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(1) Invasion of Privacy
Except when done pursuant to a court order, subpoena, or a search warrant, it is a violation of this Policy to utilize the ALPR to record license plates except those of vehicles that are exposed to public view (e.g., vehicles on a public road or street, or that are on private property but whose license plate(s) are visible from a public road, street, or a place to which members of the public have access, such as the parking lot of a shop or other business establishment).
(2) Harassment or Intimidation
It is a violation of this Policy to use the Genetec ALPR system to harass and/or intimidate any individual or group.
(3) Use Based on a Protected Characteristic.
It is a violation of this Policy to use the ALPRs or associated scan files or hot lists solely because of a person's, or group's race, gender, religion, political affiliation, nationality, ethnicity, sexual orientation, disability, or other classification protected by (4) Personal Use
It is a violation of this Policy to use the Genetec ALPR System or associated ALPR Read data or State Stolen or Wanted System lists for any personal purpose. (5) First Amendment Rights
It is a violation of this Policy to use ALPRs or associated scan files or hot lists for the purpose or known effect of infringing upon First Amendment rights. (6) Criminal Enforcement
It is a violation of this Policy to use or Deploy ALPRs to scan or canvass license plates in connection with any crime scene, patrol operation, or investigation. (7) Use of Hot Lists
It is a violation of this Policy to use the Genetec ALPR System in conjunction with any hot list other than the State Stolen or Wanted System.
1302.4 DATA COLLECTION AND RETENTION
The Investigations Division Captain, or their designee, is responsible for ensuring proper collection and retention of ALPR data. Technical support and assistance shall be provided by the City of Berkeley's IT department and associated Genetec ALPR system providers/vendors as identified below.
IT staff will not have the ability to access or view individual records or reports, as they may contain PII information they are not authorized to receive. Genetec ALPR System
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data provided to Parking Control Officers may also contain confidential CLETS information and is not open to public review. IT's role will be limited to providing initial infrastructure set-up, unless particular IT staff members have been cleared by DOJ background checks and authorized by the Chief of Police to receive PII or CLETS information.
ALPR information gathered and retained by the Berkeley Police Department may only be used and shared with prosecutors or other law enforcement agencies pursuant to a valid court order, subpoena, or a search warrant and as limited by this policy. (a) ALPR Reads
ALPR Read Images and Metadata resulting from ALPR Reads stored locally on Parking Control Officer Vehicle laptops and PocketPEO shall be purged at least nightly.
In no case shall ALPR Read Images resulting from ALPR Reads be transmitted to or stored in the Genetec ALPR System.
(b) ALPR Reads Not Resulting in ALPR Hits
All ALPR Read Metadata from ALPR Reads transmitted and stored in the Genetec ALPR System shall be purged within five (5) days consistent with the City’s 72- Hour Rule (BMC Section 14.36.050).
In no case shall ALPR Read Metadata in the form of license plate data or other PII be transmitted to or stored in the Passport Automatic Occupancy Data Collection System. (c) ALPR Hits
All ALPR Read Images, Metadata, and Hits resulting from ALPR Reads stored locally on Parking Control Officer Vehicle laptops and PocketPEO shall be purged at least nightly.
In no case shall data associated with ALPR Hits be transmitted to or stored in the Genetec ALPR System, or license plate data or other PII included as part of ALPR Read Metadata be transmitted to or stored by the City for Parking Occupancy Analysis, to include the Passport Automatic Occupancy Data Collection System or as City Department records.
(d) Unenforced ALPR Hits
All erroneous and unenforced ALPR Hit data and Read Metadata shall be purged locally at least nightly.
(e) Enforced ALPR Hits
Only ALPR Read Images and Metadata associated with Enforced ALPR Hits shall be downloaded to the Passport Parking Management servers with a minimum retention period of one year (Government Code § 34090.6) and in accordance with the established records retention schedule. Thereafter, ALPR data should be purged unless
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it has become, or it is reasonable to believe it will become, evidence in a criminal action pursuant to a valid court order, subpoena, or a search warrant or civil action or is subject to a lawful action to produce records. In those circumstances the applicable data should be downloaded from the server onto portable media and booked into evidence. 1302.5 DATA ACCESS
(a) Only properly trained parking control officers and information technology personnel are allowed access to the Genetec ALPR system or to collect ALPR information. (b) No member of this department shall operate ALPR equipment or access ALPR data without first completing department-approved training.
(c) No ALPR operator may access California Law Enforcement Telecommunications System (CLETS) data unless otherwise authorized to do so. (d) If practicable, the officer should verify an ALPR response through the California Law Enforcement Telecommunications System (CLETS) before taking enforcement action that is based solely on an ALPR Hit.
(e) Police will not take any police action that restricts the freedom of any individual based solely on an ALPR Hit unless it has been validated. (1) Police need to have reasonable suspicion and/or probable cause to make an enforcement stop of any vehicle. For example, if a vehicle is entered into the system because of its association with a wanted individual, Officers should attempt to visually match the driver to the description of the wanted subject prior to making the stop or should have another legal basis for making the stop.
(2) Prior to initiation of a stop of a vehicle or other intervention based on an ALPR Hit, Department members shall undertake the following:
(i) Verification of status on State Stolen or Wanted System.
An officer must receive confirmation from a Police Department Communications Dispatcher or other department computer device, that the license plate is still stolen, wanted, or otherwise of interest before proceeding (absent exigent circumstances). (ii) Visual verification of license plate number.
Officers shall visually verify that the license plate of interest matches identically with the ALPR Read Image of the license plate number captured (ALPR Read) by the ALPR, including both the alphanumeric characters of the license plate, state of issue, and vehicle descriptors before proceeding. Department members alerted to the fact that an observed motor vehicle's license plate is entered as an ALPR Hit in a specific State Stolen or Wanted System list are required to make a reasonable effort to confirm that a wanted person is actually in the vehicle and/or that a reasonable basis exists before a Department member would have a lawful basis to stop the vehicle.
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1302.6 CIVIL LIBERTIES AND RIGHTS PROTECTION:
The Berkeley Police Department is dedicated to the most efficient utilization of its resources and services in its public safety endeavors. The Berkeley Police Department recognizes the need to protect its ownership and control over shared information and to protect the privacy and civil liberties of the public, in accordance with federal and state law. The procedures described within this policy (Data Access, Data Protection, Data Retention, Public Access and Third Party Data Sharing) protect against the unauthorized use of ALPR data. These policies ensure the data is not used in a way that would violate or infringe upon anyone's civil rights and/or liberties, including but not limited to impacts that may violate the First and Fourth Amendments and other potentially disparate or adverse impacts on any communities or groups.
The Berkeley Police Department does not permit the sharing of ALPR data gathered by the City or its contractors/subcontractors for purpose of federal immigration enforcement, pursuant to the California Values Act (Government Code § 7282.5; Government Code § 7284.2 et seq) – these federal immigration agencies include Immigrations and Customs Enforcement (ICE) and Customs and Border Patrol (CPB).
1302.7 PUBLIC ACCESS
(a) Non-law enforcement requests for access to stored ALPR data shall be processed according to the Records Maintenance and Release Policy in accordance with applicable law.
(b) Non-law enforcement requests for information regarding a specific vehicle's license plate may be honored when the requester is the registered owner of the vehicle in question, and when providing such information will not invade the privacy of a third party. The requester in such cases must provide acceptable proof of his or her identity and of ownership of the vehicle in question.
1302.8 THIRD-PARTY DATA-SHARING
The ALPR data may be shared only with other law enforcement or prosecutorial agencies for official law enforcement purposes or as permitted by this policy. ALPR data is subject to the provisions of BPD Policy 415, and hence may not be shared with federal immigration enforcement officials.
Requests for ALPR data by non-law enforcement or non-prosecutorial agencies will be processed as provided in the Records Maintenance and Release Policy (Civil Code § 1798.90.55).
Aggregated ALPR data not related to specific criminal investigations authorized by a court order, subpoena, or search warrant shall not be released to any local, state or federal agency or entity without the express written consent of the City Manager.
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Third-party data-sharing shall be subject to non-privileged and non-confidential City Council notification pursuant to BMC 2.99.020 (2) (a).
1302.9 TRAINING AND ALPR ADMINISTRATOR
Training for the operation of ALPR technology shall be provided by BPD personnel. All BPD employees who utilize ALPR technology shall be provided a copy of this Surveillance Use Policy.
(1) The Investigations Division Captain shall be responsible for compliance with the requirements of Civil Code § 1798.90.5 et seq. This includes, but is not limited to (Civil Code § 1798.90.51; Civil Code § 1798.90.53):
(i) A description of the job title or other designation of the members and independent contractors who are authorized to use or access the Genetec ALPR system or to collect ALPR information.
(ii) Ensuring that training requirements are completed for authorized users. The Administrator shall ensure that members receive department-approved training for those authorized to use or access ALPRs (Civil Code § 1798.90.51; Civil Code § 1798.90.53).
(iii) A description of how the Genetec ALPR system will be monitored to ensure the security of the information and compliance with applicable privacy laws.
(iv) Procedures for system operators to maintain records of access in compliance with Civil Code§ 1798.90.52.
(v) The title and name of the current designee in overseeing the ALPR operation. (vi) Ensuring this policy and related procedures are conspicuously posted on the City's website.
1302.10 AUDITING AND OVERSIGHT
Genetec ALPR System audits will be conducted by the Professional Standards Bureau's Audit and Inspections Sergeant pursuant to Municipal Code Section 2.99 on a regular basis, at least biannually.
(1) Any unauthorized access or data breach shall be reported immediately to the City Manager.
(2) The audit shall be documented in the form of an internal department memorandum to the Chief of Police. The memorandum shall include any data errors found so that such errors can be corrected. After review by the Chief of Police, the memorandum and any associated documentation shall be placed into the annual report filed with the City Council pursuant to Section 2.99, published on the City of Berkeley website in an appropriate location, and retained by PSD.
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1302.11 MAINTENANCE
Any installation and maintenance of ALPR equipment, as well as ALPR data retention and access, shall be managed by the Investigations Division Captain. The Investigations Division Captain will assign members under their command to administer the day-to-day operation of the ALPR equipment and data.
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Office of the City Manager
2180 Milvia Street, Berkeley, CA 94704 ● Tel: (510) 981-7000 ● TDD: (510) 981-6903 ● Fax: (510) 981-7099 E-Mail: [email protected] Website: http://www.CityofBerkeley.info/Manager
ACTION CALENDAR
March 22, 2022
(Continued from January 25, 2022)
To: Honorable Mayor and Members of the City Council
From: Dee Williams-Ridley, City Manager
Submitted by: Jennifer Louis, Interim Chief of Police
LaTanya Bellow, Interim Deputy City Manager
Subject: Resolution Accepting the Surveillance Technology Report for Automatic License Plate Readers, GPS Trackers, Body Worn Cameras, and the Street Level Imagery Project Pursuant to Chapter 2.99 of the Berkeley Municipal Code
RECOMMENDATION
Adopt a Resolution accepting the Surveillance Technology Report for Automatic License Plate Readers, GPS Trackers, Body Worn Cameras, and the Street Level Imagery Project Pursuant to Chapter 2.99 of the Berkeley Municipal Code.
FISCAL IMPACTS OF RECOMMENDATION
There are no fiscal impacts associated with adopting the attached resolution.
CURRENT SITUATION AND ITS EFFECTS
On March 27, 2018, the City Council adopted Ordinance 7,592-N.S., adding Chapter 2.99 to the Berkeley Municipal Code, which is also known as the Surveillance Technology Use and Community Safety Ordinance (“Ordinance”). The purpose of the Ordinance is to provide transparency surrounding the use of surveillance technology, as defined by Section 2.99.020 in the Ordinance, and to ensure that decisions surrounding the acquisition and use of surveillance technology consider the impacts that such technology may have on civil rights and civil liberties. Further, the Ordinance requires that the City evaluate all costs associated with the acquisition of surveillance technology and regularly report on their use.
The Ordinance imposes various reporting requirements on the City Manager and staff.
The purpose of this staff report and attached resolution is to satisfy the annual reporting requirement as outlined in Section 2.99.070.
One of the reporting categories of the surveillance technology use is whether complaints have been received by the community about the various technologies. To date Berkeley Police Department Internal Affairs Bureau (IAB) has not received any external personnel complaints surrounding the use of Automatic License Plate Readers,
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Resolution Accepting the Surveillance Technology Report ACTION CALENDAR March 22, 2022
(Continued from January 25, 2022)
GPS Trackers, or Body Worn Cameras. External complaints from community members can be made in writing, via email, in person or via telephone. Complaints can be received with direct communication to Internal Affairs from the complainant and/or be received by any member of the Department and then forwarded through the chain of command. If a community member initiates a complaint against a subject employee and during the investigation it is determined the subject employee violated policy regarding the misuse of technology, an additional complaint is initiated by the Chief of Police.
Community members also have the right to initiate complaints against employees of BPD by reporting directly to the Police Accountability Board (PAB). The Director of Police Accountability notifies the Chief of Police when an investigation into a complaint is initiated by the PAB, which would prompt a parallel IAB investigation.
Attached to this staff report are Surveillance Technology Reports for Automatic License Plater Readers, GPS Trackers, Body Worn Cameras, and the Street Level Imagery Project.
BACKGROUND
On March 27, 2018, the City Council adopted Ordinance 7,592-N.S., adding Chapter 2.99 to the Berkeley Municipal Code, which is also known as the Surveillance Technology Use and Community Safety Ordinance. Section 2.99.070 of the Ordinance requires that the City Manager must submit to the City Council a Surveillance Technology Report as defined by Section 2.99.020(2) of the Ordinance at the first regular City Council meeting in November.
For each of the four technologies, the Surveillance Technology Reports were prepared to satisfy the specific, section-by-section requirements of the Ordinance, and are attached to this report.
The Surveillance Technology Use Policy for ALPR technology is still outstanding due Council questions about policy language, scheduling and directed focus during COVID-
19. This item will be returned to the Council agenda in early 2022.
ENVIRONMENTAL SUSTAINABILITY AND CLIMATE IMPACTS
There are no identifiable environmental effects or opportunities associated with the content of this report.
RATIONALE FOR RECOMMENDATION
City Council is being requested to adopt the attached resolution for the City to be in compliance with the Ordinance.
ALTERNATIVE ACTIONS CONSIDERED
City Council could decide not to adopt the resolution.
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Resolution Accepting the Surveillance Technology Report ACTION CALENDAR March 22, 2022
(Continued from January 25, 2022)
CONTACT PERSON
LaTanya Bellow, Interim Director of Information Technology (510) 981-6541 Jennifer Louis, Acting Chief of Police, (510) 981-5700
LaTanya Bellow, Interim Deputy City Manager, (510) 981-7012
ATTACHMENTS
1. Resolution
2. Body Worn Cameras
a) Surveillance Technology Report: Body Worn Cameras
b) Retention Schedule
3. Global Positioning System (GPS) Tracking Devices
Surveillance Technology Report
4. Automated License Plate Readers
Surveillance Technology Report: Automated License Plate Readers
5. Street Level Imagery Project
Surveillance Technology Report: Street Level Imagery Project
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RESOLUTION NO. ##,###-N.S.
A RESOLUTION ACCEPTING THE SURVEILLANCE TECHNOLOGY REPORT FOR
AUTOMATIC LICENSE PLATE READERS, GPS TRACKERS, BODY WORN
CAMERAS, AND THE STREET LEVEL IMAGERY PROJECT
WHEREAS, on March 27, 2018, the City Council adopted Ordinance 7,592-N.S., which is known as the Surveillance Technology Use and Community Safety Ordinance (“Ordinance”); and
WHEREAS, Section 2.99.070 of the Ordinance requires that the City Manager must submit to the City Council a Surveillance Technology Report as defined by Section
2.99.020(2) of the Ordinance at the first regular City Council meeting in November; and WHEREAS, the Surveillance Technology Reports satisfy the requirements of the Ordinance.
NOW THEREFORE, BE IT RESOLVED by the Council of the City of Berkeley that the Council hereby accepts the Surveillance Technology Reports for Automatic License Plate Readers, GPS Trackers, Body Worn Cameras, and the Street Level Imagery Project.
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Surveillance Technology Report: Body Worn Cameras
October 1, 2020 – Sept. 30, 2021
Description A description of all non-privileged and non-confidential information about use of the Surveillance Technology, including but not limited to the quantity of data gathered and sharing of data, if any, with outside entities. If sharing has occurred, the report shall include general, non-privileged and non-confidential information about recipient entities, including the names of the entities and purposes for such sharing.
Body Worn Cameras are used to capture video recordings of contacts between department personnel and the public, to provide an objective record of these events.
These recording are used in support of criminal prosecutions, to limit civil liability, increase transparency and enhance professionalism and accountability in the delivery of police services to the community. Body Worn Camera (BWC) files are shared with the Alameda County District Attorney’s office in support of prosecution for crime, and may be shared with other law enforcement agencies to support criminal investigations.
Policy regarding activation of the Body Worn Camera BPD Policy 425.7 Members shall activate the BWC as required by this policy in (a)-(f) below, and may activate the BWC at any time the member believes it would be appropriate or valuable to record an incident within the limits of privacy described herein.
The BWC shall be activated in any of the following situations:
(a) All in-person enforcement and investigative contacts including pedestrian stops and field interview (FI) situations.
(b) Traffic stops including, but not limited to, traffic violations, stranded motorist assistance and all crime interdiction stops.
(c) Self-initiated field contacts in which a member would normally notify the Communications Center.
(d) Any search activity, including the service of search or arrest warrants; probation, parole, or consent searches where the member is seeking evidence of an offense, or conducting a safety sweep or community caretaking sweep of the premises. Once a location has been secured and the member is not interacting with detainees or arrestees, the member may mute their BWC when conducting a search for evidence.
(e) Any other contact that the member determines has become adversarial after the initial contact in a situation where the member would not otherwise activate BWC recording.
(f) Transporting any detained or arrested person and where a member facilitates entry into or out of a vehicle, or any time the member expects to have physical contact with that person.
What data is captured by this technology:
BWC use is limited to enforcement and investigative activities involving members of the public. The BWC recordings will capture video and audio evidence for use in criminal investigations, administrative reviews, training, civil litigation, and other proceedings protected by confidentiality laws and department policy. Improper use or release of BWC
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recordings may compromise ongoing criminal and administrative investigations or violate the privacy rights of those recorded and is prohibited.
How the data is stored:
BWC videos are stored on a secure server. All BWC data will be uploaded and stored on Axon Cloud Services, Evidence.com. Axon complies with the EU-U.S. Privacy Shield Framework and the Swiss-U.S. Privacy Shield Framework as set forth by the U.S.
Department of Commerce regarding the collection, use, and retention of personal information transferred from the European Union and Switzerland to the United States (collectively, “Privacy Shield”). Axon has certified to the U.S. Department of Commerce that it adheres to the Privacy Shield Principles.
Retention period of data:
See attached retention schedule.
Summary of Body Worn Camera Videos Uploaded Oct. 1, 2020 to Sept. 30, 2021:
Total Number of Videos 62,283
Total Hours of Videos 16,310
Total GB of BWC Videos 29,017
Summary of Digital Evidence Uploaded, Oct. 1, 2020 to Sept. 30, 2021:
Type File Count Size (GBs)
Audio 1,150 11.72
Document 737 2.38
Image 67,672 331.36
Other 1,292 157.71
Video* 67,865 30,086.75
Total 138,716 30,589.92
* Includes all uploaded BWC videos and all other videos booked into the evidence management system. Other videos include iPhone videos uploaded, security camera video, copies of BWC videos (for redaction, etc.), and any other videos.
Geographic
Deployment
Where applicable, non-privileged and non-confidential information about where the surveillance technology was deployed geographically.
Body Worn Cameras are worn by all BPD uniformed officers city-wide at all times; BWCs are not deployed based on geographic considerations.
Complaints A summary of each complaint, if any, received by the City about the Surveillance Technology.
There have been no complaints about the deployment and use of Body Worn Cameras.
Audits and
Violations
The results of any non-privileged internal audits, any information about violations or potential violations of the Surveillance Use Policy, and any actions taken in response.
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File meta-data are routinely reviewed by our BWC manager, to ensure required metadata fields are completed. There have been no complaints with regards to violations of the Surveillance Use Policy.
Data Breaches Non-privileged and non-confidential information about any data breaches or other unauthorized access to the data collected by the surveillance technology, including information about the scope of the breach and the actions taken in response.
There have been no known data breaches or other unauthorized access to BWC data.
Effectiveness Information that helps the community assess whether the Surveillance Technology has been effective in achieving its identified outcomes.
Body Worn Cameras have proven effective in supporting criminal prosecutions, as video footage is available for all criminal prosecutions. Body Worn Cameras have been effective for training purposes, as footage can be reviewed in incident de-briefs. Body Worn Cameras have been extremely effective in support of Internal Affairs investigations and Use of Force Review.
Costs Total annual costs for the Surveillance Technology, including personnel and other ongoing costs.
The annual cost for the Body Worn Cameras, including cameras, replacement cameras, software, and Axon’s secure digital evidence management system is approximately $204,000 per year over a five-year, $1,218,000 contract. There is one full-time employee assigned to the BWC program, an Applications Programmer Analyst II, at a cost of $168,940 per year, including benefits.
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ATTACHMENT 3
Surveillance Technology Report: Global Positioning System Tracking Devices October 1, 2019 – Sept. 30, 2020
Description A description of all non-privileged and non-confidential information about use of the Surveillance Technology, including but not limited to the quantity of data gathered and sharing of data, if any, with outside entities. If sharing has occurred, the report shall include general, non-privileged and non-confidential information about recipient entities, including the names of the entities and purposes for such sharing.
Global Positioning System Trackers are used to track the movements of vehicles, bicycles, other items, and/or individuals.
What data is captured by this technology:
A GPS Tracker data record consists of date, time, latitude, longitude, map address, and tracker identification label. The data does not contain any images, names of subjects, vehicle information or other identifying information on individuals.
How the data is stored:
The data from the GPS tracker is encrypted by the vendor. The data is only accessible through a secure website to BPD personnel who have been granted security access.
Retention period of data:
Tracker data received from the vendor shall be kept in accordance with applicable laws, BPD policies that do not conflict with applicable law or court order, and/or as specified in a search warrant.
For the date range of 10-01-19 through 09-30-20 the Global Positioning System (GPS) “Electronic Stake Out” (ESO) devices were deployed on “bait” bicycles 52 times, resulting in 34 arrests, 4 eluded capture, 1 person was detained and not arrested, and in 13 deployments the bicycle was not stolen. This program was suspended in mid-March due to the COVID-19 pandemic.
GPS “Slap-N-Track” (SNT) devices were used in three separate investigations during this reporting period:
(1) An investigation of an individual for Sexual Exploitation, Child Pornography, and Distribution of Child Pornography. This suspect currently has a Federal warrant.
(2) An investigation of a serial kidnap rape suspect. The suspect was arrested and charged.
(3) An investigation into multiple suspects involved in a “Rolex” robbery series that involved the cities of Berkeley, Piedmont, and Orinda. Two devices were used on two different suspect vehicles during this investigation. Four suspects from the above cases were arrested and charged for their involvement in these robberies.
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ATTACHMENT 3
Data may be shared with the District Attorney’s Office for use as evidence to aid in prosecution, in accordance with laws governing evidence; other law enforcement personnel as a part of an active criminal investigation; and other third parties, pursuant to a court order.
Geographic
Deployment
Where applicable, non-privileged and non-confidential information about where the surveillance technology was deployed geographically.
GPS ESO-equipped bikes were deployed primarily in commercial districts across the city where bikes are frequently stolen.
GPS SNT devices are deployed with judicial pre-approval, based on suspect location, rather than geographical consideration.
Complaints A summary of each complaint, if any, received by the City about the Surveillance Technology.
There were no complaints made regarding GPS Trackers.
Audits and
Violations
The results of any non-privileged internal audits, any information about violations or potential violations of the Surveillance Use Policy, and any actions taken in response.
There were no audits and no known violations relating to GPS Trackers.
Data
Breaches
Non-privileged and non-confidential information about any data breaches or other unauthorized access to the data collected by the surveillance technology, including information about the scope of the breach and the actions taken in response.
There were no known data breaches relating to GPS Trackers.
Effectiveness Information that helps the community assess whether the Surveillance Technology has been effective in achieving its identified outcomes.
GPS Trackers continue to be very effective in apprehending bicycle thieves, many of whom are repeat offenders who’ve committed not only bike thefts, but other crimes as well, such as burglaries, auto burglaries, and vehicle thefts. SNT trackers are effective in that they provide invaluable information on suspect vehicle location during the investigation of complex cases where suspects may be moving around the Bay Area and beyond.
GPS Trackers greatly reduce costs associated with surveillance operations. A bike may be left for days. Surveillance operations generally involve four or more officers for the entire duration of an operation. A moving surveillance is extremely resource-intensive, requiring multiple officers in multiple vehicles for extended periods of time. Using both types of GPS trackers eliminates the need for officers’ immediate presence until officers are ready to apprehend the suspect(s).
The program was suspended in mid-March due to the COVID-19 pandemic. This program will likely resume once the pre-COVID bail schedule is re-established.
Costs Total annual costs for the Surveillance Technology, including personnel and other ongoing costs.
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ATTACHMENT 3
The annual cost for the GPS Trackers’ data service is $1,920. Further information regarding costs is contained in Policy 1301a, the Surveillance Acquisition Report.
There are staff time costs associated with preparing and placing SNT trackers. The investigator must prepare a search warrant and obtain a judge’s approval, and a small number of officers must place the tracker on the suspect’s car. The total number of hours is a fraction of the time it would take to do a full surveillance operation involving numerous officers.
There are staff time costs associated with preparing ESO trackers and placing ESO tracker-equipped bikes for bait bike operations. These are on the order of two-four hours per operation. The total number of hours is extremely small, given the large number of operations, and resulting arrests.
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ATTACHMENT 4
Surveillance Technology Report: Automated License Plate Readers October 1, 2019 – Sept. 30, 2020
Description A description of all non-privileged and non-confidential information about use of the Surveillance Technology, including but not limited to the quantity of data gathered and sharing of data, if any, with outside entities. If sharing has occurred, the report shall include general, non-privileged and non-confidential information about recipient entities, including the names of the entities and purposes for such sharing.
Automated License Plate Readers (ALPRs) are used by Parking Enforcement Bureau vehicles for time zone parking and scofflaw enforcement. The City’s Transportation Division uses anonymized information for purposes of supporting the City’s Go Berkeley parking management program. ALPR use replaced the practice of physically “chalking” tires, which is no longer allowed by the courts.
What data is captured by this technology:
ALPR technology functions by automatically capturing an image of a vehicle's license plate, transforming that image into alphanumeric characters using optical character recognition software, and storing that information, along with relevant metadata (e.g. geo-location and temporal information, as well as data about the ALPR).
How the data is stored:
The data is stored on a secure server by the vendor.
Retention period of data:
Collected images and metadata of hits are stored no more than 365 days. Metadata of reads are not stored more than 30 days.
Summary of ALPR Time Zone Enforcement Data
Read Data
There was an average of 12,059 “Reads” per working day
(Based on one month’s data: 9/1/20/-9/30/20)
Hit Data
There were 44,068 “Hits”
14, 945 “Enforced Hits” resulted in citation issuance.
2,569 “Not Enforced” valid, enforceable hits resulted in no citation issued, based on PEO discretion.
26,554 Hits were not acted upon for a variety to reasons including but not limited to:
1) Customer comes out to move a vehicle. PEO’s are directed not to issue that citation.
2) Officer gets to the dashboard and sees a permit not visible from a previous location.
3) Officer does a vehicle evaluation and confirms that the vehicle moved from the hit location (e.g. across the street within GPS range). 4) Stolen car.
5) Similar Plates.
6) 600-700 GIG cars- 100 revel scooters.
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ATTACHMENT 4
7) Officers leave their LPR “on” collecting time zone enforcement data, but leave the area being enforced to drive to another location on another assignment, such as a traffic post at a collision scene. These hits are not enforced.
Genetec is the vendor for the ALPR Time Zone enforcement system. A “read” indicates the ALPR system successfully read a license plate. The information that is generated when a plate is viewed by the ALPR camera is the license plate number, state and geographical (GPS) location it was viewed. A “hit” indicates the ALPR system detected a possible violation, which prompts the Parking Enforcement Officer to further assess the vehicle. At “hit” is when the “read” information is recognized as a license plate that matches, or does not match an entry in a list such as permit list or the stolen vehicle “hot list”. In many cases, hits are “rejected” or “not enforced”, meaning no enforcement action is taken, because the Parking Enforcement Officer determines the vehicle has an appropriate placard or permit, or there is other information or assignment which precludes citation.
Summary of ALPR Booting Scofflaw Enforcement Data
0 vehicles booted from 10/1/19-9/23/20.
The Berkeley Police Department no longer maintains the ALPR Booting Scofflaw Enforcement Program. The contract to provide this service became cost prohibitive and the city opted not to renew the contract with the vendor. The city returned to having each PEO working a beat again become responsible for recognizing when a license plate has accumulated five or more unpaid parking tickets.
All BPD ALPR data may only be shared with other law enforcement or prosecutorial agencies for official law enforcement purposes, or as otherwise permitted by law. All ALPR data is subject to the provisions of BPD Policy 415 - Immigration Law, and therefore may not be shared with federal immigration enforcement officials.
Geographic
Deployment
Where applicable, non-privileged and non-confidential information about where the surveillance technology was deployed geographically.
Only Parking Enforcement Vehicles are equipped with ALPRs. ALPRs are deployed based on areas where there are parking time restrictions. ALPRs are not deployed based on geographic considerations not related to parking and scofflaw enforcement.
Complaints A summary of each complaint, if any, received by the City about the Surveillance Technology.
There have been no complaints about to the deployment and use of Automated License Plate Readers.
Audits and
Violations
The results of any non-privileged internal audits, any information about violations or potential violations of the Surveillance Use Policy, and any actions taken in response.
There have been no complaints of violations of the ALPR Surveillance Use Policy.
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ATTACHMENT 4
Data
Breaches
Non-privileged and non-confidential information about any data breaches or other unauthorized access to the data collected by the surveillance technology, including information about the scope of the breach and the actions taken in response.
There have been no known data breaches or other unauthorized access to Automated License Plate Reader data.
Effectiveness Information that helps the community assess whether the Surveillance Technology has been effective in achieving its identified outcomes.
ALPRs have proven effective in parking enforcement for time zone enforcement; the prior utilization of manually chalking car tires for time zone enforcement has been disallowed by court decision.
ALPRs have proven effective in supporting enforcement upon vehicles which have five or more unpaid citations. The ALPR’s ability to read and check license plates while being driven greatly increases efficiency, allowing an operator to cover larger areas more quickly without having to stop except to confirm a hit.
Costs Total annual costs for the Surveillance Technology, including personnel and other ongoing costs.
The annual system maintenance cost for Genetec is $47,000. This cost is borne by the Transportation Division, which also purchased the ALPR units used in Time Zone Enforcement.
Two new Genetec ALPR units were purchased during the period covered by this report.
The two new units were purchased in order to equip the final two parking vehicles that did not have ALPR units attached to them.
Genetec ALPR units are installed on 23 Parking Enforcement vehicles. Parking Enforcement personnel perform a variety of parking enforcement activities, and are not limited solely to time zone enforcement. Therefore, personnel costs specifically attributable to time zone enforcement are not tracked.
696
ATTACHMENT 5
Surveillance Technology Report:
Street Level Imagery Project
Description
A description of all non-privileged and non-confidential information about the use of the Surveillance Technology, including but not limited to the quantity of data gathered and sharing of data, if any, with outside entities. If sharing has occurred, the report will include general, non-privileged and non-confidential information about recipient entities, including the names of the entities and purposes for such sharing.
Street level imagery will be utilized exclusively by authorized City staff for infrastructure asset management and planning activities. The street level imagery of City infrastructure assets in the Public Right of Way that is provided to the City will not consist of information that is capable of being associated with any individual or group.
Geographic
Deployment
Where applicable, non-privileged and non-confidential information about where the surveillance technology was deployed geographically.
Street level imagery was collected by driving through the entire community over a three week period. It is accessible to the City through a proprietary third-party application, Street SmartTM.
Complaints
A summary of each complaint, if any, received by the City about the Surveillance Technology.
There have been no complaints about the deployment and use of Street SmartTM.
Audits and
Violations
The results of any non-privileged internal audits, any information about violations or potential violations of the Surveillance Use Policy, and any actions taken in response.
There have been no complaints with regards to violations of the Surveillance Use Policy.
Data
Breaches
Non-privileged and non-confidential information about any data breaches or other unauthorized access to the data collected by the surveillance technology, including information about the scope of the breach and the actions taken in response.
There have been no known data breaches or other unauthorized access to Cyclomedia Street Level Imagery data.
697
ATTACHMENT 5
698
ATTACHMENT 5
Effectiveness
Information that helps the community assess whether the Surveillance Technology has been effective in achieving its identified outcomes.
Staff considered hiring contractors to use GPS in the field to create and update the infrastructure asset GIS data. This method is costly and time consuming.
Cyclomedia’s unique and patented processing techniques allow positionally- accurate GIS data to be collected in a cost-effective way and over a shorter period of time than a “boots on the ground” GPS field survey.
The Imagery is being used to extract the following Citywide Infrastructure assets to create accurate and current Geographic Information Systems (GIS) data inventories:
• Bus pads / stops • Pavement marking • Maintenance Access Holes • Storm drains • Pavement Striping • Signs • Curb paint color • Street trees • Parking meters • Traffic lights • Pedestrian Signal
The street level imagery captured is also being used to:
Create a street sign GIS layer with condition assessment to support compliance with the Manual on Uniform Traffic Control Devices Code and provide an accurate inventory of City signs. The existing sign inventory is contained in a spreadsheet that does not have accurate location data.
Create a curb color layer with condition assessment to indicate where there are red, yellow, blue, white and green colors. This is critical to support Public Safety.
Create pavement striping and paint symbol layers to support Transportation Planning and Vision Zero.
Benefits Projected:
The data from the street level imagery is being integrated into the City’s work order and asset management system for planning activities and to document repair and maintenance.
Planners can use the street level imagery provided to the City to take measurements remotely, such as sidewalk width and public right of way impacts at proposed development locations.
City staff can use the street level imagery to plan the location of road markings for pedestrian crossings, bike lanes or other striping.
699
ATTACHMENT 5
City staff can remotely take accurate measurements of infrastructure assets to adequately plan for repair and replacement.
City staff can use the street level imagery to enhance community engagement.
The street level imagery can be used to identify and depict the impact of development such as an intersection restriping plan in order to article before and after conditions.
Costs
Total annual costs for the Surveillance Technology, including personnel and other ongoing costs.
The total cost of the system is $232,401 and is itemized below.
Year
No. Description Cost Notes
1 Licenses $48,000 Resolution No: 69,482-N.S. 30JUN20
1 Professional Services
for asset extraction $139,401 Resolution No: 69,482-N.S. 30JUN20 2 Licenses and Support –
One-Time $45,000
Pending Council approval after imagery
and data extraction work is completed
Licensing Costs included in IT Cost
allocation
3 License and Support –
Ongoing Annual Costs $3,000
Pending Council approval after imagery
and data extraction work is completed
Licensing Costs included in IT Cost
allocation
Total Year 1-3 $235,401
700
Office of the City Manager
2180 Milvia Street, Berkeley, CA 94704 ● Tel: (510) 981-7000 ● TDD: (510) 981-6903 ● Fax: (510) 981-7099 E-Mail: [email protected] Website: http://www.cityofberkeley.info/manager
INFORMATION CALENDAR
MARCH 22, 2022
To: Honorable Mayor and Members of the City Council
From: Dee Williams-Ridley, City Manager
Submitted by: Henry Oyekanmi, Director, Finance Department Subject: FY 2022 First Quarter Investment Report: Ended September 30, 2021
SUMMARY
The City’s investment policy requires that a quarterly investment report be submitted to the City Council on the status of the investment portfolio. The report includes all investments managed by the City of Berkeley and provides information on the types, values (par, book, and market), term, and yield of each security. The return on pooled investments for the quarter ended September 30, 2021 was .99%, 77 basis points more than the .22% earned by the State Local Agency Investment Fund (State LAIF), which is the benchmark for investment performance used by the City. The return on pooled investments of .99% for the quarter ended September 30, 2021 was 19 basis points less than the rate of .80% earned in the quarter ended June 30, 2021.
The average return on all Retiree Medical Trust Fund investments was 3.37% for the quarter ended September 30, 2021.
CURRENT SITUATION AND ITS EFFECTS
Attached is a summary of quarterly reports for the fiscal year 2022 First quarter ending September 30, 2021 representing the status of the City’s investment portfolio. The report includes all investments managed by the City of Berkeley and provides information on the values (par, book, and market), term, and yield of each security.
Summary information by type of security and detailed information on each security is provided on Exhibit 2-A. An evaluation of portfolio performance for this accounting period compared to the previous three accounting periods is also included in Attachment 1.
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Investment Report: FY2022 1st Qtr INFORMATION CALENDAR Ended September 30, 2021 MARCH 22, 2022
A. Portfolio Results
As a result of the differences in the investment policies of different cities, including responsible investing policies, maturity restrictions, investment restrictions, etc., it was difficult for the City of Berkeley to come up with a reasonable performance measure for pooled cash investments. In order to provide some measure of the relative performance of the City’s investment returns, many years ago the City established the State Local Agency Investment Fund (LAIF) as the performance measure to be reported in the quarterly investment reports, since many local governments invested significant portions of their investment portfolios in LAIF.
LAIF was intended to be a reference point to compare the City’s investment performance against, rather than a true performance measure, since most cities typically earn a yield higher than LAIF in normal interest rate environments, and because LAIF’s average maturity of its investments is generally shorter than most cities. As a result, past City Councilmembers requested that information about the rates earned by other California cities be included in the quarterly investment reports for comparison purposes, despite the differences in the investment policies of the various cities.
1. Liquidity of Portfolio:
The average investment in the pooled portfolio matures in 1,304 days as of September 30, 2021. This is 13 days less than the 1,317 maturity days as of June 30, 2021.
2. Comparison of Results to Performance Measures – Pooled investments:
Quarter Ended September 30, 2021
The City’s yield on investments for the quarter ended September 30, 2021 was .99%, an increase of 19 basis points (.19%) from the .80% earned during the quarter ended June 30, 2021. The average yield on a 90-day Treasury bill at the end of the quarter ended September 30, 2021 was .033%, a decrease of .8 basis points (.008%) from the .041% at the end of the previous quarter.
As summarized in Table 1, staff’s overall results were above the performance measure for the quarter. Staff’s performance was above the performance measure in July by approximately 68 basis points (+.68%); over the performance measure in August by approximately 79 basis points (+.79%); and, was over the performance measure in September by approximately 86 basis points (+.86%).
The performance measure for the return on investments is compared to the rate of return of the State LAIF.
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Investment Report: FY2022 1st Qtr INFORMATION CALENDAR Ended September 30, 2021 MARCH 22, 2022
Table 1
For Quarter Ending September 30, 2021
Period City State LAIF Difference
July-21 .90% .22% +0.68%
Aug-21 1.01% .22% +0.79%
Sept-21 1.07% .21% +0.86%
July 1-Sept 30 .99% .22% 0.77%
3. Investment Results-Retiree Health Insurance Funds:
Average interest rates earned on the retiree health insurance trust funds for the quarter ended June 30, 2021 compared to the quarter ended September 30 2021, were as follows:
Table 2
EARNED INTEREST RATES
For Quarter Ended 9/30/2021 Compared To 6/30/2021
Trust Fund 4th Qtr
6/30/21
1st Qtr
9/30/21
Retiree Medical Trust Fund (Misc Employees) 4.561% 3.984% Fire Retiree Medical Trust Fund 3.688% 3.235%
Police Retiree Medical Trust Fund 4.187% 2.887%
The rates earned on these plans are expected to be higher in the future, as staff plans to use the investment authority granted by Council to purchase Bond and Stock Mutual Funds or Index Funds recommended by the professional money managers who manage the City’s Section 115 Trust funds.
Details related to retiree health trust fund investments are in Attachment 3, Exhibits 3- A, 3-B, and 3-C of this report.
B. Discussion of Interest Rate Environment and Outlook
In its September 22, 2021 statement, the Federal Open Market Committee indicated that “the Federal Reserve is committed to use its full range of tools to support the U.S. economy in this challenging time, thereby promoting its maximum employment and price stability goals.
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Investment Report: FY2022 1st Qtr INFORMATION CALENDAR Ended September 30, 2021 MARCH 22, 2022
With progress on vaccinations and strong policy support, indicators of economic activity and employment have continued to strengthened. The sectors most adversely affected by the pandemic have improved in recent months. Inflation is elevated, largely reflecting transitory factors. Overall financial conditions remain accommodative, in part reflecting policy measures to support the economy and the flow of credit to U.S. households and businesses.
The path of the economy will depend significantly on the course of the virus. Progress on vaccinations will likely continue to reduce the effects of the public health crisis on the economy, but risks to the economic outlook remain.
Yield Trend
The Committee seeks to achieve maximum employment and inflation at the rate of 2 percent over the longer run. With inflation having run persistently below this longer-run goal, the Committee will aim to achieve inflation moderately above 2 percent for some time so that inflation averages 2 percent over time and longer-term inflation expectations remain well anchored at 2 percent. The Committee expects to maintain an accommodative stance of monetary policy until these outcomes are achieved. The Committee decided to keep the target range for the federal funds rate at 0 to .25% and expects it will be appropriate to maintain this target range until labor market conditions have reached levels consistent with the Committee’s assessments of maximum employment and inflation has risen to 2 percent and is on track to moderately exceed 2 percent for some time. Last December, the Committee indicated that it would continue to increase its holdings of Treasury securities by at least $80 billion per month and of Agency mortgage-backed securities by at least $40 billion per month until substantial further progress has been made toward the Committee’s maximum employment and price stability goals. Since then, the economy has made progress toward these goals. If progress continues broadly as expected, the Committee might decide that a moderation in the pace of asset purchases may soon be warranted. These asset purchases help foster smooth market functioning and accommodative financial conditions, thereby supporting the flow of credit to households and businesses. In assessing the appropriate stance of monetary policy, the Committee will continue to monitor the implications of incoming information for the economic outlook. The Committee would be prepared to adjust the stance of monetary policy as appropriate if risks emerge that could impede the attainment of the Committee’s goals.
At its latest meeting on January 25-26, 2022, the Fed announced its intention to start raising the Federal Funds rate at its next meeting on March 15-16, 2022 to combat the high inflation the U.S. is experiencing now; and, the Fed indicated that multiple increases would occur after that date. As a result of these moves by the Fed, staff expects returns during the remainder of FY 2022 to increase from the returns earned in FY 2021 and so far in FY 2022.
A January 12-19, 2022 Reuters poll expects the Fed to raise the Federal Funds rate three times in FY 2022, starting in March, and an additional three times in 2023, bringing the rate to 1.50% to 1.75% by the end of 2023.
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Investment Report: FY2022 1st Qtr INFORMATION CALENDAR Ended September 30, 2021 MARCH 22, 2022
At the same time, the City’s overnight Fidelity money market fund continues to pay a rate of only .01%.
Therefore, until short-term and long-term rates return to more normal levels, staff’s strategy will be to (1) keep the short-term money in the Fidelity money market fund to a minimum, to increase short-term yields earned; and, (2) restrict investment maturities to three years until after the Fed starts raising rates in March 2022: Specifically, staff will:
Hold less money in the Fidelity money market fund, and invest in more Commercial Paper and other short-term securities for the short-term portfolio, since Fidelity’s rate is still .01%. Commercial Paper is a money-market security issued by large corporations to obtain funds to meet short-term obligations, and is backed by the company’s promise to pay the face amount, plus interest, on the maturity date.
Interest rates paid on Commercial Paper currently range between .30% and .70% (for four to nine month periods);
Continue the policy of not locking in any Agency or Medium-Term corporate note securities with a maturity beyond three years, even though rates for maturities for Agencies from one to five-year maturities have increased from a range of .11%-
1.15% to a range of .80%-1.60%, as indicated in Table 3:
Table 3 Agency Bullets
Description 1 Year 2 years 3 years 4 years 5 years
Previous
Range
.11% .40% .73% .97% 1.15%
Current
Range
.80% 1.19% 1.38% 1.56% 1.56%
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Investment Report: FY2022 1st Qtr INFORMATION CALENDAR Ended September 30, 2021 MARCH 22, 2022
Also, the City’s earned rate is expected to be above the City’s benchmark (State LAIF) and the City’s return is expected to be comparable to rates earned by most other cities in California. A sample of rates earned by Northern and Southern California cities is reflected in table 3 below (previously only Northern California cities were included):
Table 4
Other California Cities
Earned Interest Rates
For the Quarter Ending September 30, 2021
City Rates Earned
Palo Alto 1.61%
Los Angeles 1.24%
Sacramento 1.03%
Berkeley .99%
San Jose .92%
Torrance .87%
San Diego .72%
Santa Monica .54%
San Francisco .48%
Oakland N/A
BACKGROUND
Pooled Investments
Short-term cash is invested primarily in government sponsored enterprises (referred to as Federal Agency) notes and medium-term corporate notes for periods of one to five years. Additional cash is invested in a money market fund or overnight securities to meet the liquidity needs of the City.
In some cases, the City may have investments with a current market value that is greater or less than the recorded cost. These changes in market value are due to fluctuations in the market and have no effect on yield, as the City does not intend to sell securities prior to maturity.
Retiree Health Trust Fund Investments
The City agreed to provide retiree Health insurance coverage for fire, police and miscellaneous employees under certain terms and conditions. An actuarial study commissioned by the City many years ago determined that, in addition to City Contributions, an average rate of return of 7% on miscellaneous employees trust fund assets invested must be achieved to fund the retiree health benefit at the desired 70% level. Primarily as a result of the Federal Reserve Board’s decision to keep short-term rates near zero for the last 14 years, the average rate currently earned is significantly
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Investment Report: FY2022 1st Qtr INFORMATION CALENDAR Ended September 30, 2021 MARCH 22, 2022
below that 7% level. City Finance Department staff manages these investment portfolios.
ENVIRONMENTAL SUSTAINABILITY
There are no identifiable environmental effects or opportunities associated with the subject of this report.
CONTACT PERSON
Henry Oyekanmi, Director, Finance Department, 981-7326
ATTACHMENTS
1. Portfolio Evaluation FY 2022 First Quarter
2. Investment Report Analysis FY 2022 First Quarter
a. Exhibit 2-A: Pooled Cash and Investments
b. Exhibit 2-B.1 Interest Earnings July 1, 2021 – July 31, 2021 c. Exhibit 2-B.2 Interest Earnings August 1, 2021 – August 31, 2021 d. Exhibit 2-B.3 Interest Earnings September 1, 2021 – September 30, 2021 e. Exhibit 2-C: Book Value By Investment Type
f. Exhibit 2-D: Current Holdings vs. Policy Limits
g. Exhibit 2-E: Investment Portfolio Trend
3. Summary of Pooled and Cash Investments FY 2022 First Quarter –Trust Funds a. Exhibit 3-A: Retiree Medical Trust Funds –Misc.
b. Exhibit 3-B: Retiree Medical Trust Funds –Fire
c. Exhibit 3-C: Retiree Medical Trust Funds –Police
707
Attachment 1
Total Portfolio
Pooled Cash and Investments (COB) 526,986,435$ 607,813,880$ 485,079,936$ 502,205,525$ 458,510,489$ Pooled Cash and Investments (Trust) 52,247,171 52,703,230 51,878,656 52,295,664 51,162,127 Total Cash and Investments 579,233,606$ 660,517,110$ 536,958,592$ 554,501,189$ 509,672,616$ Average Life of Investment Portfolio
Pooled Investments (CoB) 1,304 1,317 1,158 1,205 1,184
Trust Investments 1.961 years 2.584 years 2.745 years 2.368 years 2.620 years Weighted Yield
Pooled Investments (CoB) 0.992% 0.804% 0.868% 1.081% 1.145% Trust Investments 3.369% 4.145% 4.319% 4.357% 4.085%
Prime Rate 3.250% 3.250% 3.250% 3.250% 3.250%
91-day Treasury Bill Rate 0.033% 0.041% 0.015% 0.058% 0.092% 2-year Treasury Note Rate 0.276% 0.249% 0.160% 0.121% 0.127% Cash and Investments Maturity
Within one year 164,472,381$ 28.39% 304,569,674$ 46.11% 384,540,339$ 71.61% 404,368,543$ 70.95% 331,894,784$ 65.12% Between 1 to 3 years 43,663,650 7.54% 54,151,565 8.20% 54,215,103 10.10% 53,336,175 10.29% 50,549,828 9.92% Between 3 to 5 years 333,855,324 57.64% 205,214,052 31.07% 76,708,237 14.29% 68,834,300 14.67% 77,306,662 15.17% Between 5 to 10 years 37,242,254 6.43% 96,581,820 14.62% 21,494,913 4.00% 27,962,170 4.08% 49,921,343 9.79% Over 10 years - 0.00% - 0.00% - 0.00% - 0.00% - 0.00% Total 579,233,609$ 100.00% 660,517,111$ 100.00% 536,958,592$ 100.00% 554,501,189$ 100.00% 509,672,616$ 100.00% Portfolio Evaluation
Quarter Ended September 30, 2021
September 2020December 2020March 2021
Quarter Ending
June 2021September 2021
708
Attachment 2
Pension and OPEB
Investments Pooled Investments Trust Investments Total
Portfolio 491,279,714 $ 27,990,030 $ 519,269,744 $ Unrecognized gain/(loss) 6,132,587 2,110,736 8,243,323 Total Investments 497,412,301 30,100,766 527,513,067 Cash Pooled Cash
Pension and OPEB
Trust Cash Total
Cash with Fiscal Agents 2,205,051 - 2,205,051 Cash Deposits in Banks 49,515,488 - 49,515,488 Pooled Cash Adjustment (22,146,405) 22,146,405 - Total Cash 29,574,134 22,146,405 51,720,539 Adjusted Grand Total (All Cash and Investments) 526,986,435$ 52,247,171 $ 579,233,606 $ Pooled Cash Portfolio Breakdown As of September 30, 2021 Book Value Market Value Investments 491,141,989$ 497,274,576 $
Fidelity Money Market (TRANS) - - Fidelity Money Market 137,725 137,725 491,279,714$ 497,412,301$
Note: Pooled cash for General Fund includes Rent Board cash of $5,847,531.07 Investment Report Analysis
As of September 30, 2021
709
CUSIP Investment # Issuer Book Value Par Value Market Value Current
Rate
YTM/C
365
Maturity
Date
Days To
Maturity
Moody's
Rating
Certificates of Deposits
254673RD0 14539 Discover Bank 250,000.00 250,000.00 263,212.50 3.300 3.300 07/05/2023 642 N/A 795450T47 14540 Sallie Mae Bank 250,000.00 250,000.00 263,177.50 3.300 3.300 07/03/2023 640 N/A Subtotal and Average 500,000.00 500,000.00 526,390.00 3.300 641 Medium Term Notes
008252AM0 14582 Affiliated Managers Group 1,043,767.95 1,000,000.00 1,081,810.00 4.250 2.300 02/15/2024 867 A3 037833AK6 14536 Apple Inc 4,939,768.55 5,000,000.00 5,161,900.00 2.400 3.225 05/03/2023 579 AA1 04685A2L4 14590 Athene Global Funding 5,983,043.75 5,950,000.00 6,184,846.50 2.500 2.320 01/14/2025 1,201 N/A 04685A2L4 14602 Athene Global Funding 4,886,573.68 5,000,000.00 5,197,350.00 2.500 3.250 01/14/2025 1,201 N/A 084670BJ6 14542 Berkshire Hathaway 4,990,538.14 5,000,000.00 5,182,300.00 3.000 3.150 02/11/2023 498 AA2 15654VAK4 14641 T-1 Century Housing Corp 4,000,000.00 4,000,000.00 3,998,840.00 0.300 0.300 07/15/2022 287 N/A 20030NBN0 14563 Comcast Corp 5,047,972.92 5,000,000.00 5,416,500.00 3.375 3.100 08/15/2025 1,414 A3 233851CU6 14571 Daimler Finance 5,060,309.63 5,000,000.00 5,484,550.00 3.450 3.190 01/06/2027 1,923 A3 233851CU6 14574 Daimler Finance 3,803,436.58 3,725,000.00 4,085,989.75 3.450 3.000 01/06/2027 1,923 A3 233851DN1 14586 Daimler Finance 5,008,058.99 5,000,000.00 5,015,100.00 3.750 2.000 11/05/2021 35 A3 24422EUM9 14554 John Deere Cap 5,032,559.06 5,000,000.00 5,331,450.00 3.650 3.300 10/12/2023 741 A2 375558BF9 14570 Gilead Sciences 5,105,153.96 5,000,000.00 5,480,000.00 3.650 3.118 03/01/2026 1,612 A3 49327M2X1 14560 Key Bank NA 5,003,159.72 5,000,000.00 5,050,550.00 3.300 3.100 02/01/2022 123 A3 53944VAS8 14580 Lloyds Bank Plc 5,002,080.92 5,000,000.00 5,087,600.00 2.250 2.200 08/14/2022 317 A1 540424AQ1 14555 Loews Corporation 4,945,634.01 5,000,000.00 5,153,850.00 2.625 3.350 05/15/2023 591 A3 589331AT4 14545 Merck & Co Inc 4,971,874.00 5,000,000.00 5,078,450.00 2.400 3.030 09/15/2022 349 A1 68389XAS4 14548 Oracle Corp 5,018,452.87 5,000,000.00 5,284,850.00 3.625 3.388 07/15/2023 652 BAA2 747525AT0 14564 Qualcomm Inc 4,981,772.68 5,000,000.00 5,284,450.00 2.900 3.050 05/20/2024 962 A2 747525AU7 14587 Qualcomm Inc 6,212,139.71 5,963,000.00 6,540,814.70 3.250 2.435 05/20/2027 2,057 A2 828807CS4 14606 Simon Property Group 4,996,478.16 5,000,000.00 5,351,250.00 3.375 3.353 10/01/2024 1,096 A3 07330MAA5 14588 Truist Bank 5,334,788.79 5,000,000.00 5,571,800.00 3.800 2.365 10/30/2026 1,855 A2 Subtotal and Average 101,367,564.07 100,638,000.00 106,024,250.95 2.817 984 Commercial Paper Disc - Amortizing
06742XJX6 14635 T-1 Barclays Bank PLC 9,996,311.11 10,000,000.00 9,997,500.00 0.160 0.162 12/23/2021 83 N/A 2254EBAU5 14614 Credit Suisse New York 9,991,736.11 10,000,000.00 9,996,000.00 0.250 0.258 01/28/2022 119 N/A 44890MXV9 14637 T-1 Hyundai Capital America 9,998,366.67 10,000,000.00 9,999,200.00 0.210 0.213 10/29/2021 28 N/A 53948BB73 14626 Lloyds Bk Corporate Mkts 9,992,833.33 10,000,000.00 9,995,300.00 0.200 0.206 02/07/2022 129 N/A 05970UBA5 14621 Banco Santander 9,992,300.00 10,000,000.00 9,995,200.00 0.210 0.217 02/10/2022 132 N/A 83368YFY8 14625 Societe Generale 9,993,827.78 10,000,000.00 9,996,600.00 0.220 0.227 01/10/2022 101 N/A 83369BZV1 14636 T-1 Societe Generale 9,996,538.89 10,000,000.00 9,997,300.00 0.140 0.144 12/29/2021 89 N/A Subtotal and Average 69,961,913.89 70,000,000.00 69,977,100.00 0.204 97 City of Berkeley
Pooled Cash and Investments
As of September 30, 2021
710
CUSIP Investment # Issuer Book Value Par Value Market Value Current
Rate
YTM/C
365
Maturity
Date
Days To
Maturity
Moody's
Rating
City of Berkeley
Pooled Cash and Investments
As of September 30, 2021
Medium-Term Notes - Callable
05531FBF9 14561 BB&T Corporation 5,074,441.27 5,000,000.00 5,340,850.00 3.750 3.012 12/06/2023 796 A3 05531FBG7 14585 BB&T Corporation 5,035,479.28 5,000,000.00 5,089,800.00 3.050 2.000 06/20/2022 262 A3 693475AV7 14557 PNC Financial Services 5,013,541.90 5,000,000.00 5,315,800.00 3.500 3.425 01/23/2024 844 A3 751212AC5 14566 Ralph Lauren 5,113,087.84 5,000,000.00 5,479,650.00 3.750 3.106 09/15/2025 1,445 A3 91159HHU7 14562 US Bancorp 5,174,580.14 5,000,000.00 5,571,650.00 3.950 2.848 11/17/2025 1,508 A2 Subtotal and Average 25,411,130.43 25,000,000.00 26,797,750.00 2.878 975 Federal Agency Continuously Callable
31422XJW3 14638 Farmer Mac 10,000,000.00 10,000,000.00 10,010,200.00 0.300 0.300 07/20/2026 1,753 N/A 3130AMAV4 14611 Federal Home Loan Banks 5,600,000.00 5,600,000.00 5,588,800.00 0.500 0.500 04/29/2027 2,036 AAA 3130ALZA5 14612 Federal Home Loan Banks 9,000,000.00 9,000,000.00 8,994,150.00 0.500 0.500 04/29/2026 1,671 AAA 3130AMEX6 14613 Federal Home Loan Banks 15,000,000.00 15,000,000.00 14,978,550.00 0.500 0.500 05/27/2026 1,699 AAA 3130AMF72 14615 Federal Home Loan Banks 15,000,000.00 15,000,000.00 14,967,750.00 0.650 0.650 05/27/2026 1,699 AAA 3130AMFQ0 14616 Federal Home Loan Banks 15,000,000.00 15,000,000.00 14,999,850.00 0.500 0.500 05/26/2026 1,698 AAA 3130AMFT4 14617 Federal Home Loan Banks 10,000,000.00 10,000,000.00 9,971,400.00 0.625 0.625 05/27/2026 1,699 AAA 3130AMG22 14618 Federal Home Loan Banks 20,000,000.00 20,000,000.00 19,946,400.00 0.500 0.500 05/27/2026 1,699 AAA 3130AMGG1 14619 Federal Home Loan Banks 10,000,000.00 10,000,000.00 9,976,700.00 0.600 0.600 05/26/2026 1,698 AAA 3130AMFN7 14620 Federal Home Loan Banks 10,000,000.00 10,000,000.00 9,976,700.00 0.500 0.500 05/26/2026 1,698 AAA 3130AMG55 14622 Federal Home Loan Banks 10,000,000.00 10,000,000.00 9,970,300.00 0.750 0.750 05/27/2027 2,064 AAA 3130AMG22 14624 Federal Home Loan Banks 10,000,000.00 10,000,000.00 9,973,200.00 0.500 0.500 05/27/2026 1,699 AAA 3130AMLS9 14627 Federal Home Loan Banks 10,000,000.00 10,000,000.00 9,982,700.00 0.500 0.500 06/17/2026 1,720 AAA 3130AMN24 14628 Federal Home Loan Banks 10,000,000.00 10,000,000.00 9,998,700.00 0.375 0.375 06/03/2026 1,706 AAA 3130AMN57 14629 Federal Home Loan Banks 20,000,000.00 20,000,000.00 19,997,200.00 0.250 1.013 06/03/2026 1,706 AAA 3130AMP71 14630 Federal Home Loan Banks 20,000,000.00 20,000,000.00 20,003,000.00 0.400 1.077 06/18/2026 1,721 AAA 3130AMPL0 14631 Federal Home Loan Banks 15,000,000.00 15,000,000.00 14,996,100.00 0.375 0.375 06/08/2026 1,711 AAA 3130AMMW9 14632 Federal Home Loan Banks 10,000,000.00 10,000,000.00 9,990,200.00 0.500 0.500 06/10/2026 1,713 AAA 3130AN2A7 14633 Federal Home Loan Banks 10,000,000.00 10,000,000.00 10,067,000.00 0.250 0.962 07/13/2026 1,746 AAA 3130AMWM0 14634 Federal Home Loan Banks 4,250,000.00 4,250,000.00 4,242,435.00 0.500 0.500 06/30/2026 1,733 AAA 3130AN5U0 14642 Federal Home Loan Banks 10,000,000.00 10,000,000.00 9,982,800.00 0.500 0.500 07/29/2026 1,762 AAA 3130ANJY7 14643 Federal Home Loan Banks 40,000,000.00 40,000,000.00 39,875,200.00 0.400 0.400 08/26/2026 1,790 AAA Subtotal and Average 288,850,000.00 288,850,000.00 288,489,335.00 0.584 1,740
711
CUSIP Investment # Issuer Book Value Par Value Market Value Current
Rate
YTM/C
365
Maturity
Date
Days To
Maturity
Moody's
Rating
City of Berkeley
Pooled Cash and Investments
As of September 30, 2021
Municipal Bonds
13063DGB8 14559 General Obligation Unlimited 5,051,380.57 5,000,000.00 5,459,750.00 3.375 3.087 04/01/2025 1,278 AA2 Subtotal and Average 5,051,380.57 5,000,000.00 5,459,750.00 3.087 1,278 Money Market
SYS14190 14190 Fidelity Money Market - - - 0.000 0.000 1 N/A SYS14265 14265 Fidelity Money Market 137,724.97 137,724.97 137,724.97 0.003 0.003 1 N/A Subtotal and Average 137,724.97 137,724.97 137,724.97 0.003 1 Total Investments and Average 491,279,713.93 490,125,724.97 497,412,300.92 1.138 Total Investments (Book Value) 491,279,713.93
Cash 29,574,134.00
Total Investments (Book Value) and Cash 520,853,847.93
Increase / (Decrease) in Market Value of Securities 6,132,586.99 Total Investments (Market Value) and Cash 526,986,434.92
712
Pooled Investments Selected Funds
Interest Earnings
Exhibit 2-B.1
Sorted by Fund - Fund
July 1, 2021 - July 31, 2021
Yield on Average Book Value
Maturity
Date
Current
Rate
Ending
Par Value
AverageSecurity
TypeFund Book Value
Beginning
Book Value
Adjusted Interest Earnings
Accretion
Amortization/
Earnings
Adjusted InterestAnnualized
YieldCUSIP Investment #
Interest
Earned
Fund: Pooled Investment - Long Term
4,250,000.0014634 4,250,000.00 0.500MC5 06/30/2026 1,770.83 0.00 1,770.830.491010 4,250,000.003130AMWM0 15,000,000.0014631 15,000,000.00 0.375MC5 06/08/2026 4,687.50 0.00 4,687.500.368010 15,000,000.003130AMPL0 10,000,000.0014632 10,000,000.00 0.500MC5 06/10/2026 4,166.67 0.00 4,166.670.491010 10,000,000.003130AMMW9 20,000,000.0014629 20,000,000.00 0.250MC5 06/03/2026 4,166.67 0.00 4,166.670.245010 20,000,000.003130AMN57 20,000,000.0014630 20,000,000.00 0.400MC5 06/18/2026 6,666.67 0.00 6,666.670.392010 20,000,000.003130AMP71 967,741.9414642 10,000,000.00 0.500MC5 07/29/2026 277.78 0.00 277.780.338010 0.003130AN5U0 6,129,032.2614633 10,000,000.00 0.250MC5 07/13/2026 1,250.00 0.00 1,250.000.240010 0.003130AN2A7 10,000,000.0014628 10,000,000.00 0.375MC5 06/03/2026 3,125.00 0.00 3,125.000.368010 10,000,000.003130AMN24 10,000,000.0014624 10,000,000.00 0.500MC5 05/27/2026 4,166.67 0.00 4,166.670.491010 10,000,000.003130AMG22 10,000,000.0014627 10,000,000.00 0.500MC5 06/17/2026 4,166.67 0.00 4,166.670.491010 10,000,000.003130AMLS9 15,000,000.0014616 15,000,000.00 0.500MC5 05/26/2026 6,250.00 0.00 6,250.000.491010 15,000,000.003130AMFQ0 15,000,000.0014615 15,000,000.00 0.650MC5 05/27/2026 8,125.00 0.00 8,125.000.638010 15,000,000.003130AMF72 15,000,000.0014613 15,000,000.00 0.500MC5 05/27/2026 6,250.00 0.00 6,250.000.491010 15,000,000.003130AMEX6 5,600,000.0014611 5,600,000.00 0.500MC5 04/29/2027 2,333.33 0.00 2,333.330.491010 5,600,000.003130AMAV4 9,000,000.0014612 9,000,000.00 0.500MC5 04/29/2026 3,750.00 0.00 3,750.000.491010 9,000,000.003130ALZA5 10,000,000.0014617 10,000,000.00 0.625MC5 05/27/2026 5,208.33 0.00 5,208.330.613010 10,000,000.003130AMFT4 10,000,000.0014620 10,000,000.00 0.500MC5 05/26/2026 4,166.67 0.00 4,166.670.491010 10,000,000.003130AMFN7 10,000,000.0014622 10,000,000.00 0.750MC5 05/27/2027 6,250.00 0.00 6,250.000.736010 10,000,000.003130AMG55 10,000,000.0014619 10,000,000.00 0.600MC5 05/26/2026 5,000.00 0.00 5,000.000.589010 10,000,000.003130AMGG1 20,000,000.0014618 20,000,000.00 0.500MC5 05/27/2026 8,333.33 0.00 8,333.330.491010 20,000,000.003130AMG22 5,002,573.1114580 5,000,000.00 2.250MTN 08/14/2022 9,375.00 -199.45 9,175.552.160010 5,002,679.2753944VAS8 9,992,933.3314635 T-1 10,000,000.00 0.160ACP 12/23/2021 0.00 1,377.78 1,377.780.162010 9,992,222.2206742XJX6 4,931,972.9814536 5,000,000.00 2.400MTN 05/03/2023 10,000.00 3,158.99 13,158.993.141010 4,930,291.58037833AK6 250,000.0014539 250,000.00 3.300SCD 07/05/2023 700.68 0.00 700.683.300010 250,000.00254673RD0 3,544,932.1614538 3,542,000.00 3.550MC3 09/23/2021 10,478.42 -1,332.15 9,146.273.038010 3,545,641.2106406HBY4 250,000.0014540 250,000.00 3.300SCD 07/03/2023 700.68 0.00 700.683.300010 250,000.00795450T47 4,989,108.5814542 5,000,000.00 3.000MTN 02/11/2023 12,500.00 579.30 13,079.303.087010 4,988,800.24084670BJ6 3,870,967.7414638 10,000,000.00 0.300MC5 07/20/2026 916.67 0.00 916.670.279010 0.0031422XJW3 4,965,821.0114545 5,000,000.00 2.400MTN 09/15/2022 10,000.00 2,452.85 12,452.852.953010 4,964,515.46589331AT4 5,020,574.1614548 5,000,000.00 3.625MTN 07/15/2023 15,104.17 -859.61 14,244.563.341010 5,021,031.6968389XAS4
713
Maturity
Date
Current
Rate
Ending
Par Value
AverageSecurity
TypeFund
Exhibit 2-B.1
Book Value
Beginning
Book Value
Adjusted Interest Earnings
Accretion
Amortization/
Earnings
Adjusted Interest
July 1, 2021 - July 31, 2021
Interest Earnings
Pooled Investments Selected Funds
Annualized
YieldCUSIP Investment #
Interest
Earned
Fund: Pooled Investment - Long Term
5,035,856.4914554 5,000,000.00 3.650MTN 10/12/2023 15,208.33 -1,336.21 13,872.123.243010 5,036,567.7024422EUM9 4,938,742.1714555 5,000,000.00 2.625MTN 05/15/2023 10,937.50 2,792.78 13,730.283.273010 4,937,255.69540424AQ1 5,014,746.8714557 5,000,000.00 3.500MC3 01/23/2024 14,583.33 -488.29 14,095.043.309010 5,015,006.77693475AV7 5,054,399.4714559 5,000,000.00 3.375MUN 04/01/2025 14,062.50 -1,223.35 12,839.152.991010 5,055,050.6113063DGB8 5,005,109.0614560 5,000,000.00 3.300MTN 02/01/2022 13,750.00 -789.93 12,960.073.049010 5,005,529.5149327M2X1 5,081,461.7214561 5,000,000.00 3.750MC3 12/06/2023 15,625.00 -2,844.89 12,780.112.961010 5,082,975.9405531FBF9 5,045,620.6414585 5,000,000.00 3.050MC3 06/20/2022 12,708.33 -4,109.57 8,598.762.007010 5,047,807.9905531FBG7 5,183,277.6914562 5,000,000.00 3.950MC3 11/17/2025 16,458.33 -3,524.50 12,933.832.938010 5,185,153.6391159HHU7 5,050,520.6614563 5,000,000.00 3.375MTN 08/15/2025 14,062.50 -1,032.41 13,030.093.038010 5,051,070.1720030NBN0 4,980,350.7514564 5,000,000.00 2.900MTN 05/20/2024 12,083.33 576.21 12,659.542.993010 4,980,044.06747525AT0 6,221,230.0914587 5,963,000.00 3.250MTN 05/20/2027 16,149.79 -3,683.69 12,466.102.359010 6,223,190.76747525AU7 5,118,967.1614566 5,000,000.00 3.750MC3 09/15/2025 15,625.00 -2,382.47 13,242.533.046010 5,120,235.25751212AC5 5,110,050.0514570 5,000,000.00 3.650MTN 03/01/2026 15,208.33 -1,984.04 13,224.293.047010 5,111,106.07375558BF9 3,806,500.8714574 3,725,000.00 3.450MTN 01/06/2027 10,709.38 -1,241.74 9,467.642.929010 3,807,161.80233851CU6 5,062,665.7514571 5,000,000.00 3.450MTN 01/06/2027 14,375.00 -954.77 13,420.233.121010 5,063,173.94233851CU6 5,025,606.7814586 5,000,000.00 3.750MTN 11/05/2021 15,625.00 -7,110.87 8,514.131.995010 5,029,391.60233851DN1 1,047,562.1514582 1,000,000.00 4.250MTN 02/15/2024 3,541.67 -1,537.52 2,004.152.253010 1,048,380.50008252AM0 5,348,345.9114588 5,000,000.00 3.800MTN 10/30/2026 15,833.33 -5,491.34 10,341.992.277010 5,351,262.8207330MAA5 5,985,111.6314590 5,950,000.00 2.500MTN 01/14/2025 12,395.83 -837.97 11,557.862.274010 5,985,557.6504685A2L4 4,879,475.4514602 5,000,000.00 2.500MTN 01/14/2025 10,416.67 2,876.41 13,293.083.208010 4,877,944.4604685A2L4 4,996,236.7414606 5,000,000.00 3.375MTN 10/01/2024 14,062.50 97.83 14,160.333.337010 4,996,184.67828807CS4 9,986,458.3314614 10,000,000.00 0.250ACP 01/28/2022 0.00 2,152.78 2,152.780.254010 9,985,347.222254EBAU5 9,987,866.6714621 10,000,000.00 0.210ACP 02/10/2022 0.00 1,808.34 1,808.340.213010 9,986,933.3305970UBA5 9,989,183.3314625 10,000,000.00 0.220ACP 01/10/2022 0.00 1,894.44 1,894.440.223010 9,988,205.5683368YFY8 9,993,583.3314636 T-1 10,000,000.00 0.140ACP 12/29/2021 0.00 1,205.55 1,205.550.142010 9,992,961.1183369BZV1 9,988,611.1114626 10,000,000.00 0.200ACP 02/07/2022 0.00 1,722.22 1,722.220.203010 9,987,722.2253948BB73 9,993,933.3414637 T-1 10,000,000.00 0.210ACP 10/29/2021 0.00 1,808.34 1,808.340.213010 9,993,000.0044890MXV9 2,193,548.3914641 T-1 4,000,000.00 0.300MTN 07/15/2022 533.33 0.00 533.330.286010 0.0015654VAK4 453,530,000.00Subtotal 433,890,679.87 1.154 425,380.77-18,460.95443,841.72420,739,402.70 Fund: Fidelity MM - Trans
35,566,557.8414190 0.00 0.002RRP 71.72 0.00 71.720.002030 42,406,280.50SYS14190
0.00Subtotal 35,566,557.84 0.002 71.720.0071.7242,406,280.50 Fund: Fidelity MM - Regular
91,771,749.7714265 59,210,324.96 0.003RRP 1,084.60 0.00 1,084.600.014040 116,802,959.86SYS14265
714
Maturity
Date
Current
Rate
Ending
Par Value
AverageSecurity
TypeFund
Exhibit 2-B.1
Book Value
Beginning
Book Value
Adjusted Interest Earnings
Accretion
Amortization/
Earnings
Adjusted Interest
July 1, 2021 - July 31, 2021
Interest Earnings
Pooled Investments Selected Funds
Annualized
YieldCUSIP Investment #
Interest
Earned
59,210,324.96Subtotal 91,771,749.77 0.014 1,084.600.001,084.60116,802,959.86 512,740,324.96Total 561,228,987.48 0.895 426,537.09-18,460.95444,998.04579,948,643.06
715
Pooled Investments Selected Funds
Interest Earnings
Exhibit 2-B.2
Sorted by Fund - Fund
August 1, 2021 - August 31, 2021
Yield on Average Book Value
Maturity
Date
Current
Rate
Ending
Par Value
AverageSecurity
TypeFund Book Value
Beginning
Book Value
Adjusted Interest Earnings
Accretion
Amortization/
Earnings
Adjusted InterestAnnualized
YieldCUSIP Investment #
Interest
Earned
Fund: Pooled Investment - Long Term
4,250,000.0014634 4,250,000.00 0.500MC5 06/30/2026 1,770.83 0.00 1,770.830.491010 4,250,000.003130AMWM0 15,000,000.0014631 15,000,000.00 0.375MC5 06/08/2026 4,687.50 0.00 4,687.500.368010 15,000,000.003130AMPL0 10,000,000.0014632 10,000,000.00 0.500MC5 06/10/2026 4,166.67 0.00 4,166.670.491010 10,000,000.003130AMMW9 20,000,000.0014629 20,000,000.00 0.250MC5 06/03/2026 4,166.67 0.00 4,166.670.245010 20,000,000.003130AMN57 20,000,000.0014630 20,000,000.00 0.400MC5 06/18/2026 6,666.67 0.00 6,666.670.392010 20,000,000.003130AMP71 10,000,000.0014642 10,000,000.00 0.500MC5 07/29/2026 4,166.67 0.00 4,166.670.491010 10,000,000.003130AN5U0 7,741,935.4814643 40,000,000.00 0.400MC5 08/26/2026 2,222.22 0.00 2,222.220.338010 0.003130ANJY7 10,000,000.0014633 10,000,000.00 0.250MC5 07/13/2026 2,083.33 0.00 2,083.330.245010 10,000,000.003130AN2A7 10,000,000.0014628 10,000,000.00 0.375MC5 06/03/2026 3,125.00 0.00 3,125.000.368010 10,000,000.003130AMN24 10,000,000.0014624 10,000,000.00 0.500MC5 05/27/2026 4,166.67 0.00 4,166.670.491010 10,000,000.003130AMG22 10,000,000.0014627 10,000,000.00 0.500MC5 06/17/2026 4,166.67 0.00 4,166.670.491010 10,000,000.003130AMLS9 15,000,000.0014616 15,000,000.00 0.500MC5 05/26/2026 6,250.00 0.00 6,250.000.491010 15,000,000.003130AMFQ0 15,000,000.0014615 15,000,000.00 0.650MC5 05/27/2026 8,125.00 0.00 8,125.000.638010 15,000,000.003130AMF72 15,000,000.0014613 15,000,000.00 0.500MC5 05/27/2026 6,250.00 0.00 6,250.000.491010 15,000,000.003130AMEX6 5,600,000.0014611 5,600,000.00 0.500MC5 04/29/2027 2,333.33 0.00 2,333.330.491010 5,600,000.003130AMAV4 9,000,000.0014612 9,000,000.00 0.500MC5 04/29/2026 3,750.00 0.00 3,750.000.491010 9,000,000.003130ALZA5 10,000,000.0014617 10,000,000.00 0.625MC5 05/27/2026 5,208.33 0.00 5,208.330.613010 10,000,000.003130AMFT4 10,000,000.0014620 10,000,000.00 0.500MC5 05/26/2026 4,166.67 0.00 4,166.670.491010 10,000,000.003130AMFN7 10,000,000.0014622 10,000,000.00 0.750MC5 05/27/2027 6,250.00 0.00 6,250.000.736010 10,000,000.003130AMG55 10,000,000.0014619 10,000,000.00 0.600MC5 05/26/2026 5,000.00 0.00 5,000.000.589010 10,000,000.003130AMGG1 20,000,000.0014618 20,000,000.00 0.500MC5 05/27/2026 8,333.33 0.00 8,333.330.491010 20,000,000.003130AMG22 5,002,373.6614580 5,000,000.00 2.250MTN 08/14/2022 9,375.00 -199.45 9,175.552.160010 5,002,479.8253944VAS8 9,994,311.1114635 T-1 10,000,000.00 0.160ACP 12/23/2021 0.00 1,377.78 1,377.780.162010 9,993,600.0006742XJX6 4,935,131.9714536 5,000,000.00 2.400MTN 05/03/2023 10,000.00 3,158.99 13,158.993.139010 4,933,450.57037833AK6 250,000.0014539 250,000.00 3.300SCD 07/05/2023 700.68 0.00 700.683.300010 250,000.00254673RD0 2,514,953.7014538 0.00 3.550MC3 09/23/2021 7,684.17 -976.91 6,707.263.140010 3,544,309.0606406HBY4 250,000.0014540 250,000.00 3.300SCD 07/03/2023 700.68 0.00 700.683.300010 250,000.00795450T47 4,989,687.8814542 5,000,000.00 3.000MTN 02/11/2023 12,500.00 579.30 13,079.303.086010 4,989,379.54084670BJ6 10,000,000.0014638 10,000,000.00 0.300MC5 07/20/2026 2,500.00 0.00 2,500.000.294010 10,000,000.0031422XJW3 4,968,273.8614545 5,000,000.00 2.400MTN 09/15/2022 10,000.00 2,452.85 12,452.852.951010 4,966,968.31589331AT4
716
Maturity
Date
Current
Rate
Ending
Par Value
AverageSecurity
TypeFund
Exhibit 2-B.2
Book Value
Beginning
Book Value
Adjusted Interest Earnings
Accretion
Amortization/
Earnings
Adjusted Interest
August 1, 2021 - August 31, 2021
Interest Earnings
Pooled Investments Selected Funds
Annualized
YieldCUSIP Investment #
Interest
Earned
Fund: Pooled Investment - Long Term
5,019,714.5514548 5,000,000.00 3.625MTN 07/15/2023 15,104.17 -859.60 14,244.573.341010 5,020,172.0868389XAS4 5,034,520.2814554 5,000,000.00 3.650MTN 10/12/2023 15,208.33 -1,336.21 13,872.123.244010 5,035,231.4924422EUM9 4,941,534.9414555 5,000,000.00 2.625MTN 05/15/2023 10,937.50 2,792.77 13,730.273.272010 4,940,048.47540424AQ1 5,014,258.5814557 5,000,000.00 3.500MC3 01/23/2024 14,583.33 -488.29 14,095.043.310010 5,014,518.48693475AV7 5,053,176.1214559 5,000,000.00 3.375MUN 04/01/2025 14,062.50 -1,223.35 12,839.152.992010 5,053,827.2613063DGB8 5,004,319.1314560 5,000,000.00 3.300MTN 02/01/2022 13,750.00 -789.93 12,960.073.049010 5,004,739.5849327M2X1 5,078,616.8414561 5,000,000.00 3.750MC3 12/06/2023 15,625.00 -2,844.89 12,780.112.963010 5,080,131.0505531FBF9 5,041,511.0714585 5,000,000.00 3.050MC3 06/20/2022 12,708.33 -4,109.57 8,598.762.008010 5,043,698.4205531FBG7 5,179,753.1914562 5,000,000.00 3.950MC3 11/17/2025 16,458.33 -3,524.50 12,933.832.940010 5,181,629.1391159HHU7 5,049,488.2414563 5,000,000.00 3.375MTN 08/15/2025 14,062.50 -1,032.42 13,030.083.038010 5,050,037.7620030NBN0 4,980,926.9614564 5,000,000.00 2.900MTN 05/20/2024 12,083.33 576.20 12,659.532.993010 4,980,620.27747525AT0 6,217,546.4014587 5,963,000.00 3.250MTN 05/20/2027 16,149.79 -3,683.68 12,466.112.361010 6,219,507.07747525AU7 5,116,584.6914566 5,000,000.00 3.750MC3 09/15/2025 15,625.00 -2,382.47 13,242.533.047010 5,117,852.78751212AC5 5,108,066.0114570 5,000,000.00 3.650MTN 03/01/2026 15,208.33 -1,984.03 13,224.303.048010 5,109,122.03375558BF9 3,805,259.1314574 3,725,000.00 3.450MTN 01/06/2027 10,709.38 -1,241.74 9,467.642.929010 3,805,920.06233851CU6 5,061,710.9814571 5,000,000.00 3.450MTN 01/06/2027 14,375.00 -954.77 13,420.233.122010 5,062,219.17233851CU6 5,018,495.9114586 5,000,000.00 3.750MTN 11/05/2021 15,625.00 -7,110.87 8,514.131.998010 5,022,280.73233851DN1 1,046,024.6314582 1,000,000.00 4.250MTN 02/15/2024 3,541.67 -1,537.51 2,004.162.256010 1,046,842.98008252AM0 5,342,854.5714588 5,000,000.00 3.800MTN 10/30/2026 15,833.33 -5,491.34 10,341.992.279010 5,345,771.4807330MAA5 5,984,273.6714590 5,950,000.00 2.500MTN 01/14/2025 12,395.83 -837.96 11,557.872.274010 5,984,719.6804685A2L4 4,882,351.8614602 5,000,000.00 2.500MTN 01/14/2025 10,416.67 2,876.41 13,293.083.206010 4,880,820.8704685A2L4 4,996,334.5714606 5,000,000.00 3.375MTN 10/01/2024 14,062.50 97.83 14,160.333.337010 4,996,282.50828807CS4 9,988,611.1114614 10,000,000.00 0.250ACP 01/28/2022 0.00 2,152.78 2,152.780.254010 9,987,500.002254EBAU5 9,989,675.0014621 10,000,000.00 0.210ACP 02/10/2022 0.00 1,808.33 1,808.330.213010 9,988,741.6705970UBA5 9,991,077.7814625 10,000,000.00 0.220ACP 01/10/2022 0.00 1,894.45 1,894.450.223010 9,990,100.0083368YFY8 9,994,788.8914636 T-1 10,000,000.00 0.140ACP 12/29/2021 0.00 1,205.56 1,205.560.142010 9,994,166.6683369BZV1 9,990,333.3314626 10,000,000.00 0.200ACP 02/07/2022 0.00 1,722.23 1,722.230.203010 9,989,444.4453948BB73 9,995,741.6714637 T-1 10,000,000.00 0.210ACP 10/29/2021 0.00 1,808.33 1,808.330.213010 9,994,808.3444890MXV9 4,000,000.0014641 T-1 4,000,000.00 0.300MTN 07/15/2022 1,000.00 0.00 1,000.000.294010 4,000,000.0015654VAK4 489,988,000.00Subtotal 461,424,217.78 1.102 431,936.23-18,105.68450,041.91454,720,941.75 Fund: Fidelity MM - Regular
43,547,820.7614265 4,737,694.85 0.003RRP 369.89 0.00 369.890.010040 59,210,324.96SYS14265 4,737,694.85Subtotal 43,547,820.76 0.010 369.890.00369.8959,210,324.96 494,725,694.85Total 504,972,038.54 1.008 432,306.12-18,105.68450,411.80513,931,266.71
717
Pooled Investments Selected Funds
Interest Earnings
Exhibit 2-B.3
Sorted by Fund - Fund
September 1, 2021 - September 30, 2021
Yield on Average Book Value
Maturity
Date
Current
Rate
Ending
Par Value
AverageSecurity
TypeFund Book Value
Beginning
Book Value
Adjusted Interest Earnings
Accretion
Amortization/
Earnings
Adjusted InterestAnnualized
YieldCUSIP Investment #
Interest
Earned
Fund: Pooled Investment - Long Term
4,250,000.0014634 4,250,000.00 0.500MC5 06/30/2026 1,770.83 0.00 1,770.830.507010 4,250,000.003130AMWM0 15,000,000.0014631 15,000,000.00 0.375MC5 06/08/2026 4,687.50 0.00 4,687.500.380010 15,000,000.003130AMPL0 10,000,000.0014632 10,000,000.00 0.500MC5 06/10/2026 4,166.67 0.00 4,166.670.507010 10,000,000.003130AMMW9 20,000,000.0014629 20,000,000.00 0.250MC5 06/03/2026 4,166.67 0.00 4,166.670.253010 20,000,000.003130AMN57 20,000,000.0014630 20,000,000.00 0.400MC5 06/18/2026 6,666.67 0.00 6,666.670.406010 20,000,000.003130AMP71 10,000,000.0014642 10,000,000.00 0.500MC5 07/29/2026 4,166.67 0.00 4,166.670.507010 10,000,000.003130AN5U0 40,000,000.0014643 40,000,000.00 0.400MC5 08/26/2026 13,333.33 0.00 13,333.330.406010 40,000,000.003130ANJY7 10,000,000.0014633 10,000,000.00 0.250MC5 07/13/2026 2,083.33 0.00 2,083.330.253010 10,000,000.003130AN2A7 10,000,000.0014628 10,000,000.00 0.375MC5 06/03/2026 3,125.00 0.00 3,125.000.380010 10,000,000.003130AMN24 10,000,000.0014624 10,000,000.00 0.500MC5 05/27/2026 4,166.67 0.00 4,166.670.507010 10,000,000.003130AMG22 10,000,000.0014627 10,000,000.00 0.500MC5 06/17/2026 4,166.67 0.00 4,166.670.507010 10,000,000.003130AMLS9 15,000,000.0014616 15,000,000.00 0.500MC5 05/26/2026 6,250.00 0.00 6,250.000.507010 15,000,000.003130AMFQ0 15,000,000.0014615 15,000,000.00 0.650MC5 05/27/2026 8,125.00 0.00 8,125.000.659010 15,000,000.003130AMF72 15,000,000.0014613 15,000,000.00 0.500MC5 05/27/2026 6,250.00 0.00 6,250.000.507010 15,000,000.003130AMEX6 5,600,000.0014611 5,600,000.00 0.500MC5 04/29/2027 2,333.33 0.00 2,333.330.507010 5,600,000.003130AMAV4 9,000,000.0014612 9,000,000.00 0.500MC5 04/29/2026 3,750.00 0.00 3,750.000.507010 9,000,000.003130ALZA5 10,000,000.0014617 10,000,000.00 0.625MC5 05/27/2026 5,208.33 0.00 5,208.330.634010 10,000,000.003130AMFT4 10,000,000.0014620 10,000,000.00 0.500MC5 05/26/2026 4,166.67 0.00 4,166.670.507010 10,000,000.003130AMFN7 10,000,000.0014622 10,000,000.00 0.750MC5 05/27/2027 6,250.00 0.00 6,250.000.760010 10,000,000.003130AMG55 10,000,000.0014619 10,000,000.00 0.600MC5 05/26/2026 5,000.00 0.00 5,000.000.608010 10,000,000.003130AMGG1 20,000,000.0014618 20,000,000.00 0.500MC5 05/27/2026 8,333.33 0.00 8,333.330.507010 20,000,000.003130AMG22 5,002,177.3214580 5,000,000.00 2.250MTN 08/14/2022 9,375.00 -199.45 9,175.552.232010 5,002,280.3753944VAS8 9,995,666.6714635 T-1 10,000,000.00 0.160ACP 12/23/2021 0.00 1,333.33 1,333.330.162010 9,994,977.7806742XJX6 4,938,241.7114536 5,000,000.00 2.400MTN 05/03/2023 10,000.00 3,158.99 13,158.993.242010 4,936,609.56037833AK6 250,000.0014539 250,000.00 3.300SCD 07/05/2023 678.08 0.00 678.083.300010 250,000.00254673RD0 250,000.0014540 250,000.00 3.300SCD 07/03/2023 678.08 0.00 678.083.300010 250,000.00795450T47 4,990,258.1514542 5,000,000.00 3.000MTN 02/11/2023 12,500.00 579.30 13,079.303.189010 4,989,958.84084670BJ6 10,000,000.0014638 10,000,000.00 0.300MC5 07/20/2026 2,500.00 0.00 2,500.000.304010 10,000,000.0031422XJW3 4,970,688.4614545 5,000,000.00 2.400MTN 09/15/2022 10,000.00 2,452.84 12,452.843.048010 4,969,421.16589331AT4 5,018,868.3514548 5,000,000.00 3.625MTN 07/15/2023 15,104.17 -859.61 14,244.563.453010 5,019,312.4868389XAS4
718
Maturity
Date
Current
Rate
Ending
Par Value
AverageSecurity
TypeFund
Exhibit 2-B.3
Book Value
Beginning
Book Value
Adjusted Interest Earnings
Accretion
Amortization/
Earnings
Adjusted Interest
September 1, 2021 - September 30, 2021
Interest Earnings
Pooled Investments Selected Funds
Annualized
YieldCUSIP Investment #
Interest
Earned
Fund: Pooled Investment - Long Term
5,033,204.9014554 5,000,000.00 3.650MTN 10/12/2023 15,208.33 -1,336.22 13,872.113.353010 5,033,895.2824422EUM9 4,944,284.1714555 5,000,000.00 2.625MTN 05/15/2023 10,937.50 2,792.77 13,730.273.379010 4,942,841.24540424AQ1 5,013,777.9114557 5,000,000.00 3.500MC3 01/23/2024 14,583.33 -488.29 14,095.043.420010 5,014,030.19693475AV7 5,051,971.8514559 5,000,000.00 3.375MUN 04/01/2025 14,062.50 -1,223.34 12,839.163.092010 5,052,603.9113063DGB8 5,003,541.5214560 5,000,000.00 3.300MTN 02/01/2022 13,750.00 -789.93 12,960.073.151010 5,003,949.6549327M2X1 5,075,816.3014561 5,000,000.00 3.750MC3 12/06/2023 15,625.00 -2,844.89 12,780.113.063010 5,077,286.1605531FBF9 5,037,465.5714585 5,000,000.00 3.050MC3 06/20/2022 12,708.33 -4,109.57 8,598.762.077010 5,039,588.8505531FBG7 5,176,283.6414562 5,000,000.00 3.950MC3 11/17/2025 16,458.33 -3,524.49 12,933.843.040010 5,178,104.6391159HHU7 5,048,471.9314563 5,000,000.00 3.375MTN 08/15/2025 14,062.50 -1,032.42 13,030.083.140010 5,049,005.3420030NBN0 4,981,494.1814564 5,000,000.00 2.900MTN 05/20/2024 12,083.33 576.21 12,659.543.092010 4,981,196.47747525AT0 6,213,920.1614587 5,963,000.00 3.250MTN 05/20/2027 16,149.79 -3,683.68 12,466.112.441010 6,215,823.39747525AU7 5,114,239.3714566 5,000,000.00 3.750MC3 09/15/2025 15,625.00 -2,382.47 13,242.533.150010 5,115,470.31751212AC5 5,106,112.9114570 5,000,000.00 3.650MTN 03/01/2026 15,208.33 -1,984.04 13,224.293.151010 5,107,138.00375558BF9 3,804,036.7614574 3,725,000.00 3.450MTN 01/06/2027 10,709.38 -1,241.74 9,467.643.028010 3,804,678.32233851CU6 5,060,771.1014571 5,000,000.00 3.450MTN 01/06/2027 14,375.00 -954.77 13,420.233.226010 5,061,264.40233851CU6 5,011,495.9114586 5,000,000.00 3.750MTN 11/05/2021 15,625.00 -7,110.87 8,514.132.067010 5,015,169.86233851DN1 1,044,511.0914582 1,000,000.00 4.250MTN 02/15/2024 3,541.67 -1,537.52 2,004.152.334010 1,045,305.47008252AM0 5,337,442.9414588 5,000,000.00 3.800MTN 10/30/2026 15,833.33 -5,491.35 10,341.982.357010 5,340,280.1407330MAA5 5,983,448.7714590 5,950,000.00 2.500MTN 01/14/2025 12,395.83 -837.97 11,557.862.350010 5,983,881.7204685A2L4 4,885,183.4214602 5,000,000.00 2.500MTN 01/14/2025 10,416.67 2,876.40 13,293.073.311010 4,883,697.2804685A2L4 4,996,430.8814606 5,000,000.00 3.375MTN 10/01/2024 14,062.50 97.83 14,160.333.448010 4,996,380.33828807CS4 9,990,729.1614614 10,000,000.00 0.250ACP 01/28/2022 0.00 2,083.33 2,083.330.254010 9,989,652.782254EBAU5 9,991,454.1714621 10,000,000.00 0.210ACP 02/10/2022 0.00 1,750.00 1,750.000.213010 9,990,550.0005970UBA5 9,992,941.6714625 10,000,000.00 0.220ACP 01/10/2022 0.00 1,833.33 1,833.330.223010 9,991,994.4583368YFY8 9,995,975.0014636 T-1 10,000,000.00 0.140ACP 12/29/2021 0.00 1,166.67 1,166.670.142010 9,995,372.2283369BZV1 9,992,027.7814626 10,000,000.00 0.200ACP 02/07/2022 0.00 1,666.66 1,666.660.203010 9,991,166.6753948BB73 9,997,520.8314637 T-1 10,000,000.00 0.210ACP 10/29/2021 0.00 1,750.00 1,750.000.213010 9,996,616.6744890MXV9 4,000,000.0014641 T-1 4,000,000.00 0.300MTN 07/15/2022 1,000.00 0.00 1,000.000.304010 4,000,000.0015654VAK4 489,988,000.00Subtotal 491,150,454.52 1.080 435,908.69-17,514.96453,423.65491,159,503.92 Fund: Fidelity MM - Regular
3,664,362.5214265 137,724.97 0.003RRP 30.12 0.00 30.120.010040 4,737,694.85SYS14265 137,724.97Subtotal 3,664,362.52 0.010 30.120.0030.124,737,694.85 490,125,724.97Total 494,814,817.04 1.072 435,938.81-17,514.96453,453.77495,897,198.77
719
Exhibit 2-C
Certificates of Deposit - S & L
$526,390 0.10%
Medium Term Notes
$132,822,001 25.20%
Commercial Paper
$69,977,100 13.28%Federal Agency
$288,489,335 54.74%
Municipal Bonds
$5,459,750 1.04%
Money Market $137,725 0%
Bank Account
$29,574,134 5.61%
Pooled Cash and Investments
(Market Value)
as of September 30, 2021
720
Exhibit 2-D
$29,574,134
$137,725
$526,390
$132,822,001
$69,977,100
$288,489,335
$5,459,750
$526,986,435
$526,986,435
$158,095,931
$158,095,931
$131,746,609
$526,986,435
$526,986,435
BANK ACCOUNTS
MONEY MARKET
CERTIFICATES OF DEPOSITS
MEDIUM TERM NOTES
COMMERCIAL PAPER
FEDERAL AGENCY BONDS
MUNICIPAL BONDS
City of Berkeley
Current Holdings vs. Policy Limits
as of September 30, 2021
Policy Limits
Current Holdings
721
Exhibit 2-E
2022 579,233,606 579,233,606
$-
$100,000,000
$200,000,000
$300,000,000
$400,000,000
$500,000,000
$600,000,000
$700,000,000
2001 2002 2003 2004 2005 2006 2007 2008 2009 2010 2011 2012 2013 2014 2015 2016 2017 2018 2019 2020 2021 2022 Investment Values
Fiscal Year
Pooled and Trust
Cash and Investment Portfolio Trend
as of September 30, 2021
722
Attachment 3
Pooled Cash
Investments Gain/Loss on & Investments
Pooled Cash (Book Value) Investments (Market Value)
Retiree Medical Trust Fund
Fund No.
721 BHA 369,261 $ 220,310$ 14,392$ 603,963$ 722 M1=IBEW (17,938) 112,302 9,096 103,460 723 M2=Local 1 4,580,466 5,231,939 391,508 10,203,913 724 MUI=Z1 727,124 1,150,436 93,158 1,970,718 725 MUI=Z2 to Z6 1,067,046 1,545,665 121,064 2,733,775 726 M535= Local 535 4,178,253 5,099,552 400,444 9,678,249 727 M3=Local 790 2,954,676 3,276,493 233,795 6,464,964 Total Retiree Medical Trust Fund 13,858,888 16,636,697 1,263,457 31,759,042 Fire Medical Trust Fund
736 Fire Medical Trust Fund 5,160,515 6,858,668 538,489 12,557,672 Total Fire Medical Trust Fund 5,160,515 6,858,668 538,489 12,557,672 Police Medical Trust Fund
731 Police EE Retiree HLT Assistance Plan 667,935 1,641,696 101,415 2,411,046 701 Safety Members Pension Fund 32,390 - - 32,390 706 Police Medical Trust Fund 2,426,677 2,852,969 207,375 5,487,021 Total Police Medical Trust Fund 3,127,002 4,494,665 308,790 7,930,457 Total Trust Funds 22,146,405$ 27,990,030$ 2,110,736$ 52,247,171$ Summary of Pooled Cash and Investments - Trust Funds
(Market Value)
As of September 30, 2021
723
Exhibit 3-A
CUSIP Investment # Issuer Par Value
Beginning Book
Value
Ending Book
Value Market Value Maturity Date
Moody's
Rating
Current
Rate
Annualized
Yield Interest Earned
Amortization/
Accretion
Adjusted Interest
Earnings
Federal Agency Coupon Securities
3133EFQT7 14361 Fed Farm Credit Bank 2,600,000.00 2,608,458.71 2,607,549.17 2,796,586.00 11/25/2025 AAA 2.700 2.601 17,550.00 (454.77) 17,095.23 Municipal Bonds
672319CC2 14283 OAKGEN 2,750,000.00 2,746,465.07 2,748,970.14 2,768,672.50 12/15/2021 AA2 3.800 3.997 26,125.00 1,252.53 27,377.53 786091AG3 14316 SACGEN 5,000,000.00 5,234,153.54 5,207,135.83 5,988,850.00 08/01/2025 A3 7.250 5.917 90,625.00 (13,508.86) 77,116.14 Savo Island Loan
SYS10988 10988 EMPMED 193,000.00 233,000.00 193,000.00 193,000.00 09/01/2025 N/A 8.000 8.000 4,412.10 - 4,412.10 Preferred Securities
00206R706 14591 AT&T Inc. 1,680,033.60 1,680,033.60 1,680,033.60 1,758,035.16 N/A N/A 4.596 2.792 11,823.82 - 11,823.82 00206R706 14596 AT&T Inc. 1,680,008.40 1,680,008.40 1,680,008.40 1,758,008.79 N/A N/A 4.640 2.792 11,823.65 - 11,823.65 00206R706 14597 AT&T Inc. 2,520,000.00 2,520,000.00 2,520,000.00 2,637,000.00 N/A N/A 4.643 2.792 17,735.39 - 17,735.39 Total 16,423,042.00$ 16,702,119.32$ 16,636,697.14$ 17,900,152.45$ 3.984 180,094.96$ (12,711.10)$ 167,383.86$ Total Investments (Book Value) 16,636,697.14$
Gain/Loss on Investments 1,263,455.31
Total Investments (Market Value) 17,900,152.45
Temporarily Invested with Pooled Cash & Investments 13,858,888.00 Total Pooled Cash and Investments 31,759,040.45$
Adjusted Interest Earnings
Retiree Medical Trust Fund
Fund 721 - 727
Investments
As of September 30, 2021
Interest Earnings
July 1 to September 30, 2021
July 1 to September 30, 2021
Interest Earnings
724
Exhibit 3-B
CUSIP Investment # Issuer Par Value
Beginning Book
Value
Ending Book
Value Market Value Maturity Date
Moody's
Rating
Current
Rate
Annualized
Yield Interest Earned
Amortization/
Accretion
Adjusted Interest
Earnings
Medium Term Notes
6174467X1 14318 Morgan Stanley DW DTC#0015 2,000,000.00 2,035,875.22 2,032,015.36 2,286,280.00 11/24/2025 BAA1 5.000 4.502 25,000.00 (1,929.93) 23,070.07 Federal Agency Coupon Securities
3133EFQT7 14362 Fed Farm Credit Bank 2,300,000.00 2,307,482.71 2,306,678.11 2,473,903.00 11/25/2025 AAA 2.700 2.601 15,525.00 (402.30) 15,122.70 Preferred Securities
00206R706 14592 AT&T Inc. 1,679,983.20 1,679,983.20 1,679,983.20 1,757,982.42 N/A N/A 4.596 2.792 11,823.48 - 11,823.48 00206R706 14594 AT&T Inc. 839,991.60 839,991.60 839,991.60 878,991.21 N/A N/A 4.640 2.792 5,911.73 - 5,911.73 Total 6,819,974.80$ 6,863,332.73$ 6,858,668.27$ 7,397,156.63$ 3.235 58,260.21$ (2,332.23)$ 55,927.98$ Total Investments (Book Value) 6,858,668.27$
Gain/Loss on Investments 538,488.36
Total Investments (Market Value) 7,397,156.63
Temporarily Invested with Pooled Cash & Investments 5,160,515.00 Total Pooled Cash and Investments 12,557,671.63$
Fire Retiree Medical
Fund 736
Adjusted Interest Earnings
July 1 to September 30, 2021As of September 30, 2021
Investments Interest Earnings
Interest Earnings
July 1 to September 30, 2021
725
Exhibit 3-C
CUSIP Investment # Issuer Par Value
Beginning Book
Value
Ending Book
Value Market Value Maturity Date
Moody's
Rating
Current
Rate
Annualized
Yield Interest Earned
Amortization/
Accretion
Adjusted Interest
Earnings
Medium Term Notes
6174467X1 14319 Morgan Stanley DW DTC#0015 500,000.00 508,164.67 508,003.84 571,570.00 11/24/25 BAA1 5.000 4.502 6,250.00 (482.48) 5,767.52 Federal Agency Coupon Securities
3133EFQT7 14363 Fed. Farm Credit Banks 2,300,000.00 2,306,812.21 2,306,678.11 2,473,903.00 11/25/25 AAA 2.700 2.601 15,525.00 (402.30) 15,122.70 Preferred Securities
00206R706 14593 AT&T Inc. 1,679,983.20 1,679,983.20 1,679,983.20 1,757,982.42 N/A N/A 4.596 2.792 11,823.48 - 11,823.48 Total 4,479,983.20$ 4,494,960.08$ 4,494,665.15$ 4,803,455.42$ 2.887 33,598.48$ (884.78)$ 32,713.70$ Total Investments (Book Value) 4,494,665.15$
Gain/Loss on Investments 308,790.27
Total Investments (Market Value) 4,803,455.42
Temporarily Invested with Pooled Cash & Investments 3,127,002.00 Total Pooled Cash and Investments 7,930,457.42$
Police Retiree Medical
Fund 731 and 706
Adjusted Interest Earnings
Investments Interest Earnings
As of September 30, 2021 July 1 to September 30, 2021
Interest Earnings
July 1 to September 30, 2021
726
Communications
All communications submitted to the City Council are
public record. Communications are not published directly to the City’s website. Copies of individual communications are available for viewing at the City Clerk Department and through Records Online.
City Clerk Department
2180 Milvia Street
Berkeley, CA 94704
(510) 981-6900
Records Online
http://www.cityofberkeley.info/recordsonline
To search for communications associated with a particular City Council meeting using Records Online:
1. Select Search Type = “Public – Communication Query (Keywords)”
2. From Date: Enter the date of the Council meeting
3. To Date: Enter the date of the Council meeting (this may match the From Date field)
4. Click the “Search” button
5. Communication packets matching the entered criteria will be returned
6. Click the desired file in the Results column to view the document as a PDF