas & Zirbel, LLP
By: Mark A. Zirbel, Attorney Legal Counsel for District
State of California ) County of Ventura )
On before me Brenda D. Krout. Notary Public personally appeared William C. Murphy, who proved to me on the basis of satisfactory evidence to be the person(s) whose name(s) is/are subscribed to the within instrument and acknowledged to me that he/she/they executed the same in his/her/their authorized capacity(ies), and that by his/her/their signature(s) on the instrument the person(s), or the entity upon behalf of which the person(s) acted, executed the instrument.
I certify under PENALTY OF PERJURY under the laws of the State of California that the foregoing paragraph is true and correct.
WITNESS my hand and official seal.
Signature ______
7 \IOVSD-ARCHIVE1 IMy DocumentslContractslDefer Connection and Sewer Service Fees\033-0-280-115 1936 Country PI 0lai Jan14 gB SOLOWSKI NEW CONN ECTION (l).doc 19 Branch :lVN,User :AD15 Order: 0000000 Title Officer: 00 Comment: Station Id :NJQB EXHIBIT 'A'
PACIFIC COAST TI:rlE COMPANY Recording Requested by: DPS
RECORDING REQUESTED BY: Camarillo E.§crow Company Order No. 98105113 Escrow No. 9019 1111111~~IIIII~IIIIM~11111111111111 Parcel No. 033-0-280-115 20130618-00108969-0 1/1 . Ventura county Clerk and Recorder AND WHEN RECORDED MAIL TO: !'lARK R. LUNN 06/19/201308,00,00 RM 727123 $25.00 CO TIMOTHY SOKOLOWSKI" .11011 wmeric..k ~Ve.
l~hoJ~V\XJr-th I CA- G113li SPACE ABOVE THIS LINE FOR RECORDER'S USE QUITCLAIM DEED THE UNDERSIGNED GRANTOR(S) DECLARE(S) THAT DOCUMENTARY TRANSFER TAX IS $0 and CITY $ D Computed on the consideration or value of property conveyed; OR o Computed on the consideration or value less lien:; or encumbrances remaining at the time of sale. D unincorporated area: 0 Ojai and FOR A VALUABLE CONSIDERATION, receipt of which is hereby acknowledged, Faby Sokolowski, spouse of the grantee herein hereby REMISE, RELEASE AND QUITCLAIM to Timothy \Vayne Sokolowski, a married man as his sole and separate property the real property in the City ofOjai County of Ventura, State of Cali fomi a, described as:
Lot 26 Country Terrace in the unincorporated area, commonly known as Ojai, County of Ventura, State of California, as per map recorded in Book 24 Page(s) 76 of Maps in the Office of the County Recorder of Ventura ~~ .
"This conveyance establishes sole and separate property of a spouse, R&T I 1911." "It is the express intent of the Grantor, to convey all right, title and interest of the Grantor, community or otherwise, in and to the herein described property to the Grantee as her sole and separate property."
} }S.S.
personally appearedF=;a.~-r--:",.a.t.CLJ..J.LL...&<~~').,IC.'-""-____"'T' ____ -' _--:-__--'- ___ who proved to me on the ba is of satisfactory evidence to be the person whose name is(~ subscribed to the within instrument and acknowledged to me that~ishe/~ execu ed the same in ¢lher/t~ authorized capacity~, and that by ~her/~ signature(s) on the instrument the person0, or the entity upon behalf of which the personyf acted, executea the instrument.
I certify under PENALTY OF PERJURY under the laws of the State of California that the foregoing paragraph is true and correct. PRAMEELA V. REDDY Commission II 1980314 :;: Notary PubliC - California ~ (Seal) ~. Los Angeles County ~ 1 '. .. .- My Comm . Expires Jun 27,2011 ••••••••••••••••• F~
Mail Tax Statement To: Same as Above
VENTURA,CA Page 1 of 1 Document: QD 2013.108969
20 EXHIBIT B
1. FY 2012-2013 Treatment Plant Capacity Charges $ 5,140.21
2. FY 2012-2013 Trunk Sewer Capacity Charges $ 2,966.44
3. FY 2012-2013 Local Sewer Capacity Charges $ 7,917.17
4. Plan Check, Permit & Inspection Fees $ 475.00
TOTAL $16,498.82 (1 sewer capacity unit)
9 \\OVSD-ARCHIVE1\My Documents\Contracts\Defer Connection and Sewer Service FeesI033-0-280-115 1936 Country PI Olai Jan14ff/o SOLOWSKI NEW CONNECTION (l).doc 21 EXHIBITC
Amortization Schedule
Capacity Charges: $16,498.82 Initial Annual Installment $ 2,498.82 Interest Rate 0% Loan Term (years) 5 years Number of Annual Installments 5
Fiscal Beginning Annual Interest Principal End Balance Year Balance Installment $16,498.82 FY 2013-14 $16,498.82 $2,498.82 $0.00 $2,498.82 $14,000.00 FY 2014-15 $14,000.00 $3,500.00 $0.00 $3,500.00 $10,500.00 FY 2015-16 $10,500.00 $3,500.00 $0.00 $3,500.00 $ 7,000.00 FY 2016-17 $ 7,000.00 $3,500.00 $0.00 $3,500.00 $ 3,500.00 FY 2017-18 $ 3,500.00 $3,500.00 $0.00 $3,500.00 $ 0.00
I\OVSD-ARCHIVE 1\My DocumentslContractslDefer Connection ancl Sewer Service FeesI033-0-280-115 1936 Country PI Ojai Jan14 SOLOWSKI NEW CONNECTION (1) doc 22 23. Paragraph Headings. Paragraph headings are used for reference purposes only and are not intended to describe, interpret, define or limit the scope or extent of this Agreement or any of its provisions.
IN WITNESS WHEREOF, the parties hereto have executed th is Agreem~ s of the day and year first above written. t..> @~
OWNER: V0j}:>
By: I ' Date: I '" I Timot~ ayne\\ So * ------/
State of California County of Ventura
On / - .:S- - / Cf before me Brenda D. Krout, Notary Public personally appeared Timothy Wayne Sokolowski, who proved to me on the basis of satisfactory evidence to be the person(s) whose name(s) is/are subscribed to the within instrument and acknowledged to me that he/she/they executed the same in his/her/their authorized capacity(ies), and that by his/her/their signature(s) on the instrument the person(s), or the entity upon behalf of wh ich the person(s) acted, executed the instrument.
I certify under PENALTY OF PERJURY under the laws of the State of California that the foregoing paragraph is true and correct.
WITNESS my hand and official seal. BRENDA D. Commission II 2046456 Notary Public • California Ventura County Comm.
Signatur
6 8/Z \\OVSD-ARCHIVE1 \My Documents\ContractslDefer Connection and Sewer Service FeesI033-0-280·115 1936 Country PI 0lal Jan14 SOLOW SKI NEW CONN ECTION (1).doc 23 OJAI VALLEY SANITARY DISTRICT A Public Agency 1072 Tico Road, Oj ai, California 93023 (805) 646-5548 • FAX (805) 640-0842 www.ojaisan.org
January 14, 2014
Board of Directors Ojai Valley Sanitary District Ojai, California 93023
POINDEXTER & COMPANY CERTIFIED PUBLIC ACCOUNTANT - AUDIT ENGAGEMENT LETTER
On March 25, 2013 you awarded Contract No. 2013-01, Auditing of Financial Statements For Fiscal Years Ending June 30,2014,2015 & 2016, to Poindexter & Company, Certified Public Accountant. Following the execution of the contract, a Notice to Proceed was issued on March 29, 2013.
An additional action, required by the American Institute of Certified Public Accountants (AICPA) standards, is your acceptance of an official audit engagement letter prior to the performance of the audit each year. This letter acts as a clarification between the Auditor and you of the services the Auditor will be providing in the upcoming audit cycle (year ending June 30, 2014). The requirement for this official engagement letter became effective for all audits with years ending on or after December 31, 2012. Consequently, acceptance of an official audit engagement letter will be an annual occurrence.
Attached is an appropriate audit engagement letter meeting all of the AICPA requirements provided to you by Mr. Poindexter; your acceptance of this letter is requested.
Staff has reviewed the letter and confirms that it accurately outlines the scope of auditing services agreed upon in Contract No. 2013-01.
If you have any questions or need additional information please call me at 646-5548.
RECOMMENDATION
It is recommended the Board authorize the Chairman to sign the audit engagement letter from Poindexter & Company, Certified Public Accountant, dated January 10, 2014.
~Jeff Palmer General Manager
\\OVSD-ARCHIVE1 \My Documents\Board Mtgs\2014\2014-01-27\Audit-Engagement Lt.docx 24 K~UElVED JAN 13 2014 OJAIVALLEY POINDEXTER AND COMPANY SANITARV DISTRICT Certified Public Accountant
January 10,2014
Board of Directors Ojai Valley Sanitary District 1072 Tico Road Ojai, California 93023
We are pleased to confirm our understanding of the services we are to provide Ojai Valley Sanitary District for the years ended June 30, 2014 and 2013. We will audit the financial statements of the business-type activities, which comprise the basic financial statements of Ojai Valley Sanitary District as of and for the years ended June 30, 2014 and 2013. Accounting standards generally accepted in the United States of America provide for certain required supplementary information (RSI), such as management's discussion and analysis (MD&A), to supplement Ojai Valley Sanitary District's basic financial statements. Such information, although not a part of the basic financial statements, is required by the Governmental Accounting Standards Board who considers it to be an essential part of financial reporting for placing the basic financial statements in an appropriate operational, economic, or historical context. As part of our engagement, we will apply certain limited procedures to Ojai Valley Sanitary District's RSI in accordance with auditing standards generally accepted in the United States of America. These limited procedures will consist of inquiries of management regarding the methods of preparing the information and comparing the infornlation for consistency with management's responses to our inquiries, the basic financial statements, and other knowledge we obtained during our audit of the basic financial statements. We will not express an opinion or provide any assurance on the informati011 because the limited procedures do not provide us with sufficient generally accepted accounting principles and will be subjected to certain limited procedures, but will 110t be audited:
1) Management's Discussion and Analysis, 2) GASB-required supplementary pension, 3) GASB-required supplementary OPEB
Post Office Box 4488, Ventura, California 93007 0 (805) 659-3600 0 FAX (805) 659-1136 Email: [email protected] 0 Website: www.poindexterandco.com
Audits • Reviews • Compilations • Tax Planning and Preparation • Consulting Services
25 Audit Objectives
The objective of our audit is the expression of opinions as to whether your basic fmancial statements are fairly presented, in all material respects, in conformity with u.s. generally accepted accounting principles and to report on the fairness of the supplementary information referred to in the second paragraph when considered in relation to the financial statements as a whole. Our audit will be conducted in accordance with auditing standards generally accepted in the United States of America and the standards for financial audits contained in Government Auditing Standards, issued by the Comptroller General of the United States, and will include tests of the accounting records of Ojai Valley Sanitary District and other procedures we consider necessary to enable us to express such opinions. If our opinions on the financial statements are other than unqualified (unmodified), we will discuss the reasons with you in advance. If circumstances occur related to the condition of your records, the availability of sufficient, appropriate audit evidence, or the existence of a significant risk of material misstatement of the financial statements caused by error, fraudulent financial reporting, or misappropriation of assets, which in our professional judgment prevent us from completing the audit or forming an opinion on the financial statements, we retain the right to take any course of action permitted by professional standards, including declining to express an opinion or issue a report, or withdrawing from the engagement.
We will also provide a report (that does not include an opinion) on internal control related to the financial statements and compliance with the provisions of laws, regulations, contracts, and grant agreements, noncompliance with which could have a material effect on the financial statements as required by Government Auditing Standards. The reports on internal control and compliance will each include a paragraph that states that the purpose of the report is solely to describe the scope of testing of internal control over financial reporting and compliance, and the result of that testing, and not to provide an opinion on the effectiveness of internal control over financial reporting or on compliance, and that the report is an integral part of an audit performed in accordance with Government Auditing Standards in considering internal control over financial reporting and compliance. The paragraph will also state that the report is not suitable for any other purpose. If during our audit we become aware that Ojai Valley Sanitary District is subject to an audit requirement that is not encompassed in the terms of this engagement, we will communicate to management and those charged with governance that an audit in accordance vlith U.S. gener3.11y ~ccepted auditing standards a..'ld the standards for financial audits contained in Government Auditing Standards may not satisfy the relevant legal, regulatory, or contractual requirements.
26 Management Responsibilities
Management is responsible for the basic financial statements and all accompanying information as well as all representations contained therein. As part of the audit, we will assist with preparation of your financial statements and related notes. You are responsible for making all management decisions and performing all management functions relating to the financial statements and related notes and for accepting full responsibility for such decisions. You will be required to acknowledge in the written representation letter our assistance with preparation of the financial statements and that you have reviewed and approved the financial statements and related notes prior to their issuance and have accepted responsibility for them. Further, you are required to designate an individual with suitable skill, knowledge, or experience to oversee any nonaudit services we provide and for evaluating the adequacy and results of those services and accepting responsibility for them.
Management is responsible for establishing and maintaining effective internal controls, including evaluating and monitoring ongoing activities,. to help ensure that appropriate goals and objectives are met; for the selection and application of accounting principles; and for the fair presentation in the financial statements of the respective financial position of the business-type activities of the Ojai VaHey Sanitary District and the respective changes in financial position and cash flows, where applicable, in conformity with U.S. generally accepted accounting principles.
Management is also responsible for making all financial records and related information available to us and for ensuring that management is reliable and financial information is reliable and properly recorded. You are also responsible for providing us with (1) access to all information of which you are aware that is relevant to the preparation and fair presentation of the financial statements, (2) additional information that we may request for the purpose of the audit, and (3) umestricted access to persons within the government from whom we determine it necessary to obtain audit evidence.
Your responsibilities include adjusting the financial statements to correct material misstatements and for confirming to us in the written representation letter that the effects of any uncorrected misstatements aggregated by us during the current engagement and pertaining to the latest period presented are immaterial, both individually and in the aggregate, to the financial statements taken as a whole.
You are responsible for the design and implementation of programs and controls to prevent and detect fraud, and for informing us about all known or suspected fraud affecting the government involving (1) management, (2) employees who have significant roles in internal control, and (3) others where the fraud or illegal acts could have a material effect on the financial statements. Your responsibilities include informing us of your knowledge of any allegations of fraud or suspected fraud affecting the government received in communications from employees, former employees, grantors, regulators, or others. In addition, you are responsible for identifying and ensuring that the entity complies with applicable laws, regulations, contracts, agreements, and grants for taking timely and appropriate steps to remedy any fraud, illegal acts, violations of contracts or grant agreements, or abuse that we may report.
27 You are responsible for the preparation of the supplementary information in conformity with u.s. generally accepted accounting principles. You agree to include our report on the supplementary information in any document that contains and indicates that we have reported on the supplementary information. You also agree to [include the audited financial statements with any presentation of the supplementary information that includes our report thereon OR make the audited financial statements readily available to users of the supplementary information no later than the date the supplementary information is issued with our report thereon]. Your responsibilities include acknowledging to us in the written representation letter that (1) you are responsible for presentation of the supplementary information in accordance with GAAP; (2) that you believe the supplementary information, including its form and content, is fairly presented in accordance with GAAP; (3) that the methods of measurement or presentation have not changed from those used in the prior period (or, if they have changed, the reasons for such changes); and (4) you have disclosed to us any significant assumptions or interpretations underlying the measurement or presentation of the supplementary information.
Management is responsible for establishing and maintaining a process for tracking the status of audit findings and recommendations. Management is also responsible for identifying for us previous financial audits, attestation engagements, performance audits or other studies related to the objectives discussed in the Audit Objectives section of this letter. This responsibility includes relaying to us cOlTective actions taken to address significant findings and recommendations resulting from those audits, attestation engagements, performance audits, or other studies. You are also responsible for providing management's views on our current findings, conclusions, and recommendations, as well as your planned corrective actions, for the report, and for the timing and format for providing that information. With regard to using the auditor' s report, you understand that you must obtain our prior written consent to reproduce or use our report in bond offering official statements or other documents.
Audit Procedures-General
An audit includes examining, on a test basis, evidence supporting the amounts and disclosures in the financial statements; therefore, our audit will involve judgment about the number of transactions to be examined and the areas to be tested. An audit also includes evaluating the appropriateness of accounting policies used and the reasonableness of significant accounting estimates made by man.agement, as well as evaluating the overall presentation of the financial statements. We will plan and perform the audit to obtain reasonable rather than absolute assurance about whether the financial statements are free of material misstatement, whether from (1) errors, (2) fraudulent financial reporting, (3) misappropriation of assets, or (4) violations of laws or governmental regulations that are attributable to the entity or to acts by management or employees acting on behalf of the entity. Because the determination of abuse is subjective, Government Auditing Standards do not expect auditors to provide reasonable assurance of detecting abuse.
28 Because of the inherent limitations of an audit, combined with the inherent limitations of internal control, and because we will not perform a detailed examination of all transactions, there is a risk that material misstatements may exist and not be detected by us, even though the audit is properly planned and performed in accordance with u.s. generally accepted auditing standards and Government Auditing Standards. In addition, an audit is not designed to detect immaterial misstatements or violations of laws or governmental regulations that do not have a direct and material effect on the financial statements. However, we will inform the appropriate level of management of any material errors or any fraudulent financial reporting or misappropriation of assets that come to our attention. We will also inform the appropriate level of management of any violations of laws or governmental regulations that come to our attention, unless clearly inconsequential. Our responsibility as auditors is limited to the period covered by our audit and does not extend to later periods for which we are not engaged as auditors.
Our procedures will include tests of documentary evidence supporting the transactions recorded in the accounts, and direct confirmation of receivables and certain other assets and liabilities by conespondence with selected individuals, funding sources, creditors, and financial institutions. We will request written representations from your attorneys as part of the engagement, and they may bill you for responding to this inquiry. At the conclusion of our audit, we will require certain written representations from you about the financial statements and related matters.
Audit Procedures-Internal Controls
Our audit will include obtaining an understanding of the entity and its environment, including internal control, sufficient to assess the risks of material misstatement of the financial statements and to design the nature, timing, and extent of further audit procedures. Tests of controls may be performed to test the effectiveness of certain controls that we consider relevant to preventing and detecting enors and fraud that are material to the financial statements and to preventing and detecting misstatements resulting from illegal acts and other noncompliance matters that have a direct and material effect on the financial statements. Our tests, if performed, will be less in scope than would be necessary to render an opinion on internal control and, accordingly, no opinion will be expressed in our report on internal control issued pursuant to Government Auditing Standards.
An audit is not designed to provide assurance on internal control or to identify significant deficiencies or material weaknesses. However, during the audit, we will communicate to management and those charged with governance internal control related matters that are required to be communicated under AICPA professional standards and Government Auditing Standards.
29 Audit Procedures-Compliance
As part of obtaining reasonable assurance about whether the financial statements are free of material misstatement, we will perform tests of Ojai Valley Sanitary District's compliance with the provisions of applicable laws, regulations, contracts, agreements, and grants. However, the objective of our audit will not be to provide an opinion on overall compliance and we will not express such an opinion in our report on compliance issued pursuant to Government Auditing Standards.
Engagement Administration, Fees, and Other
We may from time to time, and depending on the circumstances, use third-party service providers in serving your account. We may share confidential information about you with these service providers, but remain committed to maintaining the confidentiality and security of your information. Accordingly, we maintain internal policies, procedures, and safeguards to protect the confidentiality of your personal information. In addition, we will secure confidentiality agreements with all service providers to maintain the confidentiality of your information and we will take reasonable precautions to determine that they have appropriate procedures in place to prevent the unauthorized release of your confidential information to others. In the event that we are unable to secure an appropriate confidentiality agreement, you will be asked to provide your consent prior to the sharing of your confidential information with the third-party service provider. Furthermore, we will remain responsible for the work provided by any such third-party service providers.
We understand that your employees will prepare all cash or other confirmations we request and will locate any documents selected by us for testing.
We will provide copies of our reports to district; however, management is responsible for distribution of the reports and the financial statements. Unless restricted by law or regulation, or containing privileged and confidential information, copies of our reports are to be made available for public inspection.
The audit documentation for this engagement is the property of Poindexter and Company and constitutes confidential information. However, pursuant to authority given by law or regulation, we may be requested to make certain audit documentation available to a federal agency providing direct or indirect funding, or the U.S. Government Accountability Office for purposes of a quality review of the audit, to resolve audit findings, or to carry out oversight responsibilities. We will notify you of any such request. If requested, access to such audit documentation will be provided under the supervision of Poindexter and Company personnel. Furthermore, upon request, we may provide copies of selected audit documentation to the aforementioned parties. These parties may intend, or decide, to distribute the copies or information contained therein to others, including other governmental agencies.
30 The audit documentation for this engagement will be retained for a minimum of five years after the repOli release date. If we are aware that a federal awarding agency or auditee is contesting an audit finding, we will contact the parties contesting the audit finding for guidance prior to destroying the audit documentation.
We expect to begin our audit on approximately August 18, 2014 and to issue our draft reports no later than September 19, 2014. Mark A. Poindexter is the engagement partner and is responsible for supervising the engagement and signing the reports or authorizing another individual to sign them. Our fee for these services will be at our standard hourly rates plus out of-pocket costs (such as report reproduction, word processing, postage, travel, copies, telephone, etc.) except that we agree that our gross fee, including expenses, will not exceed $9,950. Our standard hourly rates vary according to the degree of responsibility involved and the experience level of the personnel assigned to your audit. Our invoices for these fees will be rendered each month as work progresses and are payable on presentation. In accordance with our firm policies, work may be suspended if your accowlt becomes 30 days or more overdue and may not be resumed until your account is paid in full. If we elect to terminate our services for nonpayment, our engagement will be deemed to have been completed upon written notification of termination, even if we have not completed our report. You will be obligated to compensate us for all time expended and to reimburse us for all out-of-pocket costs through the date of termination. The above fee is based on anticipated cooperation from your personnel and the assumption that unexpected circumstances will not be encountered during the audit. If significant additional time is necessary, we will discuss it with you and arrive at a new fee estimate before we incur the additional costs.
It is our philosophy to provide personalized services to our clients. In addition to performing the audit, we will be performing consulting services, as requested, through the engagement. Fees for any such consultation will be billed on an hourly basis at our current normal rates, which are presently partner at $200.00 per hour and, staff at $130.00 - $175.00 per hour.
Disputes arising under this agreement (including the scope, nature and quality of services to be performed by us, our fees and our terms of the engagement) shall be submitted to mediation. A competent and impartial third party, acceptable to both parties, shall be appointed to mediate, and each disputing party shall pay an equal percentage of the mediator's fees and expenses. No suit or arbitration proceedings shall be commenced WIder this agreement until at least 60 days after the mediator's first meeting with the involved parties. If the dispute required litigation, the court shall be authorized to impose all defense costs against any non-prevailing party found not to have participated in the mediation process in good faith.
Government Auditing Standards require that we provide you with a copy of our most recent external peer review report and any letter of comment, and any subsequent peer review repOlis and letters of comment received during the period of the contract. Our 2012 peer review report accompanies this letter.
31 We appreciate the opportunity to be of service to Ojai Valley Sanitary District and believe this letter accurately summarizes the significant terms of our engagement. If you have any questions, please let us know. If you agree with the terms of our engagement as described in this letter, please sign the enclosed copy and return it to us.
~ry truly yours, y~~\ Poindexter and Company Certified Public Accountant
RESPONSE:
This letter correctly sets forth the understanding of Ojai Valley Sanitary District.
By: William C . Murphy
Title: Chairman of the Board of Directors
Date: January 27, 2014
32 -.:-..::1-..- Heidenreich & Heidenreich, CPAs, PLLC --- tl 10201 S. 51" Street, Suite #170 Phoenix, AZ 85044 (480)704-6301 fax 785-4619
System Review Report
April 29, 2013
To Mark A. Poindexter, CPA Poindexter and Company and the Peer Review Committee of the CA Society of CPAs
We have reviewed the system of quality control for the accounting and auditing practice of Poindexter and Company (the firm) in effect for tha year ended December 31 , 2012. Our peer review was conducted in accordance with the Standards for Performing and Reporting on Peer Reviews established by the Peer Review Board of the American Institute of Certified Public Accountants. As a part of our peer review, we considered reviews by regulatory entities, if applicable, in determining the nature and extent of our procedures. The firm is responsible for designing a system of quality control and complying with it to provide the firm with reasonable assurance of performing and reporting in conformity with applicable professional standards in all material respects. Our responsibility is to express an opinion on the design of the system of quality control and the firm's compliance therewith based on our review. The nature, objectives, scope, limitations of, and the procedures performed in a System Review are described in the standards at www.aicpa.org/prsummary.
As required by the standards, engagements selected for review included engagements performed under the Government Auditing Standards.
In our opinion, the system of quality control for the accounting and auditing practice of Poindexter and Company in effect for the year ended December 31,2012, has been suitably designed and complied with to provide the firm with reasonable assurance of performing and reporting in conformity with applicable professional standards in all material respects. Firms can receive a rating of pass, pass with deficiency(ies) or fail. Poindexter and Company has received a peer review rating of pass.
Heidenreich & Heidenreich, CPAs, PLLC
33 OJAI VALLEY SANITARY DISTRICT A Public Agency 1072 Tico Road, Ojai, California 93023 (805) 646-5548 • FAX (805) 640-0842 wWW.O ]alsan.org
January 22, 2014
Board of Directors Ojai Valley Sanitary District Ojai, California 93023
APPROVAL OF CHECKS
Checks are presented for your approval.*
If you have comments or questions, please contact me at 646-5548.
RECOMMENDATION
It is recommended the Board approve the submitted checks for payment.
Brenda Krout Administrative Officer
Enc.
*Publication of check register is in compliance with Section 53065.6 of the Government Code which requires the District to disclose reimbursements to employees and/or directors.
APPROVED FOR JANUARY 27, 2014 AGENDA:
-.L/£M 10- / \\OVSD-ARCHIVE1 \My Documents\Board Mtgs\2014\2014-01-27\Checks.docx 34 Jan 22, 2014 Ojai Valley Sanitary District Page 1 8:34 am Check Register (Checks of All Types) (EFTs: Cleared, Outstanding), Sorted by Check Number (Report period: December 6,2013 to January 31 , 2014)
Check EFT#lVend Invoice Amount Net Number Date IInvoice Amount Paid Credits Discounts Amount
Cash Account #3 [AlP Cash Account #3]
EFT 12118113 2146815 EJHAR EJ. Harrison & Sons, Inc Open credits 0.00 175.49 0.00 0.00 175.49
EFT Total 175.49 0.00 0.00 175.49
EFT 12/ 18113 2146816 EJHAR EJ. Harrison & Sons, Inc Open credits 0.00 136.19 0.00 0.00 136.19
EFT Total 136.19 0.00 0.00 136.19
EFT 12/ 13113 1703951587 CHASE Chase Bank Card 9565 10/ 17-11 / 16/ 13 20650.91 20650.91 0.00 0.00 20650.91
EFT Total 20650.91 0.00 0.00 20650.91
EFT 12/06113 49304500CC20000 GUARDIAN Guardian 493045 12113 1509.65 1509.65 0.00 0.00 1509.65
EFT Total 1509.65 0.00 0.00 1509.65
EFT 12/30113 14054068 CALPERRET CalPERS 12/8-12/21113 11886.41 11886.41 0.00 0.00 11886.41
EFT Total 11886.41 0.00 0.00 11886.41
EFT 12116113 14054068 CALPERRET CalPERS 11124-1217113 11886.42 11886.42 0.00 0.00 11886.42
EFT Total 11886.42 0.00 0.00 11886.42
EFT 12/09113 14162384 CALPER Calif. Public Employees 14162384 25880.87 25880.87 0.00 0.00 25880.87
EFT Total 25880.87 0.00 0.00 25880.87 55075 12113113 CALPER Calif. Public Employees Voided
55076 12113113 GASCOM The Gas Company Voided
/cJ ~ 2
35 CHASE CREDIT CARD-9565 10/17/13-11/16/13
VENDOR DESCRIPTION AMOUNT GL#
National Notary Assoc Membership/Materials B.Krout 167.00 608003 Office Depot Office Supplies 50 .25 541003 2 _ffice Depot Office Supplies 366.14 5410.03 LA Times Annual Subscription 2014 332.80 5440.03 HD White Cap Sand Bags TIP 32.25 5240.07 Staples Office Supplies 456.64 5410.03 Carquest Parts TIP 32 .25 5240.07 Alert Communications Alarm Srvc 47.65 5420.03 Hartford Flood Ins Prem TIP 5761 .00 1760 Hartford Flood Ins Prem TIP 5761.00 1760 Hartford Flood Ins Prem TIP 5761 .00 1760 Ferguson Water Works Parts TIP 101.06 5240.07 AWA Waterwise Breakfast-B.Obrien 27 .00 603003 UPS --- Shipping Charges 105.59 5460.03 Vons Newsletter Committee 7.94 6030.03 UPS Shipping Charges 199.60 5460.03 UPS Shipping Charges 18.91 5460.03 - - ~------Dell Travel Adapter 138.66 5410.03 "Familia Diaz LCW Workshop Lunch 17.08 603003 Familia Diaz LCW Workshop Lunch 17.08 603503 Familia Diaz LCW Workshop Lunch 1707 6035.07 Bonnie Lus Cafe Meeting 30.15 6030.03 American Pub Works GM Membership Renewal 179.00 6080.03 Ruebens Burritos Signal St-Crew Dinner 4645 6035.03 Ruebens Burritos Signal St-Crew Dinner 79.18 6035.03 Ej Harrison Trash Srvc Tico Rd 136.19 500503 Ej Harrison Trash Srvc TIP 17549 500507 ------Verizon Wireless OVSD Cell Phone Srvcs 10/13 58648 542003 --
-~-.------
~ --- -- Total I $20,650.91
/0-3 \\OVSD-ARCH IVE 1\My Documents\Lynn\Credit Card Activity. xlsxCredit Card Activity.xlsx1/22/2014 36 Jan 22, 2014 Ojai Valley Sanitary District Page 2 8:34 am Check Register (Checks of All Types) (EFTs: Cleared, Outstanding), Sorted by Check Number (Report period: December 6, 2013 to January 31, 2014)
Check EFT#IVend Invoice Amount Net Number Date IInvoice Amount Paid Credits Discounts Amount
55077 12113113 STEJAN-CONF. Steenberg, Jan TRVL REIM 11113 ROCK 164.58 164.58 0.00 0.00 164.58
Check Total 164.58 0.00 0.00 164.58
55078 12113113 nla Voided: Skipped
55079 12113113 COUVEN Cty ofVta Encroachment Permits Voided
55080 12113113 COUVEN Cty of Vta Encroachment Permits Voided
55081 12116113 BAGRUS-CONF. Baggerly, Russ MILEAGE CSRMA 12113 402.28 402.28 0.00 0.00 402.28
Check Total 402.28 0.00 0.00 402.28
55082 12116113 COUVEN Cty of Vta Encroachment Permits ANNUAL PERMIT 2014 1025.00 1025.00 0.00 0.00 1025.00
Check Total 1025.00 0.00 0.00 1025.00
55083 12117113 CALPER Calif. Public Employees Voided
55084 12117113 FGLENV FGL Environmental 3112692A 384.00 384.00 0.00 0.00 384.00
Check Total 384.00 0.00 0.00 384.00
55085 1211 7113 GASCOM The Gas Company Voided
55086 12117113 FGLENV FGL Environmental 311217A 702.00 702.00 0.00 0.00 702.00
Check Total 702.00 0.00 0.00 702.00
55087 12117113 FGLENV FGL Environmental 311313A 176.20 176.20 0.00 0.00 176.20
Check Total 176.20 0.00 0.00 176.20 55088 12118113 OVSDPE OVSD Petty Cash REIMB TIP 12113 283 .24 283.24 0.00 0.00 283.24
Check Total 283.24 0.00 0.00 283.24
55089 12118113 3TEQUI2 3T Equipment Co., Inc 60655 184.10 184.10 0.00 0.00 184.10 60692 1664.10 1664.10 0.00 0.00 1664.10 ItJ- Y
37 Jan 22, 2014 Ojai Valley Sanitary District Page 3 8:34 am Check Register (Checks of All Types) (EFTs: Cleared, Outstanding), Sorted by Check Number (Report period: December 6,2013 to January 31,2014)
Check EFT#Nend Invoice Amount Net Number Date /Invoice Amount Paid Credits Discounts Amount
Check Total 1848.20 0.00 0.00 1848.20
55090 12/18/13 ALECOM Alert Communications 131100920101 68.95 68.95 0.00 0.00 68 .95
Check Total 68 .95 0.00 0.00 68 .95
55091 12/18/13 ALEWIR Alert Wireless ALERTIN37 29.99 29.99 0.00 0.00 29.99
Check Total 29.99 0.00 0.00 29.99
55092 12/18/13 ATTOI AT&T 0854162981-120513 644.18 644.18 0.00 0.00 644.18
Check Total 644.18 0.00 0.00 644.18
55093 12/18/13 ATT02 AT&T Payment Center 111313-0842 55.29 55.29 0.00 0.00 55.29 120513-5067 128.71 128.71 0.00 0.00 128.71
Check Total 184.00 0.00 0.00 184.00
55094 12/18/13 BARBRO Baron Brothers Nursery SI-3203703 1000.89 1000.89 0.00 0.00 1000.89 SI-3203761 210.16 210.16 0.00 0.00 210.16 SI-3203877 32.25 32.25 0.00 0.00 32.25
Check Total 1243.30 0.00 0.00 1243.30
55095 12/18/13 BENMEA Ben Meadows 1019859804 345.51 345.51 0.00 0.00 345.51
Check Total 345.51 0.00 0.00 345.51 55096 12/18/13 CADASAVE CADA - SA VE/EAP 1129114-1128115 1178.00 1178.00 0.00 0.00 1178.00
Check Total 1178.00 0.00 0.00 1178.00
55097 12118113 . CALENV California Enviromental 2973 915.36 915 .36 0.00 0.00 915 .36
Check Total 915.36 0.00 0.00 915.36
55098 12118/13 CALTES Caltest Analytical 508336 1795.50 1795.50 0.00 0.00 1795.50
/cJ~tJ
38 Jan 22, 2014 Ojai Valley Sanitary District Page 4 8:34 am Check Register (Checks of All Types) (EFTs: Cleared, Outstanding), Sorted by Check Number (Report period: December 6, 2013 to January 31 , 2014)
Check EFT#/Vend Invoice Amount Net Number Date !Invoice Amount Paid Credits Discounts Amount
Check Total 1795.50 0.00 0.00 1795 .50
55099 12118113 CASMUN Casitas Mun. Water Dist 20-12807-00 1115113 61.64 61.64 0.00 0.00 61.64 20-12823-00 1112113 378.98 378.98 0.00 0.00 378.98 30-27111-001115113 196.25 196.25 0.00 0.00 196.25
Check Total 636.87 0.00 0.00 636.87
55100 12118113 CHAISL Joseph Omweg DBA 411 160.00 160.00 0.00 0.00 160.00 412 160.00 160.00 0.00 0.00 160.00 414 160.00 160.00 0.00 0.00 160.00 415 160.00 160.00 0.00 0.00 160.00 416 1448.28 1448.28 0.00 0.00 1448.28
Check Total 2088.28 0.00 0.00 2088.28
55101 12/ 18113 CITOJA City ofOjai PERMIT EXCA V A TION 550.00 550.00 0.00 0.00 550.00
Check Total 550.00 0.00 0.00 550.00
55102 1211 8113 CITYSAN City of San Buenaventura 34166300 12113 28 .57 28 .57 0.00 0.00 28.57
Check Total 28.57 0.00 0.00 28.57
55103 12118113 COAEQU Coastline Equipment 159805 815 .65 815.65 0.00 0.00 815.65
Check Total 815.65 0.00 0.00 815.65 55104 12118113 CONELE CED 9009-686854 1634.00 1634.00 0.00 0.00 1634.00 9009-687867 13698.00 13698.00 0.00 0.00 13698.00
Check Total 15332.00 0.00 0.00 15332.00
55105 1211811 3 CUSLAW American Heritage Landscape, LP 1201131138 308.00 308.00 0.00 0.00 308.00 9123112683 225 .00 225 .00 0.00 0.00 225 .00
Check Total 533 .00 0.00 0.00 533 .00
55106 12118113 DONIND Don's Industrial Supp. 353074 37.26 37.26 0.00 0.00 37.26
/()-~
39 Jan 22, 2014 Ojai Valley Sanitary District Page 5 8:34 am Check Register (Checks of All Types) (EFTs: Cleared, Outstanding), Sorted by Check Number (Report period: December 6, 2013 to January 31, 2014)
Check EFT#IVend Invoice Amount Net Number Date IInvoice Amount Paid Credits Discounts Amount
Check Total 37.26 0.00 0.00 37.26
55107 12118113 EJHAR E.J. Harrison & Sons, Inc lC-00052710 12113 136.19 136.19 0.00 0.00 136.19
Check Total 136.19 0.00 0.00 136.19
55108 12118113 ENTREN EAN Services, LLC 544232 157.49 157.49 0.00 0.00 157.49
Check Total 157.49 0.00 0.00 157.49
55109 12118113 ENVRES Environmental Resource Assoc 704764 276.96 276.96 0.00 0.00 276.96
Check Total 276.96 0.00 0.00 276.96
55110 12118113 FAMCPIP Famcon Pipe & Supply 154063 4773 .00 4773.00 0.00 0.00 4773 .00
Check Total 4773.00 0.00 0.00 4773 .00
55111 12118113 FERWAT Ferguson Waterworks 0446186 193 .50 193 .50 0.00 0.00 193.50
Check Total 193 .50 0.00 0.00 193.50
55112 12118113 FGLENV FGL Environmental 311615A 702.00 702.00 0.00 0.00 702.00 311660A 702.00 702.00 0.00 0.00 702.00
Check Total 1404.00 0.00 0.00 1404.00
55113 12118113 FISSCI Fisher Scientific Co., LLC 1076674 350.24 350.24 0.00 0.00 350.24
Check Total 350.24 0.00 0.00 350.24
55114 12118113 FLOSYS Flo-System, Inc. F14500-13R393 4914.90 4914.90 0.00 0.00 4914.90
Check Total 4914.90 0.00 0.00 4914.90
55115 12118 / 13 FRAVIZ Franklin & Vizzo 41399 244.12 244.12 0.00 0.00 244.12
/0-7
40 Jan 22, 2014 Ojai Valley Sanitary District Page 6 8:34 am Check Register (Checks of All Types) (EFTs: Cleared, Outstanding), Sorted by Check Number (Report period: December 6,2013 to January 31,2014)
Check EFT#lVend Invoice Amount Net Number Date IInvoice Amount Paid Credits Discounts Amount
Check Total 244.12 0.00 0.00 244.12
55116 12118113 FRETIR Fred Wachter DBA 70019 56.32 56.32 0.00 0.00 56.32 70723 30.70 30.70 0.00 0.00 30.70
Check Total 87.02 0.00 0.00 87.02
55117 12118113 HACHCO Hach Company 8570326 547.73 547.73 0.00 0.00 547.73
Check Total 547.73 0.00 0.00 547.73
55118 12/18113 IDEDIS IDEXX Distribution Inc. 273294242 137.53 137.53 0.00 0.00 137.53
Check Total 137.53 0.00 0.00 137.53
55119 12118113 J&HENG J&H Engineering General RET 2013-03 SANTA AN 12525.00 12525.00 0.00 0.00 12525.00
Check Total 12525.00 0.00 0.00 12525.00
55120 12118113 KASKAR Kastle Kare 50984 209.50 209.50 0.00 0.00 209.50
Check Total 209.50 0.00 0.00 209.50 55121 12118113 KOOMEC Koo1co Mechanical, Inc 36198 504.59 504.59 0.00 0.00 504.59
Check Total 504.59 0.00 0.00 504.59
55122 12118113 KURKYL Kurt Roggenstroh DBA 14692 65.00 65.00 0.00 0.00 65.00
Check Total 65.00 0.00 0.00 65 .00
55123 12118113 MAIFIN MailFinance H4363216 170.93 170.93 0.00 0.00 170.93
Check Total 170.93 0.00 0.00 170.93
55124 12118113 MEIOAK Meiners Oaks Hardware 581858 7.61 7.61 0.00 0.00 7.61 584425 6.93 6.93 0.00 0.00 6.93 584593 29.65 29.65 0.00 0.00 29.65 584753 20.40 20.40 0.00 0.00 20.40
/O~f3
41 Jan 22, 2014 Ojai Valley Sanitary District Page 7 8:34 am Check Register (Checks of All Types) (EFTs: Cleared, Outstanding), Sorted by Check Number (Report period: December 6,2013 to January 31 , 2014)
Check EFT#/Vend Invoice Amount Net Number Date IInvoice Amount Paid Credits Discounts Amount
585737 5l.58 51.58 0.00 0.00 5l.58
Check Total 116.17 0.00 0.00 116.17
55125 12/ 18113 NEENAH Neenah Foundry Co 89199 41496.57 41496.57 0.00 0.00 41496.57
Check Total 41496.57 0.00 0.00 41496.57
55126 12/18113 01COMM TelePacific Communications 51629050-0 533.35 533 .35 0.00 0.00 533.35
Check Total 533.35 0.00 0.00 533 .35
55127 12/ 18113 OJVASA Ojai Valley San. Dist. 16112 51.97 51 .97 0.00 0.00 5l.97 16123 103.94 103.94 0.00 0.00 103 .94
Check Total 155.91 0.00 0.00 155.91
55128 12118/13 PATVIJ Vijay & Neeta Patel TR 2011-2013 REF SEWER 918.24 918.24 0.00 0.00 918.24
Check Total 918.24 0.00 0.00 918 .24 55129 12/18/13 PLUDEP Plumbers Depot Inc PD-22928 292.40 292.40 0.00 0.00 292.40
Check Total 292.40 0.00 0.00 292.40
55130 12118/13 QUAMAC Quality Machine Shop 15820 198.40 198.40 0.00 0.00 198.40
Check Total 198.40 0.00 0.00 198.40
55131 12/18/13 RAATMO R.A. Atmore & Sons, Inc 7422 9839.00 9839.00 0.00 0.00 9839.00
Check Total 9839.00 0.00 0.00 9839.00
55132 12/18/13 RDAVIS R. Davis Construction 2013-33 2705.00 2705.00 0.00 0.00 2705.00
Check Total 2705.00 0.00 0.00 2705.00
55133 12/18/13 ROLAND Roland's Smog Check 13758 48.75 48.75 0.00 0.00 48 .75 13760 48.75 48 .75 0.00 0.00 48.75 ItJ-1
42 Jan 22, 2014 Ojai Valley Sanitary District Page 8 8:34 am Check Register (Checks of All Types) (EFTs: Cleared, Outstanding), Sorted by Check Number (Report period: December 6, 2013 to January 31,2014)
Check EFT#/Vend Invoice Amount Net Number Date IInvoice Amount Paid Credits Discounts Amount
Check Total 97.50 0.00 0.00 97 .50
55134 12/18/13 SIGHER Signs Here 20901 227.64 227.64 0.00 0.00 227.64
Check Total 227.64 0.00 0.00 227.64
55135 12/18/13 SMACOV Hardonex, Inc 2666 1211.75 1211.75 0.00 0.00 1211.75
Check Total 1211.75 0.00 0.00 1211.75
55136 12/18/1 3 STACHE State Chemical 96528720 112.23 112.23 0.00 0.00 112.23
Check Total 112.23 0.00 0.00 112.23
55137 12/18/13 TELINS Teledyne Instruments, Inc S020017259 855.49 855.49 0.00 0.00 855.49
Check Total 855.49 0.00 0.00 855.49 55138 12/18/13 TIMWAR Time Warner Cable 12/11-1/10/1460161 435.00 435.00 0.00 0.00 435.00
Check Total 435.00 0.00 0.00 435.00
55139 12/18/13 UNDSER Underground Service 1120130477 103.50 103.50 0.00 0.00 103 .50
Check Total 103 .50 0.00 0.00 103.50
55140 12/18/13 VENAPC Ventura County APCD 1030997 551.00 551.00 0.00 0.00 551.00
Check Total 551.00 0.00 0.00 551.00
5514 1 12/18/13 VENCON Ventura Concrete Cutting 3977 480.00 480.00 0.00 0.00 480.00
Check Total 480.00 0.00 0.00 480.00
55142 12/18/13 VENCOUISD County of Ventura - IT Srvcs INV67009 165 .75 165 .75 0.00 0.00 165 .75
Check Total 165 .75 0.00 0.00 165 .75
/IJ .,-IV
43 Jan 22, 2014 Ojai Valley Sanitary District Page 9 8:34 am Check Register (Checks of All Types) (EFTs: Cleared, Outstanding), Sorted by Check Number (Report period: December 6, 2013 to January 31 , 2014)
Check EFT#IVend Invoice Amount Net Number Date Ilnvoice Amount Paid Credits Discounts Amount
55143 12118113 VENRIV Ventura River County 01-35200A 11115/13 24.90 24.90 0.00 0.00 24.90
Check Total 24 .90 0.00 0.00 24.90
55144 12118113 VENSAN Ventura Reg. Sanitation OJAICOL011310 105 .00 105.00 0.00 0.00 105.00
Check Total 105.00 0.00 0.00 105.00
55145 12118/13 XYLWAT Xylem Water Solutions U.S.A., Inc 3556763248 239.44 239.44 0.00 0.00 239.44 3556765411 4163 .00 4163 .00 0.00 0.00 4163.00
Check Total 4402.44 0.00 0.00 4402.44
55146 12/18113 YOHENG YOH Services, LLC 92540857 583.20 583 .20 0.00 0.00 583.20
Check Total 583.20 0.00 0.00 583.20 55147 12/18/13 ZESTNET Zest Net 964221 469.95 469.95 0.00 0.00 469.95
Check Total 469.95 0.00 0.00 469.95
55148 1211911 3 AQUBIO Aquatic Bioassay & OVS1213.1095 3180.00 3180.00 0.00 0.00 3180.00
Check Total 3180.00 0.00 0.00 3180.00
55149 12119113 AUTSUP Automotive Supply/Ojai 295639 9.34 9.34 0.00 0.00 9.34
Check Total 9.34 0.00 0.00 9.34
55150 12119113 CLAENG Clark Engineering 36876 1721.31 1721.31 0.00 0.00 1721.31
Check Total 1721.31 0.00 0.00 1721.31
55151 12119113 COOWIR Coordinated Wire Rope ofVta 76096 152.91 152.91 0.00 0.00 152.91 76097 87 .56 87.56 0.00 0.00 87.56
Check Total 240.47 0.00 0.00 240.47
55152 1211 9113 COVERA Coverall Mountain & Pacific / /J-I/
44 Jan 22,2014 Ojai Valley Sanitary District Page 10 8:34 am Check Register (Checks of All Types) (EFTs: Cleared, Outstanding), Sorted by Check Number (Report period: December 6,2013 to January 31, 2014)
Check EFT#/Vend Invoice Amount Net Number Date /Invoice Amount Paid Credits Discounts Amount
1553110954 -1214.66 -1214.66 0.00 0.00 -1214.66 1553111100 1279.00 1279.00 0.00 0.00 1279.00
Check Total 64.34 0.00 0.00 64.34
55153 12119/13 CUSLAW American Heritage Landscape, LP 1201131139 762.00 762.00 0.00 0.00 762.00
Check Total 762.00 0.00 0.00 762.00
55154 12119113 DANTIRE Daniels Tire Srvs. 250063559 853.51 853 .51 0.00 0.00 853 .51
Check Total 853.51 0.00 0.00 853.51
55155 12119113 DEKTEC Dirk DeKreek DBA 6312-6 6370.00 6370.00 0.00 0.00 6370.00
Check Total 6370.00 0.00 0.00 6370.00
55156 12119113 DEWPET J.E. DeWitt, Inc. 0038090-IN 15480.68 15480.68 0.00 0.00 15480.68
Check Total 15480.68 0.00 0.00 15480.68
55157 12119113 EJHAR E.J. Harrison & Sons, Inc lC-00053620 12113 175.49 175.49 0.00 0.00 175.49
Check Total 175.49 0.00 0.00 175.49
55158 12/ 19113 ENVHEA Environmental Health Div IN0121358 2802.53 2802.53 0.00 0.00 2802.53
Check Total 2802.53 0.00 0.00 2802.53
55159 12/19113 EVAHYD Evans-Hydro Inc 65130 12831.25 12831.25 0.00 0.00 12831.25
Check Total 12831.25 0.00 0.00 12831.25
55160 12119/ 13 FERENT Ferguson Enterprises,Inc 0032010 446.25 446.25 0.00 0.00 446.25
Check Total 446.25 0.00 0.00 446.25
55161 12119113 FGLENV FGL Environmental 311535A 384.00 384.00 0.00 0.00 384.00
/O~/2
45 Jan 22, 2014 Ojai Valley Sanitary District Page 11 8:34 am Check Register (Checks of All Types) (EFTs: Cleared, Outstanding), Sorted by Check Number (Report period: December 6, 2013 to January 31, 2014)
Check EFT#IVend Invoice Amount Net Number Date IInvoice Amount Paid Credits Discounts Amount
311537A 176.20 176.20 0.00 0.00 176.20 311837A 176.20 176.20 0.00 0.00 176.20 312134A 279.00 279.00 0.00 0.00 279.00
Check Total 10 15.40 0.00 0.00 1015.40
55162 12/19/13 FISSCI Fisher Scientific Co., LLC 2289942 4899.33 4899.33 0.00 0.00 4899.33
Check Total 4899.33 0.00 0.00 4899.33
55163 12/19/1 3 FRETIR Fred Wachter DBA 709 10 1656.74 1656.74 0.00 0.00 1656.74 71062 36.45 36.45 0.00 0.00 36.45
Check Total 1693 .19 0.00 0.00 1693 .19
55164 12/19/1 3 GRAING Grainger 9301952090 112.74 112.74 0.00 0.00 112.74
Check Total 112.74 0.00 0.00 112.74
55165 12/19/13 GRERENT Gregory Freeman Webster DBA BLOWER & PALLET JACK 419.23 419.23 0.00 0.00 419.23
Check Total 419.23 0.00 0.00 419.23
55166 12119113 GRIFBRO Griffm Bros. 1985 2375.00 2375 .00 0.00 0.00 2375 .00
Check Total 2375.00 0.00 0.00 2375.00
55167 12/19/13 HARDIA Hardy Diagnostics 1297408-0 118.08 118.08 0.00 0.00 118.08 1298655-0 383.55 383.55 0.00 0.00 383.55 1299236-0 37.76 37.76 0.00 0.00 37 .76
Check Total 539.39 0.00 0.00 539.39
55168 12/19/13 HOUSAN House Sanitary Supply 112650 30.07 30.07 0.00 0.00 30.07 113355 112.79 112.79 0.00 0.00 112.79
Check Total 142.86 0.00 0.00 142.86
55169 12/19/13 IDEDIS IDEXX Distribution Inc. 273814281 23 .78 23.78 0.00 0.00 23.78 /t).---/3
46 Jan 22, 2014 Ojai Valley Sanitary District Page 12 8:34 am Check Register (Checks of All Types) (EFTs: Cleared, Outstanding), Sorted by Check Number (Report period: December 6, 2013 to January 31, 2014)
Check EFT#lVend Invoice Amount Net Number Date /Invoice Amount Paid Credits Discounts Amount
Check Total 23.78 0.00 0.00 23 .78
55170 12119113 UBCOM Liberty Composting, Inc W01851 14262.15 14262.15 0.00 0.00 14262.l5
Check Total 14262.15 0.00 0.00 14262.15
55171 12119113 OBRBIL-CONF Bill O'Brien MILEAGE VRSD 12113 38.42 38.42 0.00 0.00 38.42
Check Total 38.42 0.00 0.00 38.42 55172 12119113 OJTRUE Ojai True Value Hardware 42701 64.37 64.37 0.00 0.00 64.37 42708 27.93 27.93 0.00 0.00 27.93 42727 7.74 7.74 0.00 0.00 7.74 42734 55 .86 55 .86 0.00 0.00 55 .86
Check Total 155.90 0.00 0.00 155 .90
55173 12119113 ONTRAC OnTrac 7833921 30.30 30.30 0.00 0.00 30.30
Check Total 30.30 0.00 0.00 30.30
55174 12119113 PEAPER Peavey Performance Sys,Inc 396687 370.00 370.00 0.00 0.00 370.00
Check Total 370.00 0.00 0.00 370.00
55175 12119113 PRISAF Priority Safety Services 2013-678 833.99 833 .99 0.00 0.00 833.99
Check Total 833 .99 0.00 0.00 833 .99
55176 12119113 PRUOVE Prudential Overall Sup., Inc 44618-00 11113 1086.82 1086.82 0.00 0.00 1086.82
Check Total 1086.82 0.00 0.00 1086.82
55177 12119/ 13 PURETE Puretec 1280235 132.80 132.80 0.00 0.00 132.80
Check Total 132.80 0.00 0.00 132.80
55178 1211911 3 QUAMAC Quality Machine Shop 15835 45 .00 45.00 0.00 0.00 45 .00 ItJ--/ij
47 Jan 22 , 2014 Ojai Valley Sanitary District Page 13 8:34 am Check Register (Checks of All Types) (EFTs: Cleared, Outstanding), Sorted by Check Number (Report period: December 6,2013 to January 31,2014)
Check EFT#!Vend Invoice Amount Net Number Date IInvoice Amount Paid Credits Discounts Amount
15843 270.00 270.00 0.00 0.00 270.00 15859 135 .00 135.00 0.00 0.00 135.00
Check Total 450.00 0.00 0.00 450.00
55179 12119113 QUICOM * Voided: Continued Stub
55180 12119113 QUICOM Quinn Power Systems WONI0001471 1080.01 1080.01 0.00 0.00 1080.01 WONI0001472 512.75 512.75 0.00 0.00 512.75 WONI0001473 1080.01 1080.01 0.00 0.00 1080.01 WONI0001474 512.75 512.75 0.00 0.00 512.75 WONI0001475 365.53 365.53 0.00 0.00 365.53 WONI0001476 1350.16 1350.16 0.00 0.00 1350.16 WONI0001477 1050.00 1050.00 0.00 0.00 1050.00 WONI0001478 718.00 718.00 0.00 0.00 718 .00 WON10001479 903.75 903.75 0.00 0.00 903.75 WONI0001480 1050.00 1050.00 0.00 0.00 1050.00 WONI0001481 1050.00 1050.00 0.00 0.00 1050.00 WONI0001482 800.00 800.00 0.00 0.00 800.00 WONI0001483 5768.07 5768.07 0.00 0.00 5768.07
Check Total 16241 .03 0.00 0.00 16241.03
55181 12119113 ROLAND Roland's Smog Check 13757 48.75 48 .75 0.00 0.00 48.75 13769 48.75 48.75 0.00 0.00 48.75
Check Total 97.50 0.00 0.00 97.50
55182 12119113 SOCAED Southern Calif. Edison 112513-3879 919.78 919.78 0.00 0.00 919.78 120613-2764 52.84 52.84 0.00 0.00 52.84 121113-0400 47.04 47.04 0.00 0.00 47.04 121313-3291 50.68 50.68 0.00 0.00 50.68 121313-3481 931.48 931.48 0.00 0.00 931.48
Check Total 2001.82 0.00 0.00 2001.82
55183 12119113 STACHE State Chemical 96567801 112.23 112.23 0.00 0.00 112.23
Check Total 112.23 0.00 0.00 112.23
55184 1211 9113 TORENT Toro Enterprises, Inc 8294 26800.00 26800.00 0.00 0.00 26800.00
/tJ ~/S-
48 Jan 22,2014 Ojai Valley Sanitary District Page 14 8:34 am Check Register (Checks of All Types) (EFTs: Cleared, Outstanding), Sorted by Check Number (Report period: December 6, 2013 to January 31 , 2014)
Check EFT#Nend Invoice Amount Net Number Date IInvoice Amount Paid Credits Discounts Amount
Check Total 268.0.0 ..0.0 .0 ..0.0 .0 . .0.0 268.0.0 ..0.0
55185 12119113 UTISYS Utility Systems Science & OJAI2QIQ-46 34.0 . .0.0 34.0 ..0.0 .0 ..0.0 .0 ..0.0 34.0 ..00
Check Total 34.0 ..0.0 .0 ..0.0 .0 ..0.0 34.0 ..0.0 55186 12119113 VISFOR Vista Ford of Oxnard 197492 44.91 44.91 .0 ..0.0 .0 ..0.0 44 .91
Check Total 44.91 .0 ..0.0 .0 . .0.0 44.91
55187 12119113 WECLAB Week Laboratories, Inc W3KI114-0JAIVALLEY 26.0.0 . .0.0 26.0.0 ..0.0 .0 ..0.0 0 ..0.0 26.0.0 ..0.0
Check Total 26.0.0 ..0.0 Q ~ QQ .0 ..0.0 26.0.0 ..00
55188 12119113 WRIEXP Wright Express 35184468 81.0 .61 81.0 .61 .0 ..0.0 .0 ..0.0 81.0.61
Check Total 810.61 .0 ..0.0 .0 ..0.0 810.61
55189 12119113 YOHENG YOH Services, LLC 9256.06.01 583 .2.0 583.2.0 .0 ..0.0 .0 ..0.0 583 .2.0
Check Total 583.2.0 .0 ..0.0 .0 ..0.0 583.2.0
5519.0 12/23113 ATTQ2 AT&T Payment Center 121313-.0842 65 .3.0 65 .3.0 .0 ..0.0 .0 ..0.0 65 .3.0
Check Total 65 .3.0 .0 ..0.0 .0 ..0.0 65.3.0
55191 12/23113 GRIFBRO Griffin Bros. 1986 62.05 ..0.0 62.05 ..0.0 .0 ..0.0 .0 ..0.0 62.05 ..0.0
Check Total 62.05 ..0.0 0 ..0.0 .0 ..0.0 62.05 ..0.0
55192 12/23113 HILELE Hillcrest Electrical, Inc 3-186 8.09 ..0.0 8.09 ..0.0 .0 ..0.0 .0 ..0.0 8.09 ..0.0
Check Total 8.09 ..0.0 .0 ..0.0 .0 ..0.0 8.09 ..0.0
55193 12/23113 SUNPHY Sunrise Physical Therapy 2.013-.033 35.0 ..0.0 350 ..0.0 0 ..0.0 .0 .0.0 35.0 ..0.0
Check Total 35.0 ..0.0 .0 ..0.0 .0 ..0.0 35.0 ..0.0
55194 12/23113 TRICOCAR Michael Gonzan DBA /t:J--Ih
49 Jan 22, 2014 Ojai Valley Sanitary District Page 15 8:34 am Check Register (Checks of All Types) (EFTs: Cleared, Outstanding), Sorted by Check Number (Report period: December 6,2013 to January 31, 2014)
Check EFT#/Vend Invoice Amount Net Number Date IInvoice Amount Paid Credits Discounts Amount
12/06/13 180.00 180.00 0.00 0.00 180.00 12/13/13 160.00 160.00 0.00 0.00 160.00
Check Total 340.00 0.00 0.00 340.00 55195 12/23113 PHOCIV Phoenix Civil Engineers, Inc MOVS09130103 1660.00 1660.00 0.00 0.00 1660.00
Check Total 1660.00 0.00 0.00 1660.00
55196 12/23/13 DELL Dell Marketing L.P. XJ87PN2X2 15814.96 15814.96 0.00 0.00 15814.96
Check Total 15814.96 0.00 0.00 15814.96
55197 01103/14 OILERl Eric Dilks 31005 327.88 327.88 0.00 0.00 327.88
Check Total 327.88 0.00 0.00 327.88
55198 01/03/14 STAMAR Starr Market TURKEY/HAMS 2013 368.06 368.06 0.00 0.00 368.06
Check Total 368.06 0.00 0.00 368.06
55199 01106114 BAGRUS-CONF. Baggerly, Russ CASA 1115-16/14 312.46 312.46 0.00 0.00 312.46
Check Total 312.46 0.00 0.00 312.46
55200 01/06114 BURRAN-CONF Randy Burg CASA 1115-17114 629.92 629.92 0.00 0.00 629.92
Check Total 629.92 0.00 0.00 629.92
55201 01 /06114 KROBRE-CONF. Krout, Brenda CASA 1/14-17/14 897.37 897.37 0.00 0.00 897.37
Check Total 897.37 0.00 0.00 897.37
55202 01 /06114 MURBIL-CONF Bill Murphy CASA 1114-17114 927.37 927.37 0.00 0.00 927.37
Check Total 927.37 0.00 0.00 927.37
55203 01 /06114 OBRBIL-CONF Bill O'Brien CASA 1114-17114 927.37 927.37 0.00 0.00 927.37
/0·-/7
50 Jan 22, 2014 Ojai Valley Sanitary District Page 16 8:34 am Check Register (Checks of All Types) (EFTs: Cleared, Outstanding), Sorted by Check Number (Report period: December 6, 2013 to January 31,2014)
Check EFT#Nend Invoice Amount Net Number Date IInvoice Amount Paid Credits Discounts Amount
Check Total 927.37 0.00 0.00 927.37 55204 01106114 PALJEF-CONF leffPalmer CASA 1114-17114 897.37 897.37 0.00 0.00 897.37
Check Total 897.37 0.00 0.00 897.37
55205 01106114 STOWIL-CONF William Stone CASA 1/ 14-17/ 14 927.37 927.37 0.00 0.00 927.37
Check Total 927.37 0.00 0.00 927.37
55206 0 111 0114 ENVLAB Envi. Lab Accr Prog Branch ELAPB ACCR 452.00 452.00 0.00 0.00 452.00
Check Total 452.00 0.00 0.00 452.00
55207 01110114 l&HENG l&H Engineering General 2013-03 BAL DUE 81619.85 81619.85 0.00 0.00 81619.85
Check Total 81619.85 0.00 0.00 81619.85
55208 01110114 USBURE U.S. Burea of Reclamation 14-LC-20-0472 LAND 3500.00 3500.00 0.00 0.00 3500.00
Check Total 3500.00 0.00 0.00 3500.00
55209 01110114 VENCOCON Venco Controls, Inc 3882 9380.00 9380.00 0.00 0.00 9380.00 3883 805.00 805.00 0.00 0.00 805.00 3894 21780.00 21780.00 0.00 0.00 21780.00
Check Total 31965.00 0.00 0.00 31965.00
55210 01113114 SOCAED Southern Calif. Edison 010314-3093 2000.21 2000.21 0.00 0.00 2000.21 010414-6854 6l.02 6l.02 0.00 0.00 61.02 010814-2764 49A4 49A4 0.00 0.00 49A4 120413-6854 31A6 31A6 0.00 0.00 31A6 121813-8996 28A2 28A2 0.00 0.00 28A2 122313-7255 27.89 27.89 0.00 0.00 27.89 122413-1371 21154.68 21154.68 0.00 0.00 21154.68 122713-3879 998.03 998.03 0.00 0.00 998.03
Check Total 24351.15 0.00 0.00 24351.15 55211 01113114 ALECOM Alert Communications 131200920101 51AO 51AO 0.00 0.00 51AO
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51 Jan 22, 2014 Ojai Valley Sanitary District Page 17 8:34 am Check Register (Checks of All Types) (EFTs: Cleared, Outstanding), Sorted by Check Number (Report period: December 6,2013 to January 31 , 2014)
Check EFT#lVend Invoice Amount Net Number Date IInvoice Amount Paid Credits Discounts Amount
Check Total 51.40 0.00 0.00 51.40
55212 01113114 ALEWIR Alert Wireless ALERTIN60 29.99 29.99 0.00 0.00 29.99
Check Total 29.99 0.00 0.00 29.99
55213 01113114 AQUBIO Aquatic Bioassay & OVS1213.1134 1000.00 1000.00 0.00 0.00 1000.00
Check Total 1000.00 0.00 0.00 1000.00
55214 01/13114 AUT SUP Automotive Supply/Ojai 296288 643.73 643 .73 0.00 0.00 643.73 296289 3.11 3.11 0.00 0.00 3.l1
Check Total 646.84 0.00 0.00 646 .84
55215 01113114 AVEHAR A venue Hardware, Inc. 2978 12113 93.95 93 .95 0.00 0.00 93.95
Check Total 93.95 0.00 0.00 93.95
55216 01113114 AZ Arnold, LaRochelle, Mathews, Van Conas 39794 10286.20 10286.20 0.00 0.00 10286.20
Check Total 10286.20 0.00 0.00 10286.20
55217 0111311 4 BARBRO Baron Brothers Nursery SI-3203952 88 .69 88.69 0.00 0.00 88 .69
Check Total 88.69 0.00 0.00 88.69
55218 01/13114 BARFOR Barber Ford, Inc FOCS577215 50.74 50)4 0.00 0.00 50.74
Check Total 50.74 0.00 0.00 50 .74
55219 0111311 4 CALTES Caltest Analytical 509118 527.25 527.25 0.00 0.00 527.25
Check Total 527.25 0.00 0.00 527.25 55220 01113114 CHOTEC Choice Technical Srvcs, Inc 0050211-IN 160.00 160.00 0.00 0.00 160.00 0050366-IN 160.00 160.00 0.00 0.00 160.00
Check Total 320.00 0.00 0.00 320.00 It! ~/r
52 Jan 22, 2014 Ojai Valley Sanitary District Page 18 8:34 am Check Register (Checks of All Types) (EFTs: Cleared, Outstanding), Sorted by Check Number (Report period: December 6, 2013 to January 31 , 2014)
Check EFT#!Vend Invoice Amount Net Number Date jInvoice Amount Paid Credits Discounts Amount
55221 01113114 CMHCEN CMH Centers for Family Health 31420 26.00 26.00 0.00 0.00 26.00
Check Total 26.00 0.00 0.00 26 .00
55222 01113114 COAPIP Coastal Pipco S 1794677 .002 20.39 20.39 0.00 0.00 20.39 S 1795441.00 1 124.70 124.70 0.00 0.00 124.70
Check Total 145 .09 0.00 0.00 145.09
55223 01113114 COMWAVE CompuWave SB02075607 3878.60 3878.60 0.00 0.00 3878.60
Check Total 3878.60 0.00 0.00 3878.60
55224 01113114 COVERA Coverall Mountain & Pacific 1553111762 1279.00 1279.00 0.00 0.00 1279.00
Check Total 1279.00 0.00 0.00 1279.00
55225 01113114 CSRMA CSRMA 2878 60687.00 60687.00 0.00 0.00 60687.00
Check Total 60687.00 0.00 0.00 60687.00
55226 01 11 3114 CUSLAW American Heritage Landscape, LP 0101141 129 308.00 308.00 0.00 0.00 308.00 0101141130 762.00 762.00 0.00 0.00 762.00
Check Total 1070.00 0.00 0.00 1070.00
55227 01113114 CUSPRI Custom Printing 127029 297.77 297.77 0.00 0.00 297.77
Check Total 297.77 0.00 0.00 297.77 55228 01113114 DIASEC Dial Security 212570 149.00 149.00 0.00 0.00 149.00 212571 148.00 148.00 0.00 0.00 148.00
Check Total 297.00 0.00 0.00 297.00
55229 01113114 DRENNA Fred Drennan 2014 MEMBERSHIP 175 .00 175.00 0.00 0.00 175.00
Check Total 175.00 0.00 0.00 175.00 Ie r-,;20 53 Jan 22,2014 Ojai Valley Sanitary District Page 19 8:34 am Check Register (Checks of All Types) (EFTs: Cleared, Outstanding), Sorted by Check Number (Report period: December 6,2013 to January 31,2014)
Check EFT#/Vend Invoice Amount Net Number Date IInvoice Amount Paid Credits Discounts Amount
55230 01113114 EDWRON Ronald Edwards, M.S. PROF SRVCS 12113 429.85 429.85 0.00 0.00 429.85
Check Total 429.85 0.00 0.00 429.85
55231 01113114 ENVRES Environmental Resource Assoc 706437 295.44 295.44 0.00 0.00 295.44
Check Total 295.44 0.00 0.00 295.44
55232 01113114 FGLENV FGL Environmental 309642A 702.00 702.00 0.00 0.00 702.00 311836A 384.00 384.00 0.00 0.00 384.00 312133A 669.20 669.20 0.00 0.00 669.20 312353A 384.00 384.00 0.00 0.00 384.00
Check Total 2139.20 0.00 0.00 2139.20
55233 01/13114 FISSCI Fisher Scientific Co., LLC 2478446 82.56 82.56 0.00 0.00 82.56 2478447 77.04 77 .04 0.00 0.00 77.04
Check Total 159.60 0.00 0.00 159.60
55234 01/13114 G&SBUI G & S Building Supply 796142 75 .94 75 .94 0.00 0.00 75.94 796160 31.91 31.91 0.00 0.00 31.91 796608 19.18 19.18 0.00 0.00 19.18
Check Total 127.03 0.00 0.00 127.03
55235 01113114 GOLWES Golden West Dental Plan 0201312807661 194.96 194.96 0.00 0.00 194.96 0201401808382 194.96 194.96 0.00 0.00 194.96
Check Total 389.92 0.00 0.00 389.92
55236 01113114 HARDIA Hardy Diagnostics 1305847-0 53 .90 53 .90 0.00 0.00 53 .90
Check Total 53.90 0.00 0.00 53.90
55237 01113114 HAYCON Shalene Hayman DBA PROF SRVCS 12/13 759.54 759.54 0.00 0.00 759.54
Check Total 759.54 0.00 0.00 759.54
/o ~2 1 54 Jan 22,2014 Ojai Valley Sanitary District Page 20 8:34 am Check Register (Checks of All Types) (EFTs: Cleared, Outstanding), Sorted by Check Number (Report period: December 6,2013 to January 31 , 2014)
Check EFT#iVend Invoice Amount Net Number Date IInvoice Amount Paid Credits Discounts Amount
55238 01113114 INTREV Internal Revenue Service 95-2291733 9/2013 228.93 228.93 0.00 0.00 228.93
Check Total 228.93 0.00 0.00 228.93
55239 01113 / 14 KURKYL Kurt Roggenstroh DBA 14818 65.00 65 .00 0.00 0.00 65 .00
Check Total 65 .00 0.00 0.00 65 .00
55240 01113114 LIECASWH1 Liebert Cassidy Whitmore 174128 90.00 90 .00 0.00 0.00 90.00
Check Total 90.00 0.00 0.00 90.00
55241 01113114 MA1FIN MailFinance H4416984 170.93 170.93 0.00 0.00 170.93
Check Total 170.93 0.00 0.00 170.93
55242 01113114 01COMM TelePacific Communications 52177078-0 532.77 532.77 0.00 0.00 532.77
Check Total 532.77 0.00 0.00 532.77
55243 01113114 OJTRUE Ojai True Value Hardware 42745 19.33 19.33 0.00 0.00 19.33
Check Total 19 .33 0.00 0.00 19.33 55244 01113114 PHOCIV Phoenix Civil Engineers, Inc MOVS03130102 1155.00 1155.00 0.00 0.00 1155 .00
Check Total 1155 .00 0.00 0.00 1155.00
55245 01113114 PRUOVE Prudential Overall Sup., Inc 44618-00 12113 2340.94 2340.94 0.00 0.00 2340.94
Check Total 2340.94 0.00 0.00 2340.94
55246 01113114 PURETE Puretec 1251501 132.80 132.80 0.00 0.00 132 .80 1262013 89.35 89.35 0.00 0.00 89.35 1271638 89.35 89.35 0.00 0.00 89.35 1286155 89.35 89.35 0.00 0.00 89.35 1287704 132.80 132.80 0.00 0.00 132.80
(O --?2
55 Jan 22, 2014 Ojai Valley Sanitary District Page 21 8:34 am Check Register (Checks of All Types) (EFTs: Cleared, Outstanding), Sorted by Check Number (Report period: December 6, 2013 to January 31 , 2014)
Check EFT#IVend Invoice Amount Net Number Date /Invoice Amount Paid Credits Discounts Amount
Check Total 533.65 0.00 0.00 533 .65
55247 01113114 QUICOM Quinn Power Systems WONI0001604 2500.00 2500.00 0.00 0.00 2500.00 WONI0001605 439.93 439.93 0.00 0.00 439.93
Check Total 2939.93 0.00 0.00 2939.93
55248 01113114 ROGBAC Roger Tousignant DBA 5239 375.00 375 .00 0.00 0.00 375.00
Check Total 375 .00 0.00 0.00 375.00
55249 01113114 SIMGRI SimplexGrinnell 69475966 3152.00 3152.00 0.00 0.00 3152.00
Check Total 3152.00 0.00 0.00 3152.00
55250 01113 11 4 SMAFIN Smart & Final 3900800140401 206.90 206.90 0.00 0.00 206.90 3900800141097 116.91 116.91 0.00 0.00 116.91
Check Total 323 .81 0.00 0.00 323 .81
55251 01113114 TIM WAR Time Warner Cable 60161 1111-2110114 435.00 435 .00 0.00 0.00 435.00
Check Total 435 .00 0.00 0.00 435.00 55252 01113114 TRICOCAR Michael Gonzan DBA 1110114 180.00 180.00 0.00 0.00 180.00 12/27113 160.00 160.00 0.00 0.00 160.00
Check Total 340.00 0.00 0.00 340.00
55253 01113114 UNDSER Underground Service 1220130469 100.50 100.50 0.00 0.00 100.50
Check Total 100.50 0.00 0.00 100.50
55254 01113114 UTISYS Utility Systems Science & OJAI2010-47 340.00 340.00 0.00 0.00 340.00
Check Total 340.00 0.00 0.00 340.00
55255 01113114 VCSDA VCSDA C/O 13 REG 2/4114 715.00 715.00 0.00 0.00 715 .00
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56 Jan 22, 2014 Ojai Valley Sanitary District Page 22 8:34 am Check Register (Checks of All Types) (EFTs: Cleared, Outstanding), Sorted by Check Number (Report period: December 6, 2013 to January 31,2014)
Check EFT#Nend Invoice Amount Net Number Date IInvoice Amount Paid Credits Discounts Amount
Check Total 715.00 0.00 0.00 715 .00
55256 01113114 VENCOCON Venco Controls, Inc 3912 22405 .00 22405.00 0.00 0.00 22405.00
Check Total 22405.00 0.00 0.00 22405 .00
55257 01/13114 VENCOUISD County of Ventura - IT Srvcs INV67434 165.75 165.75 0.00 0.00 165.75
Check Total 165 .75 0.00 0.00 165.75
55258 01 11 311 4 VENRIV Ventura River County 01-35200A 12116113 22.74 22.74 0.00 0.00 22.74
Check Total 22.74 0.00 0.00 22 .74
55259 01113 11 4 VSP Vision Service Plan-(CA) 12049809 1114 552.67 552.67 0.00 0.00 552.67
Check Total 552.67 0.00 0.00 552.67
55260 01 11 3114 YOHENG YOH Services, LLC 92565053 874.80 874.80 0.00 0.00 874.80 92569222 583.20 583.20 0.00 0.00 583.20 92575625 291.60 291.60 0.00 0.00 291.60
Check Total 1749.60 0.00 0.00 1749.60
55261 01 11 3114 ZESTNET Zest Net 964253 548.70 548.70 0.00 0.00 548.70
Check Total 548 .70 0.00 0.00 548.70
55262 01113114 OBRBIL-CONF Bill O'Brien MILEAGE A WA 11113 24.30 24.30 0.00 0.00 24.30
Check Total 24.30 0.00 0.00 24 .30
55263 01113114 OVSDPE OVSD Petty Cash REIMB OFFICE 01114 447.17 447.17 0.00 0.00 447.17
Check Total 447.17 0.00 0.00 447.17
Cash account 617891.87 0.00 0.00 617891.87 /o'-2- f
57 Jan 22, 2014 Ojai Valley Sanitary District Page 23 8:34 am Check Register (Checks of All Types) (EFTs: Cleared, Outstanding), Sorted by Check Number (Report period: December 6, 2013 to January 31, 2014)
Check EFT#/Vend Invoice Amount Net Number Date IInvoice Amount Paid Credits Discounts Amount
Report Total 61789l.87 0.00 0.00 61789l.87
(*) One or more checks have payee names that do not match the name contained within the database record.
58 Jan 22, 2014 Ojai Valley Sanitary District Page 1 8:37 am Employee Vacation I Sick Pay Report Employees 19 to 19
Employee Employee Name Pay Type Start Earned Taken Balance
19 David Harter Vacation 309.72 12 .92 1l.87 310.77 Sick pay 594.00 7.38 0.00 601.38 Comp time 7.50
Report total Vacation 309.72 12.92 1l.87 310.77 Sick pay 594.00 7.38 0.00 601.38 Comp time 7.50
/o -2k 59 OJAI VALLEY SANITARY DISTRICT A Public Agency 1072 Tico Road, Ojai, California 93023 (805) 646-5548 • FAX (805) 640-0842 Www.oJalsan.org
January 13, 2014
Board of Directors Ojai Valley Sanitary District Ojai, CA 93023
ANNUAL INVESTMENT POLICY - RESOLUTION NO. 2014-01
State law requires all local agencies to develop an annual investment policy that must be considered by the legislative body at a public meeting. Law requires the policy to be considered annually in December or January so the adopted policy will be in effect for the ensuing calendar year.
The District's current policy was adopted in January 2013. Staff continues to work with Morgan Stanley Smith Barney (as authorized by you beginning in 2006), supplying you with monthly and quarterly reports of the investment performance.
Proposed Resolution No. 2014-01, maintaining the investment policy and working with Morgan Stanley Smith Barney for investment management services was presented to the Finance Committee at their January 10, 2014 meeting. The Finance Committee unanimously supported presenting a recommendation to the Board to approve the con tinuation of working with Morgan Stanley Smith Barney for investment managing ser vices and to maintain the current investment policy by adopting Resolution No. 2014-01.
If you have any questions or need additional information, I may be reached at 646-5548.
RECOMMENDATION
It is recommended the Board: a. Adopt Resolution No. 2014-01, Resolution of the Board of Directors of the Ojai Val ley Sanitary District Stating the Investment Policy For District Funds; and b. Direct staff to continue working with Morgan Stanley Smith Barney to provide in vestment management services for the District.
I77M 1/-/
60 Board of Directors January 13, 2014 Page 2
OR c. Direct staff as the Board deems appropriate in regard to the investment of the Dis trict's funds.
Brenda Krout Administrative Officer
Enc.
APPROVED FOR JANUARY 27, 2014 AGENDA: JEF ~ERALMANAGER
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\\OVSD-ARCHIVE1\My Documents\Board Mtgs\2014\2014-01-27\Annual Invest Policy.docx 61 OJAI VALLEY SANITARY DISTRICT
RESOLUTION NO. 2014-01
RESOLUTION OF THE BOARD OF DIRECTORS OF THE OJAI VALLEY SANITARY DISTRICT STATING THE INVESTMENT POLICY FOR DISTRICT FUNDS
WHEREAS, California Government Code Section 53646 requires the Governing Board of the Ojai Valley Sanitary District (the 'District") to annually consider a statement of investment policy relating to the investment of District funds.
NOW, THEREFORE, the Governing Board of the Ojai Valley Sanitary District hereby approves the following statement of investment policy:
1. Scope
This investment policy shall apply to all funds of the District which are not required for the immediate needs of the District, with the exception of (1) deferred compensation plan investments, which are held in trust and not carried on District books; and (2) California Public Employees' Retirement System ("CaIPERS") contributions, which are invested pursuant to the CalPERS program.
2. Prudent Investor Standard
In making investment decisions pursuant to this policy, the District's Governing Board is a trustee, and therefore, a fiduciary subject to the prudent investor standard. When investing, reinvesting, purchasing, acquiring, exchanging, selling and managing the District's funds, the Governing Board shall act with the care, skill , prudence and diligence under the circumstances then prevailing, that a prudent person acting in a like capacity and familiarity with those matters would use in the conduct of funds of a like character and with like aims, to safeguard the principal, and maintain the liquidity needs of the District. Within the limitations set forth in this section, and considering individual investments as part of an overall strategy, the Governing Board is authorized to acquire investments as authorized by law and by this policy.
3. Objectives
As set forth in Government Code Section 53600.5, when investing, reinvesting, purchasing, acquiring, exchanging, selling and managing the District's funds, the primary objective shall be to safeguard the principal of the funds. The secondary objective shall be to meet the liquidity needs of the District. The third objective shall be to achieve a return on the funds.
4. Diversification
The District shall maintain a portfolio of authorized investments with diversified maturities, issuers and security types to avoid the risks in over-investing in anyone sector. The District shall evaluate or cause to have evaluated each potential investment, seeking quality of issuer and underlying security or collateral. The District shall consider market volatility and shall diversify the portfolio to minimize risks with respect to the invested funds.
62 Resolution No. 2014-01 Page 2
5. Authorized Investments
All funds of the District shall be invested in compliance with Government Code Sections 53600 through 53683. The District shall make only those investments authorized under Government Code Sections 53601 and 16429.1 , as said sections may be amended from time to time, subject to the limitations and requirements set forth therein. A summary of such authorized investments is attached hereto as Exhibit "A". The District shall not make any of the prohibited investments specified under Government Code Sections 53601.6 and 53631..5, as said sections may be amended from time to time.
6. Maximum Maturity
All funds will have diversified maturity dates and to the extent possible, match investments with anticipated cash flow requirements. Unless matched to a specific requirement, investment maturities will not exceed twenty years at the time of purchase.
7. Quarterly Reports
The General Manager shall render quarterly reports to the District's Governing Board. Each quarterly report shall be submitted within 30 days following the end of the quarter covered by the report. Except as provided below, the report shall include the type of investment, issuer, date of maturity, par and dollar amount invested in all securities, investments and monies held by the District, and shall additionally include a description of any funds, investments, or programs that are under the management of contracted parties, including lending programs. With respect to all securities under management of any outside party that is not also a local agency or the State of California Local Agency Investment Fund, the report shall also include the current market value as of the date of the report, and shall include the sources of this same valuation.
The quarterly report shall state compliance of the portfolio with this statement of investment policy, or the manner in which the portfolio is not in compliance.
The quarterly report shall include a statement denoting the ability of the District to meet its expenditure requirements for the next six months, or provide an explanation as to why sufficient money shall, or may, not be available.
In the quarterly report, a subsidiary ledger of investments may be used in accordance with accepted accounting practices.
The quarterly report shall include whatever additional information or data may be required by the District's Governing Board.
The Governing Board may elect to require the report specified to be made on a monthly basis instead of quarterly.
For District investments which have been placed in the Local Agency Investment Fund created by Government Code Section 16429.1, in Federal Deposit Insurance Corporation -insured accounts in a bank or savings and loan association, in a county investment pool, or any combination of these, the General Manager may supply to the Governing Board the most recent statement or statements received by the District from these institutions in lieu of the information required above
//-1
63 Resolution No. 2014-01 Page 3
8. Annual Review
The General Manager shall annually render to the District's Governing Board, a statement of investment policy, which the Governing Board shall consider at a public meeting. Any changes in the policy shall also be considered by the Governing Board at a public meeting.
PASSED ON ADOPTION this 27'h day of _....;J:::..>a:::.,:.n.:,.::u:,::a:..:..ryZ---__, 2014, upon the following vote:
AYES:
NAYES:
ABSENT:
ABSTAIN:
William C. Murphy, Chairman
CERTIFICATION:
I, William D. O'Brien, Secretary of the Board of Directors of the Ojai Valley Sanitary District, do certify that the above is a true and accurate copy of Resolution No. 2014-01 , adopted by the Board of Directors on January 27, 2014.
William D. O'Brien, Secretary Ojai Valley Sanitary District
\\OVSD-ARCHIVE1 \My Documents\Resolutions\lnvestment Policy 2014.docx
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64 Resolution No. 2014-01 Page 4
EXHIBIT " A " Allowable Investment Instruments Per State Government Code (as of January 1, 2005)a
Maximum Minimum Maximm Specified Investment Type Quality Maturityc Percentage of Requirements Portfolio None Local Agency Bonds 20 years None None U.S. Treasury Obligations 20 years None None State of California Obligations 20 years None None CA Local Agency Obligations 20 years None None U.S. Agencies 20 years None None Bankers' Acceptances 180 days 40 percentd Commercial Paper - Select Agencies · 270 days 25 percent of the "A-1 /P-1 /F-1 "; if the agency's moneyf issuer has issued long- tenn debt must be rated "A" without regard to modifergg
Commercial Paper - Others Agenciesh 270 days 40 percent of the "A-1 /P-1 /F-1 "; if the issuer agency's moneyl has issued long-tenn debt it must be rated "A" without regard to modifiersg
None Negotiable Certificates of Deposit 5 years 30 percent None Repurchase Agreements 1 year None k Reverse Repurchase Agreements and 20 percent of the base None 92 days! Securities Lending Agreements value of the portfolio "A" rating Medium-Tenn Notesl 5 years 30 percent Multiplen .o Mutual Funds and Money Market N/A 20 percentm Mutual Funds None Collateralized Bank Deposits 5 years None "AA" Ratingp Mortgage Pass-Through Securities 20 years 20 percent None Time Deposits 5 years None None County Pooled Investment Funds N/A None Multipleq Joint Powers Authority Pool N/A None None Local Agency Investment Fund(LAIF) N/A None *See fo llowing page for footnotes related to this table.
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65 Resolution No. 2014-01 Page 5
Footnotes a. Sources: Government Code Sections 16429.1, 53601, 53635, and 53638. b. Not used. c. Government Code Section 53601 provides that the maximum term of any investment authorized under this section, unless otherwise stated, is five years. However, the legislative body may grant express authority to make investments either specifically or as a part of an investment program approved by the legislative body that exceed this five year maturity limit. d. No more than 30 percent of the agency's money may be in Bankers' Acceptances of anyone commercial bank. e. "Select Agencies" are defined as a "city, a district, or other local agency that doles] not pool money in deposits or investment with other local agencies, other than local agencies that have the same governing body." f. 10 percent of the outstanding commercial paper of any single corporate issuer. g. Issuing corporation must be organized and operating with the U.S. and have assets in excess of $500,000,000. h. "Other Agencies" are counties, a city and county, or other local agency "that pools money in deposits or investments with other local agencies, including local agencies that have the same governing body." Local agencies that pool exclusively with other local agencies that have the same governing body must adhere to the limits set for "Select Agencies," above. i. No more than 10 percent of the agency's money may be invested in the Commercial Paper of anyone corporate issuer; no more than 10 percent of the outstanding Commercial Paper of anyone corporate issuer may be purchased by the local agency. j. Reverse repurchase agreements or securities lending agreements may exceed the 92-day term if the agreement includes a written codicil guaranteeing a minimum earning or spread for the entire period between the sale of a security using a reverse repurchase agreement or securities lending agreement and the final maturity dates of the same security. k. Reverse repurchase agreements must be made with primary dealers of the Federal Reserve Bank of New York or with a nationally or state chartered bank that has a significant relationship with the local agency. The issuer must have held the securities used for the agreements for at least 30 days. I. "Medium-term notes" are defined in Government Code Section 53601 as "all corporate and depository institution debt securities with a maximum remaining maturity of five years or less, issued by corporations organized and operating with the U.S. or by depository institutions licensed by the U.S. or any state and operating within the U.S." m. No more than 10 percent invested in anyone mutual fund. n. A mutual fund must receive the highest ranking by not less than two nationally recognized rating agencies or the fund must retain an investment advisor who is registered with the SEC (or exempt from registration), has assets under management in excess of $500 million, and has at least 5 years experience investing in instruments authorized by Government Code Sections 53601 and 53635. o. A money market mutual fund must receive the highest ranking by not less than two nationally recognized statistical rating organizations or retain an investment advisor registered with the SEC or exempt from registration and who has not less than 5 years experience investing in money market instruments with assets under management in excess of $500 million. p. Issuer must have an "A" rating or better for the issuer's debt as provided by a nationally recognized rating agency. q. A jOint powers authority pool must retain an investment advisor who is registered with the SEC (or exempt from registration), has assets under management in excess of $500 million, and has at least 5 years experience investing in instruments authorized by Government Code Section 53601, subdivisions (a) to (n).
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66 OJAI VALLEY SANITARY DISTRICT A Public Agency 1072 Tieo Road, Ojai, California 93023 (805) 646-5548 • FAX (805) 640-0842 www.o]aIsan.org
January 9, 2014
Board of Directors Ojai Valley Sanitary District Ojai, CA 93023
CONTRACT NO. 2014-01 - INFLOW & INFILTRATION DATA ANALYSIS AND MAS TERPLAN PREPARATION
In November 2013 staff issued a request for proposals to several local engineering firms to provide professional engineering services for the preparation of an Inflow and Infiltra tion (1&1) Masterplan. The purpose of this project is to review, compile and analyze the existing data related to the district collection system. The data includes various 1&1 re ports, maintenance records, CCTV records, construction projects and 1&1 repairs that have been completed over the past 15 years. The proposed scope of work consists of the following:
• Review all relevant data, records, computer files, reports, as-built plans, re- pair records, groundwater data, cctv files and maintenance records. • Complete a field-walk with district staff to review high priority 1&1 areas. • Complete an 1&1 Summary Masterplan and Basin 1&1 Assessment. • Field walks and studies, data review, and analysis required to provide a com plete master plan, basin assessment, pipe condition assessment and an overall map of 1&1 areas. • Civil Engineering analysis, documentation, calculation, design plans per the District Standards, repair methods, cost estimates and schedules necessary to prioritize the work on separate contracts and projects.
The deadline to submit proposals was December 18, 2013; only one firm responded with a proposal. The proposal received was as follows:
• MNS Engineers, Inc. $ 30,230
Staff reviewed the proposal and recommends the 1&1 analysis contract be awarded to MNS Engineers, Inc.
67 Board of Directors January 9, 2014 Page 2
Consequently, Contract No. 2014-01, Between Ojai Valley Sanitary District and MNS Engineers, Inc. for professional engineering services for the preparation of an Inflow and Infiltration (1&1) Masterplan, is presented for your approval.
The selection process utilized for contracting for these professional services is in keep ing with the District's Contracting & Purchasing Policy Ordinance No. OVSD-65 Section NO.4.
It is appropriate to utilize funds from the Collection System Replacement Reserve to fund this project. Budget Adjustment No. 2014-13 transferring funds from this reserve is presented for your adoption.
If you have any questions or need additional information please call me at 646-5548.
RECOMMENDATION
It is recommended the Board;
a. Accept MNS Engineers, Inc.'s proposal for providing engineering services for the preparation of an Inflow and Infiltration (1&1) Masterplan; and
b. Authorize the Chairman to sign Contract No. 2014-01 , Between Ojai Valley Sani tary District and MNS Engineers, Inc. for professional engineering services for the preparation of an Inflow and Infiltration (1&1) Masterplan, in an amount not to exceed $30,230; and
c. Adopt Budget Adjustment No. 2014-13 transferring funds from the Collection System Replacement Reserve to provide funding for this contract. ~ General Manager
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\\OVSD-ARCHIVE1\My Documents\8oard Mtgs\2014\2014-01-268 7\Cont2014-01-1&1 Analysis.docx CONTRACT NO 2014-01
AGREEMENT FOR CONSULTING SERVICES FOR INFLOW & INFILTRATION DATA ANALYSIS AND MASTERPLAN PREPARATION BETWEEN OJAI VALLEY SANITARY DISTRICT AND MNS ENGINEERS INC.
This Agreement for Consulting Services ("Agreement") is made and entered into on January 27 , 2014 by and between Ojai Valley Sanitary District, a public agency formed pursuant to California Health & Safety Code Section 6400 et. seq. ("District") and MNS Engineers Inc., ("Consultant").
RECITALS
A. District requires the services of an appropriately skilled and experienced consultant to perform an analysis of Inflow and Infiltration (1&1) data and prepare a Masterplan. District has selected Consultant as the most appropriately qualified for this project.
B. Consultant represents it possesses the necessary skills, expertise, experience and motivation to provide these services for Project and is willing to contract with District.
NOW THEREFORE, based on the covenants and conditions contained herein, the parties agree as follows:
1. Scope of Work. Consultant shall provide the consulting services for District described in the proposal attached as Exhibit "A" and incorporated by reference herein. Consultant acknowledges the reliance and confidence placed upon it by District and its services shall be rendered in a diligent and professional manner.
Consultant agrees its services shall be performed in a manner consistent with the level of care and skill ordinarily exercised by other Consultants under similar circumstances at the time its services are performed.
2. Term of Contract. Unless otherwise terminated earlier as specified in Section 9, this Agreement shall commence on the date first set forth above and unless otherwise extended in writing by both parties, shall expire on June 30, 2014.
3. Independent Contractor Relationship. It is expressly understood between the parties that no employee/employer relationship is intended, the relationship of Consultant to District being that of an independent contractor. District shall not be required to make any payroll deductions or provide Workers' Compensation Insurance coverage or health benefits to Consultant.
Consultant is solely responsible for selecting the means, methods and procedures for performing its services hereunder as described in Exhibit "A" and for coordinating all portions of its work. Consultant will supply all tools and instrumentalities required to perform its services under this Agreement. 12 -3 69 Contract No. 2014-01 Page 2
Consultant, pursuant to this Agreement, is rendering professional consulting services only and any payments made to it are compensation solely for such services as it may render and recommendations it may make in the performance of its services.
4. Compliance with Laws. Consultant shall be solely responsible for giving all notices and reasonably complying with applicable laws, ordinances, rules, regulations and lawful orders of any public authority relating to Consultant's work that are in effect at the time services are rendered.
5. Acknowledgment of Relationship. Consultant agrees all dealings of the parties under this Agreement shall be confidential and no report, data, information or communication developed, prepared or assembled by Consultant under this Agreement, or any information made available to Consultant by District, shall be revealed, disseminated or made available by Consultant to any person or entity other than District without the prior written consent of District, unless otherwise required by subpoena or applicable law. Data, calculations, drawings and other documents developed, prepared, completed or acquired by Consultant during the performance of its services hereunder shall be turned over to District upon termination of this Agreement. Consultant may retain a copy of such data, calculations, drawings and other documents.
6. Payment to Consultant. For services performed pursuant to Section 1, the District will pay Consultant for its services on a time and material basis in an amount not to exceed Thirty Thousand Two Hundred Thirty Dollars ($30,230) in accordance with Consultant's hourly rate schedule contained in Exhibit "C."
On or prior to the tenth day of each calendar month after actual work has started, Consultant may submit an invoice in sufficient detail to show the total amount of work done and materials furnished by Consultant and incorporated into the work to the last day of the month preceding the one in which the invoice is submitted. When possible, such invoice shall include the name and title of each person performing work, date and brief description of the work performed, number and type of hours worked, and labor rate. District shall review and approve Consultant's invoice for accuracy and agree with Consultant on any adjustments which may be appropriate. Such approvals shall not be unreasonably withheld. District shall pay Consultant for all undisputed costs within thirty (30) days of receipt of the invoice. In the event of disagreement with Consultant on adjustments or disallowance's, said amounts shall be withheld until resolved. Upon resolution of the disagreements, payment of the approved amount shall be made within thirty (30) days after deducting there from all previous payments and all sums to be retained under the terms of the Agreement.
No payment made under this Agreement, except the final payment, shall be conclusive evidence of Consultant's performance of the Agreement, either wholly or in part, and no payment shall be construed to be an acceptance of Consultant's work.
7. Change Orders. No change to Exhibit "A" hereto, or to any other provision of this Agreement, may be made except by written amendment signed by both parties. District General Manager, or his designee, shall be authorized to approve changes to this Agreement. Each change order shall not exceed the lesser of ten percent (10%) of the value of the Agreement or twenty-five hundred dollars ($2,500), and the aggregate total of all change orders shall not exceed ten thousand dollars ($10,000).
70 Contract No. 2014-01 Page 3
8. Assistance by District. District agrees to provide to Consultant information available to District of relevance to Consultant's work, including all reports, data and documents pertaining to District's wastewater system and facilities, and District pledges to work cooperatively with Consultant and render all reasonable assistance toward completion of Consultant's work. Consultant is entitled to rely on the accuracy and completeness of materials furnished by or through District without independent verification by Consultant.
9. Termination of Agreement. All work shall be done in a diligent and professional manner in accordance with the standards set forth in Section 1 above. Consultant specifically acknowledges and agrees District may at any time during the term of this Agreement terminate Consultant's services with or without cause, and without penalty, regardless of whether Consultant's services are completed. Any termination or any special instructions hereunder from District shall be made in writing. In the event this Agreement is terminated, data, calculations, drawings, documents and information generated by Consultant shall be delivered to District pursuant to Section 5 and may be used by District. Any reuse of the foregoing for another project without written verification or adaptation by Consultant will be at the District's sole risk and without liability or legal exposure to Consultant. District agrees to waive any claim against the Consultant and District assumes full responsibility for such changes unless District has given Consultant prior notice and has received from Consultant written consent for such changes. Should such termination occur, Consultant shall have the right to expend additional time to assemble work in progress in order to properly close any particular portion(s) of its services. Any such additional time spent by Consultant and compensation attributable thereto shall not exceed ten percent (10%) of the total time expended by Consultant prior to the date of the notice of termination on that particular portion(s) of Consultant's services.
10. Indemnification and Hold Harmless. Consultant agrees to indemnify and hold harmless District and its officers, directors, agents and employees, from and against liability, damages, costs, losses, claims and expenses including reasonable attorney's fees in connection with litigation, for death of or injury to, or damage to real or personal property of District, Consultant, or their respective employees and agents, and to any third party to the extent resulting from Consultant's negligent acts, errors or omissions under this Agreement, except to the extent such liability, damages, costs, losses, claims or expenses are caused by the negligent or willful acts, errors or omissions of District, its employees, or agents. These indemnity provisions shall survive the term of this agreement but in no event longer than any applicable stature of limitations. Should the Consultant, its directors, officers, agents or employees be found to liable for damages as noted above, in no event shall the Consultant's total liability for work performed under this Agreement be more than $1,000,000.
11. Insurance. Consultant shall procure and maintain for the duration of this Agreement insurance policies in accordance with the insurance requirements set forth in Exhibit "B" incorporated by reference herein. In addition to these requirements, Consultant shall provide District with endorsement(s) attesting to its professional liability (errors and omissions) insurance coverage.
12. No Assignment. Services provided under this Agreement shall not be delegated or assigned by Consultant to any person or entity without the advance written consent of District. Breach of this provision shall be grounds for immediate termination of this Agreement. / z -!J
71 Contract No. 2014-01 Page 4
13. Examination of Records. Consultant agrees District shall have access to and the right to examine at any reasonable time and on reasonable notice Consultant's documents, papers and records, including accounting records, relating to or involving this Agreement. Such records shall be made available at the office of Consultant located closest geographically to District.
14. Notices. All notices or other official correspondence relating to contractual matters between the parties shall be made by depositing the same as first-class, postage prepaid mail addressed as follows:
To Consultant: Mark Rincon, P.E. MNS Engineers, Inc. 4580 E Thousand Oaks Blvd #101 Westlake Village, CA 91362
To District: Mr. Jeff Palmer, General Manager Ojai Valley Sanitary District 1072 Tico Road Ojai, CA 93023-3560
or such other address as either party may designate hereinafter in writing delivered to the other party. All notices shall be agreed to have been received three (3) days after mailing.
15. No Waiver. No failure or delay by either party in asserting any of its rights and remedies as to any default of the other party shall operate as a waiver of the default, of any subsequent or other default by the other party, or of any rights or remedies otherwise applicable. No such delay shall deprive either party of its right to institute and maintain any action or proceeding which may be necessary to protect, assert or enforce any rights or remedies arising out of this Agreement.
16. Partial Invalidity. If any term , covenant, condition or provision of this Agreement is found by a court of competent jurisdiction to be invalid, void, or unenforceable, the remainder of the provisions hereof shall remain in full force and effect, and shall in no way be affected, impaired, or invalidated thereby.
17. Terms. No alteration or variation of the terms of this Agreement shall be valid unless made in writing and signed by the parties. No oral understanding or agreement not incorporated herein shall be binding on any of the parties.
18. Incorporation of Recitals. The foregoing recitals are incorporated herein as though fully set forth.
19. California Law. This Agreement shall be interpreted and construed pursuant to the laws of the State of California. The parties agree that should litigation arising from this Agreement be commenced within California, venue for such litigation shall be in a court of competent jurisdiction in the County of Ventura. Iz-b
72 Contract No. 2014-01 Page 5
20. Additional Provisions. Consultant agrees no regular employee of District shall be employed by its firm during the period this Agreement is in effect.
IN WITNESS WHEREOF the parties hereto have executed this agreement the day and year first above written.
Ojai Valley Sanitary District MNS Engineers, Inc.
By ______By ______William C. Murphy, Chairman Mark Rincon, P.E. Board of Directors Principal-in-Charge
ATTEST
By ______William C. O'Brien, Secretary Board of Directors
APPROVED AS TO FORM:
Arnold, LaRochelle, Mathews, VanConas & Zirbel, LLP
By______Mark A. Zirbel Legal Counsel for District
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73 Contract No. 2014-01 Page 6 4580 E Thousand Oaks Blvd #101, Westlake Village, CA 91362 Ph. (805) 648-4840 i F. (805) 379-1718
EXHIBIT "A"
December 16, 2013 SCOPE OF WORK
Mr. Jeff Palme~ PE Ojai Valley Sanitary District 1072 Tico Road Ojai CA 93023
Su bject: Engineering Services for !nflow and infOl trat ion Data Analysis and Master Plan Prepa ration
!Dear Mr. Pa~mer:
MNS Engineers is pleased to provide this proposal for Engineering Services for Inflow and Infiltration {I&I} Data Analysis and Master Plan for the Ojai Valley Sanitary District {District}. We understand the District is interested in preparation of a comprehensive 1&1 Master Plan which can be used for future planning purposes, including asset management, rate studies and investment decisions. MNS is fully qualified to prepare the 1&1 Master Plan using our local resources and expertise.
PROJECT UNDERSTAN DING The District serves a population of approximately 24,000 in the communities of Ojai, Meiners Oaks and Oak View. Three ma in trunk lines feed the wastewater treatment plant which is rated for 3 million gallons per day {mgd}. Flow has exceeded 9 mgd during peak wet weather events. High groundwater levels contribute to the 1&1 into the collection system. The District is interested in a pro-active approach to minimizing 1&1 not only to reduce treatment costs, but to comply with recent algae-nutrient regulations.
The District has made several investigations and studies of the inflow and infiltration into the collection system. Over the last decade or so, the system has been inspected using closed circuit television {CCTV} and a number of replacement/rehabilitation projects have been completed. To provide the District with a road map for future planning, a comprehensive review of investigations to date is needed, as well as a thoughtful approach to implementing a replacement/rehabilitation program over the next several years. The proposed 1&1 Master Plan is intended to provide documentation of 1&1 issues, as well as guide the District in financial planning to fund the recommended program.
TRANSPORTATION i WATER RESOURCES i GOVERNMENT SERVICES I i-l:UtKAL
74 Contract No. 2014-01 Page 7
SUBCONSUlTANT'S EXPERIENCE We are not proposing the services of any subconsultants for this project.
METHODOLOGYISCOPE OF WORK Based on our understanding of the project and our discussion with you, MNS proposes to perform the following scope of work:
Task 1 - Project Managemen\':, QA/QC and Meetings
1.1 Project Management and QA/QC
MNS' Project Manager will monitor the schedule and budget, provide internal coordination with the project team, and communicate on a regular basis with the District. QA/QC of all deliverables will be performed by a senior staff member.
1.2 Meetings and Schedule
MNS will prepare an agenda and conduct a kick-off meeting with District staff to review the project scope and the District's and MNS' expectations. We will prepare a project schedule for completion of the 1&1 Master Plan for discussion at the kickoff meeting. The schedule will include milestone dates for the draft 1&1 Master Plan and a review meeting. We will include two weeks for District review of the Draft 1&1 Master Plan. Minutes will be prepared and distributed within three business days following the kick off meeting.
As discussed in Task 4, a half-day workshop will be held with District staff to develop criteria and weighting for the replacement/rehabilitation planning efforts. We also propose a meeting to review the District's comments on the Draft 1&1 Master Plan as described in Task 5.
Task 2 - Field Review
MNS' Project Manager and Project Engineer will perform field review of the District's 26 drainage basins, accompanied by District staff, to determine appropriate analysis methods, including consideration of eXisting private laterals, homes, structures and facilities. This review will include taking photographs of areas of special concern and making notes of special considerations needed for design and/or construction. We anticipate the field review will require two full working days.
Task 3 - Review Existing Information and Replacement/Rehabilitation Methods
MNS will review existing sewer drawings, reports, pipe condition assessments, CCTV inspection videos, GIS maps and records, past project plans and scopes of work, groundwater elevation data, flow data, CMMS maintenance records, and other data as necessary and available.
mnsengineers.com TRANSPORTATION I WATER RESOURCES I GOVERNMENT SERVICES I FEDERAL 75 Contract No. 2014-01 Page 8
MNS will investigate appropriate replacement and rehabilitation methods to address the deficiencies identified from the review of data. These may include point repairs, sliplining, cured-in-place pipe, and other methods. Replacement/rehabilitation methods for sewer pipelines, manholes and sewer laterals will be addressed.
Task 4 - Develop Criteria and Weighting
Working with District staff, MNS will facilitate a workshop to discuss criteria for replacement and rehabilitation efforts. These criteria may include pipeline criticality, consequence of failure and overall condition. Weights will be given to the criteria to develop a simple matrix from which the rehabilitation efforts will be prioritized. We anticipate the workshop will be held at the District's office and will take half a day.
Task 5 - Develop 1&1 Master Pian
Based on the results of Tasks 1 through 4, MNS will prepare a comprehensive Draft 1&1 Master Plan. We anticipate the Draft 1&1 Master Plan will have the following outline:
1. Executive Summary 2. Summary of Existing System and Previous Improvements 3. Replacement/Rehabilitation Options 4. Prioritized Replacement/Rehabilitation Schedule and Estimated Costs 5. Typical Details for Repair/Replacement
The Draft 1&1 Master Plan will include estimate costs of construction, construction issues, advantages and disadvantages of each replacement/rehabilitation method and their appropriate use. The Draft 1&1 Master Plan will include drawings/maps as appropriate to identify areas in need of replacement/rehabilitation with color coding to indicate priority.
Three hard copies of the Draft 1&1 Master Plan will be provided to the District for review and comment. The District's comments will be incorporated into the Final 1&1 Master Plan. The Final 1&1 Master Plan will be stamped and Signed by a Professional Engineer registered in the State of California.
SCHEDULE Based on a Notice to Proceed of January 28, 2014, as shown in the RFP, the attached schedule shows the Draft 1&1 Master Plan delivered on March 27, 2014 and the Final 1&1 Master Plan submitted by April 24, 2014.
LABOR HOURS AND FEE MNS proposes to perform the 1&1 Master Plan on a time and materials basis for a cost not to exceed $30,230 as shown in the attached fee spreadsheet and summarized below.
Description Estimated Fee
Task 1-Project Management, QA/QC and Meetings $4,900 Task 2 - Field Review I $5,040 Task 3 - Review Existing Info and Replacement/Rehabilitation Methods I $9,200
/~-/o TRANSPORTATION I WATER RESOURCES I GOVERNMENT SERVICES I FEDERAL 76 Contract No. 2014-01 Page 9
Description Estimated Fee
Task 4 - Develop Criteria and Weighting $1,130 Task 5 - Develop Master 1&1 Plan $9,960 Total $30,230
We appreciate the opportunity to provide this proposal to the District and we hope this proposal meets your expectations. We are willing to work with you to modify our scope, budget, and schedule to meet your goals. We are excited about this opportunity and look forward to working with the Ojai Valley Sanitary District. Please feel to contact me with any questions regarding this proposal at 805.692.6921 or [email protected]. Sincerely, ~ In. ,
Mark Rinc6n, PE Principol-in-Chorge
mnsengineers.com 102-11 THAI\ISPORTATIOI\I/ WATER RESOURCES / GOVERI\IMENT SERVICES / FEDERP.L 77 ID ITask Name furation start /Finish I 1Februa ru IMarch I Anril I, I 1/2~2"j2T2/~ /2 / 16/i;i3r3/213t9l3t16[3/2313~~-r---r-· ' 1 INotice to Proceed o days Tue 1/28/14 Tue 1/28/14 1 ~~8 "Uo !ll 0 2 ITask 1 - Project Management and Meetings 63 days Tue 1/28/14 Thu 4/24/14 CO:::l CD~ ...... !ll 3 1.1 Project Management 63 days Tue 1/28/14 Thu 4/24/14 oS4 Z o ~I 1.2 Kickoff Meeting 1 day Tue 2/4/14 Tue 2/ 4/14 J1: I\) o...... ~ 5 I 1.3 Workshop 1 day Fri3/7/14 Fri3/7/14 :ij I o...... 6 1.4 Draft 1&1 Master Plan Review Meeting 1 day Fri 4/11/14 Fri 4/11/14 :q 1-- 7 ITask 2 - Field Review 2 days Wed 2/5/14 Thu 2/6/14
8 ITask 3 - Review Existing Information and Replacement/Rehab Methods 20 days Fri 2/7/14 Thu 3/6/14 °l
9 ITask 4 - Develop Criteria and Weighting 5 days Fri 3/7/14 Thu 3/13/14 ~
10 ITask 5 - Develop Master 1&1 Plan 30 days Fri 3/14/14 Thu 4/24/14
11 I 5.1 Draft Plan 10 days Fri 3/14/14 Thu 3/27/14 ~l 12 I District Review 10 days Fri 3/28/14 Thu 4/10/14
13 5.2 Final Plan 10 days Fri 4/11/14 Tilu 4/24/14
I _~ __ L ____~ -~----
Task 'WI rid? External Milestone «> Manual Summary Rollup ill' ______[ _____. __ .. _ 1 Sp lit '1 1 1 111 '1111 1 1 " ,'11" Inactive Task Manual Summary IijI VI
Project: OjaiValleySanDistU&IMa Milestone ~ Inactive Milestone <\l Start-only [ Date: Man 12/16/13 Summary 101 " Inactive SummalY rv= -'V Finish-only J Project Summary ~n =xv Manual Task Deadline ~
External Tasks 1;;';;"_'1."-5 Duration-only - ... ---~ ...... --.-. Progress
/02 -/7- 78 Contract No. 2014-01 Page 11
EXHIBIT "B"
Consultant shall procure and maintain for the duration of the Agreement insurance against claims for injuries to person or damages to property which may arise from or in connection with the performance of the work hereunder by Consultant, his agents, representatives or employees.
Minimum Scope of Insurance
Coverage shall be at least as broad as:
1. Insurance Services Office Commercial General Liability coverage (occurrence form CG 0001).
2. Insurance Services Office form number CA 0001 (Ed. 1/87), or equivalent, covering Automobile Liability, code 1 (any auto).
3. Workers' Compensation insurance as required by the State of California and Employer's Liability Insurance.
4. Errors and Omissions liability insurance appropriate to the Consultant's profession.
Minimum Limits of Insurance
Consultant shall maintain limits no less than:
1. General Liability: $1,000,000 per occurrence for bodily injury, personal injury and property damage. If Commercial General Liability Insurance or other form with a general aggregate limit is used, either the general aggregate limit shall apply separately to this Project 1 location or the general aggregate limit shall be twice the required occurrence limit.
2. Automobile Liability: $1,000,000 per accident for bodily injury and property damage.
3. Employerls Liability: $1,000,000 per accident for bodily injury or disease.
4. Errors and Omissions Liability: $1,000,000 per claim and in aggregate.
Deductible and Self-Insured Retention's
Deductible and self-insured retentions shall be: Commercial General Liability at $100,000; Automobile Liability at $25,000, and Errors and Omissions at $3 million.
Other Insurance Provisions
The general liability and automobile liability policies are to contain, or be endorsed to contain, the following provisions:
1. The District, its officers, officials, and employees are to be covered as additional insured as respects: liability arising out of activities performed by or on behalf of the Consultant; products and completed operations of the Consultant; premises owned, occupied or used by the Consultant; or automobiles owned, leased, hired or borrowed by the Consultant. 1,2 -/3 79 Contract No. 2014-01 Page 12
2. For any claims related to this project, the Consultant's insurance coverage, except errors and omissions, shall be primary insurance as respects the District, its directors, officers, officials, employees and volunteers. Any self-insurance maintained by the District, its officers, directors, officials, and employees shall be excess of the Consultant's insurance and shall not contribute with it.
3. The Consultant's insurance shall apply separately to each insured against whom claim is made or suit is brought, except with respect to the limits of the insurer's liability.
4. Each insurance policy required by this clause shall be endorsed to state that coverage shall not be canceled by either party, except after thirty (30) days' prior written notice has been given to the District.
Acceptability of Insurers
Insurance is to be placed with insurers with a current A.M.Best's rating of no less than B+:IX, unless otherwise acceptable to District.
Verification of Coverage
Consultant shall furnish the District with original endorsements effecting coverage required by this clause. The endorsements are to be signed by a person authorized by that insurer to bind coverage on its behalf. All endorsements are to be received and approved by District before work commences.
Notice to Proceed
Consultant shall not commence work until all insurance certificates have been delivered to District and District has issued a notice to proceed.
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80 Contract No. 2014-01 Page 13
EXHIBIT "C"
-ElMNS E N G IN EERS
TOTAL
/.z - /~
81 BUDGET ADJUSTMENT OJAI VALLEY SANITARY DISTRICT
FISCAL YEAR 2013/2014 BUDGET
BUDGET ADJUSTMENT NO. 2014-13
ACCOUNT NO ACCOUNT NAME INCREASE DECREASE.
(Source of Funds)
9200.00 Collection System Replacement Reserve $30,230
(Transferred to)
5950.15 Major Expenditure-CIS $30,230
Total: $30,230 $30,320
CERTIFICATION:
I, William D. O'Brien, Secretary of the Board of Directors of the Ojai Valley Sanitary District, do certify that the above is a true and accurate copy of Budget Adjustment No. 2014-13, authorized by the Board of Directors on January 27.2014
WILLIAM D. O'BRIEN - SECRETARY
\\OVSD-ARCHIVE 1\My Doeuments\Board Mtgs\2014\2014-01-27\BudAdjust#2014-13-Cont2014-01-1&I,doex 82 OJAI VALLEY SANITARY DISTRICT A Public Agenc y 1072 Tico Road, Oj ai, California 93023 (805) 646-5548 • FAX (805) 640-0842 www.o]aIsan.org
January 21, 2014
Board of Directors Ojai Valley Sanitary District Ojai, CA 93023
CONTRACT NO. 2014-02 - PROFESSIONAL SERVICES FOR REPLACEMENT OF TREATMENT PLANT REAR ENTRY GATE
As part of the continuing efforts to improve the security in and around the District's facili ties, staff has proposed the replacement of the rear entry gate at the Treatment Plant. The current gate is an old basic chain-link which provides, at best, very minimal security to the site.
In December 2013 staff issued a request for proposals to three local fence companies to provide professional services for the replacement of an entry gate at the Treatment Plant.
The proposed scope of work consists of removing the existing rear entry gate and instal lation of a replacement gate in accordance with the specified design plans.
Only one fence company responded with a proposal. The proposal received was as fol lows:
• Watkins Fence Company $15,650.00
Staff reviewed the proposal and recommends contract for replacement of the rear entry gate at the Treatment Plant be awarded to Watkins Fence Company.
Consequently, Contract No. 2014-02, Between Ojai Valley Sanitary District and Watkins Fence Company for professional services for replacement of rear entry gate at the Treatment Plant, is presented for your approval.
The selection process utilized for contracting for these professional services is in keep ing with the District's Contracting & Purchasing Policy Ordinance No. OVSD-65 Section No. 3.4.
It is appropriate to utilize funds from the Treatment Plant Replacement Reserve to fund this project. Budget Adjustment No. 2014-14 transferring funds from this reserve is pre sented for your adoption.
83 Board of Directors January 21, 2014 Page 2
If you have any questions or need additional information please call me at 646-5548.
RECOMMENDATION
It is recommended the Board;
a. Accept Watkins Fence Company proposal for providing professional services for the replacement of the rear entry gate at the Treatment Plant; and
b. Authorize the Chairman to sign Contract No. 2014-02, Between Ojai Valley Sani tary District and Watkins Fence Company for professional services for replace ment of rear entry gate at the Treatment Plant, in an amount not to exceed $15,650; and
c. Adopt Budget Adjustment No. 2014-14 transferring funds from the Treatment Plant Replacement Reserve to provide funding for this contract. ~ General Manager
/3-2 \\OVSD-ARCH IVE1 \My Documents\Board Mtgs\2014\2014-01-27\Cont2014-02-TP EntryGateRepl.docx 84 CONTRACT NO 2014-02
AGREEMENT FOR PROFESSIONAL SERVICES FOR REPLACEMENT OF ENTRY GATE BETWEEN OJAI VALLEY SANITARY DISTRICT AND WATKINS FENCE COMPANY
This Agreement for Professional Services ("Agreement") is made and entered into on January 27,2014, by and between Ojai Valley Sanitary District, a public agency formed pursuant to Cali fornia Health & Safety Code Section 6400 et. seq. ("District") and Watkins Fence Company ("Contractor") .
RECITALS
A. District provides wastewater collection, treatment and disposal service for the Ojai Valley and surrounding area.
B. District requires the services of an appropriately skilled and experienced Contractor to re move and replace the rear entry gate at the Wastewater Treatment Plant. District has se lected Contractor as the most appropriately qualified for this project.
C. Contractor represents it possesses the necessary skills, expertise, experience and motiva tion to provide these services for Project and is willing to contract with District.
NOW THEREFORE, based on the covenants and conditions contained herein, the parties agree as follows:
1. Scope of Work. Contractor shall provide the services for District described in the proposal attached as Exhibit "A" and incorporated by reference herein. Contractor acknowledges the high degree of reliance and confidence placed upon it by District and warrants its ser vices shall be rendered in a diligent and professional manner.
Contractor agrees its services shall be performed in a manner consistent with the level of care and skill ordinarily exercised by other Contractors under similar circumstances at the time its services are performed.
2. Term of Contract. Unless otherwise terminated earlier as specified in Section 9, this Agreement shall commence on the date first set forth above and unless otherwise extend ed in writing by both parties, shall expire on May 31, 2014.
3. Independent Contractor Relationship. It is expressly understood between the parties that no employee/employer relationship is intended, the relationship of Contractor to District being that of an independent contractor. District shall not be required to make any payroll deductions or provide Workers' Compensation Insurance coverage or health benefits to Contractor.
Contractor is solely responsible for selecting the means, methods and procedures for per forming its services hereunder as described in Exhibit "A" and for coordinating all portions /3~3 85 Contract No. 2014-02 Page 2
of its work. Contractor will supply all tools and instrumentalities required to perform its services under this Agreement.
Contractor, pursuant to this Agreement, is rendering professional services only and any payments made to it are compensation solely for such services as it may render and rec ommendations it may make in the performance of its services.
4. Compliance with Laws. Contractor shall be solely responsible for giving all notices and complying with applicable laws, ordinances, rules,regulations and lawful orders of any public authority relating to Contractor's work.
5. Acknowledgment of Relationship. Contractor agrees all dealings of the parties under this Agreement shall be confidential and no report, data, information or communication devel oped, prepared or assembled by Contractor under this Agreement, or any information made available to Contractor by District, shall be revealed, disseminated or made availa ble by Contractor to any person or entity other than District without the prior written con sent of District, unless otherwise required by subpoena or applicable law. Data, calcula tions, drawings and other documents developed, prepared, completed or acquired by Con tractor during the performance of its services hereunder shall be turned over to District up on termination of this Agreement. Contractor may retain a copy of such data, calculations, drawings and other documents.
6. Payment to Contractor. For services performed pursuant to Section 1, the District will pay Contractor for its services a lump sum of Fifteen Thousand Six Hundred Fifty Dollars ($15,650) in accordance with Exhibit "A."
On or prior to the tenth day of each calendar month after actual work has started, Contrac tor may submit an invoice in sufficient detail to show the total amount of work done and materials furnished by Contractor and incorporated into the work to the last day of the month preceding the one in which the invoice is submitted. When possible, such invoice shall include the name and title of each person performing work, date and brief description of the work performed, number and type of hours worked, and labor rate. District shall re view and approve Contractor's invoice for accuracy and agree with Contractor on any ad justments which may be appropriate. Such approvals shall not be unreasonably withheld. District shall pay Contractor for all approved work and materials within thirty (30) days of agreement on the amount of the invoice. In the event of disagreement with Contractor on adjustments or disallowance's, said amounts shall be withheld until resolved. Upon reso lution of the disagreements, payment of the approved amount shall be made within thirty (30) days after deducting therefrom all previous payments and all sums to be retained un der the terms of the Agreement.
No payment made under this Agreement, except the final payment, shall be conclusive evidence of Contractor's performance of the Agreement, either wholly or in part, and no payment shall be construed to be an acceptance of Contractor's work.
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86 Contract No. 2014-02 Page 3
7. Change Orders. No change to Exhibit "A" hereto, or to any other provision of this Agree ment, may be made except by written amendment Signed by both parties. District General Manager, or his designee, shall be authorized to approve changes to this Agreement. Each change order shall not exceed the lesser of ten percent (10%) of the value of the Agreement or twenty-five hundred dollars ($2,500), and the aggregate total of all change orders shall not exceed ten thousand dollars ($10,000).
8. Assistance by District. District agrees to provide to Contractor information available to Dis trict of relevance to Contractor's work, including all reports, data and documents pertaining to District's wastewater system and facilities, and District pledges to work cooperatively with Contractor and render all reasonable assistance toward completion of Contractor's work. Contractor is entitled to rely on the accuracy and completeness of materials fur nished by or through District without independent verification by Contractor.
9. Termination of Agreement. All work shall be done in a diligent and professional manner to District's satisfaction. Contractor specifically acknowledges and agrees District may at any time during the term of this Agreement terminate Contractor's services with or without cause, and without penalty, regardless of whether Contractor's services are completed. Any termination or any special instructions hereunder from District shall be made in writ ing. In the event this Agreement is terminated, data, calculations, drawings, documents and information generated by Contractor shall be delivered to District pursuant to Section 5 and may be used by District. Should such termination occur, Contractor shall have the right to expend additional time to assemble work in progress in order to properly close any particular portion(s) of its services. Any such additional time spent by Contractor and compensation attributable thereto shall not exceed ten percent (10%) of the total time ex pended by Contractor prior to the date of the notice of termination on that particular por tion(s) of Contractor's services.
10. Indemnification and Hold Harmless. Contractor agrees to defend, indemnify and hold harmless District and its officers, directors, agents and employees, from and against any and all liability, damages, costs, losses, claims and expenses including attorney's fees in connection with litigation, for death of or injury to, or damage to real or personal property of District, Contractor, or their respective employees and agents, and to any third party re sulting from Contractor's negligent or willful acts, errors or omissions under this Agree ment, except to the extent such liability, damages, costs, losses, claims or expenses are caused by the negligent or willful acts, errors or omissions of District, its employees, or agents. These indemnity provisions shall survive the term of this agreement but in no event longer than any applicable stature of limitations. Should the Contractor, its directors, officers, agents or employees be found to liable for damages as noted above, in no event shall the Contractor's total liability for work performed under this Agreement be more than $1,000,000.
11. Insurance. Contractor shall procure and maintain for the duration of this Agreement insur ance policies in accordance with the insurance requirements set forth in Exhibit "B" incor porated by reference herein. In addition to these requirements, Contractor shall provide District with endorsement(s) attesting to its professional liability (errors and omissions) in surance coverage.
12. No ASSignment. Services provided under this Agreement shall not be delegated or as signed by Contractor to any person or entity without the advance written consent of Dis trict. Breach of this provision shall be grounds for immediate termination of this Agree ment.
87 Contract No. 2014-02 Page 4
13. Examination of Records. Contractor agrees District shall have access to and the right to examine at any reasonable time and on reasonable notice Contractor's documents, pa pers and records, including accounting records, relating to or involving this Agreement. Such records shall be made available at the office of Contractor located closest geograph ically to District.
14. Notices. All notices or other official correspondence relating to contractual matters be tween the parties shall be made by depositing the same as first-class, postage prepaid mail addressed as follows:
To Contractor: Shane Watkins Watkins Fence Company 9972 Creek Road Oak View, CA 93022
To District: Mr. Jeff Palmer, General Manager Ojai Valley Sanitary District 1072 Tico Road Ojai, CA 93023-3560
or such other address as either party may designate hereinafter in writing delivered to the other party. All notices shall be agreed to have been received three (3) days after mailing.
15. No Waiver. No failure or delay by either party in asserting any of its rights and remedies as to any default of the other party shall operate as a waiver of the default, of any subse quent or other default by the other party, or of any rights or remedies otherwise applicable. No such delay shall deprive either party of its right to institute and maintain any action or proceeding which may be necessary to protect, assert or enforce any rights or remedies arising out of this Agreement.
16. Partial Invalidity. If any term, covenant, condition or provision of this Agreement is found by a court of competent jurisdiction to be invalid, void, or unenforceable, the remainder of the provisions hereof shall remain in full force and effect, and shall in no way be affected, impaired, or invalidated thereby.
17. Terms. No alteration or variation of the terms of this Agreement shall be valid unless made in writing and signed by the parties. No oral understanding or agreement not incor porated herein shall be binding on any of the parties.
18. Incorporation of Recitals. The foregoing recitals are incorporated herein as though fully set forth.
19. California Law. This Agreement shall be interpreted and construed pursuant to the laws of the State of California. The parties agree that should litigation arising from this Agreement be commenced within California, venue for such litigation shall be in a court of competent jurisdiction in the County of Ventura.
20. Additional Provisions. Contractor agrees no regular employee of District shall be em ployed by its firm during the period this Agreement is in effect.
88 Contract No. 2014-02 Page 5
IN WITNESS WHEREOF the parties hereto have executed this agreement the day and year first above written.
Ojai Valley Sanitary District Watkins Fence Company
By ______By ______William C. Murphy, Chairman Shane Watkins Board of Directors
ATTEST
By ______William D. O'Brien, Secretary Board of Directors
APPROVED AS TO FORM:
Arnold, LaRochelle, Mathews, VanConas & Zirbel, LLP
By______Mark A. Zirbel Legal Counsel for District
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89 Contract No. 2014-02 Page 6 EXHIBIT A Watkins Fence
Company January 15 2014 Ojai Sanitation To: 9972 Creek Road District 8056465548 Contact Nmnbers: Oak View, CA 93022 8056400842 1072 TicoRd (805) 684-1503 Address: Ojai Ca 93023 (805) 649-1568 (805) 649-2271 Fax Estimate #: OSD11514 License# 773420 www.watkinsfence.com Project name: Gate project
We propose to furnish all material and perform all labor necessary to complete the following:
Fabricate and Install eMU Pillar, Grade beam, V Track, Entry gate and Chain link fence as per plan Dated 10 28 13 drawn by Jordan, Gilbert and Bain.
$ 15,650.00 sum of: Fifteen Thousand Six Hundred and Dollars Fifty
Payments to be made as Half deposit due before job starts follows: Remainder due when job is complete
Contractor's signature:
Acceptance of proposal The above price, specifications and conditions are satisfactory and are hereby Accepted.. You are authorized to do the work as specified. Payment will be made as outlined above.
------'------.- - ... _------90 Contract No. 2014-02 Page 7
Exhibit "8"
Contractor shall procure and maintain for the duration of the Agreement insurance against claims for injuries to person or damages to property which may arise from or in connection with the performance of the work hereunder by Contractor, his agents, representatives or employ ees.
Minimum Scope of Insurance
Coverage shall be at least as broad as:
1. Insurance Services Office Commercial General Liability coverage (occurrence form CG 0001).
2. Insurance Services Office form number CA 0001 covering Automobile Liability, code 1 (any auto).
3. Workers' Compensation insurance as required by the State of California and Employer's Liability Insurance.
Minimum Limits of Insurance
Contractor shall maintain limits no less than:
1. General Liability: $2,000,000 per occurrence for bodily injury, personal injury and property damage. If Commercial General Liability Insurance or other form with a general aggregate limit is used, either the general aggregate limit shall apply separately to this Project / loca tion or the general aggregate limit shall be twice the required occurrence limit.
2. Automobile Liability: $2,000,000 per accident for bodily injury and property damage.
3. Employerls Liability: $1,000,000 per accident for bodily injury or disease.
Deductible and Self-Insured Retention's
Any deductible or self-insured retention's must be declared to and approved by the District.
Other Insurance Provisions
The general liability and automobile liability policies are to contain, or be endorsed to contain, the following provisions:
1 . The District, its officers, officials, employees and volunteers are to be covered as addition al insured as respects: liability arising out of activities performed by or on behalf of the Contractor; products and completed operations of the Contractor; premises owned, occu pied or used by the Contractor; or automobiles owned, leased, hired or borrowed by the Contractor.
91 Contract No. 2014-02 Page 8
2. For any claims related to this project, the Contractor's insurance coverage shall be primary insurance as respects the District, its directors, officers, officials, employees and volun teers. Any self-insurance maintained by the District, its officers, directors, officials, em ployees or volunteers shall be excess of the Contractor's insurance and shall not contrib ute with it.
3. The Contractor's insurance shall apply separately to each insured against whom claim is made or suit is brought, except with respect to the limits of the insurer's liability.
4. Each insurance policy required by this clause shall be endorsed to state that coverage shall not be canceled by either party, except after thirty (30) days' prior written notice by certified mail, return receipt requested, has been given to the District.
Acceptability of Insurers
Insurance is to be placed with insurers with a current A.M.Best's rating of no less than B+:IX, unless otherwise acceptable to District.
Verification of Coverage
Contractor shall furnish the District with original endorsements effecting coverage required by this clause. The endorsements are to be signed by a person authorized by that insurer to bind coverage on its behalf. All endorsements are to be received and approved by District before work commences. As an alternative, the Contractor's insurer may provide complete, certified copies of all required insurance policies, including endorsements effecting the coverage re quired by these specifications.
Notice to Proceed
Contractor shall not commence work until all insurance certificates have been delivered to Dis trict and District has issued a notice to proceed.
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92 BUDGET ADJUSTMENT OJAI VALLEY SANITARY DISTRICT
FISCAL YEAR 2013/2014 BUDGET
BUDGET ADJUSTMENT NO. 2014-14
ACCOUNT NO ACCOUNT NAME INCREASE DECREASE.
(Source of Funds)
9400.00 Treatment Plant Replacement Reserve $15,650
(Transferred to)
5950.17 Major Expenditure-TIP $15,650
Total: $15,650 $15,650
CERTIFICATION:
I, W illiam D. O'Brien, Secretary of the Board of Directors of the Ojai Valley Sanitary District, do certify that the above is a true and accurate copy of Budget Adjustment No. 2014-14, authorized by the Board of Directors on January 27.2014
WILLIAM D. O'BRIEN - SECRETARY
13-//
\\OVSD-ARCHIVE1 \My Documents\Board Mtgs\2014\2014-01-27\BudAdjust#2014-14-Cont2014-02-TP Gate.docx 93 OJAI VALLEY SANITARY DISTRICT A Public Agency 1072 Tico Road, Ojai, California 93023 (805) 646-5548 • FAX (805) 640-0842 www.ojaisan.org
January 21, 2014
Board of Directors Ojai Valley Sanitary District Ojai, CA 93023
CONTRACT NO. 2014-03 - PROFESSIONAL SERVICES FOR THE CONSTRUCTION OF THE TICO ROAD DRIVEWAY PROJECT
Modifications to the driveway access to the District's Tico Road facility is necessary to provide safe ingress and egress for the District's large trucks/equipment utilized by the Collection System crew. The present driveway access is a tight fit for the District's cur rent trucks/equipment and will become basically impossible when the new sewer line cleaning truck is received sometime in February.
In December 2013 staff issued a request for proposals to four local construction compa nies to provide professional services for the construction of the Tico Road Driveway Pro ject.
The proposed scope of work consists of removing a section of the existing driveway and replacement with concrete pavement, replacement of sections of existing concrete curb, relocation of existing electrical and irrigation piping in the landscaped planter, construc tion of a replacement cement mortar unit pilaster and relocation of the existing District sign and landscape light standard.
The deadline to submit proposals was January 16, 2014; two companies responded with a proposal. The proposals received were as follows:
• Berry General Engineering $18,373.44 • L.A. Thompson Construction $13,010.00
Staff reviewed the proposals and recommends the contract for the construction of the Tico Road Driveway Project be awarded to L.A. Thompson Construction.
Consequently, Contract No. 2014-03, Between Ojai Valley Sanitary District and L.A. Thompson Construction, Inc. for professional services for the construction of the Tico Road Driveway Project, is presented for your approval.
IlTlW /t/-/
94 Board of Directors January 21 , 2014 Page 2
The selection process utilized for contracting for these professional services is in keep ing with the District's Contracting & Purchasing Policy Ordinance No. OVSD-65 Section No. 3.4.
It is appropriate to utilize funds from the Building Reserve to fund this project. Budget Adjustment No. 2014-15 transferring funds from this reserve is presented for your adop tion.
If you have any questions or need additional information please call me at 646-5548.
RECOMMENDATION
It is recommended the Board;
a. Accept L.A. Thompson Construction's proposal for providing professional ser vices for the construction of the Tico Road Driveway Project; and
b. Authorize the Chairman to sign Contract No. 2014-03, Between Ojai Valley Sani tary District and L.A. Thompson Construction, Inc. for professional services for the construction of the Tico Road Driveway Project, in an amount not to exceed $13,010; and
c. Adopt Budget Adjustment No. 2014-15 transferring funds from the Building Re serve to provide funding for this contract.
~ General Manager
\\OVS D-ARCHIVE1 \My Documents\Board Mtgs\2014\2014-01-27\Cont2014-03-Ti coRdDriveway.docx 95 CONTRACT NO. 2014-03 BETWEEN OJAI V ALLEY SANITARY DISTRICT AND L.A. THOMPSON CONSTRUCTION, INC.
THIS CONTRACT is made and entered into this 27'h day of January 2014 in the County of Ventura, State of California, by and between the OJAI VALLEY SANITARY DISTRICT, a political subdivision of the State of California ("District"), and L.A. Thompson Construction, Inc. ("Contractor) .
AGREEMENT
In consideration of the terms, conditions, and mutual covenants contained herein, the parties agree as follows:
Section 1. Scope of Work.
A. Unless otherwise provided, the Contractor will perform all of the work for the construction of TICO ROAD DRIVEWAY PROJECT ('Work"). Contractors shall furnish all materials, equipment, tools, labor and incidentals necessary to complete the Work. No separate payment will be made for any item that is not specifically set forth in the Bid Sheets, and all costs therefore shall be included in the prices named in the Bid Sheets for any work required in the Contract Documents.
Unless otherwise noted, the specifications and standard plans of the latest edition of the Standard Specifications for Public Works Construction "SSPWC" or "Green Book" shall apply.
B. Contractor shall complete the Work in strict accordance with all Contract Documents as specified herein. Contractor shall be liable to District for any damages arising from Contractor's failure to fully comply with that obligation, and Contractor shall not be excused with respect to any failure to so comply by any act or omission of District or its representatives, unless such act or omission prevents Contractor from fully complying with the requirements of the Contract Documents, and unless Contractor protests in the manner provided in the Contract Documents that the act or omission allegedly preventing Contractor from fully complying with the Contract Documents.
Ojai Valley Sanitary District A-I Tico Road Driveway Project 96 Section 2. Contract Documents.
This Contract consists of the following documents, all of which are component parts of this Contract and are incorporated herein as though set forth in full: Ojai Valley Sanitary District Project No. 2013-07 (87 pages plus technical specification inserts), including:
Notice Inviting Bids Information for Bidders Proposal Forms Bid Forms Proposal Bid Bond Non-Collusion Declaration General Provisions Special Provisions Technical Provisions Contract No. 2014-03 Drawings (titled "Tico Road Driveway Project", dated November 2013. 3 sheets total Labor & Material [Payment] Bond Performance Bond Corporate Certificate Certificate(s) of Insurance Contractor's Certificate of Compliance Any Addenda
Work required by one of the above Contract Documents and not by others shall be performed as if required by all of said documents.
Section 3. Time for Completion.
Contractor's work shall be commenced within ten calendar (10) days after receipt of the Notice to Proceed and as specified therein, and shall be completed within 75 consecutive calendar days from the date stated in the notice. The Project Period is further described in Special Conditions of this Contract.
Section 4. Payment Bond.
Pursuant to Section 3247 of the California Civil Code, Contractor shall file with the District or the appropriate District officer, a payment bond in a form acceptable to District and in an amount necessary to satisfy the provisions of Section 3248 of the Civil Code.
Section 5. Liquidated Damages.
District and Contractor recognize that time is of the essence of this Contract and that the District will suffer financial loss if the work is not completed within the time specified in Section 3 of this Contract and the attached exhibits, plus any extensions thereof allowed herein. They also recognize the delays, expense and difficulties involved in proving the actual loss suffered by District if the work is not completed on time. Accordingly, instead of requiring any such proof, District and Contractor agree that as liquidated damages for delay (but not as a penalty). Contractor shall pay District as outlined in the Special Provisions.
Ojai Valley Sanitary District A-2 Tico Road Driveway Project 97 Section 6. Contract Price.
District shall pay to Contractor, and Contractor shall accept as full consideration for the faithful performance of the Contract, subject to any additions, deductions or conditions as provided in the Contract Documents, the amount not to exceed Thirteen Thousand Ten Dollars ($13,010). Contractor's bid form with unit pricing is attached as Exhibit A and incorporated by reference herein.
Section 7. Payments.
Monthly progress payments and the final payment will be made in accordance with the General Conditions. The filing of the Notice of Completion by District shall be preceded by acceptance of the Work made only by an action of the Governing Board of the District in session.
Section 8. Compliance with Public Contracts Law and Other Applicable Law.
District is a public agency in the State of California and is subject to the provisions of law applicable to public contracts and other applicable law. It is agreed that all provisions of law applicable to this Contract are part of this Contract to the same extent as though set forth herein and will be complied with by the Contractor.
Section 9. Dispute Resolution.
In the event that Contractor and District have a dispute concerning the payment of sums pursuant to their Contract and said sums are Three Hundred Seventy-Five Thousand Dollars ($375,000) or less, the parties agree to be governed by Public Contracts Code Section 20104, et seq. In the event of such dispute, Contractor shall file a written claim with District. If the claim is less than Fifty Thousand Dollars ($50,000), District shall respond in writing within forty-five (45) days or, within thirty (30) days request additional documentation and respond fifteen (15) days after said request. For claims between Fifty Thousand Dollars ($50,000) and Three Hundred Seventy-Five Thousand Dollars ($375,000), District shall respond in writing within sixty (60) days receipt, or may request in writing within thirty (30) days, additional documentation and respond thirty (30) days after said request.
If Contractor disputes District's response, Contractor may, within fifteen (15) days, demand an informal conference to meet and confer, to be scheduled within thirty (30) days. If the conference proves unsuccessful, then Contractor may file a claim under the Government Code and then bring a civil action. If a civil action is filed, the mediation provisions set forth in Public Contract Code Section 20104.4 shall apply unless waived by mutual stipulation of District and Contractor or unless District elects to resolve the dispute pursuant to Public Contract Code Section 10240 et seq. If said mediation takes place and does not resolve the matter, the case must be submitted to judicial arbitration.
Section 10. Workers' Compensation.
Contractor shall comply with all provisions of California Labor Code Section 3700 et. seq. and shall secure the payment of compensation to its employees. Contractor certifies that it is aware of its statutory obligations requiring it to be insured against liability for workers' compensation or to undertake self-insurance in accordance with the provisions of the Labor Code. Contractor agrees and warrants that it will comply with its statutory obligations before commencing the performance of work on this contract.
Ojai Valley Sanitary District A-3 Tico Road Driveway Project 98 Section 11. Prevailing Wages.
Contractor shall comply with the provisions of the California Labor Code pertaining to the payment of prevailing per diem wage rates (§ 1720 et. seq.). Pursuant to Labor Code § 1773.2, a copy of the prevailing per diem wage rates in Ventura County is on file with the District Clerk of the Board. A copy of these rates will be furnished to any interested party upon request. The Contractor shall post copies of the prevailing wage schedule at the work site.
Section 12. Deposit of Securities in Lieu of Retention.
Contractor may deposit securities with the District in lieu of District withholding funds to ensure performance under this Contract. Said deposit, if made, shall be in accordance with California Public Contract Code §22300.
Section 13. Notices.
All notices or other official correspondence relating to contractual matters between the parties hereto shall be made by personal service or by first class mail, postage prepaid, addressed to the parties as follows:
District Contractor Ojai Valley Sanitary District L.A. Thompson Construction, Inc. 1072 Tico Road 240 Riverside Road Ojai, CA 93023 Oak View, CA 93022
Notices delivered personally shall be deemed made and received on the date of service. Notices mailed shall be deemed made and received three (3) calendar days after mailing.
Section 14. California Law.
This Contract shall be interpreted and construed pursuant to the laws of the State of California. Venue for any Superior action arising out of this agreement shall be the County of Ventura.
IN WITNESS WHEREOF, the parties have executed this Agreement on the day and year first set forth above.
Ojai Valley Sanitary District L.A. Thompson Construction, Inc.
By ______By ______William C. Murphy, Chairman L.A. Thompson, President Board of Directors [Attach Acknowledgment/Attestation for Authorized Representative of Contractor]
ATTEST APPROVED AS TO FORM: Arnold, LaRochelle, Mathews, VanConas & Zirbel, LLP By ______William C. O'Brien, Secretary Board of Directors By ______Mark A. Zirbel Legal Counsel for District
Ojai Valley Sanitary District A-4 Tico Road Driveway Project 99 This page left intentionally blank
100 CERTIFICATE OF CONTRACTOR
1, ______, certify that I am a/the
______[designate sole proprietor, partner in partnership, or specify corporate office, e.g., secretary] in the entity named as CONTRACTOR in the foregoing contract.
I hereby expressly certify that the name of the entity to which I am associated is
______; that this entity is in good standing and has complied with all applicable laws and regulations, and that I have been expressly authorized by the proper parties in this entity to execute this contract on behalf of the above-named entity.
ATTEST:
Name ______(Please Type)
Title ______
On this day of , 20_, before me personally came ______to me known, or proven to me on the basis of satisfactory evidence, who being duly sworn, did depose and say: that (he/she) is an authorized representative of the CONTRACTOR and acknowledged to me that (he/she) executed the within instrument on behalf of said CONTRACTOR, ______
In witness whereof, I have signed and affixed my official seal on the date in this certificate first above written.
NOTARY PUBLIC
Ojai Valley Sanitary District A-6 Tico Road Driveway Project 101 This page left intentionally blank
102 Insurance Requirements
Contractor shall procure and maintain for the duration of the Agreement insurance against claims for injuries to person or damages to property which may arise from or in connection with the performance of the work hereunder by Contractor, his agents, representatives or employees.
Minimum Scope of Insurance
Coverage shall be at least as broad as:
1. Insurance Services Office Commercial General Liability coverage (occurrence form CG 0001 ).
2. Insurance Services Office form number CA 0001 (Ed. 1/87) covering Automobile Liability, code 1 (any auto).
3. Builder's Risk (Course of Construction) insurance utilizing an "All Risk" (Special Perils) coverage form.
4. Workers' Compensation insurance as required by the State of California and Employer's Liability Insurance.
Minimum Limits of Insurance
Contractor shall maintain limits no less than:
1. General Liability: $2,000,000 per occurrence for bodily injury, personal injury and property damage. If Commercial General Liability Insurance or other form with a general aggregate limit is used, either the general aggregate limit shall apply separately to this Project 1 location or the general aggregate limit shall be twice the required occurrence limit.
2. Automobile Liability: $2,000,000 per accident for bodily injury and property damage.
3. Builder's Risk: Limits equal to the completed value of the project and no coinsurance penalty provisions.
4. Employerls Liability: $1,000,000 per accident for bodily injury or disease.
Deductible and Self-Insured Retention's
Any deductible or self-insured retention's must be declared to and approved by the District.
Other Insurance Provisions
The general liability and automobile liability policies are to contain, or be endorsed to contain, the following provisions: 1. The District, its officers, officials, employees and volunteers are to be covered as additional insured as respects: liability arising out of automobiles owned, leased, hired or borrowed by or on behalf of the contractor; and with respect to liability arising out of work or operations performed by or on behalf of the Contractor including materials, parts or equipment furnished in connection with such work or operations. General liability coverage can be provided in the form of an endorsement to the Contractor's insurance, or as a separate owner's policy.
Ojai Valley Sanitary District A-7 Tico Road Driveway Project 103 2. For any claims related to this project, the Contractor's insurance coverage shall be primary insurance as respects the District, its directors, officers, officials, employees and volunteers. Any self-insurance maintained by the District, its officers, directors, officials, employees or volunteers shall be excess of the Contractor's insurance and shall not contribute with it.
3. The Contractor's insurance shall apply separately to each insured against whom claim is made or suit is brought, except with respect to the limits of the insurer's liability.
4. Each insurance policy required by this clause shall be endorsed to state that coverage shall not be canceled by either party, except after thirty (30) days' prior written notice by certified mail, return receipt requested, has been given to the District.
Acceptability of Insurers
Insurance is to be placed with insurers with a current A.M. Best's rating of no less than B+:IX, unless otherwise acceptable to District.
Verification of Coverage
Contractor shall furnish the District with original endorsements effecting coverage required by this clause. The endorsements are to be signed by a person authorized by that insurer to bind coverage on its behalf. All endorsements are to be received and approved by District before work commences. As an alternative, the Contractor's insurer may provide complete, certified copies of all required insurance policies, including endorsements affecting the coverage required by these specifications.
Subcontractors
Contractor shall include all subcontractors as insureds under its policies or shall furnish separate certificates and endorsements for each subcontractor. All coverages for subcontractors shall be subject to all of the requirements stated herein.
Ojai Valley Sanitary District A-8 Tico Road Driveway Project 104 WORKERS' COMPENSATION CERTIFICATE
I am aware of the provisions of Section 3700 of the Labor Code which requires every employer to be self-insured against liability for workers' compensation or to undertake self-insurance in accordance with the provisions of that Code, and I will comply with such provisions before commencing the performance of this contract.
DATED: [______
NOTE: If Contractor is a corporation, the legal name of the corporation shall be set forth above, together with the signature of the officer or officers authorized to sign contracts on behalf of the corporation. If the Contractor is a partnership, the true name of the firm shall be set forth above, together with the signature of the partner or partners authorized to sign contracts on behalf of the co-partnerships. If the Contractor is an individual, the name of the firm shall be set forth together with the signature
Ojai Valley Sanitary District A-9 Tico Road Driveway Project 105 Exhibit A
PROPOSAL
The Bidder proposes to construct the Tico Road Driveway Project in accordance with the Ojai Valley Sanitary District Specifications No. 2013-07 and with the Drawings for the unit and lump sum prices indicated herein below.
BID SCHEDULE
Item Description with Item Unit Cost Extended Total No. Quantity Unit Unit Prices Written in Words (FiguJ:es) (Figures) 1 JOB LS MOBILIZATION Furnish all labor, materials and equipment necessary for the mobilization, preparatory work apd demobilization, not to exceed 5% of the total amount of the Bid, III conformance with the Contract Documents for the lump sum price of Lump Sum $ ~Q6.QQ 2 JOB LS LOCATE EXIST. UNDERGROUND UTILITIES Furnish all labor, materials and equipment necessary for locating existing underground utilities in conformance with the Contract Documents complete 234.00 for the unit price of Each $
3 JOB LS DEMOLITION Furnish all labor, materials and equipment necessary : for demolition of existing improvements III conformance with the Contract Documents complete $3,180.00 for the lump sum price of Lump Sum
4 JOB LS SITE IMPROVEMENTS Furnish all labor, materials and equipment necessary for installation of the concrete, eI ectri cal, landscaping and miscellaneous improvements identified on the Plans (excluding striping) III 8,600.00 Lump Sum $ conformance with the Contract Documents complete for the lump sum price of
5 JOB LS PARKING LOT STRIPING Furnish all labor, materials and equipment necessary for installation of parking lot striping in the same 300.00 configuration as existing as shown on the Plans in conformance with the Contract Documents complete Linear Feet $ and in place for the unit price of
6 JOB LS RECORD DRAWINGS Furnish all labor, materials and equipment necessary for preparation of project record drawings III conformance with the Contract Documents complete 200.00 Lump Sum $ for the lump sum price of
TOTAL FOR BID SCHEDULE Sum of Bid Items 1 through 6: $ 13,010.00 Ojai Valley Sanitary District P-6 It--/3 Tico Road Driveway Project 106 (Figures) 13,010.00
__T_H_I_R_T_E_E_N_T_H_OU_S_A_N_D_AN_D_T_E_N_A_N_D_N_O_I_10_0 ______Dollars (S ell out Dollar Figure)
NOTES:
• The determination of the lowest responsible bidder will be based on the base bid. • The District reserves the right to reject any or all proposals and bid items. • All extensions of unit prices wiIl be subject to verification by the District. • All prices shaIl include all taxes, insurance, licenses, transportation, delivery and handling charges and duties, etc. and construction complete and in place. • The total bid price shall include all Work described in the Contract Documents. If no separate bid item is provided for any portion of the Work, the price thereof shall be considered to be included in the bid item which most closely applies to that portion of the Work.
Ojai Valley Sanitary District P-7 Tico Road Driveway Project 107 BUDGET ADJUSTMENT OJAI VALLEY SANITARY DISTRICT
FISCAL YEAR 2013/2014 BUDGET
BUDGET ADJUSTMENT NO. 2014-15
ACCOUNT NO ACCOUNT NAME INCREASE DECREASE.
(Source of Funds)
9450.00 Building Reserve $13,010
(Transferred to)
5950.13 Major Expenditure-Admin. $13,010
Total: $13,010 $13,010
CERTIFICATION:
I, William D. O'Brien, Secretary of the Board of Directors of the Ojai Valley Sanitary District, do certify that the above is a true and accurate copy of Budget Adjustment No. 2014-15, authorized by the Board of Directors on January 27.2014
WILLIAM D. O'BRIEN - SECRETARY
\\OVSD-ARCHIVE1 \My Documents\Board Mtgs\2014\2014-01-27\BudAdjust#2014-1S-Cont2014-03-TicoDrive.docx 108 OJAI VALLEY SANITARY DISTRICT A Public Agency 1072 Tico Road, Oj ai, California 93023 (805) 646-5548 • FAX (805) 640-0842 www.o]aIsan.org
January 14, 2014
Board of Directors Ojai Valley Sanitary District Ojai, CA 93023
EQUIPMENT PURCHASE - FLATBED TRAILER REPLACEMENT
As part of our Collection System Equipment, the District owns an old military surplus 3'x5' flatbed trailer. It carries a generator, water pump and some hoses. It is primarily set up for use at spills; however, due to its size it does not have the capacity to carryall of the tools needed by the crew when responding to most situations; multiple trips to the yard are required to retrieve all of the tools needed.
This situation was recently experienced by the crew when they responded to a blockage on South Signal Street; rapid response with traffic control was necessary; as the block age event progressed, additional tools, hoses and lights were necessary. Consequently, multiple trips to the yard were required.
Staff proposes to replace the old trailer, with a larger model that has a 5'x8' deck, which will be stocked with additional tools, traffic control signs, cones and lights. The pump, generator and hose racks will be reinstalled on the new trailer. In future operations, the trailer will be ready made for response and streamline collection system events.
Attached is a quote from Plumbers Depot to supply and configure the trailer. The exist ing trailer will be sold and the proceeds will be placed in the Equipment Reserve.
It is appropriate to utilize funds from the Equipment Reserve to fund this project. Budget Adjustment No. 2014-16 transferring funds from this reserve is presented for your adop tion.
If you have any questions or need additional information please call me at 646-5548.
109 Board of Directors January 14, 2014 Page 2
RECOMMENDATION
It is recommended the Board:
a. Authorize staff to accept Plumbers Depot Inc.'s quote to purchase a 5'X8' flatbed trailer configured to the District's specifications in an amount not to exceed $4,223.68; and
b. Authorize staff to sell the 3'x5' flatbed trailer as surplus; and
c. Adopt Budget Adjustment No. 2014-16 transferring $4,224 from the Equipment Replacement Reserve into the Major Expenditure account to cover the cost of the purchase of flatbed trailer. ~ General Manager
\\OVSD-ARCHIVE1 \My Documents\8oard Mtgs\2014\2014-01-27\Equip Purchase-Flatbed Trailer.docx 110 PLUMBERS DEPOT INC. Quote Hawthorne, CA 90250 Phone: (866) 422-2156 Date Estimate #
Fax: (310) 355-1711 11312014 10588
Name / Address Ship To
Ojai Valley Sanitary Ojai Valley Sanitary 1072 Tico Road 1072 Tico Road Ojai, CA 93023 Ojai, CA 93023 Attn: Mark
Rep Serial #
P.D
Item Description Qty Price Total
Mise-It Trailer 5x8 Single Axle and Pintle Hitch 1 1,579.00 1,579.00T Steel Deck Tongue Tool Box Mise-It Suction hose Holder Rack !Light Tower w 1 2,3 50.00 2,350.00T 7way Light plugLong Cord Discharge hose Rack remove Customers and installed in new trailer
Subtotal $3,929.00
Sales Tax (7.5%) $294.68
Total $4,223.68
Signature and Na ...
Fax#
(310)355-171 I
111 BUDGET ADJUSTMENT OJAI VALLEY SANITARY DISTRICT
FISCAL YEAR 2013/2014 BUDGET
BUDGET ADJUSTMENT NO. 2014-16
ACCOUNT NO ACCOUNT NAME INCREASE DECREASE.
(Source of Funds)
9250.00 Equipment Replacement Reserve $4,224
(Transferred to)
5950.15 Major Expenditure-CIS $4,224
Total: $4,224 $4,224
CERTIFICATION:
I, William D. O'Brien, Secretary of the Board of Directors of the Ojai Valley Sanitary District, do certify that the above is a true and accurate copy of Budget Adjustment No. 2014-16, authorized by the Board of Directors on January 27, 2014
WILLIAM D. O'BRIEN - SECRETARY
\\OVSD-ARCHIVE1 \My Doeuments\Board Mtgs\2014\2014-01-27\BudAdjust#2014-16-TrailerPurehase.doex 112 OJAI VALLEY SANITARY DISTRICT A Public Agency 1072 Tieo Road, Ojai, California 93023 (805) 646-5548 • FAX (805) 640-0842 Www.O]aIsan.org
January 22, 2014
Board of Directors Ojai Valley Sanitary District Ojai, CA 93023
REPLACEMENT OF TREATMENT PLANT TRACTOR - BUDGET ADJUSTMENT NO. 2014-17
The treatment plant tractor & rototiller combination unit is a critical component of the sludge dewatering and composting operation. The function of this unit is to aerate and speed up the drying process of the dewatered sludge and to mix compost feedstock into the drying sludge. Compost feedstock is typically horse bedding and manure.
The current tractor and rototiller combination was purchased in 2006, the tractor/tiller combination before this was purchased in 1993, and the tractor/tiller before that was purchased in 1985, and prior to that approximately 1978. As can be seen the life expec tancy has increased over the years; that increased life is primarily due to the type of use and the increased level of preventative maintenance.
The existing tractor is a four-wheel drive New Holland with a loader which has served us relatively well, but unfortunately the tractor has experienced ongoing problems over the years. Many of the problems have been relatively minor but still negatively impact oper ations and frequently require the use of a rental unit while repairs are made. The tractor was recently diagnosed to have either a blown head gasket or a cracked head. The trac tor has been taken to the repair shop to determine the problem and provide a cost esti mate to repair. In the meantime staff has rented a unit for use, pursued replacement cost of a new tractor. At this time the rototiller is operating well and has had few prob lems and staff does not believe replacement is necessary at this time.
The existing tractor has had on-going electrical problems since it was new, there have been several problems with the power take-off unit, the hydraulic unit, and the current problem. Based on the repair history and down time of the existing tractor to include rental cost during repairs it was decided to pursue and recommend replacement.
Plant staff evaluated and solicited quotes on four different brands of tractors, two of which are represented by the same supplier, Diamond A Equipment, the third tractor is supplied by Cal Coast Equipment, both are located in Oxnard, and the fourth tractor is supplied by Valley Tractor located in Fillmore. The location of the suppliers and service centers was also an important consideration when evaluating the quotes.
113 Board of Directors January 22, 2014 Page 2
All four units were quoted with a minimum of 70 horse power, four-wheel drive, loader, and no rototiller; the quotes received were:
Brand Retail Cost Trade-In Net Cost
• Kubota $42,367.90 TBD $42,367.90 • New Holland $50,143.37 TBD $50,143.37 • Case $52,212.75 TBD $52,212.75 • John Deere $42,470.15 TBD $42,470.15
The Kubota tractor was selected as the preferred unit by plant staff. All four tractors identified fully meet the treatment plant's needs; however, not only is the Kubota one of the least cost tractor's, staff noted that the Kubota has the most protected wiring of the four which is important due to the environment and the frequent hose downs to remove debris. In addition the Kubota's front four-wheel drive unit is enclosed that helps prevent sludge from getting into drive joints.
Purchase of this tractor from Diamond A Equipment is in compliance with the District's Contracting & Purchasing Policy Ordinance No. OVSD-65 Section 5.2.1.1, "Open Market purchases shall, whenever possible, be based on at least three Direct Bids."
BUDGET IMPACT:
Funds Set Aside For Tractor Repl. Proposed Repl. Surplus/Deficit Equipment Replacement Reserve Kubota Tractor Created in Reserve
$27,000 $42,368 <$15,368>
Budget Adjustment No. 2014-17 providing funding for the purchase of this tractor is pre sented for your consideration.
If you have any questions or need additional information please call me at 646-5548.
RECOMMENDATION
It is recommended that the Board:
a. Authorize staff to purchase the Kubota tractor from Diamond A Equipment for a total cost not to exceed $42,367.90, including tax; and
b. Adopt Budget Adjustment No. 2014-17 from Equipment Replacement Reserve into Major Expenditures - Treatment Plant. ~ General Manager
\\OVSD-ARCHIVE1\My Documents\Board Mtgs\2014\2014-01-27\Tractor Replacemt.TP.docx 114 BUDGET ADJUSTMENT OJAI V ALLEY SANITARY DISTRICT
FISCAL YEAR 2013/2014 BUDGET
BUDGET ADJUSTMENT NO. 2014-17
ACCOUNT NO ACCOUNT NAME INCREASE DECREASE.
(Source of Funds)
9250.00 Equipment Replacement Reserve $42,368
(Transferred to)
5950.17 Major Expenditure-TIP $42,368
Total: $42,368 $42,368
CERTIFICATION:
I, William D. O'Brien, Secretary of the Board of Directors of the Ojai Valley Sanitary District, do certify that the above is a true and accurate copy of Budget Adjustment No. 2014-17, authorized by the Board of Directors on January 27.2014
WILLIAM D. O'BRIEN - SECRETARY
\\OVSD-ARCHIVE1 \My Doeuments\Board Mtgs\2014\2014-01-27\BudAdjust#2014-17-TraetorPurehase.doex 115 OJAI VALLEY SANITARY DISTRICT A Public Agency 1072 Tico Road, Ojai, California 93023 (805) 646-5548 • FAX (805) 640-0842 wWW.OJalsan.org
January 22, 2014
Board of Directors Ojai Valley Sanitary District Ojai, CA 93023
VEHICLE REPLACEMENT - BUDGET ADJUSTMENT NO. 2014-18
The District's Vehicle Replacement Program scheduled the 2003 Toyota Avalon to be replaced in ten years; replacement of this vehicle is a year past due. Staff evaluated the condition of and mileage on this vehicle and has determined that replacement would be the most appropriate option for this vehicle.
The 2003 Avalon has been the primary vehicle used by the District's General Manager; it has approximately 150,000 miles on it.
The Avalon was scheduled for replacement last fiscal year; staff's condition assessment last year resulted in extending the life of this vehicle to this year. In light of the age of this vehicle and the amount of miles replacement is warranted.
This vehicle has served the District needs over the projected life as well as the recom mended mileage replacement range of 75,000-90,000 miles. With these considerations it is staff's recommendation to replace this vehicle.
The replacement identified for the 2003 Avalon is a 2014 Ford Edge SEL. Quotes were requested from three dealers, only two of them responded:
• Vista Ford (Oxnard) $31,840.58 • Barber Ford (Ventura) $31,501.63
The third quote was requested from Downtown Ford in Sacramento under the State Pur chasing Contract; however, the Ford Edge was not one of the vehicles in the State Pur chasing Contract this year, so they did not submit a quote.
Barber Ford's quote is approximately $340 less than Vista Ford. Vista Ford has been providing maintenance services on the District's vehicles for several years and staff has been very happy with these services. Consequently, staff recommends accepting Vista Ford's quote of $31,840.58 for the purchase of a 2014 Ford Edge SEL.
116 Board of Directors January 22, 2014 Page 2
Purchase of this vehicle from Vista Ford is in compliance with the District's Contracting & Purchasing Policy Ordinance No. OVSD-65 Section 5.2.1.1, "Open Market purchases shall, whenever possible, be based on at least three Direct Bids."
BUDGET IMPACT:
Funds Set Aside For GM Vehicle Repl. Proposed Repl. Surplus/Deficit Vehicle Replacement Reserve 2014 Edge SEL Created in Reserve
$31,674 $31,841 <$167>
Budget Adjustment No. 2014-18 providing funding for the purchase of this vehicle is pre sented for your consideration.
If replacement of this vehicle is approved, the method used to depose of the Avalon will be determined following a more extensive review of its condition. Potentially, this vehicle could be sold through a sealed bid process, either to the general public or to a limited audience of public and non-profit agencies. This vehicle has a current book value of less than $5,000; consequently, in accordance with the District's Contracting & Purchas ing Policy Ordinance No. OVSD-65 Section 6, the General Manager is authorized to de termine the method of disposal as set forth in that policy.
If you have any questions or need additional information please contact me at 646-5548.
RECOMMENDATION
It is recommended the Board:
a. Authorize staff to purchase a 2014 Edge SEL from Vista Ford Oxnard for a cost not to exceed the quoted total price of $31,840.58; and
b. Adopt Budget Adjustment No. 2014-18 transferring $31,841 from the Vehicle Equipment Reserve into the Major Expenditures-Admin. to provide funding for the purchase of this vehicle. ~ Jeff Palmer General Manager
17-2
\\OVSD-ARCHIVE1 \My Documents\Board Mtgs\2014\2014-01-27\GM vehicle replace.docx 117 BUDGET ADJUSTMENT OJAI VALLEY SANITARY DISTRICT
FISCAL YEAR 2013/2014 BUDGET
BUDGET ADJUSTMENT NO. 2014-18
ACCOUNT NO ACCOUNT NAME INCREASE DECREASE.
(Source of Funds)
9350.00 Vechile Replacement Reserve $31,841
(Transferred to)
5950.13 Major Expenditure-Admin $31,841
Total: $31,841 $31,841
CERTIFICATION:
I, William D. O'Brien, Secretary of the Board of Directors of the Ojai Valley Sanitary District, do certify that the above is a true and accurate copy of Budget Adjustment No. 2014-18, authorized by the Board of Directors on January 27, 2014
WILLIAM D. O'BRIEN - SECRETARY
/7-3
\\OVSD-ARCHIVE1 \My Documents\Board Mtgs\2014\2014-01-27\BudAdjust#2014-18-GM VehiclePurchase.docx 118 OJAI VALLEY SANITARY DISTRICT A Public Agency 1072 Tieo Road, Ojai, California 93023 (805) 646-5548 • FAX (805) 640-0842 www.o]aIsan.org
January 21, 2014
Board of Directors Ojai Valley Sanitary District Ojai, CA 93023
APPOINTMENT OF BOARD COMMITTEES & REPRESENTATIVES
In accordance with your Bylaws, the election of officers of the Board for the ensuing cal endar year took place at you December 16, 2013 meeting. The officer's of the Board for calendar year 2014 are as follows:
William C. Murphy Chairman William M. Stone Vice-Chairman William D. O'Brien Secretary John R. (Randy) Burg Assistant Secretary
Article XI of the Bylaws establishes the parameters for Board Committees; the Chairper son of the Board appoints Directors to serve on 4 of the 5 standing committees:
Finance Personnel/Safety Public Relations/Newsletter/Ordinance CEQAlEnvironmental Review Executive (Chairman, Vice-Chairman & Secretary)** **Members of this committee are Chairperson, Vice-Chairperson, and Secretary of the Board of Directors.
Other appointments made by the Chairperson include representatives to boards, com mittees and agencies outside the District:
Ventura County Special Districts Association CSRMA Board LAFCO Advisory Special District Committee RE: VRSD Representation
A list of Chairman Murphy's appointments to serve on Committees and as representa tives for calendar year 2014 is enclosed for your information and reference. Chairman Murphy will be reviewing these appoints at your meeting.
119 Board of Directors January 21 , 2014 Page 2
If you have any questions or need additional information, I may be reached at 646-5548.
RECOMMENDATION
Chairman Murphy will present his appointment of individual Directors to serve on the Board's Committees and as the Board's representative to boards, committees and agencies outside the District for calendar year 2014.
Brenda Krout Administrative Officer
Enclosure
APPROVED FOR JANUARY 27,2014 AGENDA:
\\OVSD-ARCHIVE1 \My Documents\Board Mtgs\2014\2014-01 -27\CommtAppmts.docx 120 OJAI VALLEY SANITARY DISTRICT A Public Agency 1072 Tico Road, Ojai, California 93023 (805) 646-5548 • FAX (805) 640-0842 www.o]aIsan.org
BOARD OF DIRECTORS OFFICERS ELECTION (Election Dec. 16, 2013)
DIVISION 1 BILL STONE VICE-CHAIRMAN
DIVISION 2 RANDY BURG ASSISTANT SECRETARY
DIVISION 3 PETE KAISER DIRECTOR
DIVISION 4 BILL O'BRIEN SECRETARY
DIVISION 5 RUSS BAGGERLY DIRECTOR
DIVISION 6 STAN GREENE DIRECTOR
DIVISION 7 BILL MURPHY CHAIRMAN
The full Board shall serve as the Appeals Board for all appeals.
STANDING COMMITTEES
EXECUTIVE BOARD CHAIRMAN BILL MURPHY BOARD VICE CHAIRMAN BILL STONE BOARD SECRETARY BILL O'BRIEN
(Appointments as of January 27, 2014)
ORDINANCE/PUBLIC RELATIONS/ RUSS BAGGERLY NEWSLETTER/ STAN GREENE WEBPAGE BILL MURPHY
PERSONNEL BILL STONE RANDY BURG BILL O'BRIEN
FINANCE BILL MURPHY PETE KAISER RANDY BURG
121 Board Officers & Committees Page 2
CEQA REVIEW/ENVIRONMENTAL RUSS BAGGERLY PETE KAISER BILL STONE
BOARD REPRESENTATIVES (Appointments as of January 27, 2014)
VENTURA COUNTY SPECIAL BILL O'BRIEN DISTRICTS ASSOCIATION Alternate PETE KAISER
CSRMA BOARD REPRESENTATIVE BRENDA KROUT Alternate JEFF PALMER
LAFCO ADVISORY RUSS BAGGERLY Alternate RANDY BURG ORDER NAME BADGE FOR REP.
SPECIAL DISTRICT COMMITTEE STAN GREENE RE: VRSD REPRESENTATION Alternate BILL STONE
UPDATED: January 27, 2014
\\OVSD-ARCHIVE1 \My Documents\Board\Officer & Committees .. docx 122 Ventura River Watershed Council c/o Ojai Valley Land Conservancy PO Bo x 1092, Ojai, CA 93024 www.venturawatershed.org i [email protected] 805/649-6852 x4
January 2, 2014
To: Ventura River Watershed Council' s Leadership Committee From: Lorraine Walter, Watershed Coordinator Subject: Watershed Coordinator Position, Ongoing Funding
This memo provides background information in preparation for the Leadership Committee' s meeting on January 7, 2014 to discuss ongoing funding for the Ventura River watershed coordinator position.
Funding History
When the Ventura River Watershed Council was formed in 2006, hiring a watershed coordinator and developing a watershed management plan were important primary objectives of t he new organization. Five years later in 2011, a grant was written by the Ojai Valley Land Conservancy (OVLC) on behalf of the Council to fund a watershed coordinator position.
DOC Grant. The position of the Ventura River watershed coordinator was made possible initially by a Watershed Coordinator Grant of $277,446 from the California Department of Conservation (DOC), which funded the position for a three-year term. Seven local agencies contributed a 19% cash match to the grant, and the OVLC agreed to host the position. The grant start date was June 22, 2011 and the end date is June 22, 2014. The coordinator started on September 27, 2011.
Because the coordinator started three months after the DOC grant start date and the amount budgeted (in the grant application) for benefits was significantly overestimated, approximately $58,000 of this grant will not be available for use . The DOC has made it clear that there is no possibility of extension or renewal of this grant. And the DOC has proven immovable on negotiating for other use of these funds. So the actual amount of the DOC grant amount is roughly $219,446.
DOC Match. The 19% cash match from the seven local partners for the DOC grant totaled $52,530. These funds have been drawn down at a rate of 19% of the amount of DOC funds spent. Because the grant will end a full quarter earlier than intended and all the DOC funds cannot be used, there is a IImatch surplus" of about $13,200. These funds could possibly be used to extend the term of the coordinator for an additional two months, to the end of August, 2014.
BOR Grant. A Water Smart Cooperative Watershed Management Program Grant in the amount of $98,520 was secured from the US Bureau of Reclamation by the coordinator. This grant is primarily to provide contractor support (website, maps, administration, writing/editing/design) for two years to help in administering the program and developing the watershed management plan. The grant start date was September 30,2012 and the end date is September 30, 2014.
Table 1 summarizes the funding for the watershed coordinator to-date.
123 Table 1. Watershed Coordinator/Program Funding Summary
2011 2012 2013 2014 (est.) Total DOC Grant $ 18,640.57 $ 79,081.74 $ 75,350.00 $ 46,374.00 $219,446.31 BOR Grant $ - $ 7,674.12 $ 53,725.62 $ 37,120.00 $98,519.74 Partner Match $ 3,355.24 $ 14,158.41 $ 14,449.73 $ 20,566.05 $52,529.43 Total $ 21,995.81 $ 100,914.27 $ 143,525.35 $ 104,060.05 $370,495.48
Coordinator Expenses
The basic expenses of the coordinator are summarized in Table 2. This summary excludes such things as office equipment, software, special print jobs, website needs beyond basic maintenance, contractor support, outreach materials/expenses, etc. This budget reflects the overhead arrangement now in place with the OVLC. An estimate of expenses for a possible half-time coordinator position is also provided.
Table 2. Watershed Coordinator Expenses Full-time Position Half-time Position Monthly Quarterly Yearly Monthly Quarterly Yearly Salary 5,416.67 16,250.00 65,000.00 2,708.33 8,125.00 32,500.00 Benefits 575.33 1,726.00 6,904.00 287.67 863.00 3,452.00 Mileage 50.00 150.00 600.00 28.33 85.00 340.00 Printing 25.00 75 .00 300.00 12.50 37.50 150.00 Supplies 8.33 25.00 100.00 4.17 12.50 50.00 Rent/Utilities 313.33 940.00 3,760.00 313.33 940.00 3,760.00 Website 50.00 150.00 600.00 50.00 150.00 600.00 Phone/I nternet 68.33 205.00 820.00 68.33 205.00 820.00 15% Admin 976.05 2,928.15 11,712.60 599.04 1,562.70 7,188.42 $ 7,483.05 $ 22,449.15 $ 89,796.60 $ 3,993.57 $ 11,980.70 $ 47,922.80
Local Base Support
If the Leadership Committee members were willing to contribute "base support" for the watershed coordinator position, it is possible that one-third of the coordinator's annual full-time basic expenses could be covered. Table 3 offers a suggestion of what this might look like, with funding ranging from $1000 to $6000 per year, depending on the organization. Some member organizations may be willing or able to contribute more funding.
Motivated in part by the successes achieved by the Ventura River Watershed Council with the watershed coordinator's support, the Santa Clara River Watershed Committee (also part of WCVC) is in the process of establishing a watershed coordinator position. They are seeking to fund the position with all local funding, and have thus far raised $50,000 from 11 local partners (including cities, the county, water agencies, nonprofits and businesses) .
Once the value of watershed coordination and integrated planning has had time to prove itself locally, a more institutionalized and stable form of funding may evolve. In the meantime, local supporters-who are served by, and appreciate the value and efficiency of, collaboration and coordination-must be solicited to share in the cost.
124 Table 3. Potential Local Annual Base Support What Do We Want From the Coordinator? DOC Grant Base Support What would the base supporters be getting for their Match support? This is an important question to address Casitas 2,667.00 4,000.00 clearly and early. Table 4 lists the major tasks that the OVLC 500.00 1,000.00 watershed coordinator has performed thus far, and OVSD 2,667.00 3,000.00 provides a rough estimate of how much time these Surfrider 500.00 1,000.00 tasks might take annually going forward if full-time WPD 5,333.00 6,000.00 funding were available. This estimate is based on how City of Ventura 5,333.00 6,000.00 much time has been spent thus far, adjusted for the VHC 500.00 1,000.00 fact that some of the "capacity building" basics will not Total $ 17,500.00 $ 22,000.00 require as much time going forward. Golden Stat e WD 1,000.00 City of Ojai 1,000.00 A few things are important to note in this time OBGMA 1,000.00 breakdown. The actual "coordinating" part of being a VRCWD 1,000.00 watershed coordinator is time-consuming. It involves MOWD 1,000.00 communication and facilitating communication (e .g., SB Channel keeper 1,000.00 meeting planning and facilitation; website Aera 1,000.00 management and keeping content fresh; e-newsletters VC Colab 1,000.00 with announcements and news that address the Taylor Ranch 1,000.00 diversity of interests; responding to many stakeholder RCD 1,000.00 inquiries and requests, complaints and concerns; Farm Bureau 1,000.00 attending meetings; connecting people with other Total $ 33,000.00 people, with information, with ideas; and writing complex/technical memos to the Council, such as this memo). It also involves ongoing data/information management (we've catalogued 401 Ventura River-specific documents in the Document Inventory thus far; and also maintain a map library, a photo library, a Powerpoint presentation library, a video library, and a grants database).
Table 4. Watershed Coordinator Tasks & Time Estimates
Task Description Hrs/Yr % Targeted programs E.g., watershed management plan, grant project. 632 30% Grant writing Research grants & write proposals (5/yr). 590 28% Plan meeting topics, secure speakers, make room reservations, write staff memos to Council, send targeted individual or media invitations as Meeting planning, prep, appropriate, prepare presentations, setup room, facilitate meeting, respond facilitation to inquiries/fallout afterwards (10/yr). 205 10% Send e-newsletters to Council (32/yr, 2.5/mo) with meeting announcements & materials, and other watershed news. Include photos and interesting info to keep readers engaged . Respond to questions/requests for info from the public E-Newsletters and Council members generated by newsletters. 195 9% Grant reports & Hire & manage contractors, maintain budget records, prepare financial and administration narrative grant reports (8/yr). 170 8% Website & data Continue to update Document Inventory & Map Atlas. Update other content maintenance as appropriate. 48 2% Vacation/Sick/holiday 240 12% Total 2080 100%
125 Grant research and writing are also exceedingly time-consuming. For example, the consultant who prepared last year's LGAP (groundwater) grant proposal for the watershed, was paid $15,000 to prepare a $250,000 grant proposal-and that did not include the time/cost of grant research, project idea development and partner buy-in (which had already been done). Unfortunately, that grant was not awarded. Research and production of a number of grant proposals could quickly consume most of the coordinator's ((base support" funding, and with no guarantees of success.
Together, watershed coordination and grant writing could leave a relatively small fraction of time left for actual implementation of targeted projects.
The time estimate in Table 4 is a picture of full-time ((watershed coordination" funding, and that is not what we have going forward when the current grants expire. We may possibly have funding for a one-third-time position. That leaves a funding gap for the remaining time, which would need to come from other sources, such as grants.
If such grant funding were secured, then two thirds of the coordinator's time would be focused on the deliverable requirements of the grant. Unless another general watershed coordination grant can be secured, the coordinator's focus might, by necessity, need to be on just one or a few of the Council's goal areas or projects to the exclusion of others.
Put another way, the extent to which we may be able to carve off ((general watershed coordination" time/funding from targeted grant programs is questionable, because grants are often exceedingly specific about how funds are to be spent.
Nonetheless, supporting the continuation of the program, even given these unknowns, will lend support to the larger vision of integrated watershed management and maintain the positive momentum that has been built these past few years. Continued watershed coordination will advance both the tangible benefits of coordinated watershed planning, such as maps, databases, plans and meetings, and the intangible benefits, such as improved relations, educated and engaged residents and rate payers, ideas born of synergy and connection, and good will.
As the current watershed coordinator, I feel very optimistic about our ability to secure ongoing grant funding. The foundation work we have done these past years has us very well positioned to appeal to grantors. We have a good track record of working together, we have built momentum (355 newsletter subscribers!), we have a public ((face" with our website and e-newsletter presence, we have tremendous expertise (including grant writing), we have unparalleled stakeholder engagement, we have a watershed that is healthier and better managed than many others in coastal southern California, we (will) have a watershed management plan that tells our story and describes short-term priorities, and we have substantial unmet funding needs. We have an attractive package. Funders like to support projects that have an excellent chance of producing results, and we can give funders that confidence. In short, I believe that we will succeed in attracting funder interest in our watershed.
126 Should the Coordinator Position Remain Housed at the Ojai Valley Land Conservancy?
The OVLC has agreed to continue hosting the position under an arrangement similar to the one established now, and is open to adjustments depending on the degree to which others are willing to step up to contribute.
While there might be concern about the influence of the hosting entity on the watershed coordinator, as the current watershed coordinator, I can assure you that the OVLC management has taken a supportive but "hands off" attitude toward the work of the coordinator. The work environment truly could not be more neutral than it is now. Another benefit of OVLC is that as a small nonprofit, they offer a certain freedom to get things done very efficiently (such as making purchases, securing approvals, getting budget information, communicating with management) with minimal bureaucratic process. I have found this to be immensely timesaving. Finally, OVLC's non-profit status opens the door to many funding sources that are only available to non profits.
With that as background, I look forward to our discussion on this issue next week.
The meeting will be held on January 7,2014, from 9:30 -11:30 am, in the city of Ventura's Santa Cruz Room.
127 OJAI VALLEY SANITARY DISTRICT A Public Agency 1072 Tico Road, Ojai, California 93023 (805) 646-5548 FAX (805) 640-0842
January 21 , 2014
Board of Directors Ojai Valley Sanitary District Ojai, CA 93023
BOARD SUBCOMMITTEE ORGANIZATION, BYLAWS AND ORDINANCE REVIEW
In December 2013, the Board adopted a revised list of subcommittees and made chang es accordingly to the District Bylaws. At the Board meeting, there was a discussion about further review and changes to the Bylaws and Ordinances related to days of ser vice, subcommittees, meeting times/dates and transparency of the meetings.
Staff is preparing discussion points to further streamline the subcommittee process to avoid annual changes to the Bylaws and Ordinance. Staff recommends that a prelimi nary meeting of the Executive Committee be held to fine tune the discussion points and bring the recommendations back to the Board for discussion at the February meeting.
The discussion points include:
1. Day of service definition 2. Subcommittee compensation structure 3. Date/time of meetings 4. Transparency issues including postings of agenda and minutes
Over the years, the District has created a number of different subcommittees and ad-hoc committees to address, study, review and implement various programs and issues. At the core, the standing and ad-hoc committees are used to provide necessary oversight and Board management of the District functions. Focused discussions, with a smaller group of the Board is necessary sometimes to review in more detail program and man agement issues. Having a smaller group that can meet in a more rapid manner or on an irregular schedule is an efficient, responsive and cost effective way to address District function and oversight responsibilities. Depending on the issue, the committees may be short term, one or two meetings or longer. Given the past history on District issues such as the renewal of the discharge permit, the algae TMDL and nutrient discussions, it ap pears that for the foreseeable future, committee meetings may take longer and involve more study and detail discussions.
In either case, it has been and should be the policy of the Board to provide the most transparent and community involved process. This includes posting of meeting agen das, minutes and outreach.
128 Board of Directors January 21, 2014 Page 2
Standing Committees established for calendar year 2014 are as follows:
Finance Personnel/Safety Public Relations/Newsletter/Ordinance CEQAlEnvironmental Review Executive (Chairman, Vice-Chairman & Secretary)
Staff strongly feels that this revised Committee structure provides for an appropriate venue to address the majority of the issues typically assigned to Committees; any unu sual issue which may arise can be effectively addressed through the formation of an Ad Hoc Committee. Any Ad Hoc Committee would be single issue focused and of a limited duration. Ad Hoc Committees would adhere to all Brown Act posting requirements.
If you have any questions or need additional information, I may be reached at 646-5548. ~ General Manager
\\OVSD-ARCHIVE1 \My Documents\Board Mtgs\2014\2014-01-27\Officer Election.docx 129 OJAI VALLEY SANITARY DISTRICT A Public Agency
1072 Tico Road, Ojai, California 93023 (805) 646-5548 • FAX (805) 640-0842 www.ojaisan.orq
January 21 , 2014
Board of Directors Ojai Valley Sanitary District Ojai, CA 93023
MONTHLY FINANCIAL REPORTS
The closing of the accounting records for the month of December was completed on January 17, 2014. The following charts and explanations of financial position as of the close of business on December 31, 2013 are provided for your information.
TREATMENT PLANT OPERATIONS
2.00 1.80 1.60 1.40 (J) ,gc: 1.20 1.00 ~ 0.80 0 0.60 0.40 0.20 0.00 July Aug Sept Oct Nov Dec Jan Feb Mar Apr May June
Fiscal Year 13-14
_ Expenses - Budget
The Treatment Plant expenses continued through the sixth month of the fiscal year slightly under budget.
130 Board of Directors January 21,2014 Page 2
TREATMENT PLANT CAPITAL
0.55 0.50 OA5 OAO
t/) 0.35 r: .2 0.30 :E 0. 25 en- 0.20 0.15 0.10 0.05 0.00
Fiscal Year 13-14
_ Expenses - Budget
All of the expenditures from this account during the month of December were related to the nitrate monitoring equipment authorized for purchase at your June 17, 2013 meeting.
\\OVSD-ARCHIVE1 \My Documents\Board Mtgs\2014\2014-01-27\Financial Report.pdf 131 Board of Directors January 21,2014 Page 3
COLLECTION SYSTEM OPERATIONS
1.20
1.00
I/) 0.80 c .2 0.60 ~ (h 0.40
0.20
0.00 July Aug Sept Oct Nov Dec Jan Feb Mar Apr May June
Fiscal Year 13-14
_ Expenses - Budget
The Collection System expenses ended the sixth month of the fiscal year slightly above budget.
COLLECTION SYSTEM CAPITAL 2.00 .,..------,
1.75
1.50
I/) 1.25 c .2 1.00 ~ (h 0.75
0.50
0.25
0.00
Fiscal Year 13-14
_ Expenses - Budget
The majority of the expenditures from this account during December were related to the Santa Ana Lift Station Force Main Relocation project; other expenditures included the purchase of the manhole rings & covers authorized for purchase at your October 28, 2013 meeting.
\\OVSD-ARCHIVE1 \My Documents\Board Mtgs\2014\2014-01-27\Financial Report.pdf 132 Board of Directors January 21, 2014 Page 4
DISTRICT MANAGEMENT OPERATIONS
3.00 ~------,
2.50
2.00 tI) c: .2 1.50 ~ (,I) 1.00
0.50
0.00 July Aug Sept Oct Nov Dec Jan Feb Mar Apr May June Fiscal Year 13-14
_ Expenses - Budget
District Management expenses continued through the sixth month of the fiscal year be low budget.
DISTRICT MANAGEMENT CAPITAL
3.00 ,------,
2.50
2.00 tI) c: .2 1.50 ~ (,I) 1.00
0.50
0.00 .fo'II!==--.....---- July Aug Sept Oct Nov Dec Jan Feb Mar Apr May June Fiscal Year 13-14
_ Expenses - Budget
There were no expenditures from this account during the month of December.
21-i
\\OVSD-ARCHIVE1 \My Documents\8oard Mtgs\2014\2014-01-27\Financial Report.pdf 133 Board of Directors January 21, 2014 Page 5
REVENUE COMPARISONS
Interest Earned
1.000000 ,------
0.750000 +------en c ~ . 500000 +------ ~ ~.250000 +------
0.000000 L-""'I--""""-r""'I~...... +""1 .. + . +:I--=::=:::=::==::=:=:=-_+_-____1 July Aug Sept Oct Nov Dec Jan Feb Mar Apr May June Fiscal Year 13-14
_ Actual -Budget
The interest received in December included a small amount earned on the District's funds in an account at the local Ojai Community Bank ($7.71), interest received on the District's funds held in the County Treasury ($1,457.97) and the interest received on the District's funds in the Morgan Stanley accounts ($18,178.58).
Service Charge Comparison
8.00
7.00
6.00
ctil 5.00 .2 4.00 :E Ul- 3.00
2.00
1.00
0.00 July Aug Sept Oct Nov Dec Jan Feb Mar Apr May June
Fiscal Year 13-14
_ Actual -Budget
The majority of the service charge revenue received in December was collected via the County property tax roll ($3,258,198.89); the remainder ($104,192.76) being from the direct billed accounts. The large amount received from property tax is a reflection of the first installment of the property tax bill being due in December; typically, our next large revenue spike will occur in April when the second property tax installment is due.
\\OVSD-ARCHIVE1 \My Documents\Board Mtgs\2014\2014·01·27\Financial Report.pdf 134 Board of Directors January 21 , 2014 Page 6
AV AILABLE CASH BALANCE 4
3.5 r-- r-- 3 - - r-- 2.5 - r--- f------I---- U) c r-- .Q = 2 -- r-- r-- r-- - r-- r------r-- 1- ~ - r-- fd7 1.5 - f--- - f--- f--- f--- f--- - f--- f--- f--- 1-
r-- - - r-- - ,- r-- f--- f--- - f--- f--- f--- - 1- 0.5 - - -- r-- r-- r-- - r-- r-- r-- - - - f- o Nov Dec Jan Feb Mar Apr May June July Aug Sept Oct Nov Dec Most Recent 12 Months
The balance in the available cash at the end of December appears appropriate for this point in the fiscal year. Typically the balance will begin to decline again over the next few months until the next revenue spike in April.
The balances of the restricted reserves are:
Value as of December 31 , 2013 DEFERRED COMPENSATION $1 ,124,234.17 CONTINGENCY & STABILIZATION FUND 1,463,063.71 COLLECTION SYSTEM REPLACEMENT RESERVE 912,898.83 CIS LOCAL SEWER CAPACITY RESERVE 880,970.98 CIS TRUNK SEWER CAPACITY RESERVE 59 ,830.09 EQUIPMENT REPLACEMENT RESERVE 1,310,893.77 TREATMENT PLANT EXPANSION RESERVE 1,587,107.28 VEHICLE REPLACEMENT 181 ,201 .94 TREATMENT PLANT CAP REPL 5,865,737.08 BUILDING RESERVE 101 ,818.83 FUTURE PURCHASE RESERVE 257,837.74 2003 BOND PAYMENT RESERVE 1,188,795.87 2007 DEBT ISSUE PAYMENT RESERVE 1,428,772.89 TREATMENT PLANT UPGRADE 574,613.92
TOTAL - Reserved Cash $16,937,777.10
This does not include the amount shown in the cash available chart.
" The red print identifies the reserves that are not discretionary. All of the other reserves have been estab lished by Board action and are eligible to be modified or eliminated at the Board's discretion.
\\OVSD-ARCHIVE1 \My Documents\Board Mtgs\2014\2014-01-27\Financial Report.pdf 135 Board of Directors January 21,2014 Page 7
SUMMARY
Overall the District appears to have ended the sixth month of the fiscal year in good fi nancial shape.
If you have any questions or need additional information, I may be reached at 646-5548. ~~ Brenda Krout Administrative Officer
Enc.
APPROVED FOR JANUARY 27,2014 AGENDA:
\\OVSD-ARCHIVE1 \My Documents\Board Mtgs\2014\2014-01-27\Financial Report.pdf 136 OVSD - MEMO Balance Sheet
December 2013
ASSETS Current Assets TOT AL CASH PURPOSE AVAILABLE CASH 2,646,837.50 DEFERRED COMPENSATION 1,124,234.17 CONTINGENCY & STABILIZA TION FUND 1,463,063.71 COLLECTION SYSTEM REPLACE RSV 912,898.83 CIS - CONN FEES LOCAL 880,970.98 CIS CONN FEES - TRUNK 59,830.09 EQUIPMENT REPLACEMENT 1,310,893.77 TREATMENT PLANT EXPANSION 1,587,107.28 VEHICLE REPLACEMENT 181,201.94 TREATMENT PLANT REPLACE RSV 5,865 ,737.08 BUILDING RESERVE 101 ,818.83 FUTURE PURCHASE RESERVE 257,837.74 2003 BOND PAYMENT RESERVE 1,188,795.87 2007 DEBT ISSUE PAYMENT RESERVE 1,428,772.89 TREATMENT PLANT UPGRADE 574,613.92 TOTAL TOTAL CASH PURPOSE 19,584,614.60 TOT AL Current Assets 19,584,614.60 TOTAL ASSETS 19,584,614.60
LIABILITIES Current Liabilities ALLOCATE CASH TO PURPOSE 19,584,614.60
TOTAL Current Liabilities 19,584,614.60 TOTAL LIABILITIES 19,584,614.60
CAPITAL Year-to-Date Earnings 0.00
TOTAL CAPITAL 0.00
TOTAL LIABILITIES & CAPITAL 19,584,614.60
1/2 1120 14 1:26:44 PM Balance Sheet -Standard Page 1 OVSD137- MEMO Ojai Valley Sanitary District Balance Sheet
December 2013
ASSETS Current Assets OPERATING CASH CASH IN CKING- (OCB) 147,574.82 CASH IN SAVINGS (OCB) 54,538.52 CASH IN COUNTY 4,744,876.79 PETTY CASH 900.00 CASH IN MORGAN STANLEY #760 0.00 CASH IN MORGAN STANLEY #091 12,905,332.63 CASH IN MORGAN STANLEY #250 333,392.92 CASH IN LAIF 273,764.75 TOTAL OPERATING CASH 18,460,380.43 RESTRICTED CASH CASH IN DEFER-LINCOLN 261,235.66 CASH IN DEFER - CITISTREET 862,998.51 TOTAL RESTRICTED CASH 1,124,234.17 SERVICE RECEIVABLE SERVICE CHARGE REC - IN HOUSE 1,804.54 TOTAL SERVICE RECEIVABLES 1,804.54 OTHER RECEIVABLES ACCOUNTS REC - MISC l3,726.64 SDS PROGRAM RECEIVABLE 118,524.91 SDS - SYCRAMORE PROPERTIES 101,765.33 DEFERRED PAYMENT PLAN 234,555 .08 TOTAL OTHER RECEIVABLES 468,571.96 DEPOSITS DEPOSIT - STATE COMP 4,075.00 TOTAL DEPOSITS 4,075 .00 PREPAIDS PREPAID INSURANCE 101 ,844.56 TOTAL PREP AIDS 101,844.56
TOT AL Current Assets 20,160,910.66 Fixed Assets LAND 51 ,121.00 STRUCTURES & IMPROVEMENTS 651 ,041.09 FURNITUREJEQUIPMENTfTECHNOLOGY 1,298,207.14 COLLECTION SYSTEM 26,289,720.34 VEHICLES 779,323.59 LIFT STATIONS 1,317,15l.72 TRUNK LINES 7,084,165.50 TREATMENT PLANT 38,539,113.61 SHOP EQUIPMENT 150,549.77 CONSTRUCTION IN PROGRESS 197,086.32 ACCUMULA TED DEPRECIATION (37,315,947.00)
1121/20141:28:03 PM Balance Sheet - Standard Page 1 Ojai Valley138 Sanitary District TOT AL Fixed Assets 39,041 ,533 .08 Other Assets BOND ISSUANCE COSTS ORIGINAL ISSUE DISCOUNT 2003 74,419.20 UNDERWRITERS DISCOUNT - 2003 31,450.00 2003 ISSUANCE COSTS FUND 105,428.96 INSURANCE POLICY-2003 51,836.74 ACCUM AMORTIZA TION-2003 BOND (124,989.13) TOTAL 2003 BOND ISSUANCE COSTS 138,145.77 2007 BOND ISSUANCE COSTS ORIGINAL ISSUE DISCOUNT 2007 72,163 .25 UNDERWRITERS DISCOUNT 2007 63 ,962.50 2007 ISSUANCE COSTS FUND 87,939.75 INSURANCE POLICY 2007 77,266.33 ACCUM AMORTIZATION - 2007 BOND (50,814.54 ) TOTAL 2007 BOND ISSUANCES COSTS 250,517.29
TOTAL Other Assets 388,663.06 TOTAL ASSETS 59,591,106.80
LIAB ILITIES Current Liabilities ACCOUNTS PAYABLE ACCOUNTS PAYABLE 265,519.22 LAFCO DEPOSITS (53,779.36) LAFCO MAP REVIEW (13,325.12) COUNTY ASSESSORS 1,016.76 STATE BOARD OF EQUALIZATION (4,803.63) TOTAL ACCOUNTS PAYABLE 194,627.87 PAYROLL RELATED LIABILITIES FICA TAXES W/H PAYABLE 227.80 RETIREMENT (PERS) PAYABLE (565.46) DENTAL INSURANCE PAYABLE 144.94 SECTION 125 P/R PAYABLE (886.96) SURVIVORS PAYABLE (15.81) TOTAL PAYROLL RELATED (1,095.49) ACCRUED EXPENSES ACCRUED VACATION 143,685.99 DEFERRED COMPENSATION PAY 1,124,234.17 TOTAL ACCRUED EXPENSES 1,267,920.16
TOTAL Current Liabilities 1,461,452.54 Long-Term Liabilities ACCRUED EXPENSES 2003 REVENUE BONDS PAYABLE 3,500,000.00 DEFERRED LOSS ON EARLY RETIRE (326,009.95) 2007 - COP ISSUE 6,455,000.00 ACCRUEDINTEREST-BOND03 50,072.92 ACCRUED INTEREST-BOND 07 91 ,576.24 TOT AL ACCRUED EXPENSES 9,770,639.21
TOTAL Long-Term Liabilities 9,770,639.2 1 TOTAL LIABILITIES 11,232,091.75
;l/~/{)
112 1/20 14 1:28:03 PM Balance Sheet - Standard Page 2 Ojai Valley139 Sanitary District CAPITAL EQUITY RETAINED EARNINGS - DONATED 2,629,088.00 RETAINED EARNINGS- CONNCTN FEE 4,427,427.45 TOTAL TOTAL EQUITY 7,056,515.45 RETAINED EARNINGS 39,780,080.05 Year-to-Date Earnings 1,522,419.55
TOT AL CAPITAL 48,359,015.05
TOTAL LIABILITIES & CAPITAL 59,591,106.80
;;/-11
1/2 1/20 14 1:28:03 PM Balance Sheet - Standard Page 3 Ojai Va lley140 Sanitary District OJAI VALLEY SANITARY DISTRICT A Public Agency 1072 Tico Road, Oj ai, California 93023 (80S) 646-5548 • FAX (80S) 640-0842 www.o]aIsan.org
January 21,2014
Board of Directors Ojai Valley Sanitary District Ojai, CA 93023
INVESTMENT REPORT - QUARTERLY
Attached for your information is the Investment Report for the Quarter ending of Decem ber 31, 2013. The quarterly Investment Report is required by Government Code 53646(b) and District policy.
The Finance Committee conducted their quarterly review of the District's investments at their January 10, 2014 meeting. The Committee unanimously supported presenting a recommendation to the Board to continue with the current investment structure.
Howard Smith, investment manager from MorganStanley Smith Barney, will be present at your January 27th meeting to present a quarterly investment report.
This Investment Report only covers the District's Investments with MorganStanley SmithBarney. The other funds are in banks or other Agencies and are invested in ac cordance with their policies. The funds at MorganStanley Smith Barney are invested in accordance with our Investment Policy and are the subject of this quarterly report.
The Investments are in two accounts at MorganStanley Smith Barney. The Cash Account is comprised of money market funds and short term bonds. The Cash Account has no management fee.
The Custom Account is managed and includes corporate bonds, US Government, and US Agency bonds. This fund is invested in issues tied to the District's investment goals over time for projects in the Collection System and Treatment Plant. This fund has a management fee which is deducted from the account balance and is reflected in all cal culations and comparisons.
141 Board of Directors January 21, 2014 Page 2
The balance in all District Bank accounts as of December 31, 2013:
Morgan Stanley Bank N.A.# $615,280.59 Morgan Stanley Private Bank NA # $245,000.00 MS Active Assets Money Trust $333,392.92 Ojai Community Bank-Savings $54,538.52 Ojai Community Bank-Checking $147,574.82 Ventura County $4,744,876.79 LAIF $273,764.75
The market value of the funds in the managed account at Morgan Stanley Smith Barney as of the December 31,2013 was $12,905,332.63.
At this time with the funds available in the Ojai Community Bank accounts and $200,000 a month coming from Morgan Stanley Smith Barney and regular monthly income of about $100,000 from the direct billed accounts, there are sufficient funds for the District's cash needs for the next six months.
If you have any comments or questions on this information report, please contact me at 646-5548.
Jeff Palmer General Manager
Enc.
\\OVSD-ARCHIVE1 \My Documents\Board Mtgs\2014\2014-01 -27\investment report-Quarterly.docx 142 Performance Report for: OJAI VALLEY SANITARY DISTRICT 1/2/2014
HOWARD SMITH Financial Advisor
300 ESPLANADE DR. '10TH FLOOR OXNARD, CA 93030 Phone: (805) 278-3600
This Performance Report may show the consolidated performance of some, but not necessarily all , of your Morgan Stanley accounts. In addition, it may show the full performance history of your accounts or just the performance of your accounts since inception in their current Morgan Stanley programs. In some cases, it may show the combined performance of brokerage accounts and advisory accounts (for more information about the differences between brokerage and advisory accounts, please refer to the Glossary of Terms contained at the end of this report). It is important that you understand the combination of accounts and account histories that are included in this Performance Report. Upon your request, performance information can be obtained for other accounts you may have at Morgan Stanley, but which are not shown here. Accounts included in this Performance Report may have had different investment objectives, been subject to different rules and restrictions, and incurred different types of fees, mark-ups, commissions, and other charges. Accordingly, the performance results for this portfolio may blend the performance of assets and strategies that may not have been available in all of your accounts at all times during the reporting period. Please consult your Morgan Stanley Financial Advisor for more information about the fees and expenses applicable to the accounts included in this Performance Report. The following account(s) have been included in this performance report: 244025091 For additional information about all accounts listed, please refer to the Consolidated Accounts List section.
This report is not an official statement. The information contained in this report is not complete without the required disclaimer and glossary, which you should ""72 -3> read carefull y. The information in this report should not be considered as the sole basis for any investment decision. ~" 143 Consolidated Executive Summary Ojai Valley Sanitary Distr.ict HOWARD SMITH (805) 278-3600 Morgan Stanley Time Weighted Return (TWR) December 31, 2013 Change In Portfolio
Total Beginning Value 13,144,883.10 12,000,462.49 10,946,768.54 10,946,768.54 11,625,255.07 6,916,225.15 5,750,000.00 (includes accrued income) Net Contributions/Withdrawals (200,000.00) 900,000.00 2,000,000.00 2,000,000.00 950,000.00 4,750,000.00 4,720,803.78 Net Invested Capital 12,944,883.10 12,900,462.49 12,946,768.54 12,946,768.54 12,575,255.07 11,666,225.15 10,470,803.78 Net Portfolio Appreciation (39,558.59) 4,862.02 (41,444.03) (41,444.03) 330,069.44 1,239,099.36 2,434,520.73 Total Ending Value 12,905,324.51 12,905,324.51 12,905,324.51 12,905,324.51 12,905,324.51 12,905,324.51 12,905,324.51 (includes accrued income)
Cumulative Total Account -0.31 0.07 -0.27 -0.27 33.30 (TWR Net Return) Annuali zed Total Account 1.07 1.96 3.79 (TWR Net Return)
Performance History
39 • Tota t Account I 32.391 I 32.39 (TWR Gross Return) 26 22.94 R • S&P500 17 86 17.94 e I II I II 16.18 . t 13 10.51 11 .10 NASDAQ CompOSite TR U 2.53 2.94 1.71 • II 2.90 2.57. II 3.96 0.22 0.33 0.33 r 0 g II II BC GovlCr Intm n -0.31 -0.63 -0.02 -0.86 -0.86
%13
-26
Current Month CurrentQtr Current Year Last 12 Months Last 3 Years ($) Last 5 Years ($) Since Inception Time Period
Comparative Performance Returns Current Month (%) Current Qtr (%) Current Year (%) Last 12 Months (%) Last 3 Years (%) Last 5 Years (%) Since Inception (%) 11/30/13 -12/31/13 9/30/13 - 12/31/13 12/31/12 -12131113 12131112 -12131113 12131110 -12131113 12131108 -12131113 4112106 -12131113
-- ~~--~-- -- Total Account (TWR Gross Return) -0.31 0.22 0.33 0.33 1.71 2.57 4.37 S&P 500 2.53 10.51 32.39 32.39 16.18 17.94 7.07 NASDAQ CompOSite TR 2.94 11 .10 40.12 40.12 17.86 22.94 9.05 BC GovlCr Intm -0.63 -0.02 -0.86 -0.86 2.90 3.96 4.76
Performance for all periods greater than one year is annualized
/~-:I
Page Retrieved On: January 02, 20142:52:25 PM 144 This report is not an official account statement. Consolidated Executive Summary Oiai Valley Sanitary District HOWARD SMITH (805) 278-3600 Morgan Stanley Time Weighted Return (TWR) December 31, 2013 Top 10 Holdings Security Symbol Current % of Port Sector Value $ UNITED STATES TREASURY NOTE 1,226,346.90 9.53 Govern ment Issues BANK DEPOSIT PROGRAM BDPS 860,280.59 6.69 UNCLASSIF IED FED HOME LN MTG CORP 701,141.00 5.45 Government Issues UNITED STATES TREASURY NOTE 630,296.10 4.90 Government Issues UNITED STATES TREASURY NOTE 390,573.90 3.04 Govern ment Issues UNITED STATES TREASURY NOTE 376,757. 15 2.93 Government Issues FED NATL MTG ASSN 365,542.50 2.84 Government Issues FED NATL MTG ASSN 364,330.80 2.83 Government Issues UNITED STATES TREASURY NOTE 300,117.00 2.33 Government Issues J P MORGAN CHASE CO 188,708.40 1.47 Corporate Bonds
Long-term Gains & Losses 2,557,555.51 2,587,747.90 30,192.39 Total 12,019,008,10 12,004,807.61 (14,200.49)
(19,082.37) Long-term Gains & Losses 2,540,280.64 2,550,520.21 10,239.57 Total 16,928,928.15 16,920,085.35 (8,842.80) Unrea lized Gain and Loss excludes tax lots with a market value of $0 and the Market Value column excludes Money Market and Cash positions. Allocation as of December 31,2013 Net Invested Capital
Asset Class Current Value $18,633,080 ------
• Fixed Income 93 °/.12 ,004,807.60 $15,548,746 • Cash & Equiv 7 % 860,280.59
Total Market Value 12,865,088.19 $12,464,412 .,...- $9,380,077
$6,295,743
Invested Capital $3,2 11,409 Total Ending Market Va lue - Portfolio Va lue
Net Invested Capital represenls lhe inceplion va lue of the account, net of additional $127,074 LI------~ capita l contributions and withdrawals, graphed against the account market value over time. 4/06 10/06 4107 11/07 5108 11108 5/09 11/09 6110 12/10 6111 12/11 6112 1/13 7/13 12/13 .2Z~ S- Page Retri eved On: January 02 , 2014 2:52:27 PM 145 This report is not an official account statement. Comparative Risk/Return 9~,!i XaJ~e.y ~a_ni~a,¥ Dist~ict HOWARD SMITH Morgan Stanley Time Weighted Performance 300 ESPLANADE DR. 10TH FLOOR OXNARD, CA 93030 December 31, 2013 (805) 278-3600
Comparative Risk/Return (Net of Fees)
April 12, 2006 through December 31,2013
15 More Return More Return Less Risk More Risk
Rate of Standard R A 10 Return (%) Deviation % T E • Your Portfolio (Net) 3.8 2.13
o o • TBILL 1.3 0.55 F
R 6. SP500 7.1 16.18 E 5 T NASDAQ 9.0 18.85 U R • LBGC-INT 4.8 2.99 N % o Please Note: Th e measurement period for all Standard Deviations starts from th e beginning of the month following the account's inception. Also, if your account was enrolled in performance reporting prior to May 1, 2003, your gross portfolio returns and the returns for all comparative indices have a start date of the month following the account's inception date.
Less Return Less Return All returns are annualized. Less Risk More Risk
-5
o 5 10 15 20 25
STANDARD DEVIATION (RISK)
For TRAK Fund Solution accounts, since inception gross performance and index returns are always measured from the beginning of the month fo ll owing the account's inception. Additionally, the following indices are available only on a monthly basis and are, therefore, measured from the beginning of the month following the account's inception: CPI, IFC Investable Emerging Markets, National Association RE IT, Wilshire REIT, all Merrill Lynch Municipal Indices, the Merrill Lynch Investment Grade Convertible and the Merrill Lynch High Yield Master. Z2-b Page Retrieved On: January 02, 20 14 2:52:27 PM 146 This report is not an official account statement. . Annual Performance Summary Ojai Vallev Sanitary District HOWARD SMITH Time Weighted Performance 300 ESPLANADE DR. 10TH FLOOR Morgan Stanley OXNARD, CA 93030 Calendar Year Report - Net Return (805) 278-3600 December 31,2013
History:
2006 04/12/2006 12/31/2006 5,750,000.00 (50,000.00) 227,795.07 5,927,795.07 4.00 4.00
2007 01/01/2007 12/31/2007 5,927,795.07 0.00 475,391.40 6,403,186.4 7 8.02 12.34
2008 01/01/2008 12/31/2008 6,403,186.4 7 20,803.78 492,234.90 6,916,225.15 7.68 20.96 2009 01/01/2009 12/31/2009 6,916,225.15 5,500,000.00 373,666.73 12,789,891.88 3.17 24.79
2010 01/01/2010 12/31/2010 12,789,891.88 (1,700,000.00) 535,363.19 11 ,625,255.07 3.45 29.09 2011 01/01/2011 12/31/2011 11,625,255.07 (1 ,300,000.00) 238,124.89 10,563,379.96 2.35 32.13
2012 01/01/2012 12/31/2012 10,563,379.96 250,000.00 133,388.58 10,946,768.54 1.16 33.66 2013 YTD 01/0112013 12/31/2013 10,946,768.54 2,000,000.00 (41,444.03) 12,905,324.51 -0.27 33.30
Cumulative Return Since Inception 33.30
Annualized Return Since Inception 3.79
Inception values for accounts starting after inception are included in Net contributions. Termination Values, as of the end date, are included in Net Withdrawals.
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Page Retrieved On: January 02, 20142:52:28 PM 147 This report is not an official account statement. Consolidated Accounts List Oiai Vallev SanitarY District HOWARD SMITH Morgan Stanley December 31,2013 (805) 278-3600
Accounts Included in this Report
OJAI VALLEY SANITARY DISTRICT 244025091 CONSULTING GROUP 1 AM FIXED INCOME SAGE ADVISORY SERVICES L TO CO. ADVISORY 09/03/2008 OJAI VALLEY SANITARY DISTRICT 244 025091 * PAD 1 TAXABLE FIXED INCOME ADVISORY 04/12/2006 09/03/2008
Please note that the accounts included above may not represent your entire relationship with Morgan Stanley * Indicates accounts that have had a change in manager.
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Page Retrieved On : January 02,20142:52:28 PM 148 This report is not an official account statement. . Terms And Conditions Of Use Oiai Vallev Sanitary District HOWARD SMITH Morgan Stanley December 31,2013 (805) 278-3600
This performance report has been prepared for your information only and is not a substitute for your official Morgan Stanley Smith Barney LLC account statements. Do not use the information in this report as the sole basis for investment decisions, nor take action relying on this information without confirming its accuracy and completeness. Please carefully review the attached glossary. Past performance is not a guarantee of future results. Information is approximate: The information in this report is approximate and subject to updating, correction and other changes. We are not obligated to notify you if information changes. If there are discrepancies between your official account statement and this report, rely on your official account statement. Prices shown in your official account statement may differ from the prices shown in this report due to, among other things, different reporting methods, delays, market conditions and interruptions. Also, the figures in this report do not include all relevant costs (e.g., fees, commissions and taxes). We obtain pricing and other information from various standard quotation services and other sources which we believe to be reliable, but we do not warrant or guarantee the accuracy or completeness of this information. The price that you would actua lly receive in the market for any investment may be higher or lower than the price shown in this report. The prices of securities and other investments not actively traded may be estimated or may not be available. For example: • Bonds tradi ng less frequently: We rely on outside pricing services or a computerized trading model, which cannot always give us actual market values. • Annuities: Data in this report may have been provided by third party insurance carriers. (Not all insurance carriers provide data on annuities for performance ca lculations. The list of providers that provide data is available on request. Performance calculations are based on annuity values as of December 31 , 2006 or later, depending on carrier participation.) This report might not reflect a transaction that posted at the insurance company before this reporting period. Depending on the carrier, annuities transactions may be net of certain fees or expenses. • Alternative investments: The assets in these investments (and in corresponding benchmark indices) are difficult to value, va lues may be several weeks or more old , and the index values reflect pricing from multiple sources. Index values may be more up-to-date than the data for the alternative investments shown in this report. This report shows the latest generally available alternative investment and index data as of the date of this report. • Non-traded Real Estate Investment Trusts (REITs) and certain other investments: These are illiquid and have no public markets. We are not responsible for any clerical, computational or other errors or omissions. You are responsible for promptly reviewing your report and seeking clarification about entries that you do not understand. If you do not understand an entry in this report, suspect an error, or want more details on current prices or other information, contact your Financial Advisor. Not tax or other advice: The information in this report (including any gain and loss information) is not investment, legal, tax, accounting or other professional advice. Please contact your tax advisor to determine the appropriate information to be used in preparing your tax return. The gain and loss information in this report is not a substitute 1099 form (or any other tax form) and should not be filed with your taxes. We do not guarantee nor independently verify the accuracy of gain and loss information. Benchmarks, charts and graphs: Benchmark indices are provided for general reference purposes only. Indices are unmanaged and do not reflect payment of any expenses, fees or sales charges an investor would pay to purchase the securities it represents. Such costs wou ld lower performance. You cannot invest directly in an index. An index's past performance is not a guarantee of future results. Index values for certain types of investments (e.g . alternative investments) are approximate and subject to updating, correction and other changes. Charts and graphs are for illustrative purposes only and are not intended to represent the performance of any Morgan Stanley offering. If your account was incepted prior to 7/2006 and contains the NASDAQ index, please note that price returns are being used from inception to 7/2006 and total returns are used from 7/2006 to present. Use of report: This report is for your own private, non-commercial use only. You agree not to reproduce, modify, sell or distribute any information in it. Information in this report provided by Morgan Stanley Smith Barney LLC and its affiliates or third party information providers is owned by these parties. Trademarks and service marks are the property of their owners. This information and these marks are protected by intell ectual property laws. All rights are reserved. Asset classifications and performance calculation methodologies can differ among the various supplemental performance reports available through us. For example, some reports calcu late Time Weighted performance using a weighted or Modified Dietz approach while others use a daily approach. In addition, some reports may display Dollar Weighted Returns. These differences can generate meaningful dispersions in the performance numbers displayed on different reports. Liability and indemnification: You agree not to hold Morgan Stanley Smith Barney LLC and its affiliates or third party information providers liable for any investment decision you make based on information in this report. You also agree to indemnify Morgan Stanley Smith Barney LLC and its affiliates and hold Morgan Stanley Smith Barney LLC and its affiliates harmless from and against any and all actions, claims, demands, losses or expenses whatsoever (including attorneys' fees and costs) resulting directly or indirectly from any breaches or violations by you of the terms and conditions on this page. Other: This report does not contain information on DVP or margin rollup accounts carried by Morgan Stanley Smith Barney LLC. Also, all accounts with a mid-month daily fair market value at the total or asset class level below $500 will have performance defaulted to 0% until month end. Please reference this account again when the account or asset class is above $500 or at month end. Morgan Stanley Smith Barney LLC. Member SIPC. Positions that are not custodied at Morgan Stanley Smith Barney LLC may not be covered by SIPC.
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Page Retrieved On: January 02,20142:52:29 PM 149 This report is not an official account statement. Glossary of Terms Oiai ValiAV Sanitarv Di~trict HOWARD SMITH (805) 278-3600 Morgan Stanley December 31, 2013
Accrued Income Gross Return The dividends and interest earned but not yet received at both the beginning and end of The return of the portfolio before the deduction of fees/commissions and other expenses. each reporting period. Net ContributionslWithdrawals Advisory Account The total value of capital contributed to or withdrawn from the account during the An investment advisory relationship is designed for clients who prefer that their reporting period. The dollar amount represented by contribution or withdrawal Financial Advisor act as an investment consultant, with their assets invested in a mutual transactions is excluded from the calculation of Portfolio Appreciation. fund asset allocation program or in a Advisory account that is directed by a professional money manager either at Morgan Stanley or at an external money management firm. There Net Invested Capital are important differences in your relationship with your Financial Advisor and Morgan The sum of the Total Beginning Value and the net of additional capital Contributions and Stanley in brokerage accounts and in advisory accounts. Additional information about Withdrawals for each reporting period. these differences is available at http://www.morganstanley.com/ourcommitment Net Portfolio Appreciation Annualized Standard Deviation The total dollar gain/loss of the portfolio for each reporting period. The Net Portfolio A measure of volatility, it quantifies how much a series of numbers, such as portfolio Appreciation includes the impact of income received and is calculated as the difference returns, deviates around its average. Since it measures the portfolio's investment between Net Invested Capital and Total Ending Value. volatility, the account's gross rate of return is used. Net Return Brokerage Account The return of the portfolio for the period reduced by the amount of fees/commissions In a brokerage re lationship, your Financial Advisor will work with you to facilitate the paid. The net of fees return is calculated gross of certain custody fees. execution of securities transactions on your behalf. Your Financial Advisor also provides investor education and professional, personalized information about financial Time-Weighted Return products and services in connection with these brokerage services. You can choose how Rate of return calculation methodology that eliminates the impact of external you want to pay for these services and you will receive the same services regardless of contributions and withdrawals to the portfolio value and measures the manager's which pricing option you choose. There are important differences in your relationship performance. Portfolio returns are calculated at least monthly and individual monthly with your Financial Advisor and Morgan Stanley in brokerage accounts and in advisory returns are geometrically linked to calculate total cumulative return. accounts. Additional information about these differences is available at http://www.morganstanley.com/ourcommitment Total Beginning Value Comparative Indices The total market value of the portfolio, valued on a trade date basis, at the beginning of each reporting period. The Total Beginning Value includes Accrued Income. A complete description of the comparative indices included in this Performance Report is available upon request. Total Ending Value Dollar-Weighted Return The total market value of the portfolio, valued on a trade date basis, at the end of each reporting period. The Total Ending Value includes Accrued Income. Rate of return calculation methodology that reflects both the timing and magnitude of external contributions and withdrawals and measures the portfolio's performance. The Weighted Average return for each month is calculated as the average return on all dollars invested. The average in which each yield to be averaged is assigned a weight. These weightings determine the relative importance or frequency of each yield on the average.
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Page Retrieved On: January 02, 20142:52:29 PM 150 This report is not an official account statement. Howard Jay Smith, Vice President, Wealth Advisor; Morgan Stanley Wealth Management
Ojai Valley Sanitary District Fourth Quarter, 2013 Notes January 3, 2014
Six months after Fed Chairman Bernanke's talk was incorrectly interpreted by Wall Street as suggesting a slowdown in purchases of long term bonds, the Fed finally acted in December and cut its purchases by some $10 billion per month. At the same time however, the Fed announced that it was staying with its long term effort to hold short term rates at their current extremely low rates well into 2015. Fed Chairman Bernanke's term in office ends shortly and we are awaiting final confirmation of his successor, Janet Yellin. Yellin has been a prime supporter of Bernanke' s stimulus philosophy and no changes in strategy are expected at this point. Again, the Prime Rate - the rate that most directly impacts the investments of the District - is not expected to rise any time soon. The criteria remain the same: a decline in unemployment to 6.5% from a current rate in the mid 7% range and an inflation rate in excess of 2.5%.
Prices of existing bonds have started to recover from the sell-off in May & June of 2013 . Unemployment numbers remain around 7.6%. Although part of the bond sell off was generated by fears - once again - of inflation that simply has not happened in the five plus years since the crash and it seems unlikely to do so any time in the near future. The weakening in bond prices has been the biggest impact on the types of bonds held by the Sanitary District.
Continued low rates mean that money market returns and short term bond rates will remain at or near record low levels. As before, this continues to weigh heavily on income streams generated from almost all fixed income investments. For example, daily LAIF rates which fell to an all-time low of 0.25% last quarter have inched up only fractionally to 0.26%. Please note all appropriate disclaimers that follow this summary.
The shape of the Yield Curve remains normal for almost all maturities. As before, the impact low rates over the next few years will have a significant impact on the returns for the District.
For example, the national average for a five year CD slid down from 1.70% to 1.45%. It was 2.20% two years ago .. As of today (1 /3/2014), the two year rate on T -bills moved up marginally to 0.39% from 0.33% from last. It was 1.07% 3 years ago. The national average for two year CD's fell to 0.45% from 0.50%. "A" rated corporate bonds for 2 years continued to slide from 0.80% in the Spring to 0.69%.
Two year out High Yield (junk bonds), which we do not invest in, but do make up a portion of the Merrill Lynch Index continued to fall from 3.32% fifteen months ago to 1.80%. Yields on the benchmark U. S. Treasury Ten Year bond moved up slightly from 2.63% to 2.98%. The 30 year bond also inched upward as well from 3.69% to 3.93% but still lags behind the summer of 2012's 4.01 %.
151 Howard Jay Smith, Vice President, Wealth Ad visor; Morgan Stanley Wealth Management
Stock investors have watched their portfolios slide down and then back up. As of today we are hovering close to 16,466, which is about 1,500 points above where the markets were before the 2008 crash and near its all-time high ..
Daily LAIF rates are 0.26 %
Since inception on 4112/2006 through 12/3112013, we have returned a Cumulative Total Net Return of 33.30%, which averages out to 3.79% Net Return Per Year.
Our capital appreciation after seven years in actual dollars is now at $2,434,520.73.
By comparison, during the same time period the Average Annual Return of the S&P 500 was 7.07%. The Standard Deviation (RISK) for the S&P for that same time period is 16.18. Our bond portfolio, while no longer outperforming the S&P, had a significantly lower Standard Deviation of only 2.13 or less than 1/7th the RISK.
"All prices and yields are as of 1/3/2014 and subject to change and availability. Past performance is not a guarantee of future results. The information and data contained in this report are from sources considered reliable, but their accuracy and completeness is not guaranteed. This report has been prepared for illustrative purposes only and is not intended to be used as a substitute for monthly transaction statements you receive on a regular basis from Morgan Stanley Wealth Management. Please compare the data on this document carefully with your monthly statements to verify its accuracy. The Company strongly encourages you to consult with your own accountants or other advisors with respect to any tax questions."
152 5900 Southwest Parkway, Bui l ding 1 • Austin , TX 7873 5 • Phone I 512 .32 7.5530 Fax I 512.327.5702 I www.sageadvisory.com
Weekly Economic Commentary- Week of December 20, 2013 This will be the last commentary for the year. Our next weekly will be published on January 3, 2014. We would like to wish all of our readers a Happy Holiday and a No Sign ofintlation prosperous New Year. Percent change, year ago 7.0 .---- The old ada8e "never say never" certainly rang true this week 6.0 +-- - Consumer Price Inde x as the Fed finally pulled the tapering trigger after six months of 5.0 --""-<:--- watching and waiting. Speculation over the timing of the move began last May when Fed chairman Bernanke first indicated 4.0 ~'A'--=- ' tIi.------that an unwinding of the $85 billion monthly asset purchase 3.0 11--.1--- program would likely start before the end of the year. As the 2.0 *1------=t"~f.- \-~
www.sag eadvisory.com 153 months ago. The job market has turned decidedly stronger si nce because of the public backlash spurred by past congressional the summer, consumers are flexing more spending muscle than transgressions. Indeed, the modest two-year budget deal passed a expected, and production is showing surprising strength. few weeks ago which averts another government shutdown, may wel l signal a nascent sp irit of reconciliation that will carryover Indeed, one highlight of the reports released this week was the into the debt-ceiling debate. We'll see . surge in industrial production, following months of disappointing results that seemed at odds with the strength in su rvey data, Finally, households have had another year of improving balance including the ISM manufacturing index. With the 1.1 % surge sheets that should underpin stronger consumer spending over the in industrial production in November - the strongest monthly com ing year. Collectively, net worth of all households rose to a increase in over a year - the hard data may now be catching record $77.4 trillion in the third quarter, recovering all of the $13.4 up. After the November gain, industrial production has finally trillion vaporized during the financial crisis and housing collapse surpassed its prerecession level, thanks in good part to the and then some. Admittedly, the astonishing stock-market rally persistent strength in auto output; motor vehicle production since the spring of 2009, which contributed importantly to the rise advanced by a so lid 3.4% during the month, lifting the total 7.5% in asset values, mostly benefited the top 10% of income-earners above the level of a year earlier. Based on current production who own more than 80% of all stocks. But the housing revival schedules, the auto sector shou ld provide another so lid lift to lifted millions of homeowners out of negative equity positions and production in December. But even as we celebrate recapturing the is helping to heal the balance sheets of Middle America as well. production peak of the last expansion, we should be mindful that Indeed, thanks to persistent and steep home-price increases over it took nearly six long years to get there. In previous recoveries it the past eighteen months combined with substantial mortgage took three years, considerably less time, to regain all of the ground paydowns, the equity position of homeowners rose above 50% in lost during recessions. the third quarter for the first time in six years.
Index Recapturing Lost Ground By all accounts, the housing recovery is still going strong and 105,---. should underpin further increases in property values in 2014. Yes, this week's report of existing home sales was a modest 100+---: disappointment, revealing a decline of 4.3% in November, the third consecutive monthly decline. But the recent slide reflects a 95+---- reduction in distressed sales which means that the quality of home sales is continuing to improve. A shortage of inventory is also 90 +-f---'\ holding back sales. The 5.1-month supply on the market is well under the 6 months that is considered normal. More important is 85+--- that sales of new homes are holding up well. Although November sales are not yet available, homebuilder optimism is at an eight
~~------~ year high and builders are putting up homes at a breakneck pace. 99 00 01 02 03 04 05 06 07 08 09 10 11 12 13 In November, housing starts surged nearly 23% to a five-year high and building permits over the last two months are at the highest To be sure, this is not the first time the economy seemed to level since early 2008. The sustained housing recovery, improving gather traction during the recovery only to fizzle out in subsequent household balance sheets, stronger job growth and the absence months. The Fed is acutely aware that it could happen again which of visible growth impediments, including tax increases, next year is the reason it insists that policy is not on a "preset course". Our should enable the economy's recent momentum to continue into sense is that another relapse is less likely to occur this time than 2014. it had in the recent past. For one, as the calendar closes on 2013, the new year faces fewer growth obstacles than in recent years . Housing Recovery Still Intact At the start of 2013 , the economy took an immed iate blow from ODDs ofUmts the hike in payroll taxes that hit struggling lower- and middle 2400 income earners especially hard. Shortly thereafter, in March, 2200 the unfortunate sequester spending cuts took effect, re inforcing Recession the fiscal drag that austerity measures imposed on the economy 200l in 2011. In earlier years, the economy had to contend with a 1800 sovereign debt crisis, a debt-ceiling crisis and lingering credit 1600 restrictions, to name a few of the impediments hampering the 14Xl recovery. 1200 For another, there is no reason to doubt that the step-up in job 1001 growth since last spring will be sustained into 2014. Yes, we 've 800 Slngle-Fam.ly Bu,[d»>g Perm.ts - seen job spurts evaporate several times in recent years. For 600 the most part, though, the reversals could be linked to some identifiable event, emanating mostly from Washington follies or 4Xl geopolitical tens ion s. Such disruptive sources seem less likely 200 to occur th is time around. To be sure, the debt-ceiling issue O L------~ still loom s large. Unless Congress increases the debt ceiling, 89 90 91 92 93 94 95 96 97 98 99 00 01 02 03 04 05 06 07 08 09 10 11 12 13 the government will run out of borrowing authority sometime late in the first quarter. Given the polarization on Capitol Hill, there's always a chance that intransigent legislators wi ll be at loggerheads over this hot-button issue, threatening a debt default that would shatter confidence and disrupt the financial markets. But this is le ss of a threat than it was la st year or in 201 1 if only
www.sageadvisory.com 154 Morgan Stanley CLIENT STATEMENT I For the Period December 1-31, 2013 Page 8 of 60
Consulting and Evaluation Services Active Assets Account OJAI VALLEY SANITARY DISTRICT Account Detail CIO JEFF PALMER
Investment Objectivest : Income, Aggressive Income, Capital Appreciation, Speculation Investment Advisory Account Manager: SAGE ADVISORY SERVICES LTO CO. t See the Expanded Disclosures for more information about investment objectives. Please review for accuracy and inform us if your investment otljectives change.
HOLDINGS
This section reflects positions purchasedlsold on a trade date basis, and will include positions purchased and omit positions sold in the current month. "Market Value" and "Unrealized Gain/(Loss)" are representative values as of the last business day of the statement period indicated, may not reflect the value that could be obtained in the market. See "Pricing of Securities" in the Expanded Disclosures. Fixed Income securities are sorted by maturity or pre-refunding date, and alphabetically within date. Estimated annual income and estimated yield for certain securities may include return of principal or capital gains which could overstate such estimates. Actual income or yield may be lower or higher than the estimates. Estimated yield reflects only the income generated by an investment and, it does not reflect changes in its price, which may fluctuate. Structured products appear in various statement product categories and are identified as "Structured Products" in the Security Description column, Estimated accrued interest, estimated annual income and estimated yield for structured products with a contingent income feature (such as Range Accrual Notes or Contingent Income Notes) assume specified accrual conditions are met during the relevant observation period and payment in full of all contingent interest. If you hold structured products, see "Special Considerations Regarding Structured Products" in the Disclosures. New Treasury regulations require that we report on Form 1099-B after the close of the tax year your acljusted cost basis and classify the gain or loss as either long-term or short-term on the sa le of covered securities acquired on or after January 1, 2011. These regulations also require that we make basis acljustments on covered securities due to wash sa les, certain corporate actions and transfers by gift or inheritance, which will be reflected on your Form 1099-B. Cost basis is reflected on monthly statements for informational purposes only and should not be used in the preparation of your income tax returns. Refer to the Expanded Disclosures for additional information.
CASH, BANK DEPOSIT PROGRAM AND MONEY MARKET FUNDS
Cash, Bank Deposit Program, and Money Market Funds are generally displayed on a settlement date basis. Estimated Annual Income, Accrued Interest. and APY% will only be displayed for fully seWed positions.
Description Value Estimated Annual Income 7-Day Current Yield % Annual percentage Yield % MORGAN STANLEY BANK N.A. # $615,280,59 $308.00 0 .050 MORGAN STANLEY PRIVATE BANK NA # 245,000,00 123.00 0.050 Estimated Percenta~e Annual Income of Assets Yo MarketJL&u1l. Accrued Interest CASH, BOP, AND MMFs 6.7% $860,280.59 $431.00 $0.00 # Bank Deposits are held at either: (1) Morgan Stanley Bank, N.A., and/or Morgan Stanley Private Bank, National Association, affiliates of Morgan Stanley Smith Barney LLC, or (2) Citibank, N.A., each a national bank and FDIC member. MUNICIPAL BONDS
Estimated Qr~ Iinil Cnsl Qr~ TOlal Cost Unrealized Annllal Income Security Description Trade Date Face Value A!i. Unit Cost A!i. Total Cost Market Value Gain/(loss) Accrued Interest Yield % CALIFORNIA ST GENL OBLIG 3/6/13 70,000.000 $109.793 $76,855.10 $3,815.00 5.14 CUS IP 13063A5C4 $105.970 $74,178.66 $74,218.20 $39.54 ST $953.75 Unit Price: $106.026; Coupon Rate 5.450%; Matures 04/01/2015; Int. Semi-Annually AprlOct 01; Yield to Maturity .603%; Ca llable Extraordinary; Sutlject to Federal Tax; Moody A 1 S&P A; Issued 04128109 7Z-/~ 155 Morgan Stanley Ii CLIENT STATEMENT For the Period December 1-31, 2013 Page 9 of 60
Consulting and Evaluation Services Active Assets Account OJAI VALLEY SANITARY DISTRICT Account Detail ---- -. C/O JEFF PALMER
FaCe Vahle Estimated Percenta~e 01. Total Cost Unrealized Aomlal Income of Assets Yo A I. Total Cost Gain/tloss Accrued Interest ·eld'lo. MUNICIPAL BONDS 70,000.000 $76,855.10 $3,815.00 5.14% $74,178.66 $74,218.20 $39.54 ST $953.75
TOTAL MUNICIPAL BONDS (incl.accr.int.) 0.6% $75,171 .95
CORPORATE FIXED INCOME CORPORATE BONDS Estimated or~ Iln;t Cost or~ Total Cost Unrealized Annual Income Security Description Trade Date Face Value A!i. Unit Cost A!j. Total Cost Market Value Gain/(loss) Accrued Interest Vield% SHElllNTl FIN 7/2/10 5,000.000 $105.922 $5,296.10 $200.00 3.96 CU51P 822582AF9 $100.369 $5,018.44 $5,039.25 $20.81 LT $55.55 Unit Price: $100. 785; Coupon Rate 4.000%; Matures 03/21/2014; Int. Semi-Annually Mar/Sep 21; Moody AA1 S&PAA; Issued 03/23/09 RIO TlNTO FINANCE USA LIMITED 5/30/13 60,000.000 107.460 64,476.00 5,370.00 8.72 CU51P 767201AF3 102.741 61,644.68 61,572.00 (72.68) 5T 895.00 Unit Price: $102.620; Coupon Rate 8.950%; Matures 05/01/2014; In t. Semi-Annually May/Nov 01;}ield to_MatuCity 1.047%; Moody A3 S&P A-; Issued 04/17/09 SOUTHERN CO 6/7/13 65,000.000 103.323 67,159.95 2,697.50 4.09 CU51P842587CE5 101.339 65,870.11 65,867.10 (3.01)5T 344,68 Unit Price: $101.334; Coupon Rate 4.150%; Matures 05/15/2014; Int. Semi-Annually May/Nov 15; Yield to Maturity .556%; Moody BAA1 S&PA-; Issued 05/19/09 HEWLETT PACKARD CO 12/19/13 65,000.000 100.047 65,030.55 414.40 0.63 CU51P 428236BJl 100,045 65,029.18 65,014.30 (14.88) 5T 34.53 ~ Unit Price: $100.022; Coupon Rate 0.637%; Matures 05/30/2014; Inte[e.st Paid Quarterly Aug 30; Yield to Maturity .583%; Floater; Moody BAA 1 S&P BBB +; Issued 05/31/11 c7i ~ PACIFICORP 10/1/09 35,000.000 108.534 37,986.90 N CU5 1P 695114BY3 101.163 35,406.99 35,971.95 564.96 LT N Na 7/20/10 10,000.000 111.542 11,154.20 a 101.828 10,182.75 10,277.70 94.95 LT 9/27/13 10,000.000 103.958 10,395.80 102.834 10,283.35 10,277.70 (5.65) 5T Total 55,000.000 59,536.90 2,722.50 4.81 55,873.09 56,527.35 659.91 LT 1,028.50 (5.65) 5T Unit Price: $102.777; Coupon Rate 4.950%; Matures 08/15/2014; Int. Semi-AnnuallYJ'_ebiAug 15; Moody A2 (+J S&P A; Issued 08124/04 PUB SVC ELEC & GAS 8/10/11 55,000000 99.941 54,967.55 467.50 0.84 CU51P 74456QAY2 99.941 54,967.55 55,157,30 189.75 LT 176.61 Unit Price: $100.286; Coupon Rate 0.850%; Matures 08115/2014; Int. Semi-Annually Feb/Aug 15; Moody A 1 (+J S&P A; Issued 08/16/11 PECO ENERGY CO 3/19/09 55,000.000 99.885 54,936.75 2,750.00 4.84 CU51P 693304AN7 99.885 54,936.75 56,790,80 1,854.05 LT 687.50 Unit Price: $103.256; Coupon Rate 5.000%; Matures 10/01/2014; Int. Semi-Annually Apr/Oct 01; Yield to Maturity .640%; Moody A 1 (+ J S&P A-; Issued 03126/09 .;?..,z-Ib 156 Morgan Stanley CLIENT STATEMENT For the Period December 1-31, 2013 Page 10 of 60
Consulting and Evaluation Services Active Assets Account OJAI VALLEY SANITARY DISTRICT Account Detail C/O JEFF PALMER
CORPORATE FIXED INCOME CORPORATE BONDS (CONTINUED) Estimated Qr~ ! Init Cps! Qr~ Jptal Cpst Unrealized Annllal Income Securit~~cl'ipli~n Trade Date Face Value A!i. Unit Cost A!i. Total Cost Market Value Gain/(Loss) Accrued Interest Yield % CITIGROUP INC 8/2 1/1 3 60,000.000 99,800 59,880,00 310,60 0,51 CU51P 172967C58 99,800 59,880,00 59,976.60 96,605T 46,59 Unit Price: $99,961; Coupon Rate 0,517%; Matures 11/05/2014; Interest Pa id Quarterly Feb 07; Yield to Maturity__ ~563%; Floater; Moody BAA2 S&P A-; Issued 11/05/04 COLGATE-PALMOLIVE CO 11/3111 45,000,000 99,621 44,829.45 270,00 0,59 CU5 1P 19416QDW7 99,621 44,829.45 45,084.15 254,70 LT 34,50 Unit Price: $100,187; Coupon Rate 0,600%; Matures 11/15/2014; Int. Semi-Annually May/Nov 15; Moody AA3 S&P AA-; Issued 11/08/11 BANK OF NY MELLON 10/26/10 85,000,000 105.464 89,644.40 2,635.00 3.01 CU51P 06406HBN8 101,385 86,177,32 87,289.05 1,111,73 LT 1,215.02 Unit Price: $102,693; Coupon Rate 3,100%; Matures 01/15/2015; Int. Semi-Annually Jan/Jul 15; Moody A 1 S&P A+; Issued 11/16/09 EI DU PONT DE NEMOUR & CO 11/4/09 55,000.000 99.757 54,866,35 CU51P 263534BY4 99.757 54,866,35 56,577,95 1,711.60 LT 5/18/10 15,000,000 102.940 15.441.00 100.687 15,103.11 15.430.35 327.24LT Total 70,000.000 70,307.35 2,275.00 3.15 69,969.46 72,008.30 2,038.84 LT 1,049.02 Unit Price: $102.869; Coupon Rate 3.250%; Matures 01/15/2015; Int. Semi-Annually Jan/Jul 15; Moody A2 S&P A; Issued 11/09/09 SIMON PROPERTY GROUP LP 3/2 1/12 45,000.000 106.512 47,930.40 CU5 1P 828807CC9 102.517 46,132.55 46,323.00 190.45 LT 10/1/12 10,000.000 106.568 10,656.80 103.084 10,308.44 10,294.00 (14.44) LT Total 55,000.000 58,587.20 2,310.00 4.08 56.440,99 56,617.00 176.01 LT 962.50 Unit Price: $102.940; Coupon Rate 4.200%; Matures 02/01/2015; Int. Semi-Annually Feb/Aug 01; Callable $100.00 on 11/01/14; Yield to Call .656%; Moody A2 S&P A; Issued 01/25/10 BHP BILLITON FIN USA LTD 10/26/12 55,000.000 100.971 55,534.05 550.00 0.99 CU51P 055451AN8 100.482 55,265.31 55,301.40 36.09 LT 194.02 Unit Price: $100.548; Coupon Rate 1.000%; Matures 02/24/2015; Int. Semi-Annually Feb/Aug 24; Yield to Maturity .520%; Moody A1 S&PA+; Issued 02/24/12 GENERAL MILLS INC 9117/13 85,000.000 106.748 90,735.80 4.420.00 4.93 CU51P 370334BFO 105.483 89,660.4 7 89,621.45 (39.02) 5T 1,276.88 Unit Price: $105.437; Coupon Rate 5.200%; Matures 03/17/2015; Int. Semi-Annually MariSep 17; Yield to Maturity ,684%; Moody A3 S&P BBB+; Issued 03117/08 BANK OF AMERICA CORP 7/29/13 35,000.000 105.205 36,821 ,7 5 1,575.00 4.30 CU51P 06051 GEB1 103.912 36,369.35 36,616.30 246.955T 393 .75 Unit Price: $104.618; Coupon Rate 4.500%; Matures 04/01/2015; Int. Semi-Annually Apr/Oct 01; Yield to Maturity .780%; Moody BAA2 S&P A-; Issued 03/11/10
;?Z-17
157 Morgan Stanley ~ CLIENT STATEMENT For the Period December 1-31, 2013 Page 11 of 60
Consulting and Evaluation Services Active Assets Account OJAI VALLEY SANITARY DISTRICT Account Detail C/O JEFF PALMER
CORPORATE FIXED INCOME CORPORATE BONDS (CONTINUED) Estimated or~ llnit Cost or~ Total Cost Unrealized Annual Income Securitypescrip!ion Trade Date Face Value A!i. Unit Cost A!i. Total Cost Market Value Gain/(Loss) Accrued Interest Yield % GLAXOSMITHKlINE CAPITAL 8/6/12 45,000.000 100.408 45,183.60 CU51P 377373ABl 100.202 45,090.78 45,178.65 87.87 LT 8/6/12 40,000.000 100.435 40,174.00 100.215 40,086.02 40,158.80 72.78 LT 10/1/12 5,000.000 100.820 5,041.00 100.429 5,021.45 5,019.85 (1.60) LT Total 90,000.000 90,398.60 675.00 0.74 90,198.25 90,357.30 159.05LT 99.37 Unit Price: $700.397; Coupon Rate 0.750%; Matures 0510812015; Int. Semi-Annually MaylNov 08; Moody A 1 S&P A +; Issued 05109112 HSBC FINANCE CORP 10/22/10 95,000.000 109.831 104,339.45 CU51P 40429CC59 103.284 98,119.40 100,388.40 2,269.00 LT 3/20/13 5,000.000 108.451 5,422.55 105.614 5,280.70 5,283.60 2.905T Total 100,000.000 109,762.00 5,000.00 4.73 103,400.10 105,672.00 2,269.00 LT 2.905T Unit Price: $105.672; Coupon Rate 5.000%; Matures 0613012015; Int. Semi-Annually JunlDec 30; Yield to Maturity 1.167%; Moody BAA 1 S&P A; Issued 06127105 N ANHEUSER-BUSCH INBEV WORLDWIDE 5/14113 60,000.000 100.465 60,279.00 480.00 0.79 ~ CU51P 03523TBM9 100.332 60,199.02 60,298.80 99.785T 221.33 «en Unit Price: $100.498; Coupon Rate 0.800%; Matures 0711512015; Int. Semi-Annually JanlJul 15; Moody A3 S&P A; Issued 07116112 :::;: BANK OF NEW YORK MELLON 10/19/12 70,000.000 99.897 69,927.90 N N CU51P 064061-1C09 99.897 69,927,90 70,127.40 199.50 LT No o 7/11/13 15,000.000 99.766 14,964.90 99.766 14,964.90 15,027.30 62.405T Total 85,000.000 84,892.80 595.00 0.69 84,892.80 85,154.70 199.50 LT 112.38 62.405T Unit Price: $100.182; Coupon Rate 0.700%; Matures 70/2312015; Int. Semi-Annually AprlOct 23; Callable $700.00 on 09123115; Yie ld to Call .594%; Moody A 1 S&P A+; Issued 10125112 BP CAPITAL MARKETS PLC 6/10/13 100,000.000 99.716 99,716.00 700.00 0.69 CU51P 05565QCA4 99.716 99,716.00 100,145.00 429.005T 106.94 Unit Price: $100.145; Coupon Rate 0.700%; Matures 11106/2015; Int. Semi:j\nrJIJall), May/Nov 06; Yield to Maturity .621%; Moody A2 S&P A; Issued 11106112 JOHN DEERE CAPITAL CORPORATION 12/11/13 65,000.000 100.198 65,128.70 487.50 0.75 CU51P 24422ERZ4 100.194 65,126.17 64,835.55 (290.62) 5T 215.31 Unit Price: $99.747; Coupon Rate 0.750%; Matures 01122/2016; Int. Semi-Annually JanlJul22; Yie ld to Maturity .874%; Moody A2 S&P A; Issued 01123113 COM CAST CORP 9/17/13 70,000.000 111.792 78,254.40 4,130.00 5.34 CU51P 20030NAL5 110.476 77,332.86 77,307.30 (25.56) 5T 1,216.05 Unit Price: $110.439; Coupon Rate 5.900%; Matures 03115/2016; Int. Semi-Annually MarlSep 15; Yield to Maturity 1.096%; Moody A3 S&P A-; Issued 03102106 7 2 -/8 158 Morgan Stanley CLIENT STATEMENT For the Period December 1-31, 2013 Page 12 of 60
Consulting and Evaluation Services Actjve. Af~l!tsAccount OJAI VALLEY SANITARY DISTRICT Account Detail C/O JEFF PALMER
CORPORATE FIXED INCOME CORPORATE BONDS (CONTINUED) Estimated Qr~ ! Inil Cpst Qr~ Tpta! Cpst Unrealized Annual Incpme Security Description Trade Date Face Value A!j. Unit Cost A~ . Total Cost Market Value Gain/(Loss) Accrued Interest Yield % VODAFONE GROUP PLC 7/26/13 125,000.000 103.756 129.695.00 3,593.80 2.77 CU5 1P 92857WAWO 103.169 128.960.84 129,587.50 626.665T 1,048.17 Unit Price: $103.670; Coupon Rate 2.875%; Matures 0311612016; Int. Semi-Annually MarlSep 16; Yield to Maturity 1.186%; Moody A3 S&P A-; Issued 03116111 RIO TINTO FIN USA PLC 12/6/13 65,000.000 100.681 65,442.65 893.80 1.35 CU51P 76720AALO 100.666 65,433.00 66,012.05 579.055T 34.75 Unit Price: $101.557; Coupon Rate 1.375%; Matures 06/1712016; In t. Semi-Annually JunlOec 17; Yie ld to Maturity .735%; Moody A3 S&P A-; Issued 06119113 J P MORGAN CHASE CO 10/20/1 1 100,000.000 99.293 99,293.00 CU5 1P 46625HJA9 99.293 99.293.00 104.838.00 5.545.00 LT 6/27/12 80,000.000 102.788 82.230.40 101.778 81,422.25 83,870.40 2.448.15 LT Total 180.000.000 181,523.40 5.670.00 3.00 180,715.25 188,708.40 7.993.15 LT 2,772.00 Unit Price: $104.838; Coupon Rate 3.150%; Matures 0710512016; Int. Semi-Annually JanlJul 05; Yield to Maturity 1.189%; Moody A3 S&P A; Issued 06/29111 WELLS FARGO & COMPANY 10/15/13 115,000.000 100.175 115,201.25 CU51P 94974BFL9 100.162 115,186.65 115.853.30 666.655T 12/9/13 15.000.000 100.894 15,134.10 100.876 15,131.41 15.111.30 (20.11) 5T Total 130.000.000 130,335.35 1,625.00 1.24 130,318.06 130,964.60 646.545T 686.11 Unit Price: $100.742; Coupon Rate 1.250%; Matures 07/2012016; Int. Semi-Annually JanlJul 20; Yie ld to Maturity .955%; First Coupon 01120114; Moody A2 S&P A+; Issued 07129113 CATERPILLAR FINANCIAL 8/16/11 80,000.000 101.407 81,125.60 1.640.00 1.99 CU51P 14912L4X6 100.749 80.599.46 82,123.20 1,523.74 LT 683.33 Unit Price: $102.654; Coupon Rate 2.050%; Matures 08/0112016; Int. Semi-Annually FeblAug 01; Yield to Maturity 1.007%; Moody A2 S&P A; Issued 07/29111 AMERICAN EXPRESS CREDIT 3/20/13 100.000.000 106.087 106.087.00 2.800.00 2.67 CU51P 0258MODCO 104.765 104,765.10 104,488.00 (277.10) 5T 793.33 Unit Price: $104.488; Coupon Rate 2.800%; Matures 09/1912016; Int. Semi-Annually MarlSep 19; Yield to Maturity 1.118%; Moody A2 S&P A-; Issued 09/19111 BNP PARIBAS 12/5/13 85.000.000 99.897 84,912.45 1.062.50 1.24 CU5 1P 05574LTW8 99.897 84,912.45 85,062.05 149.605T 56.07 Unit Price: $100.073; Coupon Rate 1250%; Matures 12/1212016; Int. Semi-Annually JunlOec 12; Yield to Maturity 1225%; First Coupon 06112114; Moody A2 S&P A+; Issued 12112113 GENERAL ELECTRIC CAPITAL CORP 12/12/13 120,000.000 104.644 125.572.80 3,480.00 2.77 CU5 1P 36962G5NO 104.586 125.503.22 125,276.40 (226.82) 5T 1.662.66 Unit Price: $104.397; COUpOIl Rate 2.900%; Matures 01/0912017; Int. Semi-Annually JanlJul 09; Yield to MaturitL}~09%;Moody A 1 S&P AA+; Issued 01109112 TOYOTA MOTOR CREDIT CORP 1/11/12 75,000.000 100.250 75.187.50 1,537.50 2.00 CU51P 89233P551 100.155 75.116.17 76,649.25 1.533.08 LT 721.77 Unit Price: $102.199; Coupon Rate 2.050%. Matures 01/1212017; Int. Semi-Annually JanlJul 12; Yield to Maturitx L}OB%; Moodr AA3 S&P AA-; Issued 01112112 ;2,2--11 159 Morgan Stanley a CLIENT STATEMENT For the Period December 1-31, 2013 Page 13 of 60
Consulting and Evaluation Services Active Assets Account OJAI VALLEY SANITARY DISTRICT Account Detail :/0 JEFF PALMER
CORPORATE FIXED INCOME CORPORATE BONDS (CONTINUED) Estimated Qr~ lin it Cost Qr~ Iotal Cost Unrealized Aoollal Income Security Description Trade Date Face Value A~. Unit Cost A!i. Total Cost Market Value Gain/(loss) Accrued Interest Yield % WALT DISNEY COMPANY 10/1/13 60,000.000 99.783 59.869.80 675.00 1.1 3 CU5 1P 25468PC53 99.783 59,869.80 59,632.80 (237.00) 5T 255.00 Unit Price: $99.388; Coupon Rate 1.125%; Matures 02/15/2017; Int. Semi-Annually Feb/Aug 15; Yield to Maturity 1.326%; Moody A2 S&P A; Issued 02/14/12 PHILIP MORRIS INTL INC 5/29/13 95,000.000 101.367 96,298.65 1.543.80 1.62 CU5 1P 718172AN9 101.163 96,104.78 95,114.95 (989.83) 5T 433.10 Unit Price: $100.121; Coupon Rate 1.625%; Matures 03/20/2017; Int. Semi-Annually Mar/Sep 20; Yie ld to Maturity 1.586%; Moody A2 S&P A; Issued 03/20/12 BURLINGTON NORTHN SANTA FE 4/3/13 60,000.000 117.398 70,438.80 3,390.00 5.03 CU51P 12189TAYO 114.333 68,599.68 67,290.60 (1,309.08) 5T 565.00 Unit Price: $112.151; Coupon Rate 5.650%; Matures 05/01/2017; Int. Semi-Annually May/Nov 01; Yield to Maturity 1.872%; Moody A3 S&P BBB + ; Issued 04/13/07 WELLS FARGO 4/30/12 70,000.000 99.920 69,944.00 1.470.00 2.06 CU5 1P 94974BFD7 99.920 69,944.00 71,305.50 1,361.50 LT 216.41 Unit Price: $101.865; Coupon Rate 2.100%; Matures 05/08/2017; Int. Semi-Annually May/Nov 08; Yield to Maturity 1.527%; Moody A2 S&P A+; Issued 05/07112 TOTAL CAPITAL INTL SA 3/8/13 60,000.000 101.052 60,631.20 930.00 1.54 CU51P 89153VAC3 100.860 60.516.14 60,012.60 (503.54) 5T 7.74 Unit Price: $100.021; Coupon Rate 1.550%; Matures 06/28/2017; Int. Semi-Annually Jun/Oec 28; Yield to Maturity 1.544%; Moody AA 1 S&P AA-; Issued 06/28/12 STARBUCKS CORP 6/19/13 55,000.000 117.887 64,837.85 3.437.50 5.36 CU51P 855244AC3 115.711 63.640.86 64,086.00 445.145T 1,298.61 ....N S&P A-; Issued 08/23/07 ~ Unit Price: $116.520; Coupon Rate 6.250%; Matures 08/15/2017; Int. Semi-Annually Feb/Aug 15; Yield~oMaturiiL1-§43%; M~ BAA1 o ;;i IBM CORP 5/31/13 100,000.000 117.717 117.717.00 5.700.00 4.96 ::2: CU51P 459200GJ4 115.404 115,403.74 114,830.00 (573.74) 5T 1,694.16 N S&P AA-; Issued 09/14/07 N Unit Price: $114.830; Coupon Rate 5.700%; Matures 09/14/2017; Int. Semi-Annually Mar/Sep 14; Yield to Maturity 1.562%; Moody AA3 ~ ORACLE CORP 6/5/13 100,000.000 99.247 99.247.00 1,200.00 1.21 o CU5 1P 68389XAN5 99.247 99,247.00 98,406.00 (841.00) 5T 253.33 Unit Price: $98.406; Coupon Rate 1.200%; Matures 1011512017;lnt. Semi-Annually Apr/Oct 15; Yield to Maturity 1.635%; Moody A1 S&P A +; Issued 10/25/12 UNITEDHEALTH GROUP INC 10/18112 55.000.000 99.880 54.934.00 CU5 1P 91324PBY7 99.880 54.934.00 54.30535 (628.65) LT 11/26/13 15.000.000 100.135 15,020.25 100.132 15.019.84 14,810.55 (209.29) 5T Total 70,000.000 69,954.25 980.00 1.41 69,953.84 69,115.90 (628.65) LT 206.88 (209.29) 5T Unit Price: $98.737; Coupon Rate 1.400%; Matures 10/15/2017; Int. Semi-Annually Apr/Oct 15; Yie ld to Maturity 1.746%; Moody A3 S&P A; Issued 10/22/12 POTASH CORPORATION OF SASKATCHEWAN 4125113 85,000.000 108.686 92.383.10 2.762.50 3.11 INC. 107.449 91,331.74 88,695.80 (2,635.94) 5T 230.20 CU51P 73755LAJ6 Unit Price: $104.348; Coupon Rate 3.250%; Matures 12101/2017; Int. Semi-Annually Jun/Oec 01; Yield to Maturity 2.088%; Moody A3 S&P A-; Issued 11/30/10 22-20 160 Morgan Stanley eLi ENT STATEMENT I For the Period December 1-31, 2013 Page 14 of 60
Consulting and Evaluation Services Active Assets Account OJAI VALLEY SANITARY DISTRICT Account Detail CIO JEFF PALMER
CORPORATE FIXED INCOME CORPORATE BONDS (CONTINUED) Estimated or~ Ilnil Cnsl or~ Total Cosl Unrealized Annual Income Security Description Trade Date Face Value A!i. Unit Cost Ali. Total Cost Market Value Gain/(Loss) Accrued Interest Yield % CONOCO PHILLIPS COMPANY 6/10/13 65,000.000 98.210 63,836.50 682.50 1.07 CU51P 20826FAB2 98.210 63,836.50 63,426.35 (410.15)5T 30.33 Unit Price: $97.579; Coupon Rate 1.050%; Matures 1211512017; Int. Semi-Annually JunlDec 15; Ca llab/~ $100.00 on 11115117; Yield to Maturity 1.685%; Moody A 1 S&P A; Issued 12107112 INTEL CORP 1/14/13 80,000.000 100.123 80,098.40 CU51P 458140AL4 100.100 80,079.75 79,067.20 (1,012.55) 5T 9/17113 20,000000 98.079 19,615.80 98.079 19,615.80 19,766.80 151.005T Total 100,000.000 99.714.20 1,350.00 1.36 99,695.55 98,834.00 (861.55) 5T 59.99 Unit Price: $98.834; Coupon Rate 1.350%; Matures 1211512017; Int. Semi-Annually JunlDec 15; Yield to Maturity 1.656%; Moody A1 S&P A+; Issued 12111112 SHERWIN-WILLIAMS CO 5113/13 60,000.000 100.119 60,071.40 810.00 1.38 CU51P 824348AP1 100.103 60,061.92 58,422.60 (1,639.32) 5T 35.99 Unit Price: $97.371; Coupon Rate 1.350%; Matures 12/1512017; Int. Semi-Annually JunlDec 15; Yie ld to Maturity 2.045%; Moody A3 S&P A; Issued 12107112 BANK OF NOVA SCOTIA 8/8/13 60,000.000 97.884 58,730.40 825.00 1.40 CU51P 064159BE5 97 .884 58,730.40 58,880.40 150.005T 29.79 Unit Price: $98.134; Coupon Rate 1.375%; Matures 1211812017; Int. Semi-Annually JunlDec 18; Callable ~700.00 on 11/18117; Yield to Maturity 1.866%; Moody AA2 S&P A+; Issued 12/18112 AT&T INC 12/6113 65,000.000 99.804 64,872.60 1,543.80 2.37 CU51P 00206RCA8 99.804 64,872.60 65,055.90 183.305T 145.79 Unit Price: $100.086; Coupon Rate 2.375%; Matures 11127/2018; Int. Semi-Annually MaylNov 27; Yield to Maturity 2.356%; First Coupon 05127114; Moody A3 S&P A-; Issued 11127113 CORPORATE BONDS 3,485,000.000 $3,594,603.80 $90,637.70 2.54% $3,560,929.45 $3,574,233.85 $20,752.26LT $24,286.54 $(7,447.86) ST OTHER FIXED INCOME Estimated or~ Iln;1 Cosl or~ Tolal CoSI Unrealized Annllal Income Security Description Trade Date Face Valu~ ~!i . Unit Cost A!i. Total Cost Market Value Gain/(Loss) Accrued Interest Yield % ALLY AUTO RECEIVABLES TRUST 2012-3 A2 5/22/12 90,000.000 $99.996 $89,995.95 $14.62 0.69 CU51P 02005EAB6 $99.996 $2,089.11 $2,089.37 $0.26 LT $0.64 Unit Price: $100.008; Coupon Rate 0.700%; Matures 0111512015; Interest Paid Monthly Dec 15; Yield to Maturity .691%; Factor .02321342; Moody AAA S&PAAA; Issued 05130112; Current Face 2,089.208 WFNMT 2010-A A 6/11/13 105,000.000 106.109 111.414.87 4,158.00 3.79 CU51P 981464CJ7 106.109 111.414.87 109,708.20 (1,706.67) 5T 184.79 Unit Price: $104.484; Coupon Rate 3.960%; Matures 0611512015; Interest Paid Monthly Dec 15; Yield to Maturity .853%; S&P AAA; Issued 07108110 VOLKSWAGEN AUTO LEASE TRUST 2012-A 6/14/12 85,000.000 99.980 84,983.26 A3 99.980 81.413.63 81,609.62 195.99 LT CU51P 92867KAC8 4/17/13 35,000.000 100.500 35,175.00 100.500 33,697.51 33,603.96 (93.55) 5T 2;?-Z/ 161 Morgan Stanley CLIENT STATEMENT For the Period December 1-31, 2013 Page 15 of• 60 Consulting and Evaluation Services Active Assets Account OJAI VALLEY SANITARY DISTRICT Account Detail C/O JEFF PALMER
CORPORATE FIXED INCOME OTHER FIXED INCOME (CONTINUED) Estimated or~ Ilnjl CoSI Qr~ Tolal CoSI Unrealized Annllal Income Security Description Trade Date Face Value A!i. Unit Cost A]. Total Cost Market Value Gain/(Loss) Accrued Interest Vield% Total 120,000.000 120,158.26 1,000.14 0.86 115,111 .14 115,213.59 195.99 LT 30.56 (93.55) ST Unit Price: $100.221; Coupon Rate 0.870%; Matures 0712012015; Interest Paid Monthly Jan 20; Yield to Maturity .726%; Factor .95799673; S&P AAA; Issued 06121112; Current Face 114,959.536 WORLDOMNIAUTOMOBILELEASE2012-A 6/5/12 150,000.000 99.986 149,978.55 1,395.00 0.92 A3 99.986 149,978.55 150,408.00 429.45 LT 61.99 CUSIP 98158VAC9 Unit Price: $ 100.272; Coupon Rate 0.930%; Matures 1111612015; Interest Paid Monthly Dec 15; Yield to Maturity .783%; Moody AAA; Issued 06113112 AMERICREDIT AUTOMOBILE RECEIVABLES 6/19/12 100,000.000 99.993 99,993.40 163.69 0.70 TRUST 2012-3 A2 99.993 23,053.96 23,061.01 7.05 LT 10.45 CUS IP 03061 UAB9 Unit Price: $100.024; Coupon Rate 0.710%; Matures 121081201 5; Interest Paid Monthly Jan 08; Yield to Maturity .697%; Factor .23055487; Moody AAA S&P AAA; Issued 06127112; Current Face 23,055.481 FITAT 2013-1 A2 8/14/13 110,000.000 99.997 109,996.15 1,001.00 0.90 CUS IP 31679GAB5 99.997 109,996.15 110,034.10 37 .95 ST 44.48 Unit Price: $700.031; Coupon Rate 0.910%; Matures 0311512016; Interest Paid Monthly Dec 15; Yie ld to Maturity .895%; fv100dy AAA S&PAAA; Issued 08121113 MBART2013-1 A2 7/23/13 115,000.000 99.992 114,991.15 575.00 0.49 ~ CUS IP 58768WAB5 99.992 114,991.15 115,046.00 54.85 ST 25.55 Unit Price: $100.040; Coupon Rate 0.500%; Matures 0311512016; Interest Paid Monthly Dec 15; S&P AAA; Issued 07131113 «~ Cf) HONDA AUTO RECEIVABLES OWNER TRUST 7/17/12 120,000.000 99.999 119,999.16 672.00 0.55 :::;: 2012-3 A3 99.999 119,999.16 120,154.80 155.64 LT 29.86 N ~ N CUS IP 43813XAC8 ~ o Unit Price: $100.129; Coupon Rate 0.560%; Matures 0511512016; Interest Paid Monthly Dec 15; Yield to Maturity .505%; Moody AAA; Issued 07125112 HART 2013-C A2 9/11/13 85,000.000 99.996 84,996.18 484.50 0.56 CUSIP 44890QAB9 99.996 84.996.18 85,095.20 99.02 ST 21.53 Unit Price: $100.112; Coupon Rate 0.570%; Matures 0611512016; Interest Paid Monthly Dec 15; Yield to Maturity .524%; Moody AAA S&PAAA; Issued 09178173 CARMX 2013-4 A2 10/30/13 80,000.000 99.991 79,992.64 560.00 0.69 CUSIP 14313PAB3 99.991 79,992.64 80,010.40 17.76 ST 24.88 Unit Price: $100.013; Coupon Rate 0.700%; Matures 11/ 15/2016; Interest Paid Monthly Dec 15; Yield to Maturity .695%; Moody AAA; Issued 11107113 COMET 2004-1A A 8/28/13 70,000.000 100.059 70,041.02 CUS IP 14041 NBG5 100.059 70,041.02 70,011.90 (29.12) ST 10/9/13 45,000.000 100.063 45,028.13 100.063 45,028.13 45,007.65 (20.48) ST Total 115,000.000 115,069.15 433.09 0.37 115,069.15 115,019.55 (49.60) ST 18.04 Unit Price: $ 100.017; Coupon Rate 0.376%; Matures 121151207~;lnterest Paid Monthly Dec 16; Floater; Moody AAA S&P AAA; Issued 02126104 ?Z-22-- 162 Morgan Stanley CLIENT STATEMENT I For the Period December 1-31, 2013 Page 16 of 60
Consulting and Evaluation Services Active Assets Account OJAI VALLEY SANITARY DISTRICT Account Detail " C/O JEFF PALMER
CORPORATE FIXED INCOME OTHER FIXED INCOME (CONTINUED) Estimated or~ !!njt Cost Qr~ TWal Cost Unrealized Annual Income SecurityJ:>escription Trade Date Face Value A!j. Unit Cost A!i. Total Cost Market Value Gain/(Loss) Accrued Interest Yield % WORLD OMNI AUTO RECEIVABLES TRUST 7/11/12 75,000.000 99.993 74.994.38 750.00 0.99 2012-A A3 99.993 74,994.38 75,147.75 153.37 LT 33.33 CU51P 98157HAB3 Unit Price: $100. 197; Coupon Rate 1.000%; Matures 0211512017; Interest Paid Monthly Dec 15; Yield to Maturity .936%; Moody AAA S&P AAA; Issued 07118112 HYUNDAI AUTO RECEIVABLES TRUST 10/10/12 105,000.000 99.987 104,986.77 2012-CA3 99.987 104,986.77 105.056.70 69.93 LT CU51P 44890KACO 3/12/13 15,000.000 100.1 33 15,019.92 100.133 15,019.92 15,008.10 (11.82) 5T Total 120.000.000 120.006.69 636.00 0.52 120,006.69 120,064.80 69.93 LT 28.26 (11.82) 5T Unit Price: $100.054; Coupon Rate 0.530%; Matures 04117/2017; Interest Paid Monthly Dec 15; Yield to Maturity .513%; Moody AAA S&P AAA; Issued 10117112 AMCAR2012-5A3 11/15/12 60,000.000 99 .986 59,991.30 372.00 0.62 CU5 1P 03064XAC8 99.986 59,991 .30 59,976.60 (14.70) LT 23.76 Unit Price: $99.961; Coupon Rate 0.620%; Matures 06/08/2017; Interest Pa id Monthly Dec 08; Yield to Maturity .631%; S&P AAA; Issued 11120112 HART 2013-AA3 1/24/13 80,000.000 99.997 79,997.52 632.00 0.78 CU51P 44890JAC3 99.997 79,997.52 80,004.80 7.285T 28.08 Unit Price: $ 100.006; Coupon Rate 0.790%; Matures 0711512017; Interest Paid Monthly Dec 15; Yield to Maturity .788%; Moody AAA S&P AAA; Issued 01130113 TAOT 2013-B A3 9/11/13 65,000.000 99.995 64,996.88 578.50 0.88 CU5 1P 89236VAC4 99.995 64,996.88 65,301.60 304.725T 25. 71 Unit Price: $100.464; Coupon Rate 0.890%; Matures 0711712017; Interest Paid Monthly Dec 15; Yield to Maturity .757%; Moody AAA S&P AAA; Issued 09118113 CARMX 2013·1 A3 2/6/13 80,000.000 99.997 79,997.60 CU51P 1431 3LACO 99.997 79,997.60 79,958.40 (39 .20) 5T 3/26/13 15,000.000 99.895 14,984.18 99.895 14,984.18 14.99220 8.025T 4/26/13 25.000.000 100.121 25,030.28 100.121 25,030.28 24,987.00 (43 .28) 5T Total 120,000.000 120,012.06 720.00 0.60 120,012.06 119,937.60 (74.46) 5T 31.99 Unit Price: $99.948; Coupon Rate 0.600%; Matures 1011612017; Interest Paid Monthly Dec 15; Yield to Maturity .614%; Moody AAA S&P AAA; Issued 02114113 GE CAPITAL CREDIT CARD MASTER NOTE 6/14/12 105,000.000 99.973 104,971.97 997.50 0.94 TRUST 2012·5 A 99.973 104,971.97 105,391.65 419.68LT 44.33 CU51P 36159JOE8 Unit Price: $100.373; Coupon Rate 0.950%; Matures 0611512018; Interest Paid Monthly Dec 15; Yield to Maturity .864%; Moody AAA; Issued 06120112 FNMNT 2013-2 A 10/1 8/13 55,000.000 100,000 55,000.00 385.00 0.70 CU51P 32113CB01 100.000 55,000.00 55,000.00 0.005T 16.04 Unit Price: $100.000; Coupon Rate 0.700%; Matures 10/15/2019; Interest Paid Monthly Dec 16; Yield to Maturity .700%; Floater; Moody AAA S&P AAA; Issued 10124113 :2-;2'3 163 ., "."01: Morgan Stanley • I'~ CLIENT STATEMENT For the Period December 1-31, 2013 Page 17 of 60
Consulting and Evaluation Services Active. Assetc; Account OJAI VALLEY SANITARY DISTRICT Account Detail C/O JEFF PALMER
CORPORATE FIXED INCOME OTHER FIXED INCOME (CONTINUED) Estimated or~ Iln;1 Cosl or~ Tolal CoSI Unrealized Annllal Income Security Description Trade Date Face Value AU. Unit Cost AU. Total Cost Market Value Gain/(Loss) Accrued Interest Yield % BANK OF AMERICA CREDIT CARD TRUST 9/26/13 115,000.000 98.934 113,773.64 272.09 0.23 2007-A11 A11 98.934 113,773.64 113,724.65 (48.99) ST 11.33 CUSIP 05522RBG2 Unit Price: $98.891; Coupon Rate 0.236%; Matures 1211512019; Interest Paid Monthly Dec 16; Floater; Moody AAA S&PAAA; Issued 08102107 WORLD FIN NETWORK CCMT 2012-C A 1/22113 30.000.000 101.234 30,370.32 669.00 2.25 CUSIP 981464DG2 101.234 30,370.32 29,730.90 (639.42) ST 29.73 Unit Price: $99.103; Coupon Rate 2.230%; Matures 0811512022; Interest Paid Monthly Dec 15; Yield to Maturity 2.345%; S&P AAA; Issued 07119112 LB-UBSCMBS2005-C1 A-4 9/25/13 85.000.000 103.375 87,868.75 4.030.70 4.61 CUSIP 52108H2U7 103.375 87,868.75 87,259.30 (609.45) ST 201.53 Unit Price: $102.658; Coupon Rate 4.742%; Matures 0211512030; Interest Paid Monthly Dec 17; Yield to Maturity 4.508%; Moody AAA S&P AAA; Issued 01111105 HOME EQUITY ASSET TR 2005-4 M-2 7/26/13 145.000.000 99.797 72,305.48 317.62 0.61 CUSIP 437084LM6 99.797 52,427.97 51,875.36 (552.61) ST 4.41 Unit Price: $98.745; Coupon Rate 0.604%; Matures 1012512035; Interest Paid Monthly Dec 26; Yield to Maturity .666%; Floater; Factor .36230808; Moody AA3 S&P AAA; Issued 07101105; Current Face 52,534.672 STRUCTURED ASSET SECS 2005-WF4 A4 7/11/13 365,000.000 99.563 130.060.86 472.54 0.52 CUSIP 863576DE1 99.563 89.682.60 89,692.06 9.46 ST 6.56 Unit Price: $99.573; Coupon Rate 0.524%; Matures 1112512035; Interest Paid Monthly Dec 26; Yield to Maturity .545%; Floater; Factor .24678545; Moody AA2 S&P AA+; Issued 11123105; Current Face 90,076.689 ~ LB-UBS CMBS 2006-C7 A-3 3/27/13 50.000.000 113.422 56,710.95 2,673.50 4.86 « CUSIP 50180CAD2 113.422 56,710.95 54,897.50 (1.813.45) ST 133.67 CIl::;: N Unit Price: $109.795; Coupon Rate 5.347%; Matures 1111512038; Interest Paid Monthly Dec 17; Yield to Maturity 4.676%; S&P AAA; Issued 11111106 N BANCAMERCMBS2004-3A-5 8/2/13 110,000.000 102.188 91,104.50 3,141.80 5.52 ~ o CUSIP 05947UVC9 102.188 57,785.00 56,831.31 (953.69) ST 261.81 Unit Price: $100.501; Coupon Rate 5.556%; Matures 0611012039; Interest Paid Monthly Dec 10; Yield to Maturity 5.519%; Floater; Factor .51407282; Moody AAA S&PAAA; Issued 07101104; Current Face 56,548.010 GS MORTGAGE SECURITIES CORP II 2005 2/27113 85.000.000 106.856 90.827.18 3,986.15 4.58 GG4 A4A 106.856 89,653.15 86,916.71 (2,736.44) ST 310.03 CUSIP 36228CVU4 Unit Price: $103.594; Coupon Rate 4.751%; Matures 0711012039; Interest Paid Monthly Dec 12; Yield to Maturity 4.512%; Factor .98707409; Moody AAA S&P AAA; Issued 06101105; Current Face 83,901.298 WACHOVIA CMBS 2004-C14 A-4 8/1/13 90,000.000 102.660 92,394.18 3.326.24 5.01 CUSIP 929766UK7 102.660 67,113.4 7 66,334.07 (779.40) ST 258.70 Unit Price: $101.468; Coupon Rate 5.088%; Matures 0811512041; Interest Paid Monthly Dec 17; Yield to Maturity 4.989%; Floater; Factor .72638203; Moody AAA S&P AAA; Issued 08101104; Current Face 65,374.383 ;zz-:zf 164 Morgan Stanley CLIENT STATEMENT For the Period December 1-31, 2013 Page 18 of 60
Consulting and Evaluation Services Active Assets Account OJAI VALLEY SANITARY DISTRICT Account Detail C/O JEFF PALMER
CORPORATE FIXED INCOME OTHER FIXED INCOME (CONTINUED) Estimated or~ ! !oit Cost Qr~ Total Cost Unrealized Annual Income Security Description Trade Date Face Value A!J . Unit Cost A!J. Total Cost Market Value Gain/(loss) Accrued Interest Vield% WACHOVIA CMBS 2005-C16 A-4 8/8/13 60,000.000 104.086 62.451.54 CU51P 929766YX5 104.086 62.451.54 61,612.80 (838.74) 5T 9/23/13 25,000.000 103.645 25,911.13 103.645 25,911.13 25,672.00 (239.13) 5T Total 85,000.000 88,362.67 4,119.95 4.72 88,362,67 87,284.80 (1,077.87) 5T 320.44 Unit Price: $102.688; Coupon Rate 4.847%; Matures 101151204J.:lntl3re~t P(j£d Monthly De~ 17; Yield to Maturity 4.673%; Floater; Moody AAA S&P AAA; Issued 01101105 BANC AMER CMBS 2004-5 A-1A 7/12/13 200,000.000 103.297 64,518.27 2,791.45 4.46 CU51P 05947UXR4 103.297 63,484.87 62,508.35 (976.52) 5T 232.62 Unit Price: $101.708; Coupon Rate 4.542%; Matures 11/1012041; Interest Paid Monthly Dec 10; Yie ld to Maturity 4.434%; Factor .30729322; Moody AAA S&PAAA; Issued 11101104; Current Face 61,458.644 BEAR STEARNS CMBS 2005-TOP18 A-4 9/18/13 60,000.000 104.406 60,245.05 2,805.56 4.76 CU5 1P 07383F5KO 104.406 59,379.45 58,914.61 (464.84) 5T 233.79 Unit Price: $103.589; Coupon Rate 4.933%; Matures 0211312042; Interest Paid Monthly Dec 13; Yield to Maturity 4.701%; Floater; Factor .94789052; Moody AAA; Issued 04101105; Current Face 56,873.431 CGCMT 2005-C3 AM 7/30/13 45,000.000 104.711 47,119.91 2,173.50 4.63 CU51P 173067GZ6 104.711 47,119.91 46,850.85 (269.06) 5T 169.05 Unit Price: $104.113; Coupon Rate 4.830%; Matures 0511512043; Interest Paid Monthly Dec 17; Yield to Maturity 4.574%; Floater; Moody AAA S&P AAA; Issued 06101105 BACM 2005-2 A5 12/4/13 70,000.000 104.309 73,016.02 3,399.90 4.66 CU51P 05947UM21 104.309 73,016.02 72,823.80 (192.22) ST 283 .32 Unit Price: $104.034; Coupon Rate 4.857%; Matures 0711012043; Interest Paid Monthly Dec 10; Yield to Maturity 4.606%; Floater; Moody AAA S&P AAA; Issued 06101105 WACHOVIA CMBS 2006-C26 A-3 2/26/13 25,000.000 114.523 28,630.85 1,502.75 5.48 CU51P 92977RAD8 114.523 28,630.85 27,418,75 (1,212.10) 5T 116.88 Unit Price: $109.675; Coupon Rate 6.011%; Matures 0611512045; Interest Paid Monthly Dec 17; Yield to Maturity 5.370%; Floater; Moody AAA S&P AAA; Issued 06101106 DBRR2012-EZ1 A 6/13/13 100,000.000 100.121 95,705.93 464.92 0.94 CU51P 23306AAA8 100.121 49,206.39 49,148.83 (57.56) ST 38.74 Unit Price: $100.004; Coupon Rate 0.946%; Matures 0912512045; Interest Paid Monthly Feb 25; Yiejd to M(jturity .946%; Factor .49146869; Moody AAA; Issued 0910 1112; Current Face 49,146.869 COMM MTG TR 2013-CCRE6 A-2 5/17/13 60,000.000 103.574 62,144.52 1,273.20 2.12 CU51P 12624XAB4 103.574 62,144.52 59,889.00 (2,255.52) 5T 106.09 Unit Price: $99.815; Coupon Rate 2.122%; Matures 0311212046; Interest Paid Monthly Dec 12; Yield to Maturity 2,130%; Moody AAA; Issued 03101113 BANC OF AMERICA COMMERCIAL 5/28/13 25,000.000 109.063 27,265.63 MORTGAGE INC 2005 6 A4 109.063 27,265.63 26,613.25 (652.38) 5T CU51P 05947U4D7 9/23/13 30,000.000 107.336 32,200.77 107.336 32,200.77 31,935.90 (264.87) 5T 22-2!?-
165 Morgan Stanley Ii CLIENT STATEMENT For the Period December 1-31, 2013 Page 19 of 60
Consulting and Evaluation Services Active Assets Account OJAI VALLEY SANITARY DISTRICT Account Detail C/O JEFF PALMER
CORPORATE FIXED INCOME OTHER FIXED INCOME (CONTINUED) Estimated Qr~ Ilnjt Cost Qr~ Total Cost Unrealized Annual Income Security Description Trade Date Face Value A!j. Unit Cost A!j. Total Cost Market Value Gain/(loss) Accrued Interest Yield % Total 55,000.000 59,466.40 2,851.25 4.86 59,466.40 58,549.15 (917.25) ST 237.60 Unit Price: $ 106.453; Coupon Rate 5.184%; Matures 09/10/2047; Interest Paid Monthly Dec 10; Yield to Maturity 4.796%; Floater; Moody AAA S&P AAA; Issued 12/01/05 WBCMT 2006-C29 A4 5115/13 60,000.000 112.688 67 ,612.50 3.184.80 4,85 CUSIP 92978PAE9 112.688 67,61 2.50 65,573.40 (2,039,10) ST 247,70 Unit Price: $ 109.289; Coupon Rate 5,308%; Matures 11 /15/2048; Interest Paid Monthly Dec 17; Yield to Maturity 4.759%; Moody AAA S&P AAA; Issued 12/01/06 OTHER FIXED INCOME 3,705,000.000 $3,288,794.24 $58,984.96 2.01% $2,950,472.29 $2,932,888.42 $1,416.67lT $3,888.27 $(19,000.55) ST Face Value Estimated Percenta~e Qr~ Iotal Cost Unrealized Annual Income of Assets Yo AI. Total Cost Market Value Gain/(loss) Accrued Interest YieldJ? CORPORATE FIXED INCOME 7,190,000.000 $6,883,398.04 $149,622.66 2.30% $6,511,401.74 $6,507,122.27 $22,168.93lT $28,174.81 $(26,448.41) ST TOTAL CORPORATE FIXED INCOME 50.6% $6,535,297.08 (incl.accr,int.)
N ..,. Watchlist and CreditWatc!J Indicators (*J = developing/uncertain (+J = On WatchlisUCreditWatch Upgrade (-J = On WatchlisUCreditWatch Downgrade i! o For more information on Watc!Jlist and Credit Watch Indicators, please go to our website at www.morganstanley.com/bondratings or contact your financial advisor, ~ :::;!; N GOVE RNMENT SECURITIES N N o TREASURY SECURITIES o Estimated Qr~ Ilnjt Cost Qr~ Iotal Cost 'Unrealized Annual Income Security Description Trade Date Face Value A!j. Unit Cost A!j. Iotal Cost Market Value Gain/(loss) Accrued Interest Yield % UNITED STATES TREASURY NOTE 11/13/13 300.000,000 $100.051 $300,153.30 $750,00 0,24 CUSIP 912828SL5 $100.051 $300,153,30 $300,117 .00 $(36.30) ST $189,56 Unit Price: $100,039; Coupon Rate 0.250%; Matures 03/3112014; InC. Semi-Annually Mar/Sep 30; Moody AAA; Issued 03/31/12 UNITED STATES TREASURY NOTE 11/13/13 140.000,000 100,028 140,038,78 CUSIP 912828V09 100,025 140,035.49 140,065,80 30.31 ST 11/27/13 490,000.000 100.063 490,307,72 100.059 490,289,19 490,230,30 (58,89) ST Total 630,000,000 630,346,50 1,575,00 0,24 630.324.68 630,296.10 (28,58) ST 134.13 Unit Price: $100,047; Coupon Rate 0,250%; Matures 05/31/2015; Inc. Semi-Annually May/Nov 30; Moody AAA; Issued 05/3 1/ 13 ;2Z-2b
166 Morgan Stan ley CLIENT STATEMENT For the Period December 1-31 , 2013 Page 20 of 60
Consulting and Evaluation Services Active Assets Account OJAI VALLEY SANITARY DISTRICT Account Detail C/O JEFF PALMER
GOVERNMENT SECURITIES TREASURY SECURITIES (CONT INUED) Estimated or~ Iln;1 Cosl or~ Tolal Cost Unrealized Annllal Income Security Description Trade Date Face Value A!J. Unit Cost A!J. Total Cost Market Value Gain/(Loss) Accrued Interest Yield % UNITED STATES TREASURY NOTE 10/28/1 3 1.01 5. 000 .000 100.243 1.017.461.38 CU51P 912828550 100.230 1.017.338.72 1.011 ,985.45 (5.353.27) 5T 11/27/1 3 215,000.000 100.426 215.916.12 100.415 215.891.97 214,361.45 (1,530.52) 5T Total 1. 230,000.000 1,233.377.50 10.762.50 0.87 1, 233,230.69 1,226,346.90 (6,883.79) 5T 1.813.57 Unit Price: $99.703; Coupon Rate 0.875%; Matures 0413012017; Int. Semi-Annually Apr/Oct 31; Yield tofl1~/Jrity---266%; Mo()cif AAA; Issued 04130112 UNITED STATES TREASURY NOTE 9/10/13 85,000.000 95.504 81,178.57 CU51P 912828UZl 95.504 81.178.57 81.972.30 793.735T 9/18/13 320.000.000 95.938 307.000.96 95.938 307.000.96 308,601.60 1,600.64 5T Total 405.000.000 388.179.53 2.531.25 0.64 388,179.53 390,573.90 2,394.375T 426.53 Unit Price: $96.438; Coupon Rate 0.625%; Matures 04130120L8; Int. Semi-Annually AprlOct 31; Yield to Maturity 1.477%; Moody AAA; Issued 04130113 UNITED STATES TREASURY NOTE 12/18/1 3 385.000.000 98.657 379.827.91 4,812.50 1.27 CU51P 912828A34 98.657 379,827.91 376,757.15 (3,070.76) 5T 409.85 Unit Price: $97.859; Coupon Rate 1.250%; Matures 11 /3012018; Int. Semi-Annually Mayl Nov 31; Yield to Maturity 1.706%; MoodyAAA; Issued 11130113 TREASURY SECURITIES 2,950,000.000 $2,931,884.74 $20,431.25 0.70% $2,931,716.11 $2,924,091.05 $(7,625.06) ST $2,973.64 FEDERAL AGENCIES Estimated or~ Iln;1 Cosl or~ Total CoSI Unrealized Annual Income Security Description Trade Date Face Value A!J. Unit Cost A!J. Total Cost Market Value Gain/(Loss) Accrued Interest Yield % FED NATL MTG ASSN 9/20/13 360,000.000 $100.839 $363,020.40 $4,500.00 1.23 CU51P 3135GOGY3 $100.772 $362.778.65 $364,330.80 $1.552.15 ST $1.875.00 Unit Price: $ 101. 203; Coupon Rate 1. 250%; Matures 0113012017; Int. Semi-Annually JanlJul 30; Yield to Maturity .853%; Moody AAA S&P AA+; Issued 01109112 FED HOME LN MTG CORP 3/22/1 2 245,000.000 98.548 241.442.85 CUSIP 3137EADCO 98.548 241.442.85 245.399.35 3.956.50 LT 6/21/12 255.000.000 100.303 255.772.91 100.206 255.526.37 255.415.65 (110.72) LT 9/20/1 3 200.000.000 99.864 199.728.00 99.864 199.72800 200.326.00 598.005T Total 700.000.000 696.943.76 7.000.00 0 .99 696.697.22 701,141.00 3.845.78 LT 2. 197.22 598.00 ST Unit Price: $100. 163; Coupon Rate 1.000%; Matures 0310812017; Int. Semi-Annually MarlSep 08; Yield to Maturity .948%; Moody AAA S&P AA+; Issued 0 1130112 Z;!-Z7 167 Morgan Stanley mm~ CLIENT STATEMENT For the Period December 1-31, 2013 Page 21 of 60
Consulting and Evaluation Services Active Assets Account OJ AI VALLEY SANITARY DISTRICT Account Detail J JEFF PALMER
GOVERNMENT SECURITIES FEDERAL AGENCIES (CONTINUED) Estimated or~ Iinit Cnst or~ Total Cost Unrealized Annllal Income SecurityDescription Trade Date Face Value A!j, Unit Cost AU, Total Cost Market Value Gain/(Loss) Accrued Interest Vield% FED NATL MTG ASSN 3/6113 375,000.000 99.847 374.425.13 3,281.25 0.89 CU51P 3135GOTG8 99.847 374.425.13 365,542.50 (8,882.63) 5T 1,303.38 Unit Price: $97.478; Coupon Rate 0.875%; Matures 0210812018; Int. Semi-Annually FeblAug 08; Yield to Maturity 1.511%; Moody AAA S&PAA+; Issued 01107113 FNR 2009-88 DB 11 /17/09 125,000.000 102.219 125,253.83 CU51P 31398F3T6 102.219 28,026.29 28,286.27 259.98 LT 10/24/13 225,000.000 103.125 54,185.98 103.125 50,894.57 50,915.30 20.73 ST Total 350,000.000 179.439.81 2,303.10 2.90 78,920.86 79,201.58 259.98 LT 191.92 20.735T Unit Price: $103.167; Coupon Rate 3.000%; Matures 1012512020; Interest Paid Monthly Dec 25; Yield to Maturity 2.492%; Factor .21934362; Issued 10101109; Current Face 76,770.267 FHR 3589 CA 12/10109 150.000.000 103.578 152,756.88 CU51P 31398K6Q8 103.578 41,024.08 41,218.89 194.81 LT 10/28/13 240,000.000 103.469 69,208.58 103.469 65,569.24 65,950.22 380.985T Total 390,000.000 221,965.46 4,119.11 3.84 106,593.32 107,169.12 194.81 LT 343.25 380.985T ~ Unit Price: $104.070; Coupon Rate 4.000%; Matures 10115/2021; Interest Paid Monthly Dec 15; Yield to Maturity 3.400%; Factor .26404596; Issued 10101109; Current Face 102,977.924 iii FREDDIE MAC GLOBAL DEBT SECS 2012-1 8/6/13 215,000.000 100.813 90,772.77 1.404.03 2.04 ::;; A10 100.813 68,711.01 68,652.73 (58.28) ST 62.40 ~ N CU51P 3134G3K58 N o o Unit Price: $100.727; Coupon Rate 2.060%; Matures 0111512022; Interest Paid Monthly Dec 15; Yield to Maturity 1.962%; Factor .31701039; S&P AA+; Issued 01117112; Current Face 68,157.234 FNR 2009-52 AJ 12/18/09 145,000.000 104.375 135,237.10 1,264.48 3.78 CU51P 31396QKJ7 104.375 32,995.22 33,447.90 452.68 LT 105.37 Unit Price: $105.807; Coupon Rate 4.000%; Matures 0712512024; Interest Paid Monthly Dec 25; Yield to Maturity 3.343%; Factor .21801507; Issued 06101109; Current Face 31,612.185 FHLMC REMIC SERIES 3778 0 3/18/13 240,000.000 104.613 123,714.52 3,108.45 3.32 CU51P 3137A45Y9 104.613 92,910.34 93,617.02 706.685T 259.03 Unit Price: $105.409; Coupon Rate 3.500%; Matures 0311512025; Interest Paid Monthly Dec 15; Yield to Maturity 2.930%; Factor .37005469; Issued 12101110; Current Face 88,813.126 FHLMC REMIC SERIES 3776 AB 12/11/13 270,000.000 106.000 108,113.25 4,079.74 3.83 CU5 1P 3137 A3RW1 106.000 108,113.25 106,248.80 (1,864.45) ST 339.97 Unit Price: $104.172; Coupon Rate 4.000%; Matures 0911512028; Interest Paid Monthly Dec 15; Yield to Maturity 3.631%; Factor .37775420; Issued 12101110; Current Face 101,993.634 FHLMC REMIC SERIES 3768 GP 12/17/1 3 340,000.000 103.094 138,140.16 3,684.85 2.66 CU51P 3137A4C47 103.094 138,140.16 138,365.53 225.375T 307.07 Unit Price: $103.262; Coupon Rate 2.750%; Matures 1111512028; Interest Paid Monthly Dec 15; Yield to Maturity 2.486%; Factor .39410186; Issued 12101110; Current Face 133,994.632 22-26 168 Morgan Stanley CLIENT STATEMENT I For the Period December 1-31, 2013 Page 22 of 60
Consulting and Evaluation Services Active Assets Account OJAI VALLEY SANITARY DISTRICT Account Detail CIO JEFF PALMER
GOVE RNMENT SECURITIES FEDERAL AGENCIES (CONTINUED) Estimated or~ I !nit Cost or~ Tota! Cost Unrealized AUDuallocome Security Description Trade Date Face Value Ali. Unit Cost A!j. Total Cost Market Value Gain/(Loss) Accrued Interest Yield % FNMA REMIC TRUST 2011-15 VE 1/29/13 75,000.000 104.438 78,328.13 3,000.00 3.87 CUSIP 31397QXD5 104.438 78,328.13 77,380.50 (947.63) ST 249.99 Unit Price: $103. 774; Coupon Rate 4.000%; Matures 0912512029; Interest Paid Monthly Dec 25; Yield to Maturity 3.737%; Issued 02107/7 7 GNR 2010-56 BA 3/19/13 175,000.000 104.281 89,490.05 2,638.26 4.34 CUS IP 38377FMS7 104.281 61,138.14 60,662.48 (475.66) ST 219.85 Unit Price: $103.470; Coupon Rate 4.500%; Matures 0212012036; Interest Paid Monthly Dec 20; Yie ld to Maturity 4.256%; Factor .33507767; Issued 05107/70; Current Face 58,628.092 FEDERAL NATIONAL MTG ASSN POOL 2/9/09 507,383.000 103.031 401,821.84 2,580.52 5.42 946869 103.031 44,312.50 47,578.05 3,265.55 LT 215.04 CUS IP 31413JMSO Unit Price: $770.624; Coupon Rate 6.000%; Matures 0910712037; Interest Paid Monthly Sep 07; Yield to Maturity 5.273%; Factor .08476594; Issued 09107/07; Current Face 43.008.797 FHLMC REMIC SERIES 3890 BA 6/19/13 274,352.000 101.594 172,562.22 3,552.23 2.48 CUS IP 3137ADHX8 101.594 144,353.97 143,187.70 (1,166.27) ST 296.01 Unit Price: $100.773; Coupon Rate 2.500%; Matures 77/7512040; Interest Paid Monthly Dec 75; Yie ld to Maturity 2.460%; Factor .57790894; Issued 07107/77; Current Face 742.089.354 GSMS2013·GC16A2 11/13/13 110,000.000 102.999 113,298.68 3,336.30 2.95 CUS IP 36248GAB6 102.999 113,298.68 112,832.50 (466.18) ST 194.61 Unit Price: $702.575; Coupon Rate 3.033%; Matures 7711012046; Interest Paid Monthly Dec 10; Yield to Maturity 2.977%; Moody AAA; Issued 77/07/73 FEDERAL AGENCIES 4,526,735.000 $3,287,273.28 $49,852.32 1.99% $2,501,716.58 $2,499,358.21 $8,018.80 LT $8,160.11 $(10,377.19)ST Face Value Estimated PercentaQe or~ Total Cost Unrealized Annual Income of Assets *' AI' Total Cost Market VjlJ!J.e Gain/(Loss) Accrued Interest Yield % GOVERNMENT SECURITIES 7,476,735.000 $6,219,158.02 $70,283.57 1.30% $5,433,432.69 $5,423,449.26 $8,018.80 LT $11,133.75 $(18,002.25) ST TOTAL GOVE RNMENT SECURITIES 42.1% $5,434,583.01 (incl.accr. int.)
Estimated PercentaQe Unrealized Annual Income of Assets *' Total Cost Market Value Gain/(Loss) Accrued Interest Yield % TOTAL MARKET VALUE 100.0% $12,019,013.09 $12,865,070.32 $30,187.73 LT $224,152.23 1.74% $(44,411.12) ST $40,262.31
TOTAL VALUE (includes accrued interest) $12,905,332.63 Unrealized Gainl(Loss) totals only reflect positions that have cost basis and/or market value information available. Cash. MMF. Deposits and positions stating 'Please Provide' are not included. ;1'2-2 9
169 OJAI VALLEY SANITARY DISTRICT A Public Agency 1072 Tieo Road, Ojai, California 93023 (805) 646-5548 • FAX (805) 640-0842 WWW .01aISan.org
January 21 , 2014
Board of Directors Ojai Valley Sanitary District Ojai, CA 93023
STAFF REPORTS - OPERATION, ADMINISTRATION AND MANAGEMENT OF THE DISTRICT
The following reports are presented for your information:
Operations Superintendent Administrative Officer's Report Seminar, Conference, Workshop participation schedule Calendars
If you have comments or questions, please contact me.
Brenda Krout Administrative Officer
Enc.
APPROVED FOR JANUARY 27,2014 AGENDA:
\\OVSD-ARCHIVE1\My Documents\Board Mtgs\2014\2014-01-27\Staff Reports.docx 170 OPERATIONS REPORT
December 17, 2014
COLLECTION SYSTEM
1. Operations & Maintenance
This report covers the collection systems activities for the month of December. During this time there was no line cleaning nor CCTV inspections performed. The primary focus was sealing manholes to prevent the inflow of rain water (should we get any). There was no Enhanced Maintenance line segments nor root inhibitor applications scheduled during December.
The collection system crew focused on completion of sealing the 2,273 manholes, and supporting the manhole raising projects by delivering manhole ring & covers as needed by the construction crews. The dry weather continues to allow the asphalt overlay projects to proceed, which also keeps the manhole raising as an on-going effort. We had only two days with rain in December totaling 0.42 inches, and November also only had two days with rain totaling 0.65 inches recorded at the treatment plant.
The crew inspected and took photographs of areas considered to be vulnerable to wet weather flooding and/or damage. This has been an annual effort that ensures these areas are being looked at and documents their preexisting condition should flood damage occur. The crew continues to perform the weekly maintenance activities to include maintaining ICOM3 the computerized maintenance management system, downloading flow data from portable flow meters, maintenance activities associated with the weekly lift station inspections, and weekly vehicle and equipment preventative maintenance activities.
Construction Inspector, Jim Stallings, stayed busy as always following the asphalt overlay projects that are moving forward, and kept tabs on the hydro seeding at the SALS#1 force main project area. He continues to assist the front office with permit issues, illegal connection and business inspections that Laurie has setup. Jim does an excellent job of keeping himself busy handling inspections, USA job markings, and requests from residents and business owners for sewer activities and information.
2. Call outs
There were four callouts during the month of December. Two were high water alarms at SALS#1 that was the result of a failing pump alternator relay, one was a private lateral issue, and the fourth was unfortunately a sanitary sewer overflow (SSO) on Encino Drive.
This SSO was spotted and reported by a resident and the overflow was limited to less than one hundred gallons based on calculations on the area impacted. The crew did a good job responding to this SSO and completing the required reporting requirements. The line was cleaned and CCTV'd but there was no apparent cause to the blockage. The line is PVC with no roots or grease buildup, and only a small sag that should not have contained any debris sufficient to cause this blockage. We will keep this area under observation.
171 Operations Report January 17, 2014 Page 2
3. 1&1 Efforts & Rehabilitation Projects
No change here as we finished sealing manholes in preparation of wet weather, and continue to gather data and information in preparation of the 1&1 master plan.
Jeff, Mark, Tom, and I toured two of the City of Oxnard's lift stations to observe a type of pump being considered for the upgrade at SALS#1.
4. Outside Contractor Activities
Venco Controls replaced the alternator relay at SALS's #1.
Toro Construction raising manholes following their asphalt overlays throughout the Valley.
TREATMENT PLANT
1. Operations & Maintenance
The treatment plant is operating well and met all effluent permit requirements during the month of December. The treatment plant biosolids are being hauled to the off-site composting facility in Kern County. The number of finished compost windrows during last summers' composting season was twenty, and there is plenty of finished compost product ready for distribution.
Plant operations were stable and the activities routine during December. The new additional oxidation ditch monitoring instrumentation but have been working very well.
2. Plant Effluent Flow Data for the Month of December 2013
Total Flow 49.5 mg Average Daily Flow 1.60 mgd Percent of Design Flow 53 % Average Daily Flow I ERU 132 gpd/ERU (12,124 SU's) Rainfall Recorded at TP 0.42 inches
WWTP FLow Data October 1, 2010 -- January 17, 2014 51.94 Inches of Rain 9 9.00 8 8.00 7.00 7 c:::::J Rain 6 6.00 5 5.00 C --Infl. G 4 4.00 :E 3 3.00 --Effl. ~ .J 2 1M- 2.00 ~ 1 1.00 o laI.1 I ~I III III .1 0.00
::23 -3
172 Operations Report January 17, 2014 Page 3
With the current drought conditions the graph shows our extended low flows, which is a combination of water use efficiencies and minimal to no 1&1 at this time. This is a good representation of the District's base flow.
WWTP Flow Data January 1, 2013 -- December 31,2013 4.00 Inches of Rain 8 3.00 7 2.50 I 6 c:::::::J Ra in L L .A J. 1\ I I 2.00 5 C t:: lJ\Al" l .. "::..l\.vlI T' cv :.M.. l •• IOA!!J --Infl. 'W .... 1.50 4 kill' '" '''Y' III'\j .Y· ... '4 , G 'iii ,. "'II'" Y :a;: a: 3 , 1.00 --Eftl. 2 1 0.50 o L II I 0.00 ~,,'? ~,,'? ~,,'? ~,,'? ~,,'? ~,,'? ~,,'? ~,,'? ~,,'? ~.\,,'? ~\~ ~,,'? ~<:::> n\<:::> ~(J ~(J ~I::) ~'V ~'fS ~(J r-.c?r'V ~r:3-<:::> ~~<:::> ~n~~ <:::> ~v <:::> (J I::) 'V <:::> (J ~ ., ., .~V
This graph shows the influent - effluent flows and rainfall data for 2013, as the crew recorded an even 4.0 inches of rain at the Treatment Plant.
3. Callouts
There were three call outs during the month of December. Two were due to a failing oil sensor on one of the anaerobic mixers, and the third was a level control bubbler alarm on the filter influent pump station.
Plant Supervisor Bradshaw Pruitt was happy to report that the plant experienced only (9) callouts during CY-2013.
4. Facility Maintenance Activities
Channel Islands Electric identified and replaced the failing oil sensor noted above.
Jeff Cook, Venco Controls, and Dirk Dekreek, Dekreek Technical Services completed installation and operation of PLC #4 in the operations building, which was done first due to the telemetry system. They are now working on PLC #1 located at the influent pump station.
5. Laboratory and Pretreatment
Laboratory Technician, David Harter, continues to perform the additional plant processes sampling, and continues to work on getting the laboratory certified for the new "E-Coli" coliform test for effluent and river sampling.
173 Operations Report January 17, 2014 Page 4
6. Personnel
As with November there were a number of personnel taking vacation during the month of December, and everyone enjoyed the Holiday Luncheon.
th The District's new Collection System Operator, Noah Sharp, started work on December 30 .
Ronald Sheets Operations Superintendent
174 Ojai
Meiners Oaks
Live Oak Acres
Legend:
Basin Size, acres
001 155.5
Figure 2-3 Ojai Valley Sanitary District Basin Boundaries
Wastewater 0 ( . . . Treatment 1I;ri':'tj I' Plant ~N I
1000 2000 :1000 4000 l1OOO ------SCALE IN FEET
23~~
175 January 21 , 2014
ADMINISTRATIVE OFFICER'S REPORT
1. FINANCIAL STATUS
The District's accountant closed the books for December on January 1ih; the financial graphs depicting the District's financial status as of December 31, 2013 appear elsewhere on the agenda.
2. VENTURA COUNTY SPECIAL DISTRICTS ASSOCIATION ANNUAL DINNER MEETING
The date for the Ventura County Special Districts Association's annual dinner has been set for Tuesday February 4, 2014. The dinner meeting will be held again this year at the Las Posas Country Club in Camarillo. Any of you planning on attending should let me know as soon as possible so your reservations can be sent in. Remember Jeff has been nominated for 'General Manager of the Year'; the results of this will be announced at the dinner.
3. IRS MILEAGE REIMBURSEMENT RATE FOR 2014
Effective as of January 1, 2014 the Internal Revenue's Standard Mileage was increased to 56¢.
4. UNPERMITTED CONNECTION PROGRESS
Staff continues to send out 'Notice of Alleged Violation & Request For Site Inspection' notices on a quarterly basis; six are being sent out this month.
Currently, there are 13 properties that have not been resolved. The status of these properties is as follows:
• 11 Properties have not responded to request for inspection - applications for warrants pending • 2 Properties are in the processing of working with staff to remedy their situation.
Laurie and Jim Stallings, Construction Inspector, continue doing an excellent job of working together to keep the implementation of this Ordinance moving forward.
5. SAFETY
The District Joint Safety Officer, Jan Deering, continues to work with the staff on Safety policies, programs and training.
Sometime in January or February Jan will be conducting training for all employees a refresher on the District's Emergency Response Plan and at the same time Ron will conduct a review of the District's Spill Response Plan.
176 Administrative Officer's Report January 21, 2014 Page 2
6. PERSONNEL
With the holidays behind us there aren't as many vacation days being taken off; so we are fully staff for the majority of the time.
I recently attended the CASA Winter Conference in Indiana Wells. A CSRMA workshop was held in conjunction with the conference; this workshop featured presentations on four topics: Predictable Surprises: What CSRMA's Risk Assessments Can Tell Your Agency About Avoiding Losses; Reduce the Liability that Job Descriptions Can Cause; Employment Law Update for Public Agencies; Millenials in the Work Place. Each of these topics was very interesting and applicable to our operations.
The CASA conference covered many interesting topics including presentations about Global Water Solutions and energy generation, as they both are related to the wastewater industry. One afternoon session consisted of round-table discussions on a multitude of topics; attendees could choose the round-table topic to be a part of. I attended Board/Staff Relations and Communications. I heard some interesting ideas at both discussions. The communications discussion was the most relevant to the issues facing the District.
On Friday morning at the CSRMA Board of Directors' meeting election for vacancies on the Executive Board were conducted; presentation and acceptance of the Financial Audit for fiscal year ending June 30, 2013 was conducted; a dividend from the Pooled Liability Program was declared, the District will be receiving approximately $20,005 of this dividend.
On January 22nd several staff members will be participating in a webinar conducted by Liebert Cassidy Whitmore as one of their Employment Relations Workshops. The topic of this webinar is Public Sector Employment Law Update.
7. CSRMA WORKERS' COMPENSATION AWARD FOR EXCELLENCE
At the CSRMA Board of Directors' meeting held at the recent CASA conference, the winners of CSRMA Workers' Compensation Awards For Excellence were announced. These awards are given to the top agencies in three categories based on the number of employees: small, medium & large.
The District was one of the recipients in the 'small agency' category for no loss-time accidents in Program Year 2012-13. We will be receiving an engraved plaque announcing OVSD as a CSRMA Safety Superstar and a banner we can display announcing OVSD as a CSRMA Workers' Compensation Excellence Award winner. Each of the District's employees is to be commended for their contribution to maintaining such an excellent safety record
:2 3·-£3
\\OVSD-ARCH IVE1 \My Documents\Board Mtgs\2014\2014-01-27\AdminReporl.docx 177 Administrative Officer's Report January 21 , 2014 Page 3
8. "IT" MONTHLY ACTIVITIES
The following is a report from Jan Steenberg on his activities during the past month:
The HP4000 plotter malfunctioned and needed service. After an HP repair technician did some troubleshooting it was determined that the main drive belt was bad. It was replaced along with a few other parts and the plotter is up and running again.
Lynn was having check printing issue from BusinessWorks. After a couple of calls to their tech support the issue seems to be resolved.
I have received the new tax tables for BusinessWorks and will implement as soon as the year end reports are completed.
The Xerox ColorCube in the collection system building has failed. It's currently being looked at for feasibility of repair.
The new GIS system is now fully up and running. GDMS conducted onsite and did some hands on training. We will now use the system and provide feedback to GDMS for upgrades or changes.
I have installed the new GIS software on all workstations and everyone is now using the system.
I'm still working on implementing the replacement computers that were purchased last month. This is a time consuming actively but I'm making good progress.
We had a power outage a few weeks ago that lasted for more than an hour. This causes all the servers and other equipment in the server rack to shut down since there isn't that much battery life in the UPS. Getting everything back up and running is always tricky when everything has been shut down. After a few hours the network was fully operational again.
After the outage we noticed that the Vol P phone system was displaying the wrong time. After investigating I found an issue in DNS on the domain controller. Once I restarted the services the correct time was back on the phones.
I'm still dealing with Dell on the monitor issue after a reboot of the system. They have not provided a solution as of yet.
\\OVSD-ARCHIVE1 \My Documents\Board Mtgs\2014\2014-01-27\AdminReport,docx 178 Administrative Officer's Report January 21, 2014 Page 4
I made some modifications to the callout database that the collection system crew uses for tracking call outs. These changes were mainly to include Noah Sharp in the database structure.
Mark and I are working on cleaning up all the CCTV video data. There are a lot of transfer folders that contain duplicates and we are trying to consolidate it all. This is a time-consuming task but we are making progress.
I continue to work in the SCADA system and PLC replacements at the treatment plant.
I have created timecards for all employees for year 2014.
We found some issues in the customer service database program with parcels not being available for import. I addressed the issue with CPI (the developers) and also the county of Ventura where we get the date. We have made a modification to the data that we receive from the county and the developer is currently working on implementing the new data. This should solve our missing parcels for importing into our system.
The printer in the CCTV trailer has failed and I'm investigating to see if it's something worth fixing.
9. DISTRICT'S INJURIES/ILLNESSES RECORD
2013/2014 2013/2014 Year to Date Year to Date Total Number Total Number Department of Accidents to Date of Work Days Lost
Administration ° ° Collection System 1 ° Treatment Plant,_____ --->::O'-- ______--->::O ______TOTALS ° ° As of the date of this report, it has been 195 calendar days since a work related injury/illness has occurred at the District, and 1,321 calendar days since a lost-time work related injury/illness.
Brenda Krout Administrative Officer
\\OVSD-ARCHIVE 1\ My Documents\Board Mtgs\2014\2014-01-27\AdminReport.docx 179 OJAI VALLEY SANITARY DISTRICT EMPLOYEES/DIRECTORS SEMINARS/CONFERENCES/WORKSHOP/WEBINARS ATTENDANCE SCHEDULE
January 21, 2014 Employees/Directors Event Date/s Event Sponser Topic/s Covered Event Location Attending
•
Public Sector B. Krout, R. Sheets, 1/22/2014 Liebert Cassidy Whitmore Employment Law Webinar M. Chauvel, B. Pruitt, Update J. Palmer I , Advanced Reirement B. Krout, R. Sheets, 3/5/2014 Liebert Cassidy Whitmore Issues for California's Moorpark, CA M. Chauvel, B. Pruitt, Public Employers J. Palmer
Employee Due Process Rights and "Skelly" & B. Krout, R. Sheets, 4/2/2014 Liebert Cassidy Whitmore Santa Paula, CA Performance M . Chauvel, B. Pruitt, Management I
Legal Issues Related to B. Krout, R. Sheets, Generational Diversity 5/7/2014 Liebert Cassidy Whitmore Santa Barbara, CA M. Chauvel, B. Pruitt, and Succession Planning J. Palmer & Difficult Conversations
;23-1/ \ \OVSD-ARCHIVEl \My Documents\OVSD\Seminars\2014 Jan -Seminar & CASA. xlsx 180 OJAI VALLEY SANITARY DISTRICT CAS A ATTENDANCE SCHEDULE
January 21, 2014
DATE LOCATION DIRECTORS/EMPLOYEES ATIENDING
J. Palmer, B. Krout, R. Baggerly, 8/20-23/2014 Monterey, CA B. Stone, S. Greene, B. Murphy, R. Burg, B. O'Brien, P. Kaiser
/3-/2
\ \OVSD-ARCH IVE1\My Documents\OVSD\Sem181inars\2014 Jan-Seminar & CASA. xlsx January 20 14
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184 OJAI VALLEY SANITARY DISTRICT A Public Agency 1072 Tico Road, Ojai, California 93023 (805) 646-5548 • FAX (805) 640-0842 www.ojaisan.org
MINUTES OF FINANCE COMMITTEE
The Finance Committee held a meeting at the District Office, 1072 Tico Road on Janu ary 10, 2014 beginning at 3:30 p.m.
COMMITTEE MEMBERS PRESENT: John R. (Randy) Burg William D. O'Brien William M. Stone, Chairman
COMMITTEE MEMBERS ABSENT: None
STAFF PRESENT: Jeff Palmer, General Manager Brenda Krout, Administrative Officer
OTHERS PRESENT: Howard Smith, MorganStanley Smith Barney
1. Public Comment - (Items not on the agenda - 3 minute limit)
None
2. Quarterly Review of District's Investments
Howard Smith of MorganStanley Smith Barney addressed the Committee pre senting an overview of the District's investment portfolio. Mr. Smith noted that the portfolio is back on track, following the down turn the previous quarter, con tinuing to maintain returns well above the rate available with the Local Agency Investment Fund (LAIF). Mr. Smith noted that the District's portfolio has achieved a 3.79 percent gain on investment over the life of the portfolio.
Mr. Smith discussed the current market, stating the District's returns will proba bly stay in the same current general range (under 3 percent) for the foreseea ble future. Mr. Smith noted that the District's portfolio contains only bonds, emphasizing that the bond market remains the most secure investment. Mr. Smith also explained the historical trends and patterns with the bond market.
185 Finance Committee January 10, 2014 Page 2
Mr. Smith responded to questions from the Committee.
The Committee unanimously supported presenting a recommendation to the Board to continue on the current course with the District's investments.
3. Annual Investment Policy - Proposed Resolution No. 2014-01
Proposed Resolution No. 2014-01 was reviewed, noting that this resolution continues with the current investment policy provisions. Annual adoption of the District's investment policy is required by Government Code and allows the Committee and Board to review the policy on an annual basis.
The Committee unanimously supported presenting a recommendation to the Board to adopt proposed Resolution No. 2014-01, continuing the current in vestment policy into 2014 and continuing to work with Morgan Stanley Smith Barney for investment managing services.
Mr. Palmer announced that at the January 27'h Board meeting he will be re questing the Board to schedule in future years (beginning in 2015) the review and adoption of the investment policy in February in order to coincide with the appointment of new committee assignments in January of each year.
4. Discussion
a. Audience
None
b. Committee Members
None
c. General Manager
None
The Finance Committee meeting adjourned at 4:12 p.m.
Minutes submitted by Brenda Krout, Clerk of the Board
\\OVSD-ARCHIVE1\My Documents\Committee Meetings\Finance\2014\01-1 0-2014\minutes.docx 186 Ojai Valley Sanitary District
CONFERENCE LESSON REPORT You are being granted the privilege of attending a conference at District expense, in return for the District's investment in you we are asking that you return with knowledge that you can share with your peers in a 2 to 5 minute brief. This form is to aid you in recalling the subject matter and enable you to present your brief in a uniform manner that will give value to your brief. You should fill one of these out for each subject attended during a Conference.
Name Of Conference: CASA Conference January 15-17, 2014
Title of Lesson:
Date; Click here to enter a date. Instructor: Who is the Instructor and where do they work?
Summarize the topic or main theme of the lesson in your own words: (Give a brief description of the topic materia/)
SEE ATIACHED
What is the most important thing you learned during this training? (Whatis the mostimportant thing to take back to your coworkers from this training session? Things to consider would be Safety, Violations of regulatory standards or improvements in operational techniques)
Other Important information gained during this training: (Inc!udeanyotherimportantornicetoknowinformation gained during this lesson or demonstration.)
Name of attending Employee/Director: John R. (Randy) Burg 187 CASA CONFERENCE
JAN 15-17, 2014
RANDY BURG
CASA announced they now have a full time staff with offices established in Sacramento.
Speaker George Hawkins of DC Water described his position in the DC Water organization. His theme was "Change is coming, why do we need change?"
Speaker Ken Cook described ways to create a CIP or Capital Improvement plan to replace an aging infrastructure.
Speaker Jeff Reed described his successes in OCSD Recruitment program. Goals included 100% recycling of water. He asserts that the district's most important resource are its people. 55% of work force set to retire in the next few years.
Speaker Jackie Kepke spoke on her theme "Water Quality Protection, Today and Tomorrow./J She heads up a lateral inspection program tied to the sales of homes. She said the word "So" at the beginning of most sentences, very distracting.
Speaker Glen Daigger unveiled his "Global Water Solutions" using three priorities: Change the approach to water management to avoid water stress; Confer right to water and sanitation to all; water management needs to be more efficient.
Speaker Robert Ferrente presented his views on using digester gas to produce income through sale of fuel, electricity, or offset the cost of sanitary district operations by using fuel to power vehicles of the district.
Overall, this CASA Conference presented some valuable information in a concise, abbreviated format that I enjoyed. It was easy to follow and the speakers were a high caliber, well prepared group of professionals.
188 OJAI VALLEY SANITARY DISTRICT A Public Agency 1072 Tico Road, Ojai, California 93023 (805) 646-5548 • FAX (805) 640-0842 www.ojaisan.org
January 21,2014
ITEMS OF INTEREST/CORRESPONDENCE!ARTICLES
1. LCW-CLIENT UPDATE First Amendment - School District Did Not Violate Guidance Counselor's Free Speech Rights by Terminating His Employment For Publishing Sexually Explicit Book.
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