Updated 9/25/2023
(Added text is indicated in bold italics, deleted text is indicated in strikethrough) Changes: 1. Closed Session start time changed; 2. Two (2) Closed Session Items Added; and
3. Authorized Position Control Listing moved to Consent Calendar
CITY OF GLENDORA
CITY COUNCIL, SUCCESSOR AGENCY AND HOUSING AUTHORITY
AGENDA
TUESDAY, SEPTEMBER 26, 2023
CITY HALL COUNCIL CHAMBERS - 116 E. FOOTHILL BOULEVARD, GLENDORA To participate virtually, download Zoom on any phone or computer device and use the following meeting ID: cityofglendora.org/zoom or https://zoom.us/j/9329247224
MAYOR/CHAIR
Gary Boyer, District 3
MAYOR PRO TEM/VICE-CHAIR
Mendell Thompson, District 5
COUNCIL/COMMISSIONERS
Michael Allawos, District 1
Karen Davis, District 4
David Fredendall, District 2
MEETING SCHEDULE
The regular meetings of the city council shall be held on the second and fourth Tuesday of each month, closed session business will commence as early as 5:00 PM, when scheduled, and general business session will commence at 7:00 PM.
BROWN ACT
Agendas are drafted to accurately state what the legislative body is being asked to consider. The legislative body can take action on “all items” listed on the agenda and be in compliance with the open meeting laws.
Pursuant to provisions of the Brown Act, no action may be taken on a matter unless it is listed on the agenda, or unless certain emergency or special circumstances exist. The
governing body may direct staff to investigate and/or schedule certain matters for consideration at a future meeting.
COMMUNICATION AND ELECTRONIC DEVICES
To minimize distractions, please be sure all personal communication and electronic devices are turned off or on silent mode.
LIVE BROADCASTING AND REBROADCASTING
Regular City Council meetings are broadcast live every 2nd and 4th Tuesday of the month on City Website www.cityofglendora.org, Channel 3 (Cable) & Channel 31 (Verizon) and are replayed Thursday - Sunday the week following the meeting on Channel 3 (Cable) & Channel 31 (Verizon). All broadcasts can be viewed on Cox Communications Local Access Channel 3 and Verizon/Fios Channel 31. City Council meetings are also available via live webcast and at any time for replaying through the City's webpage at cityofglendora.org/citymeetings.
Meeting Date: 9/26/2023 / Packet Page #: 1
CITY OF GLENDORA
CITY COUNCIL, SUCCESSOR AGENCY AND HOUSING AUTHORITY
AGENDA
TUESDAY, SEPTEMBER 26, 2023
CITY HALL COUNCIL CHAMBERS - 116 E. FOOTHILL BOULEVARD, GLENDORA 5:30 5:00 PM CLOSED SESSION
7:00 PM GENERAL BUSINESS SESSION
NOTICE IS HEREBY GIVEN that Closed Session business will commence at 5:00 PM, when scheduled, and General Business Session will commence at 7:00 PM.
NOTICE IS FURTHER GIVEN that to participate virtually, download Zoom on any phone or computer device and use the following meeting ID: cityofglendora.org/zoom or https://zoom.us/j/9329247224
CALL TO ORDER
ROLL CALL
CLOSED SESSION
The regular meetings of the city council shall be held on the second and fourth Tuesday of each month, closed session business will commence at 6:00 p.m., when scheduled, and general business session will commence at 7:00 p.m. Closed Session discussions authorized by state law and allow the legislative body to consider/hear any matter which it is authorized by state law to hear or consider in closed session.
1. PUBLIC EMPLOYEE APPOINTMENT A closed session will be held, pursuant to Government Code §54957, to consider ratification of the City Manager’s appointment to the following positions of 1) Public Works Director; 2) Finance Director; and 3) Deputy City Manager
2. CONFERENCE WITH REAL PROPERTY NEGOTIATORS A closed session will be held pursuant to Government Code 54956.8, enable the City Council of the City of Glendora, property owner, to receive information form negotiator(s) Adam Raymond, Moises Lopez, Jeff Kugel, and Valerie Velasquez regarding certain real properties APN 8655-007-900, APN 8655-007-901, APN 8655-007-902 and APN 8655-021-900. The City’s real property negotiator will seek direction from the City Council regarding the disposition of the property.
3. CONFERENCE WITH REAL PROPERTY NEGOTIATORS A closed session will be held, pursuant to Government Code §54956.8, enable the City Council and Housing Authority to consider negotiations with Paul Rodriguez, with whom City is negotiating, and to give direction to its negotiator(s) Adam Raymond, Moises Lopez, Jeff Kugel, and Valerie Velasquez regarding that certain real property 1762 Dale Road, APN 8631-013-023. The City’s real property negotiator will seek direction from the City Council regarding the price and terms of payment for the property.
INVOCATION AND PLEDGE OF ALLEGIANCE
In permitting a nonsectarian invocation, the City does not intend to proselytize, advance, or disparage any faith or belief. Neither the City nor the City Council endorses any particular belief or form of invocation. Invocation
Pledge of Allegiance
Meeting Date: 9/26/2023 / Packet Page #: 2
STUDENT REPORTS
Student Reports are presented by representatives from of Charter Oak, Glendora, St Lucy’s Priory and Whitcombe High Schools. Presentations are made the fourth Tuesday of each month from September to April.
4. High School Student Representative Report
REORDERING OF AND ADDITIONS TO THE AGENDA
PUBLIC COMMENT
Three (3) Minute speaking time limit, speaking once, unless upon motion, such time is extended by the legislative body.
Any person may request to address a legislative body during a public meeting. Speakers are limited to three (3) minutes, speaking once, on both on- and off- agenda items, unless, upon motion, such time is extended by the legislative body. Such statements shall only be allowed during the Public Comment portion of the agenda. If there are any public hearings scheduled, individuals will be given an additional opportunity to comment under said items.
Speakers are not permitted to yield their time to another speaker. Public comment is limited to 30 minutes at each meeting, with the ability to extend if the legislative body so chooses by majority vote.
To ensure that the public is able to participate, the City may provide a variety of ways in which the public can submit their comment: in person, virtually, email, phone call, mail and any other method which may become available. Methods of participation may be subject to change during other such times when a State of Emergency, Health Order or State Executive Order limits in-person participation.
5. Public Comments Received
MEMBER STATEMENTS/REPORTS
CITY MANAGER AND CITY ATTORNEY STATEMENTS
SPECIAL ITEMS
6. Police Department Quarterly Update
CONSENT CALENDAR
Items on the Consent Calendar will be enacted by one motion without individual discussion. There will be no separate discussion of these items unless a member of the governing body requests specific item(s) be removed from the Consent Calendar for separate action. Items removed from the Consent Calendar will be considered after the Consent Calendar is approved. Anyone wishing to address a Consent Calendar item should do so during the Public Comment Period.
7. Consolidated Annual Performance and Evaluation Report (CAPER) for the 2022-2023 Community Development Block Grant (CDBG) Program
CITY RECOMMENDATION: 1. Approve submittal of the City of Glendora's FY 2022-2023 Consolidated Annual Performance and Evaluation Report (CAPER) accomplishments to the U.S. Department of Housing and Urban Development (HUD); and 2. Authorize the City Manager to submit the report to HUD.
8. City of Glendora Title VI of the Civil Rights Act of 1964 Program Renewal CITY RECOMMENDATION: 1. Approve the renewal of the City of Glendora Title VI Program and; 2. Adopt City Council Resolution entitled, “A RESOLUTION OF THE CITY
COUNCIL ADOPTING THE CITY OF GLENDORA TRANSPORTATION DIVISION TITLE VI PROGRAM ENSURING THE PROHIBITION OF DISCRIMINATION”.
9. Notice of Completion for Library Boiler Replacement – Plan No. 1370 CITY RECOMMENDATION: 1. Accept and Approve the Notice of Completion of the Notice of Completion for the Library Boiler Replacement - Plan No. 1370 by Air-Ex Conditioning, Inc.; and 2. Authorize the Mayor to sign the Notice of Completion for recordation.
Meeting Date: 9/26/2023 / Packet Page #: 3
10. City of Glendora and Glendora Successor Agency Investment Report August 2023 CITY/AGENCY RECOMMENDATION: 1. Receive and file the Monthly Investment Activity Report for August 2023.
11. Consideration of a Resolution approving an amendment to the Authorized Position Control Listing and Amending the Classification and Compensation Plan for the City of Glendora relating to Finance Director/City Treasurer
CITY RECOMMENDATION: 1. Adopt a City Council Resolution approving an amendment to the Authorized Position Control Listing and Amending the Classification and Compensation Plan for the City of Glendora relating to the Finance Director/City Treasurer.
MEMBER AGENDA ITEMS
12. Discussion of Assembly of the Constitution Amendment No. 13 (Boyer and Thompson) CITY RECOMMENDATION: 1. Consider Assembly Constitutional Amendment No. 13 (Ward, 2023); and 2. Provide City staff with direction accordingly.
NEW BUSINESS
13. Award the Contract for Artificial Turf Replacement for Field 3 at Louie Pompei Memorial Sports Park to Field Turf USA, Inc. in the amount not to exceed $509,307.76 CITY RECOMMENDATION: 1. Award the contract for Artificial Turf Replacement for Field 3 at Louie Pompei Memorial Sports Park to Field Turf USA, Inc. in the amount not to exceed $509,307.76; and 2. Authorize the City Manager or his designee to execute the agreement including minimal and/or non-substantive changes.
MEMBER/STAFF CLOSING COMMENTS
ADJOURNMENT
I hereby certify under penalty of perjury under the laws of the State of California that the foregoing agenda was posted on the Glendora City Hall bulletin board at 116 E. Foothill Boulevard and on the City of Glendora website at www.cityofglendora.org not less than 72 hours prior to the meeting in accordance with Government Code Section 54954.2.
Dated: September 20, 2023
Revised: September 21, 2023
September 25, 2023
Kathleen R. Sessman, MMC
City Clerk/Communications Director
Meeting Date: 9/26/2023 / Packet Page #: 4
Police Department
Quarterly Update
POLICE DEPARTMENT
City Council Meeting
September 26, 2023
Mike Randazzo, Police Captain
CityOfGlendora.org
Item #6. Page 1
Meeting Date: 9/26/2023 / Packet Page #: 5
September Police Department Update
• Current State of the Police Department
• Homelessness Program Update
• Crime Prevention / Community Engagement
2 Item #6. Page 2
Meeting Date: 9/26/2023 / Packet Page #: 6
Current State of the Police Department
3 • Eleven Total Vacancies
– Five Police Officers
– One Dispatch Supervisor
– Two Dispatchers
– Two Jailers
– One Records Specialist
• Continuous Recruitment for Police Cadets
Item #6. Page 3
Meeting Date: 9/26/2023 / Packet Page #: 7
Recruitment
4 Strengthen Partnerships with City Staff
• PD Recruitment Team
• Human Resources Department
• Finance Department
• City and PD Social Media Teams
Item #6. Page 4
Meeting Date: 9/26/2023 / Packet Page #: 8
Recruitment
Recruitment Fairs
• Professionalism
• Banners and Handouts
• Audio / Visual Aids
• Diversity in Group
5 Item #6. Page 5
Meeting Date: 9/26/2023 / Packet Page #: 9
Recruitment
One Day Hiring Events
• Partnership / Resources
• Written
• Physical Agility Test
• Oral Panel
• Captain Interview
• Background Process
6 Item #6. Page 6
Meeting Date: 9/26/2023 / Packet Page #: 10
Recruitment
Background to Filling the Position
• Certifications vs. Fit
• Background Investigation
• Medical Evaluation
• Psychological Evaluation
• Polygraph Examination
• Chief Interview
• Police Academy
• Training
7 Item #6. Page 7
Meeting Date: 9/26/2023 / Packet Page #: 11
Homelessness Effort Update
8 Teams:
• Ed Meeker and Ray Kodadek
• Detective Bureau
• Partnerships
• Stakeholders
• Start to Finish Approach
• Enforcement
• Assistance
Item #6. Page 8
Meeting Date: 9/26/2023 / Packet Page #: 12
9 Item #6. Page 9
Meeting Date: 9/26/2023 / Packet Page #: 13
10 Item #6. Page 10
Meeting Date: 9/26/2023 / Packet Page #: 14
11 Item #6. Page 11
Meeting Date: 9/26/2023 / Packet Page #: 15
12 Item #6. Page 12
Meeting Date: 9/26/2023 / Packet Page #: 16
Homelessness Effort Update
13 Teams:
• Community Services
• Los Angeles Centers for Alcohol and Drug Abuse (L.A. CADA) • East San Gabriel Valley Mental Health Team (LA County DMH) • Police Department Patrol Division
• All PD Staff
Item #6. Page 13
Meeting Date: 9/26/2023 / Packet Page #: 17
Crime Prevention / Community Engagement
14 City Wide Approach, Specific Division Highlights
Community Services Officer Nita Ulloa
• Reassigned to Detective Bureau with New Vision and Goals • Community Academy
• Crime Prevention Through Environmental Design (CPTED) • Information Gathering and Dissemination
Item #6. Page 14
Meeting Date: 9/26/2023 / Packet Page #: 18
Community Academy
15 • Minimum of Three Each Year
• One Night Per Week
• Three Hour Class 6-9 pm
• Eight Weeks
• Variety of Presentations
• Current Academy Started September 13, 2023
Item #6. Page 15
Meeting Date: 9/26/2023 / Packet Page #: 19
Crime Prevention Through Environmental Design (CPTED)
16 • Glendora Businesses
• Meeting with Crime Victims
• Community Meetings
• Identifying Problems and Trends
Item #6. Page 16
Meeting Date: 9/26/2023 / Packet Page #: 20
Community Connections
17 Information / Data Gathering and Sharing
• Community Meetings
• Chamber of Commerce / Service
Groups
• Site Visits
• Crime Victims
• Social Media
• Patrol
• Community Impact Team (CIT)
• Major Crimes and Problems Team
(MCAP)
• Detectives
• Events
Item #6. Page 17
Meeting Date: 9/26/2023 / Packet Page #: 21
Progress
18 June, July & August 2023
• On site CPTED Evaluations (17)
• Multiagency Coffee with a Cop (1)
• Neighborhood Watch Activities (5)
• National Night Out (1)
• Patrol Briefing Presentations (8)
• Community Meetings (5)
Item #6. Page 18
Meeting Date: 9/26/2023 / Packet Page #: 22
Police Department Quarterly Update
19 Thank you
Captain Mike Randazzo
Item #6. Page 19
Meeting Date: 9/26/2023 / Packet Page #: 23
STAFF REPORT
TO: Mayor and Council Members DATE: September 26, 2023
FROM: Community Development DISTRICT(S): City-Wide
SUBJECT: Consolidated Annual Performance and Evaluation Report (Caper) for the 2022-2023 Community Development Block Grant (CDBG) Program
RECOMMENDATION
That the City Council:
1. Approve submittal of the City of Glendora's FY 2022-2023 Consolidated Annual Performance and Evaluation Report (CAPER) accomplishments to the U.S. Department of Housing and Urban Development (HUD); and
2. Authorize the City Manager to submit the report to HUD
STRATEGIC FOCUS AREAS
Goal 2: Maintain Financial Stability and Sustainability (MFSS) Goal 5: Improve and Maintain the City’s Infrastructure and Facilities (IMCIF)
EXECUTIVE SUMMARY
The City of Glendora annually receives a Community Development Block Grant (CDBG) allocation from the U.S. Department of Housing and Urban Development (HUD). As an entitlement city, Glendora applies directly to HUD for its CDBG funding. As a result of its entitlement city status, Glendora must submit a Consolidated Annual Performance Evaluation Report (the “CAPER”) to HUD disclosing accomplishments completed and expenditures made during the fiscal year. The receiving and filing of the attached performance report enables the City to comply with HUD’s reporting requirements.
LEGISLATIVE HISTORY / PREVIOUS ACTIONS
The CDBG Program is authorized under Title I of the Housing and Community Development Act of 1974.
CDBG funds are allocated to cities annually and finance capital projects and programs that benefit lowincome populations and eliminate urban blight.
DISCUSSION
The City of Glendora receives CDBG funds from HUD on an annual basis. The funding is secured by the preparation of a Consolidated Plan that is submitted to HUD every five years. The 2022-2023 CAPER is for the fifth and final year of the 2018-2023 Consolidated Plan. The Consolidated Plan identifies Goals and objectives for the CDBG Program to be completed during the five-year period. On an annual basis the City prepares an Annual Action Plan to carry out the Consolidated Plan CDBG Program goals and objectives.
The CAPER is then completed and reviewed by HUD to ensure that the City’s goals and objectives for the projects and programs contained in the Consolidated Plan and Annual Action Plan are met.
In order to maximize citizen participation HUD requires the City to allow Glendora residents an opportunity to comment on the CDBG Program. The Draft CAPER was available for a 15-day public review from September 10, 2023 through September 25, 2023 as required by HUD. The Notice was published on Item #7. Page 1
Meeting Date: 9/26/2023 / Packet Page #: 24
Staff Report Page 2 of 2
September 7, 2023. Written or oral comments received by the City must be incorporated into the CAPER submitted to HUD prior to submission.
For FY 2022-2023 (the fifth year of the Consolidated Plan), the City of Glendora used its allocation of $301,679 in CDBG funds plus $581 of prior years’ funds for a total of $302,260 to address the highest priorities identified in its FY 2018-2023 Consolidated Plan.
These funds were allocated/expended as follows:
CDBG Funds (2022 – 2023)
Decent Housing Allocated Expended
Fair Housing Program (Housing Rights Center) $15,000 $15,000 Suitable Living Environment Allocated Expended
Street Improvement Project
(Nine Streets So. of Juanita Ave., West of Glendora Ave.) $240,581 $678,503*
Planning and Administration Allocated Expended
General Administration $46,679 $29,183
Total: $302,260 $722,686*
*Includes funds which were allocated in prior year for street project.
The Nine Street Improvement Project is a large project which was first included in Fiscal Year 2021-2022; the project continued into Fiscal Year 2022-2023. At the end of the FY 23, the project was substantially completed, however since a punch list of items were still being addressed, the final draw has not been completed and the project will be marked complete in the next year’s report.
Review of the CAPER indicates that the City of Glendora was able to meet most of its one-year Action Plan goals and objectives, as well as the five-year objectives. Table 1 of the CAPER provides information on the goals and the completed accomplishments of the FY 2022-2023 CDBG Program, note it also includes accomplishments for the CDBG-CV funding, which is a cumulative reporting since their inception.
Attached for the City Council review and approval is a copy of the City of Glendora’s draft FY 2022-2023 CAPER. The main purpose of the attached report is to review progress of the CDBG program goals and objectives for the 2022-2023 fiscal year in accordance with HUD’s regulations.
FISCAL IMPACT
In FY 2022-2023, a combined total of $722,686 of CDBG funding was expended. This amount represents funds which were carried over from prior years. By submitting the reports in compliance with CDBG requirements, the City will continue to receive grant funding, as included in the FY 2023-2024 adopted budget.
ENVIRONMENTAL DETERMINATION
There is no CEQA impacts associated with the recommendations in this report.
Prepared By Valerie Renee Velasquez, Housing & Economic Development Manager Concurs With Not Applicable
Reviewed By Jeff Kugel, Community Development Director
Certified to Availability of Funds Marie Ricci, Administrative Services Director/City Treasurer Approved By Adam Raymond, City Manager
Legal Review Not Applicable
CEQA Review Not Applicable
ATTACHMENTS:
A. Draft CAPER FY 2022-2023
B. Public Notice
Item #7. Page 2
Meeting Date: 9/26/2023 / Packet Page #: 25
FY 2022-2023
Consolidated Annual Performance
Evaluation Report (CAPER)
5th Year of the 2018-2023
Five-Year Consolidated Plan
DRAFT CAPER
September 2023
Item #7. Page 3
Meeting Date: 9/26/2023 / Packet Page #: 26
TABLE OF CONTENTS
CR-05 – Goals and Outcomes ................................................................................................................ 1 CR-10 – Racial and Ethnic Composition of Families Assisted ................................................................. 7 CR-15 – Resources and Investments 91.520(a) ...................................................................................... 8 CR-20 – Affordable Housing 91.520(b) ................................................................................................ 10 CR-25 – Homeless and Other Special Needs 91.220(d, e); 91.320 (d, e); 91.520 (c) ............................... 12 CR-30 – Public Housing 91.220(h); 91.320(j)......................................................................................... 15 CR-35 – Other Actions 91.220(j, k); 91.20 (I, j)) .................................................................................... 16 CR-40 – Monitoring 91.220; 91.320) .................................................................................................... 19 Citizen Participation Plan 91.105(d); 91;115(d)…………….…………………………………………………….……………. 20 CR-45 – CDBG 91.520(c) ……………………….……………………………………………………………………………….………… 21 Appendices
A. Public Participation
Item #7. Page 4
Meeting Date: 9/26/2023 / Packet Page #: 27
City of Glendora 2022-2023 CAPER Page 1
OMB Control No: 2506-0117 (exp. 09/30/2021)
CR-05 - Goals and Outcomes
Progress the jurisdiction has made in carrying out its strategic plan and its action plan.
91.520(a)
The City of Glendora (City) receives Community Development Block Grant Program (CDBG) Entitlement funds annually from United States Department of Housing and Urban Development (HUD) as an entitlement jurisdiction. The City’s CDBG Entitlement allocation for FY 2022-2023 was $301,679. This CAPER reviews the City’s specific achievements using CDBG Entitlement funds over the last program year (July 1, 2022 through June 30, 2023) and reviews the City achievements using CDBG-CV funds in FY 2022- 2023. It assesses the City’s progress to date in implementing the goals and objectives of the five-year 2018-2023 Consolidated Plan.
The City also continues to carry out programs under the Coronavirus Aid, Relief, and Economic Security (CARES) Act which was signed into law on March 27, 2020. The CARES Act provided additional CDBG funds (CDBG-CV) to prevent, prepare for, and respond to the coronavirus pandemic (pandemic). The City’s initial allocation was $179,204 (CV1). The second allocation was $266,983 (CV3) for a total of $446,187. The CDBG-CV funds were allocated in the FY 2019-2020 Annual Action Plan. The initial activities to be undertaken with the CDBG-CV of funds have been modified through two Substantial Amendments to the FY 2019-2020 Annual Action Plan.
All CDBG funds, whether Entitlement or CDBG-CV, must serve the residents of the community in one of the three areas of benefiting low- and moderate-income persons, eliminating slum and blight, and meeting a particularly urgent community need.
The City of Glendora has developed the objectives, outcomes, and quantifiable goals below for each priority need category listed in the 2018-2023 Consolidated Plan. • Infrastructure and Public Facilities: Improve and expand infrastructure and public facilities that benefit low and moderate income neighborhoods and residents. The Objective/Outcome categories will be A Suitable Living Environment/Availability/Accessibility (SL-1), with a goal of assisting 5 public facilities/infrastructure projects (1 annually). • Economic and Human Development: Provide for the economic development needs of low and moderate income persons. The program will also create or retain jobs for low- and moderateincome residents. The Objective/Outcome categories will be Economic Opportunity/Availability/ Accessibility (EO-1), with a goal of assisting three (3) businesses over five years. • Fair Housing: Promote fair and equal housing choice for all persons, promote housing that is accessible to and usable by persons with disabilities, and comply with the non-discrimination requirements of the various Fair Housing laws. The Objective/Outcome categories will be Decent Housing/Availability/Accessibility (DH-1). with a goal of assisting 250 low/mod persons (50 annually).
• Administration and Planning: Provide for administration and planning activities to develop Item #7. Page 5
Meeting Date: 9/26/2023 / Packet Page #: 28
City of Glendora 2022-2023 CAPER Page 2
OMB Control No: 2506-0117 (exp. 09/30/2021)
housing and community development strategies and programs needed to carry out actions that address identified needs in the Consolidated Plan. The Objective/Outcome categories will be A Suitable Living Environment/Availability/Accessibility (SL-1), with a goal of successfully administering the CDBG program per HUD regulations.
The following are accomplishments achieved in FY 2022-2023, and the cumulative accomplishments for multi-year Entitlement projects and CDBG-CV projects over the first five years of the FY 2018-2023 Consolidated Plan.
CDBG Entitlement Funds
• Infrastructure and Public Facilities: A prior year (FY 2021-2022) street improvement project was allocated additional funds in FY 2022-2023 and is still in progress. The City released the bid on June 2, 2022 with a due date of July 21, 2022, but the start of the project was delayed due to the need for other site improvements prior to the start of the CDBG-funded street improvement project. The project began in the fourth quarter of FY 2022-2023 and is expected to be completed in July 2023. This project is expected to benefit 940 households, 525 of whom (56%) are low and moderate income low and moderate income households. Three prior year projects have been completed, benefiting 4,285 low and moderate income households. • Economic and Human Development: No funds were allocated to this area in FY 2022-2023. • Fair Housing: In FY 2022-2023, this program was funded under the CDBG Administration cap and all those inquiring regarding fair housing were provided services. • Administration and Planning: The City continued to effectively manage the CDBG program in FY 2022-2023.
CDBG-CV Funds
• Economic and Human Development: In FY 2019-2020, the City launched a Small Business Assistance Loan program using CDBG-CV fundsspecifically to assist businesses to prevent, prepare for, and respond to coronavirus. To date, this program has assisted one business to deal with the effects of the pandemic. This program is complete.
• Fair Housing: As part of the second Substantial Amendment to the FY 2019-2020 Annual Action Plan, the City allocated $312,088 for an COVID Emergency Rental Assistance Program. To-date, this program has assisted 47 households deal with the effects of the pandemic by providing shortterm rental assistance. This program is complete. • Administration and Planning: The City continued to effectively manage the CDBG-CV program in FY 2022-2023.
Item #7. Page 6
Meeting Date: 9/26/2023 / Packet Page #: 29
City of Glendora 2022-2023 CAPER Page 3
OMB Control No: 2506-0117 (exp. 09/30/2021)
Comparison of the proposed versus actual outcomes for each outcome measure submitted with the consolidated plan and explain, if applicable, why progress was not made toward meeting goals and objectives. 91.520(g) Categories, priority levels, funding sources and amounts, outcomes/objectives, goal outcome indicators, units of measure, targets, actual outcomes/outputs, and percentage completed for each of the grantee’s program year goals.
Goal Category Source /
Amount
Indicator Unit of
Measure
Expected
–
Strategic
Plan
Actual –
Strategic
Plan
Percent
Complete
Expected –
Program
Year
Actual –
Program
Year
Percent
Complete
Economic
and Human
Development
Non-Housing
Community
Development
CDBGCV:
$44,862
Businesses
Assisted
Business 3 2 66% 0 0 0.00%
Fair Housing Fair Housing
CDBGCV:
$312,088
Public service
activities other
than
Low/Moderate
Income
Housing
Benefit
Persons
Assisted
52 99 190.03% 52 47 90.38%
Infrastructure
and Public
Facilities
Non-Housing
Community
Development
CDBG:
$240,581
Public Facility
or
Infrastructure
Activities
other than
Low/Moderate
Income
Housing
Benefit
Persons
Assisted 7,309 2,845 38.92% 940 0 0.00%
Table 1 - Accomplishments – Program Year & Strategic Plan to Date Item #7. Page 7
Meeting Date: 9/26/2023 / Packet Page #: 30
City of Glendora 2022-2023 CAPER Page 4
OMB Control No: 2506-0117 (exp. 09/30/2021)
Assess how the jurisdiction’s use of funds, particularly CDBG, addresses the priorities and specific objectives identified in the plan, giving special attention to the highest priority activities identified.
Only eligible activities that received a High Priority level are funded during each of the five years of the 2018-2023 Consolidated Plan. In FY 2022-2023, $301,679 in entitlement funds and $581 in program income were allocated to implement the final year of the 2018-2023 Consolidated Plan. From FY 2019- 2020 through FY 2022-2023, CDBG-CV funds were allocated to various programs through two Substantial Amendments to the 2019-2020 Annual Action Plan.
In FY 2022-2023, the City of Glendora addressed all of the Consolidated Plan Priorities listed above by providing CDBG funding as follows:
CDBG Entitlement Funding
1. Infrastructure and Public Facilities
In FY 2021-2022, the City allocated $440,514 in prior year CDBG funds to repair the badly deteriorated pavement, curb, gutter, and sidewalk on nine streets south of Juanita Ave. and west of Glendora Ave. In FY 2022-2023, CDBG Entitlement funds were allocated for another related infrastructure project in the same location. Both projects are eligible under the Low/Mod Area National Objective because they are in an area where 55.85% of the households are low- and moderate income. Figure 1 on the following page shows the area for the infrastructure projects.
As of June 30, 2023, the projects are substantially completed. However, since a punch list of small items is still being addressed, and the final draw for the projects have not been completed, neither project is closed or reported in this CAPER.
2. Economic and Human Development
In FY 2022-2023, no CDBG Entitlement funds were allocated to Economic and Human Development.
3. Fair Housing
The City allocated $15,000 in CDBG Administrative funds to the Housing Rights Center in FY 2022-2023. A total of $15,000 was expended to serve the residents of Glendora.
4. Administration and Planning
In FY 2022-2023, the City allocated $43,876 for general planning and administration, of which $29,183 was expended.
CDBG-CV Funding
1. Infrastructure and Public Facilities
No CDBG-CV funds were allocated to Infrastructure and Public Facilities in FY 2022-2023.
Item #7. Page 8
Meeting Date: 9/26/2023 / Packet Page #: 31
City of Glendora 2022-2023 CAPER Page 5
OMB Control No: 2506-0117 (exp. 09/30/2021)
2. Economic and Human Development
CDBG-CV funds were not used for this Consolidated Plan Priority in FY 2022-2023.
3. Fair Housing
Since the inception of CDBG-CV program, the has City allocated $312,088 in CDBG-CV funds for an Emergency Rental Assistance Program. $261,820 has been expended to-date, assisting 47 renters impacted by the pandemic. This represents 90.38 percent of the goal of 52.
4. Administration and Planning
In 2019-2020 the City allocated $89,237 of CDBG-CV funds for Administration and Planning and $28,203 has been expended to-date. No additional CDBG-CV funds were allocated for Administration and Planning in FY 2020-2021 or FY 2022-2023.
Item #7. Page 9
Meeting Date: 9/26/2023 / Packet Page #: 32
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OMB Control No: 2506-0117 (exp. 09/30/2021)
FY 2021-2022 and FY 2022-2023 CDBG Eligible Areas and Street Resurfacing Project (Newburgh Street, Carter Drive, Bender Avenue, Washington Avenue, Vermont Avenue and Santa Fe Avenue) Census Tract 4039.02 – Block Group 2
Item #7. Page 10
Meeting Date: 9/26/2023 / Packet Page #: 33
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OMB Control No: 2506-0117 (exp. 09/30/2021)
CR-10 - Racial and Ethnic composition of families assisted Describe the families assisted (including the racial and ethnic status of families assisted).
91.520(a)
CDBG
White 42
Black or African American 3
Asian 2
American Indian or American Native 0
Native Hawaiian or Other Pacific Islander 0
Total 47
Hispanic 24
Not Hispanic 23
Table 2 – Table of assistance to racial and ethnic populations by source of funds Narrative
Table 2 above includes the racial and ethnic composition of persons assisted in the CDBG-CV funded Emergency Rental Assistance Program. A total of 47 persons were assisted. Of the 47 served, 234 identified themselves as Hispanic, and 23 as not Hispanic. This sample is too small to reliably compare to the race and ethnicity of the City’s overall population, and therefore no statistics regarding the City’s overall race and ethnicity are included.
Item #7. Page 11
Meeting Date: 9/26/2023 / Packet Page #: 34
City of Glendora 2022-2023 CAPER Page 8
OMB Control No: 2506-0117 (exp. 09/30/2021)
CR-15 - Resources and Investments 91.520(a)
Identify the resources made available
Source of Funds Source Resources Made
Available
Amount Expended
During Program Year
CDBG public - federal $301,679 $722,105.20
CDBG Prior Year Funds Public -federal $581 $581
CDBG-CV public- federal $446,187 $261,820
Table 3 - Resources Made Available
Narrative
For FY 2022-2023, the City had available $301,679 in CDBG entitlement allocation. In addition, the City identified $581 in prior year funds for a total of $302,260 in available resources. A total of $722,105.20 was expended. This amount includes funds expended in FY 2022-2023 for projects which were allocated the FY 2022-2023 and prior Action Plans. In addition, the City received two allocations of CARES Act funds totaling $446,187 which were allocated for the Business Assistance Program, an Emergency Rental Assistance Program, and Administration to address residents needs related to the Coronavirus. Because CDBG-CV funds have different timelines than CDBG Entitlement funds, the amounts listed in Table 3 represent the resources and expenditures from the beginning of the CDBG-CV program through the end of FY 2022-2023.
Identify the geographic distribution and location of investments Target Area Planned
Percentage of
Allocation
Actual
Percentage of
Allocation
Narrative Description
CDBG Low-Mod
Income Target Areas 0.00% 80%
low- and moderate-income area
(LMA) census tracts and block groups
Table 4 – Identify the geographic distribution and location of investments Narrative
In FY 2022-2023, the City allocated $240,581 in CDBG funds to a street improvement project, which encompasses nine streets south of Juanita Avenue and west of Glendora Avenue, and area where 55.85% of the households are low/mod. The funds rehabilitated badly deteriorated pavement, curbs, gutters, and sidewalks. These funds were combined with $440,514 in FY 2021-2022 CDBG funds already committed to the same project. The FY 2022-2023 allocation represents 80% of the FY 2022-2023 CDBG Entitlement Resources Made Available in Table 3 above. This project is on-going.
Leveraging
Explain how federal funds leveraged additional resources (private, state and local funds), including a description of how matching requirements were satisfied, as well as how any Item #7. Page 12
Meeting Date: 9/26/2023 / Packet Page #: 35
City of Glendora 2022-2023 CAPER Page 9
OMB Control No: 2506-0117 (exp. 09/30/2021)
publicly owned land or property located within the jurisdiction that were used to address the needs identified in the plan.
Federal funds will leverage additional resources as grant opportunities become available. In FY 2022-2023, no funds were leveraged; however, the City does benefit from County funding for rental assistance provided by HUD through the Housing Choice Voucher program.
The City of Glendora has not identified any publicly owned land for housing and community development activities.
The City does not receive HOME funds, so there are no matching requirements.
Item #7. Page 13
Meeting Date: 9/26/2023 / Packet Page #: 36
City of Glendora 2022-2023 CAPER Page 10
OMB Control No: 2506-0117 (exp. 09/30/2021)
CR-20 - Affordable Housing 91.520(b)
Evaluation of the jurisdiction's progress in providing affordable housing, including the number and types of families served, the number of extremely low-income, low-income, moderate-income, and middle-income persons served.
One-Year Goal Actual
Number of Homeless households to be
provided affordable housing units 0 0
Number of Non-Homeless households to be
provided affordable housing units 0 0
Number of Special-Needs households to be
provided affordable housing units 0 0
Total 0 0
Table 5 – Number of Households
One-Year Goal Actual
Number of households supported through
Rental Assistance 0 0
Number of households supported through
The Production of New Units 0 0
Number of households supported through
Rehab of Existing Units 0 0
Number of households supported through
Acquisition of Existing Units 0 0
Total 0 0
Table 6 – Number of Households Supported
Discuss the difference between goals and outcomes and problems encountered in meeting these goals.
The biggest challenge to creating affordable housing is limited funding. In prior years, two affordable housing complexes were funded by the city. Those complexes continue to provide 52 affordable units (27 extremely low, 19 very low, and six low) through Heritage Oaks and 87 affordable units (13 extremely low, 55 very low and 19 low) through Elwood Family Apartments. These units will remain affordable throughout the Consolidated Plan period.
Discuss how these outcomes will impact future annual action plans.
Item #7. Page 14
Meeting Date: 9/26/2023 / Packet Page #: 37
City of Glendora 2022-2023 CAPER Page 11
OMB Control No: 2506-0117 (exp. 09/30/2021)
The City does not plan to make any changes in the way funds are allocated at this time. The streets projects and fair housing program (funded with Administration funds), continue to provide important benefit to the community.
Include the number of extremely low-income, low-income, and moderate-income persons served by each activity where information on income by family size is required to determine the eligibility of the activity.
Number of Households Served CDBG Actual HOME Actual
Extremely Low-income 0 0
Low-income 0 0
Moderate-income 0 0
Total 0 0
Table 7 – Number of Households Served
Narrative Information
The CDBG-CV Emergency Rental Assistance Program served 47 households from inception of the program to the end of FY 2022-2023. Of the 47 households served by this program, 27 (57%) were female-headed households.
Item #7. Page 15
Meeting Date: 9/26/2023 / Packet Page #: 38
City of Glendora 2022-2023 CAPER Page 12
OMB Control No: 2506-0117 (exp. 09/30/2021)
CR-25 - Homeless and Other Special Needs 91.220(d, e); 91.320(d, e); 91.520(c) Evaluate the jurisdiction’s progress in meeting its specific objectives for reducing and ending homelessness through:
Reaching out to homeless persons (especially unsheltered persons) and assessing their individual needs
A Point-in-Time (PIT) Homeless Count and Homeless Inventory Count (HIC) was conducted by the Los Angeles Homeless Services Authority (LAHSA) in 2022. That data indicates that in the City of Glendora there are 84 homeless, 80 of whom are unsheltered. This is a decrease of 42% since the PIT Count which was conducted in 2020. Given the City’s limited CDBG resources and relatively small number of homeless in the City of Glendora, and the significant other City and regional resources committed to addressing homelessness, homeless activities were not given a priority in the 2018-2023 Consolidated Plan In 2018, the City developed the City of Glendora Plan to Combat Homelessness (Plan) to respond to homelessness using a portion of one of its Measure H grants. The City met with nearly a dozen service providers that are actively interacting with the homeless and Glendora residents, and have utilized their feedback to assist in the completion of this plan. The plan includes actions the City will undertake to better address the concerns surrounding homelessness, including collaboration with other jurisdictions. to ensure homeless individuals are provided the most individualized information and services available. The City of Glendora is part of Service Planning Area (SPA) 3 which includes (but is not limited to) the cities of Alhambra, Altadena, Arcadia, Azusa, Baldwin Park, Claremont, Covina, Diamond Bar, Duarte, El Monte, Glendora, Irwindale, Monrovia, Monterey Park, Pasadena, Pomona, San Dimas, San Gabriel, San Marino, Temple City, Walnut, and West Covina.
To implement the Plan, the City collaborates with a variety of different agencies. City staff meet monthly with the Glendora Police Department CIT team, LAHSA, Glendora Police Department MET team, LA County Department of Mental Health, and Union Station Homeless Services to coordinate services for the most vulnerable mentally ill people that are homeless. City staff also meet monthly with staff from the other cities in SPA 3. The City regularly coordinates with local non-profits, including Glendora Ministerial association, Shepard’s Pantry and Glendora Welfare. The City operates the La Fetra Center, which is open 9am to 5pm daily and provides a location where the homeless may inquire about services in person.
Most recently, the Glendora City Council awarded a multi-year contract with the Los Angeles Centers for Alcohol and Drug Abuse (LA-CADA) to provide homeless services and temporary housing. LA-CADA is a certified substance use and behavioral treatment provider licensed by the State of California Department of Health Care services and the County of Los Angeles Department of Public Health- Substance Abuse Prevention and Control. LA-CADA treats people with addiction and behavioral problems by providing client-centered, trauma-informed, and recovery-oriented services. They interview each client and design a plan for services tailored to that individual’s needs. They offer a wide continuum of care and treatment, including outpatient, intensive outpatient, and residential programs. LA-CADA began their contract in May 2022, since then they have made first encounters with two hundred and thirty-two individuals and have Item #7. Page 16
Meeting Date: 9/26/2023 / Packet Page #: 39
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OMB Control No: 2506-0117 (exp. 09/30/2021)
placed forty-one of them in housing, such as, bridge housing, detox facilities, Sober Living homes and/or Respite Care.
Addressing the emergency shelter and transitional housing needs of homeless persons There is no shelter or transitional housing located in the City of Glendora. However, the City contract with LA-CADA includes 8 beds shelter beds to be used specifically for Glendora residents. LA-CADA and city staff help unsheltered individuals get benefits like health insurance, Cal Fresh, and Social Security and replace vital documents at the DMV and Social Security offices. By getting unsheltered individuals their I.D. and increasing their income, they are better prepared to move out of shelter/transitional housing and into more permanent housing.
The City received two Measure H grants from Los Angeles County in 2019 and used them to establish and expand its homeless services and outreach programs by contracting with Union Station Homeless Services. The grants totaled $240,000 through the San Gabriel Valley Council of Governments to provide emergency housing, outreach, and homelessness prevention and diversion programs. In addition, during the pandemic, the City Council approved $450,000 to pay for motel stays for people experiencing homelessness from April 2020 to February 2021. After this funding was exhausted in April 2022 the City entered a 2-year contract with The Los Angeles Centers for Alcohol and Drug Abuse (L.A. CADA) for ongoing outreach, housing navigation, and substance abuse treatment services. This contract was funded through a grant received from the American Rescue Plan Act (ARPA). The City has been utilizing the ARPA grant and allocations from its General Fund to continue to administer its current homeless service programs. The City recently hired a Human Services and Outreach Coordinator to further expand the City’s homeless services program and help coordinate with regional services providers in other cities. Case managers and homeless navigators work with the community members experiencing homelessness to determine their greatest needs and coordinate supportive services to bring them closer to interim and permanent housing opportunities.
Helping low-income individuals and families avoid becoming homeless, especially extremely low-income individuals and families and those who are: likely to become homeless after being discharged from publicly funded institutions and systems of care (such as health care facilities, mental health facilities, foster care and other youth facilities, and corrections programs and institutions); and, receiving assistance from public or private agencies that address housing, health, social services, employment, education, or youth needs During FY 2022-2023, the San Gabriel Valley Council of Governments provided the City with funding for the prevention and diversion of homelessness. The grant assisted with rental payments, groceries, and utilities, helping those families remain housed. The city also had funds for Rapid Rehousing which could be used to assist the homeless to get into housing.
Many of the programs noted above also provide services to those at-risk of becoming homeless. Case Management, emergency assistance with one-time expenses, and referrals to mental health services, legal services, and food services can prevent those at-risk of homelessness from losing their housing. The services provided are available to anyone needing them, including foster youth, seniors, and those exiting Item #7. Page 17
Meeting Date: 9/26/2023 / Packet Page #: 40
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corrections institutions.
Ensuring that affordable housing is available for low income families can prevent those families from becoming homeless. The City of Glendora falls under the Continuum of Care for Los Angeles County. This includes the Section 8 Voucher program made available through the Los Angeles County Development Authority (LACDA). The Voucher program provides reduced cost housing to low income households which might otherwise become homeless. 60 Glendora households used Section 8 Vouchers in FY 2022-2023. Of that total 154 are elderly, 204 are female headed households, and 149 are disabled. The total of the individual categories exceeds the total Vouchers used because some households are represented in multiple categories.
As noted earlier, two affordable housing complexes were funded by the city in prior years. Those complexes continue to provide 52 affordable units (27 extremely low, 19 very low, and six low) through Heritage Oaks and 87 affordable units (13 extremely low, 55 very low and 19 low) through Elwood Family Apartments. These units will remain affordable throughout the Consolidated Plan period.
Helping homeless persons (especially chronically homeless individuals and families, families with children, veterans and their families, and unaccompanied youth) make the transition to permanent housing and independent living, including shortening the period of time that individuals and families experience homelessness, facilitating access for homeless individuals and families to affordable housing units, and preventing individuals and families who were recently homeless from becoming homeless again
The collaborations noted above include services that assist in the transition to permanent housing and independent living, including shortening the period that individuals and families experience homelessness, facilitating access for homeless individuals and families to affordable housing units, and preventing individuals and families who were recently homeless from becoming homeless again.
Item #7. Page 18
Meeting Date: 9/26/2023 / Packet Page #: 41
City of Glendora 2022-2023 CAPER Page 15
OMB Control No: 2506-0117 (exp. 09/30/2021)
CR-30 - Public Housing 91.220(h); 91.320(j)
Actions taken to address the needs of public housing
No public housing is located in the City of Glendora; therefore, there were no actions taken to address the needs of public housing.
Actions taken to encourage public housing residents to become more involved in management and participate in homeownership
No public housing is located in the City of Glendora; therefore, there were no actions taken to encourage public housing residents to become more involved in management and participate in homeownership.
Actions taken to provide assistance to troubled PHAs
The Housing Authority of the County of Los Angeles (HACoLA) is identified as a High Performing Housing Authority according to the Agency's Action Plan; therefore, there were no actions taken to provide assistance to a troubled PHA.
Item #7. Page 19
Meeting Date: 9/26/2023 / Packet Page #: 42
City of Glendora 2022-2023 CAPER Page 16
OMB Control No: 2506-0117 (exp. 09/30/2021)
CR-35 - Other Actions 91.220(j)-(k); 91.320(i)-(j)
Actions taken to remove or ameliorate the negative effects of public policies that serve as barriers to affordable housing such as land use controls, tax policies affecting land, zoning ordinances, building codes, fees and charges, growth limitations, and policies affecting the return on residential investment. 91.220 (j); 91.320 (i) Market and governmental factors pose constraints to the provision of adequate and affordable housing.
These factors tend to disproportionately impact lower- and moderate-income households due to their limited resources for absorbing the costs. Glendora works to remove barriers to affordable housing by implementing a Housing Element that is consistent with California law and taking actions to reduce costs or provide off-setting incentives to assist in the production of safe, high-quality, affordable housing. The City is committed to removing governmental constraints that hinder the production of housing, and offers a one-stop streamlined permitting process to facilitate efficient entitlement and building permit processing. The City will continue to implement processes currently in place which ameliorate barriers to affordable housing. These include a streamlined permit processing and offer incentives to foster affordable housing development through State density bonus law and local incentives.
The City is in the process of updating its Housing Element update for the 2021-2029 planning period. The update has been submitted to the State Department of Housing and Community Development but has not yet been found in compliance. Based on the comments from HCD, the City is amending its draft Housing Element to include significant re-zoning of sites to encourage the development of affordable housing and a by-right approval of housing projects which have 20 percent affordable units. These actions remove and ameliorate significant barriers to the development of affordable housing in the City of Glendora.
The City will continue to foster affordable housing development in the community through incentives such as density bonuses for affordable housing, mixed use development, and lot consolidation. In addition, fair housing as a homeless prevention strategy can assist those facing unfair evictions and foreclosure frauds, and therefore be able to remain at their homes.
Actions taken to address obstacles to meeting underserved needs. 91.220(k); 91.320(j) As previously mentioned, the City is collaborating with four other San Gabriel Valley cities to provide case management services to assist the homeless, using County of Los Angeles Measure H grants. In addition, each year the City uses CDBG funds to support the fair housing program that targets many of the City's underserved residents. Providing fair housing services is an important homeless prevention strategy, allowing many equal accesses to housing and assisting those facing unfair treatment in the housing market. The City's underserved populations include the elderly, disabled, homeless and at-risk homeless families and individuals.
The City will rely on its existing network of public and nonprofit service agencies, along with the City's Community Services Department, to provide an array of supportive services for the City's underserved groups. As previously mentioned, the City is collaborating with four other San Gabriel Valley cities to provide case management services to assist the homeless, using County of Los Angeles Measure H grants.
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Meeting Date: 9/26/2023 / Packet Page #: 43
City of Glendora 2022-2023 CAPER Page 17
OMB Control No: 2506-0117 (exp. 09/30/2021)
Actions taken to reduce lead-based paint hazards. 91.220(k); 91.320(j) The City previously provided lead-based paint hazard testing through rehabilitation programs. The rehabilitation programs are no longer offered.
Actions taken to reduce the number of poverty-level families. 91.220(k); 91.320(j) The network of existing agencies in the City provide social services to poverty-level families.
Actions taken to develop institutional structure. 91.220(k); 91.320(j) CDBG programs are managed under the City's Planning Department. City staff consult with HUD staff and attended HUD trainings to better craft a CDBG program that can be delivered in a cost-effective manner.
City staff will continue to communicate and work with HUD staff to implement the CDBG program and develop institutional structure.
Actions taken to enhance coordination between public and private housing and social service agencies. 91.220(k); 91.320(j)
The City will continue to coordinate with public and private housing and services agencies to deliver housing and community development activities in the community. Various agencies will continue to be invited to attend public meetings related to the CDBG program.
Identify actions taken to overcome the effects of any impediments identified in the jurisdictions analysis of impediments to fair housing choice. 91.520(a) The City’s Fair Housing Program is administered through a contract with the Housing Rights Center, which provides fair housing services and landlord/tenant information to all residents who request counseling, resource referral, complaint investigation, and public education on all forms of housing discrimination.
Approximately 50 low-income (0-50 percent AMI) renter-households were to be assisted, which include elderly, single-parent, and disabled special needs households. Actual accomplishments in FY 2022-2023 resulted in 40 persons assisted with fair housing services by the Housing Rights Center. Among the assisted persons, 34 were extremely- low-income, four were very- low-income, and two were low-income. Among those assisted, three were disabled and two were seniors.
The City updated its Analysis of Impediments (AI) to Fair Housing Choice in FY 2017-2018. HUD currently does not require the submission of an updated AI or the development of any formal fair housing planning document. Nevertheless, to comply with the Fair Housing Act’s requirement that each Grantee take steps to Affirmatively Further Fair Housing, the City continues to address the impediments identified in the AI.
The 2018 AI identified the following impediments:
1. Increase outreach and education activities
2. Monitor real estate advertisements
3. Investigate housing discrimination claims and violations
4. Monitor lending practices
The City uses CDBG funds to contract with the Housing Rights Center each year to ensure that residents Item #7. Page 21
Meeting Date: 9/26/2023 / Packet Page #: 44
City of Glendora 2022-2023 CAPER Page 18
OMB Control No: 2506-0117 (exp. 09/30/2021)
have access to fair housing information and assistance. HRC assists in preventing/reducing housing discrimination, predatory lending, and hate crimes in Glendora.
Actions taken to overcome effects of impediments identified included:
As noted above, the City is currently working on the Housing Element update for the 2021-2029 planning period. Once the Housing Element is found by approved by HCD the City will work towards implementing the goals, policies and programs identified in the Housing Element as well as completing any rezoning the Plan calls for within an efficient time period.
The City of Glendora adopted an ordinance that provides a reasonable accommodation procedure for disabled persons that removes physical barriers in public and private buildings. The procedure was prepared by the City Attorney’s Office and the City of Glendora Planning Department.
Item #7. Page 22
Meeting Date: 9/26/2023 / Packet Page #: 45
City of Glendora 2022-2023 CAPER Page 19
OMB Control No: 2506-0117 (exp. 09/30/2021)
CR-40 - Monitoring 91.220 and 91.230
Describe the standards and procedures used to monitor activities carried out in furtherance of the plan and used to ensure long-term compliance with requirements of the programs involved, including minority business outreach and the comprehensive planning requirements The City does not have any subrecipients and so monitoring of other agencies is not conducted. For CDBGfunded infrastructure projects, the Community Development Department has executed a memorandum of understanding (MOU) with the Public Works Department to ensure compliance with CDBG regulations and other cross-cutting regulations.
The City does have two contracts (CDBG Entitlement and CDBG-CV) with the Housing Rights Center for fair housing services. All other CDBG and CDBG-CV activities are operated and managed internally by City staff.
Item #7. Page 23
Meeting Date: 9/26/2023 / Packet Page #: 46
City of Glendora 2022-2023 CAPER Page 20
OMB Control No: 2506-0117 (exp. 09/30/2021)
Citizen Participation Plan 91.105(d); 91.115(d)
Describe the efforts to provide citizens with reasonable notice and an opportunity to comment on performance reports.
The Draft CAPER was available for the required 15-day public review from September 10, through September 25, 2023. A notice was posted on the City's website and published in the newspaper on September 7, 2023. The proof of publication can be found in Appendix A. The City Council reviewed the document at their regularly scheduled meeting on September 26, 2023. No public comments were received at the City Council meeting or during the 15-day comment period.
Item #7. Page 24
Meeting Date: 9/26/2023 / Packet Page #: 47
City of Glendora 2022-2023 CAPER Page 21
OMB Control No: 2506-0117 (exp. 09/30/2021)
CR-45 - CDBG 91.520(c)
Specify the nature of, and reasons for, any changes in the jurisdiction’s program objectives and indications of how the jurisdiction would change its programs as a result of its experiences.
No changes were made during FY 2022-2023. In FY 2020-2021, the City ended the Small Business Loan Program and reallocated those CDBG-CV funds to the COVID Emergency Rental Assistance Program. This program was successful and has served 47 residents addressing the impacts of the pandemic and helping those families stay housed. This project has been completed.
The City pursued all resources identified in the Consolidated Plan and did not hinder plan implementation by action or willful inaction.
Does this Jurisdiction have any open Brownfields Economic Development Initiative (BEDI) grants?
No
[BEDI grantees] Describe accomplishments and program outcomes during the last year.
N/A
Item #7. Page 25
Meeting Date: 9/26/2023 / Packet Page #: 48
City of Glendora 2022-2023 CAPER Page 22
OMB Control No: 2506-0117 (exp. 09/30/2021)
APPENDIX A
- Proof of Publication – 15-Day Public Comment Period
- Public Comments Received
Item #7. Page 26
Meeting Date: 9/26/2023 / Packet Page #: 49
San Gabriel Valley Examiner
709 E. Route 66 Ste. A
Glendora, CA 91740
626-852-3374
City of Glendora
Attn: City Clerk
116 E. Foothill Blvd.
Glendora, CA 91741
PROOF OF PUBLICATION
(201 5.5 C.C.P.)
STATE OF CALIFORNIA
County of Los Angeles
I am over the age of eighteen years, I am not
a party to the above-entitled matter. I am the
principal clerk of the Publisher of the San
Gabriel Valley Examiner, an adjudicated
newspaper of general circulation printed and
published weekly in the City of Glendora,
County of Los Angeles. The San Gabriel Valley
Examiner has been adjudged a newspaper of
general circulation by the Superior Court of
the County of Los Angeles, State of California,
under the date of July 19, 1999, case Number
KS 005341. The notice, of which the annexed
is a true printed copy, has been published in
each regular and entitled issue of said
newspaper and not any supplement thereof on
the following dates to wit:
September 7, 2023
I declare under penalty of perjury that the
foregoing is true and correct.
Executed in the City of Glendora, Los Angeles
County, California
On this 7th day of September 2023.
Signature
NOTICE OF AVAILABILITY
CONSOLIDATED ANNUAL PERFORMANCE EVALUATION REPORT
(CAPER) REVIEW PERIOD
_____________________________________________
NOTICE IS HEREBY GIVEN that the Fiscal Year 2022-2023 Consolidated Annual Performance Evaluation Report (CAPER) for the Community Development Block Grant (CDBG) Program will be available for a 15-day public review period beginning September 10, 2023 and ending September 25, 2023. The CAPER, along with comments from the public review, will be considered by City Council on September 26, 2023 at 7:00 p.m. in the City Council Chamber of City Hall, 116 E. Foothill Boulevard, Glendora, California.
PUBLIC REVIEW AND COMMENT PERIOD
All interested persons are invited to review and comment on the City’s proposed Consolidated Annual Performance Evaluation Report (CAPER) for Fiscal Year 2022-2023.
Should you be unable to attend the public hearing, your comments must be made in writing and delivered to the Community Development Department. City staff can be contacted via email at [email protected] or by telephone at (626) 914-8292.
Further information and related documents on the Consolidated Annual Performance Evaluation Report (CAPER) for Fiscal Year 2022-2023, related Five-Year Consolidated Plan and Annual Action Plan will be available beginning September 10, 2023 and may be obtained or viewed on the City’s website www.cityofglendora.org, under Departments: Community Development: Housing Authority/ CDBG; and also at the Planning Counter and Office of the City Clerk, Glendora City Hall, 116 E.
Foothill Boulevard Glendora, California, between the hours of 8:00 a.m. and 5:00 p.m. Monday through Friday exclusive of holidays through September 25, 2023.
If you challenge this action(s) in court, you may be limited to raising only those issues you or someone else raised in written correspondence delivered to the City Council.
Kathleen R. Sessman, MMC
City Clerk/Communications Director
Publish in the San Gabriel Valley Examiner on September 7, 2023. #GI01 Item #7. Page 27
Meeting Date: 9/26/2023 / Packet Page #: 50
STAFF REPORT
TO: Mayor and Council Members DATE: September 26, 2023
FROM: Community Development DISTRICT(S): Citywide
SUBJECT: City of Glendora Title VI of the Civil Rights Act of 1964 Program Renewal
RECOMMENDATION
That the City Council:
1. Approve the renewal of the City of Glendora Title VI Program
2. Adopt City Council Resolution entitled, “A RESOLUTION OF THE CITY COUNCIL ADOPTING
THE CITY OF GLENDORA TRANSPORTATION DIVISION TITLE VI PROGRAM ENSURING THE PROHIBITION OF DISCRIMINATION”.
STRATEGIC FOCUS AREAS
Not Applicable
EXECUTIVE SUMMARY
The Los Angeles County Metropolitan Transportation Authority (Metro) and the Federal Transit Administration (FTA) awarded the City of Glendora a Section 5310 Grant in 2020. Pursuant to FTA Circular 4702.1B - Title VI guidelines for FTA recipients and sub-recipients, the Transportation Division must prepare, and have approved every three years, a Title VI Program. To maintain funding eligibility from the FTA, we must comply with the Title VI requirements and re-submit the City’s Title VI program to Metro.
LEGISLATIVE HISTORY / PREVIOUS ACTIONS
As sub-recipients of Federal Transit Administration (FTA) grant funds received in 2019, the City of Glendora Transportation Division is required to comply with the Title VI of the Civil Rights Act which states, “no person in the United States shall, on the grounds of race, color or national origin, be excluded from participation in, be denied the benefits of, or be subjected to discrimination under any program or activity receiving federal financial assistance.”
DISCUSSION
The FTA Section 5310 Program provides financial assistance for transportation services planned, designed, and carried out to meet the special transportation needs for seniors and individuals with disabilities. As recipients of a FTA Section 5310 Grant, the City of Glendora is required to comply with certain guidelines in order to maintain federal funding. An original Title VI policy was adopted in September 2020, and is required to be updated every three years. Per the Title VI of the Civil Rights Act of 1964, the City of Glendora Transportation Division is federally mandated to develop and implement a Language Assistance Plan by which Limited English Proficiency (LEP) persons can access translations of written and oral information. As such, the Transportation Division must take reasonable steps to ensure meaningful access to the benefits, services, information, and other important portions of their programs and activities for LEP persons.
To determine the LEP populations covered under this policy, we analyzed more current data from the Item #8. Page 1
Meeting Date: 9/26/2023 / Packet Page #: 51
Staff Report Page 2 of 2
United States Census Bureau. The current top three languages spoken in Glendora are English, Spanish, and Asian/Pacific Islander languages. A Title VI Notice to Beneficiaries is translated into Spanish and may be translated into an Asian or Pacific Islander language upon request.
In addition, all instructional informational rider materials and passenger notices shall be available in English and Spanish on vehicles and various locations throughout the City. The Title VI Program document provides further detail on the LEP analysis and procedures followed to ensure meaningful access translations of written and oral information.
Title VI guidelines also state that transit providers must approve a Public Participation Plan. Therefore, Transportation Division staff prepared a Public Participation Plan as part of its Title VI Program document to promote public involvement in transit planning decision making activities. This Plan establishes formal procedures that allow for, encourage, and monitor public participation within the City including, but not limited to, minority individuals, persons with Limited English Proficiency (LEP), and low-income populations. The Title VI Program document describes proactive public outreach strategies and procedures. The Title VI policies and procedures shall be available on the Glendora Transportation Division website and at the Transportation Division offices. In addition, the Notice to Beneficiaries shall be posted on all transit vehicles operated by the City of Glendora and on other brochures and documents as necessary or required.
FISCAL IMPACT
Compliance with the Title VI requirements to submit a Title VI program document is required every three years in order for the City of Glendora Transportation Division to remain eligible to receive various federal capital and operating grants to help support ongoing transit operations. Failure to comply would prevent the Transportation Division from being eligible for federal funds. The City of Glendora will incur the necessary costs required to comply with FTA requirements and will utilize funding from Fund 209 - Proposition A. The cost of Title VI compliance is budgeted staff time to prepare required documentation and the actual cost of translation services.
ENVIRONMENTAL DETERMINATION
Compliance with the Title VI program is not a project subject to review under CEQA.
Prepared By Vanessa Nalbandian, Management Analyst
Concurs With Not Applicable
Reviewed By Jeff Kugel, Community Development Director
Certified to Availability of Funds Marie Ricci, Administrative Services Director/City Treasurer Approved By Adam Raymond, City Manager
Legal Review Not Applicable
CEQA Review Not Applicable
ATTACHMENTS:
A. City of Glendora Title VI Update 2023
B. Resolution
Item #8. Page 2
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CITY OF GLENDORA
TITLE VI PROGRAM
Adopted: September 2020
Last Update: October 2023
116 E. Foothill Blvd., Glendora, CA 91741
(626) 914-8200
cityofglendora.org
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City of Glendora Transportation Division Title VI Program – Updated: October 2023 Table of Contents
INTRODUCTION..........................................................................................................................3 NOTICE TO THE PUBLIC .........................................................................................................4 COMPLAINT PROCEDURES ....................................................................................................5 COMPLAINT FORM ...................................................................................................................7 LIMITED ENGLISH PROFICIENCY (LEP) PLAN ................................................................9 PUBLIC PARTICIPATION PLAN ...........................................................................................14 SERVICE STANDARDS AND POLICIES...............................................................................17 CONTACT INFORMATION .....................................................................................................20 Item #8. Page 4
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City of Glendora Transportation Division Title VI Program – Updated: October 2023
INTRODUCTION TO TITLE VI PROGRAM
The City of Glendora Transportation Division is responsible for the planning and operation of Glendora Transit and Glendora Dial-A-Ride. The City of Glendora is committed to ensuring that no person is excluded from participation in, or denied the benefits of its service on the basis of race, color or national origin under Title VI of the Civil Rights Act of 1964. In addition to Title VI of the Civil Rights Act of 1964, the City of Glendora Transportation Division also prohibits discrimination based on sex, age, disability, religion, medical condition, marital status, or sexual orientation. In accordance with Federal Transit Administration requirements, the following report provides:
1. Examples of Title VI Notice to Beneficiaries in Glendora’s public buses and offices;
2. Title VI Complaint Filing Procedures and Complaint form;
3. Analysis of Limited English Proficiency population in Glendora’s service area and its interaction with Glendora’s public transit system;
4. Language Assistance Plan for Limited English Proficiency population;
5. Public Participation Plan;
6. Service Standards and Policies including load factor, headways, and distribution of amenities;
7. Summary of outreach efforts; and
8. City Council approval of Title VI plan (for submittal to LA Metro).
Item #8. Page 5
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City of Glendora Transportation Division Title VI Program – Updated: October 2023
NOTIFYING THE PUBLIC RIGHTS UNDER TITLE VI
The City of Glendora operates its programs and services without regard to race, color, and national origin in accordance with Title VI of the Civil Rights Act. Any person who believes she or he has been aggrieved by any unlawful discriminatory practice under Title VI may file a complaint with the City of Glendora.
For more information on the City of Glendora Title VI Policy, and the procedures to file a complaint, contact (626) 852-4846 or visit the Transportation Center at 410 E. Dalton Ave., Glendora, CA 91741. For more information, email: [email protected].
A complainant may file a complaint directly with the Federal Transit Administration by filing a complaint with the Office of Civil Rights, Attention: Title VI Program Coordinator, East Building, 5th Floor-TCR, 1200 New Jersey Ave., SE, Washington, DC 20590.
If information is needed in another language, contact (626) 914-4846.
Documents have also been translated into Spanish.
Item #8. Page 6
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City of Glendora Transportation Division Title VI Program – Updated: October 2023
TITLE VI DISCRIMINATION COMPLAINT PROCEDURES
The City of Glendora, pursuant to Title VI of the Civil Rights Act of 1964 and other related laws, guarantees that no person in the City of Glendora shall be excluded from participation, denial of benefits, or otherwise be subject to discrimination in the programs or activities it administers based on race, color, creed, national origin, disability, or age.
Procedure in Accordance with Title VI
As a subrecipient of federal dollars, the City of Glendora is required to comply with Title VI of the Civil Rights Act of 1964 and ensure that services and benefits are provided on a nondiscriminatory basis. The City of Glendora has in place a Title VI Complaint Procedure, which outlines a process for local disposition of Title VI complaints and is consistent with guidelines found in the Federal Transit Administration Circular 4702.1B, dated October 1, 2012.
Any person who believes she or he has been discriminated against on the basis of race, color, or national origin by the City of Glendora may file a Title VI complaint by completing and submitting the agency’s Title VI Complaint Form. The City of Glendora investigates complaints received no more than 180 days after the alleged incident. The City of Glendora will only process complaints that are complete.
Within 10 business days of receiving the complaint, the City of Glendora will review it to determine if our office has jurisdiction. The complainant will receive an acknowledgement letter informing her/him whether the complaint will be investigated by our office. The City of Glendora has 30 days to investigate the complaint. The complainant will be notified in writing of the cause to any planned extension to the 30-day rule.
If more information is needed to resolve the case, the City of Glendora may contact the complainant. The complainant has 10 business days from the date of the letter to send requested information to the investigator assigned to the case. If the investigator is not contacted by the complainant or does not receive the additional information within 10 business days, the City of Glendora can administratively close the case.
A case can be administratively closed also if the complainant no longer wishes to pursue their case.
After the investigator reviews the complaint, she/he will issue one of two letters to the complainant:
a closure letter or a letter of finding (LOF). A closure letter summarizes the allegations and states that there was not a Title VI violation and that the case will be closed. A LOF summarizes the allegations and the interviews regarding the alleged incident, and explains whether any disciplinary Item #8. Page 7
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City of Glendora Transportation Division Title VI Program – Updated: October 2023 action, additional training of the staff member, or other action will occur. If the complainant wishes to appeal the decision, she/he has 10 business days after the date of the letter or the LOF to do so.
A person may also file a complaint directly with the Federal Transit Administration, at FTA Office of Civil Rights, 1200 New Jersey Avenue SE, Washington, DC 20590.
Item #8. Page 8
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City of Glendora Transportation Division Title VI Program – Updated: October 2023
TITLE VI DISCRIMINATION COMPLAINT FORM
Section I: Please write legibly
1. Name:
2. Address:
3. Telephone: 3.a. Secondary Phone (Optional):
4. Email Address:
5. Accessible Format
Requirements?
[ ] Large Print [ ] Audio Tape
[ ] TDD [ ] Other
Section II:
6. Are your filing this complaint on your own behalf? YES* NO *If you answered “yes” to #6, go to Section III.
7. If you answered “no” to #6, what is the name of the person for whom you are filing this complaint? Name:
8. What is your relationship with this individual:
9. Please explain why you have filed for a third party:
10. Please confirm that you have obtained permission of the aggrieved party to file on their behalf. YES NO
Section III:
11. I believe the discrimination I experienced was based on (check all that apply):
[ ] Race [ ] Color [ ] National Origin
12. Date of alleged discrimination: (mm/dd/yyyy)
13. Explain as clearly as possible what happened and why you believe you were discriminated against. Describe all persons who were involved. Include the name and contact information of the person(s) who discriminated against you (if known), as well as names and contact information of any witnesses. If more space is needed, please attach additional sheets of paper.
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City of Glendora Transportation Division Title VI Program – Updated: October 2023 *You may attach any written materials or other information that you think is relevant to your complaint.
Signature and date are required below to complete form:
Signature_____________________________________ Date________________ Please submit this form in person or mail this form to the address below:
City of Glendora
Transportation Division
116 E. Foothill Blvd.
Glendora, CA 91741
Section IV:
14. Have you previously filed a Title VI complaint with the City of Glendora? YES NO
Section V:
15. Have you filed this complaint with any other Federal, State, or local agency, or with any Federal or State court?
[ ] YES* [ ] NO
If yes, check all that apply:
[ ] Federal Agency __________________________ [ ] State Agency __________________ [ ] Federal Court ___________________________ [ ] Local Agency __________________ [ ] State Court ______________________________
16. If you answered “yes” to #15, provide information about a contact person at the agency/court where the complaint was filed.
Name:
Title:
Agency:
Address:
Telephone: Email:
Section VI:
Name of Transit Agency complaint is against:
Contact Person:
Telephone:
Item #8. Page 10
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City of Glendora Transportation Division Title VI Program – Updated: October 2023
LIMITED ENGLISH PROFICIENCY (LEP) PLAN
INTRODUCTION
Per the Title VI of the Civil Rights Act of 1964 (Title VI), the Federal Transit Administration (FTA) implementing regulations, and Executive Order 13166 “Improving Access to Services for Persons with Limited English Proficiency”, the City of Glendora (City) is federally mandated to develop and implement a Language Assistance Plan (Plan) by which Limited English Proficiency (LEP) persons can meaningfully access translations of written and oral information. As the City is an FTA recipient receiving federal financial assistance, the City must take reasonable steps to ensure meaningful access to benefits, services, information, and other important portions of their programs and activities for LEP persons.
1. FOUR-FACTOR ANALYSIS
FTA Circular 4702.1B details the components of the Language Assistance Plan, including the Four Factor Analysis, which provides an analysis of LEPs Glendora may encounter to determine the specific language services that are appropriate to provide. The Four Factor Analysis balances the following factors:
• Factor One: The Number and proportions of LEP persons in the jurisdiction; • Factor Two: How often LEPs come into contact with Glendora services; • Factor Three: How important Glendora’s services are to LEPs lives; and • Factor Four: The resources available to Glendora for LEP outreach that can reasonably be provided.
The results of the Four Factor Analysis are used to determine the target LEP populations and the best methods of engaging with the public. Glendora undertook the Four Factor Analysis in order to develop an appropriate and effective Language Assistance Plan.
FACTOR 1: The number or proportion of LEP person eligible to be served or likely to be encountered by the program or recipient.
Glendora Transit’s service area is primarily in the City of Glendora (with minimal service into Azusa); however, Glendora Dial-A-Ride provides service to select approved medical facilities in Baldwin Park, Covina, Duarte, Pomona, San Dimas, and West Covina in addition to Glendora.
The estimated total population of Glendora is 52,558, according to the 2020 United States Census Bureau Decennial Census. This data was analyzed to identify potential LEP populations in the service area. This data breaks down which languages are spoken in the service area and the English proficiency language for residents of the service area.
The top three languages spoken in Glendora are English, Spanish, and Asian/Pacific Islander languages (https://data.census.gov/profile/Glendora_city,_California?g=160XX00US0630014).
Given “Asian and Pacific Islander languages” is vague, the City will translate any media into those languages upon request.
Item #8. Page 11
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City of Glendora Transportation Division Title VI Program – Updated: October 2023 The table below shows the main languages spoken in the service area.
City of Glendora LEP Analysis
Total City
Population
Languages Other Than English
Spoken at Home Total Percent of Total
52,558 Spanish 8,725 16.6%
Asian/Pacific Islander Languages 4,205 8.0%
FACTOR 2: The frequency with which LEP persons come into contact with the program.
The City of Glendora Transportation Division operates a fixed route and Dial-A-Ride service. The Transportation Division has a public building and phone line that customers can utilize to apply for Dial-A-Ride membership, purchase tickets, obtain route planning assistance, or ask other questions about the service. Customers can also call a dispatch line, operated by the Transit Operations contractor to the City, to make Dial-A-Ride appointments or request other information about transit services. LEP persons can interact with bus operators, dispatchers, operations supervisors, or any Transportation Division staff members who are present in the Transportation Center. Staff in the Transportation Center office encounter Spanish speakers on a weekly basis.
Further supporting LEP analysis, the City Transportation Division conducted a ridership survey in April 2020 to assess passenger characteristics system wide. During these surveys, it a found that 17 of 112 respondents (15.2%) listed “Other” as their primary language at home. Of the 17 respondents, seven of them spoke Spanish. Coinciding with the U.S. Census Bureau data, the City ridership survey also indicated that English, Spanish, were the most common languages used within the City. The results of Factor two support Factor one, in that the most common LEP language encountered is Spanish and to a lesser extent Asian and Pacific Islander languages.
FACTOR 3: The nature and importance of the program, activity, or service provided by the program to people’s lives.
Transit services operated by the City play a vital role in the lives of many residents of the service area. City transit services include connections to the Los Angeles regional transit network via service to the Metro A Line station and Foothill Transit bus lines. These services reach most major job centers in Southern California. Buses operated by the City of Glendora serve major local, commercial, employment, medical, and civic areas. They also provide convenient and nearby connections to elementary, intermediate, and high schools. In addition, service is also provided to major medical facilities outside of the Glendora city limits such as: City of Hope, Inter-Community Hospital, Kaiser Permanente Baldwin Park Medical Center, Kaiser Permanente San Dimas Medical Offices, Kaiser Permanente Irwindale Medical Offices, Pomona Valley Hospital, and Queen of the Valley Hospital. Lastly, seniors rely on transit services for trips to shopping areas, doctor appointments, and many other destinations in the City.
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City of Glendora Transportation Division Title VI Program – Updated: October 2023 FACTOR 4: The resources available to the recipient for LEP outreach, as well as the costs associated with that outreach.
The City of Glendora Transportation Division utilizes resources to outreach to each LEP groups while maintaining cost efficiency for taxpayers. Resources include, but are not limited to:
1. Bilingual or multilingual staff members (the City’s Transportation Division currently has staff members who are fluent in Spanish, at no cost);
a. For oral translation for questions that come up at the Transportation Center or the phone line;
2. Professional translation services (can be implemented quickly with minimal cost); a. Utilize to translate printed documents including Title VI forms, Dial-A-Ride applications, proposed service/fare changes, and other information; and
3. Relationships with community organizations that regularly interact with LEP persons who can help disseminate information about Glendora Transportation services and Dial-A-Ride.
Glendora has identified the following resources to work within outreach to LEP communities including:
a. Transportation Center – 410 E. Dalton Ave., Glendora, CA 91741 b. La Fetra Senior Center – 333 E. Foothill Blvd., Glendora, CA 91741 c. Crowther Teen & Family Center – 241 W. Dawson Ave., Glendora, CA 91740 d. Glendora City Hall – 116 E. Foothill Blvd., Glendora, CA 91741.
2. IMPLEMENTATION
Based on the results of the Four Factor Analysis, Glendora has developed the following implementation plan to address the needs of the LEP populations including those identified above:
1. Vital documents including, but not limited to, Title VI Notice, Title VI Complaint Form, Title VI Complaint Procedures Form, Dial-A-Ride Application, and Dial-A-Ride Supplemental Application.
2. Instructional and informational rider materials and passenger notices shall be available in English on vehicles and brochures, and available for translation into Spanish, as well as other languages covered by the “Safe Harbor” Provision by request, with advanced notice.
3. Several employees in the Transportation Center are bilingual and can help callers that speak Spanish.
4. Community events where it is likely that significant numbers of LEP persons will attend, shall be staffed by at least one person fluent in the identified languages, if feasible.
5. Printed information for events will be available in English, and available for translation into Spanish and Asian and Pacific Islander languages by request with advanced notice per the “Safe Harbor” provision.
6. All customer surveys will be in English and available in other languages per the LEP analysis upon request with advanced notice.
7. Oral translation services shall be provided upon request.
8. Any translation requests will be addressed with best efforts provided it does not create an undue financial or administrative burden.
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City of Glendora Transportation Division Title VI Program – Updated: October 2023
NOTICES OF AVAILABILITY
The availability of language assistance for LEP persons shall be posted in the following locations on applicable materials, as noted above, after Title VI Program adoption by City Council:
1. Transit vehicles
2. Transportation Center located at 410 E. Dalton Ave., Glendora, CA 91741
3. Transportation Division website at
cityofglendora.org/departmentsservices/transportation/titlevi
PROCEDURES FOR TIMELY AND REASONABLE LANGUAGE ASSISTANCE The City recognizes that implementing the LEP Plan will require City staff to be prepared and well-versed in identifying the specific needs of the LEP community. To accomplish this task, the following training shall be provided to both Transportation Division and transit services contractor staff:
1. Information on the City Title VI Policy and LEP Plan responsibilities.
2. Information on the Title VI complaint forms and procedures.
3. Description of language assistance services offered to the public.
4. Documentation of language assistance requests.
5. Use of interpretive services.
6. How to handle a potential Title VI complaint.
EVALUATION, UPDATING, AND MONITORING
The City recognizes that additional LEP groups require a unique mix of communication, both written and oral, in order to be effectively informed of service changes and other customer information. As required, the City has and/or will conduct a language assessment on the following methods:
1. Track front desk staff interaction with LEPs.
2. Internal surveys of staff who are likely to engage with the public (including Dispatch and Operators).
3. Analyze updated census data to identify the percentage of LEP persons in the service area.
4. Continue to utilize ridership surveys from transit planning or marketing studies to identify the percent of transit users that are LEP persons.
5. Requests for translation.
In order to better serve LEP populations within the service area, staff will utilize the following policies in monitoring and evaluating the effectiveness of the LEP Plan:
1. The City shall analyze Census data as it becomes available to monitor demographic trends regarding LEP persons. Staff will add translation or other language services to affected populations as needed.
2. The City shall monitor instances on vehicles, at the Transportation Center, and through customer phone calls/emails, to determine which LEP populations are most frequently interacting with transit services.
3. The City shall update the LEP plan every three years in accordance with FTA regulations.
4. The City shall update and revise the LEP Plan based on any other changes in guidance or regulations at the federal, state, or local level.
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City of Glendora Transportation Division Title VI Program – Updated: October 2023 All LEP Plan changes are subject to approval by Glendora City Council.
AVAILABILITY OF THIS PLAN
This Plan shall be made available to the public at the following locations:
1. Transportation Center located at 410 E. Dalton Ave., Glendora, CA 91741
2. Online at http://cityofglendora.org/departments-services/transportation/titlevi.
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City of Glendora Transportation Division Title VI Program – Updated: October 2023
PUBLIC PARTICIPATION PLAN
I. INTRODUCTION
The Federal Transit Administration (FTA) Office of Civil Rights issued a revised Title VI of the Civil Rights Act of 1964 (Title VI) Circular, 4702.1B, effective October 1, 2012, containing new guidelines and requirements from the previous version, Circular 4702.1A, effective May 13, 2007.
The revised Circular states that transit providers must approve a Public Participation Plan. As such, City staff has prepared this Public Participation Plan to promote public involvement in transit planning decision making activities. This Plan will establish formal procedures that allow for, encourage, and monitor public participation within the City including, but not limited to, minority individuals, persons with Limited English Proficiency (LEP), and low-income populations. This document describes the proactive public outreach strategies and procedures.
II. DESIRED GOALS AND OUTCOMES
The goal of the Plan is to offer a variety of opportunities to engage the general public in transit planning and decision-making activities in the City Transportation Division in accordance with FTA Circular 4702.1B Chapter III-5: Promoting Inclusive Involvement. The objectives of the Plan are as follows:
• To identify stakeholders of transit services within the City of Glendora. • To provide procedures for public engagement on both a continual basis and for major service or fare changes.
• To establish procedures to ensure that LEP and low-income populations are engaged in transit planning and/or decision-making outreach and public comment periods. • To utilize a variety of communication methods to capture public input from populations which are typically not likely to attend or engage in public meetings.
III. IDENTIFICATION OF STAKEHOLDERS
General stakeholders within the service area may include, but are not limited to:
• City of Glendora residents including low-income, LEP, and minority sub-groups • Glendora City Council
• Major employers, chamber of commerce, and business districts • Major schools
• LA Metro, Foothill Transit, and other connecting transit agencies • Access Services
• Non-profit and private business community
Those who may be adversely affected or who may be denied benefit of a plan’s recommendation(s) are of particular interest in the identification of specific stakeholders.
IV. PROACTIVE COMMUNICATION AND PARTICIPATION ACTIVITIES City staff intends to deploy a wide array of public engagement methods during lead-up to major service changes and/or fare changes.
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City of Glendora Transportation Division Title VI Program – Updated: October 2023
PUBLIC MEETINGS
City staff shall hold public meetings for:
• Service change threshold: Any project resulting in a system-wide change, measured by either revenue hours or directional route miles. Change may be either an increase or decrease of said metrics;
• Fare change threshold: Any proposed increase to the cash fare structure by the Transportation Division will trigger the Public Meetings procedure; • Other projects or plans as needed requiring input from stakeholders; and • Major route changes, service-span operation hour changes, and headway changes.
Notices of public meetings that are subject to the City’s standard 72-hour notice before the meeting date, will at a minimum, be posted on the City’s website and in public buildings such as City Hall.
Notices will be posted in English, with translated notices for other LEP Plan identified languages available upon request and with advanced notice.
Notices for public meetings pertaining to service or fare changes that meet the thresholds identified above will be posted on the City’s transit vehicles, in public buildings such as City Hall and Transportation Center, and on the City website. When service or fare changes are proposed that meet the threshold noted above, public meetings will be held, and the public will be provided with a 30-day comment period.
PUBLIC MEETING LOCATIONS
It is advisable that public meetings take place in an environment, and according to a schedule, that is conducive to meeting facilitation, productive dialogue, and is convenient for members of the public from all parts of the service area. Staff will take necessary measures to ensure that meetings are accessible to minority, low-income, disabled, and LEP populations. This shall be accomplished through methods such as location meetings throughout the service area in ADA-compliant buildings.
PUBLIC MEETING FORMAT
Public meetings may consist of a brief overview of the proposed project or change, an open comment period from stakeholders, a question and answer (Q&A) segment, and an explanation of where affected find further information regarding the project or change, such as the City website.
Other formats, such as workshops or other collaborative measures may be utilized when deemed necessary. LEP persons will be made aware of other feedback procedures per the City’s LEP Plan. 30-DAY COMMENT PERIOD
For members of the public who cannot attend a public meeting, the City shall open a 30-day comment period for all service fare changes meeting the aforementioned threshold. Comments can be sent to the City either in person at the Transportation Center during normal business house, on the phone to the Transportation Center numbers, via e-mail, and by standard mail.
OUTREACH EFFORTS
Engaging minority and LEP populations can be challenging, and the City will use multiple techniques to actively solicit policy input in the planning process for a project. The City will engage the community through the City’s website, social media, and brochures placed at the Item #8. Page 17
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City of Glendora Transportation Division Title VI Program – Updated: October 2023 library, community centers, and recreation areas within the communities. Appropriate techniques among the following will be used to inform, educate, and gain input from the public about the City’s projects, services, or activities:
• Surveys or questionnaires - mail-in, online, telephone, personal interview • Articles or press releases in the appropriate publications • Distribution of informal reports, flyers, or brochures • Informal presentations at community forums
• Information about meetings, public hearings, and special events on the City’s website • General mailings with posters and flyers to area post offices and appropriate agencies, offices, and organizations for distribution to citizens
OTHER METHODS OF COMMUNICATION
Techniques utilized to engage the general population may include public notices of meetings in local newspapers, on the City of Glendora website, via social media such as Instagram, written and oral announcements at City public meetings, community newsletters, on City transit vehicles.
The City of Glendora will strive to proactively engage members of the public with other costeffective approaches utilizing a broad range of techniques.
V. CONCLUSION
Reasonable efforts will be made to ensure low-income, LEP, and disabled populations in the service area are given every opportunity to provide input on transit projects and changes to avoid disproportionate harm, or lack of benefit, of said project changes. The City strives for inclusivity in all community events. This plan will be available for review on the City of Glendora’s website, www.cityofglendora.org/departments-services/transportation and at the Transportation Center. If materials are requests in LEP languages, Braille, and/or large type, staff will make every effort to accommodate those needs unless the request causes the City an undue financial or administrative burden. Members of the public can also obtain information about the Plan by contacting the Transportation Center at 626-914-8233 or at the Transportation Center located at 410 E. Dalton Ave., Glendora, CA 91741
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City of Glendora Transportation Division Title VI Program – Updated: October 2023
SERVICE STANDARDS AND POLICIES
The City of Glendora Transportation Division, responsible for the planning and operation of the Glendora transit system and Glendora Dial-A-Ride. The City of Glendora is committed to ensuring that no person is excluded from participation in or denied the benefits of its service on the basis of race, color, or national origin under Title VI of the Civil Rights of 1964. In addition, to Title VI of the Civil Rights Act of 1964, the City of Glendora Transportation Division also prohibits discrimination based on sex, age, disability, religion, medical condition, marital status, or sexual orientation.
As part of compliance with Federal Title VI regulations, all transit providers that are recipients of federal funding are required to establish “system-wide service standards and system-wide service policies, whether existing or new (i.e. adopted by the transit provider since the last Title VI submission),” as described in Circular FTA C 4702.1B, effective October 1, 2012. This document sets to fulfill all requirements of this mandate, as well as provide City of Glendora Transportation Division (“City”) staff with an effective tool for monitoring service and implementing future services based on criteria that are not discriminatory with regards to the attributes above.
This document is divided into two components, per the FTA guidance. “Service Standards” are quantitative measures for effective and equitable operation of the City’s public transit services. “Service Policies” are written guidelines that will influence City decision-making based on relevant service indicators.
I. SERVICE STANDARDS
VEHICLE LOAD FOR EACH MODE
Vehicle load is defined as the “ratio of passengers to the total number of seats on a vehicle” (Ch.
IV-5). The city strives to maintain an acceptable balance between passenger comfort and efficient allocation of resources by maintaining a vehicle load standard on both local and feeder routes. The vehicle Fixed Route transit services only have hours of operation; there are no “peak” and “offpeak” times. The Metrolink and Gold Line Shuttles operate as feeder routes and the Midday Shuttle operates as a local route. Vehicle load standard for all local and feeder routes shall not exceed 1.0.
The City reserves the right to review and update this policy as necessary based on variables such as demand and available resources. For Dial-A-Ride vehicles, the City states an acceptable vehicle load as 100% of seated capacity.
VEHICLE HEADWAY
Vehicle headway is defined as “The amount of time between two vehicles travelling the same direction on a given line or combination of lines” (Ch. IV-5). As a small transit operator that primarily serves as a feeder system, the City schedules service with regard to variables such as peak travel patterns to regional transit connections, major business/employment hubs, and other trip generators such as educational institutions and shopping areas. Below are the average headways for each route:
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City of Glendora Transportation Division Title VI Program – Updated: October 2023 Fixed Route Weekdays
Gold Line North
AM 20 minutes
PM 20 minutes
Gold Line South
AM 25 minutes
PM 30 minutes
Midday Shuttle (Mondays)
Orange Route 25 minutes
Green Route 25 minutes
Tripper Route 25 minutes
Midday Shuttle (Tuesday-Friday)
Orange Route 40 minutes
Green Route 25 minutes
Tripper Route 25 minutes
SPAN OF SERVICE
Fixed Route (Weekdays ONLY)
Gold Line Shuttle
AM 5:15 AM - 9:30 AM
PM 4:20 PM - 8:35 PM
Midday Shuttle
Monday (*Early Out) 12:40 PM - 3:55 PM
Tuesday - Friday 2:45 PM - 3:55PM
Dial-A-Ride
Weekdays (Monday – Friday) 8:00 AM - 5:00 PM
Weekends (Saturday & Sunday) 9:00 AM - 2:00 PM
ON-TIME PERFORMANCE STANDARD
The FTA defines on-time performance as “a measure of runs completed as scheduled” (Ch. IV-5).
The City defines a vehicle as being “on time” for fixed routes if it is within a one-minute scheduled stop time, and within a fifteen-minute window for Dial-A-Ride. The City uses 97% compliance on fixed routes and 95% compliance on Dial-A-Ride as acceptable on-time performance measurements.
On-time performance is monitored by the following methods:
• Fixed Route: based on observations conducted by a 3rd party contractor, and once fully installed, vehicle arrival information system reporting via mobility software • Dial-A-Ride: sampling of driver log times every 8th day to determine on-time performance
Item #8. Page 20
Meeting Date: 9/26/2023 / Packet Page #: 70
19 | Page
City of Glendora Transportation Division Title VI Program – Updated: October 2023
SERVICE AVAILABILITY
Service availability is defined as, “A general measure of the distribution of routes within a transit provider’s service area” (Ch. IV-6). There is a total of 20 bus stops located within the City’s service area. Route placement and stops are determined by known community service patterns based on surveys, feedback, and community input. Bus stops are also determined by major commuteroriented destinations within the city such as Gold Line Station, Metrolink Station, and educational facilities.
II. SERVICE POLICIES
VEHICLE ASSIGNMENT OF EACH MODE
The City’s current primary fixed-route vehicle fleet as of August September 2023 is as follows:
Make/Model Year Type Seat Capacity Replacement
Year
Ford El Dorado 2011 Cutaway 26 2021
Ford Aerostar 2014 Cutaway 16 2024
Chevrolet Arboc 2015 Cutaway 18 2025
Vehicles are randomly selected and placed into service. No vehicle is assigned to a geographic area, no vehicle is assigned to a segment of a route due to the condition of the vehicle, and no vehicle is assigned to a specific bus stop to accommodate higher ridership at said bus stop. Vehicles in service are all of similar size and capacity, that are put into service based on availability.
DISTRIBUTION OF AMENITIES
Glendora transit serves 20 bus stops as of August 2020. The City of Glendora’s Circulation Element of the Glendora General Plan states, “Transit amenities refer to items of comfort, convenience, and safety that are available to the general riding public.” The goal of the City is to enhance bus stop facilities with shaded seating areas, waste receptacles, and route information.
Transit amenities at each bus stop follow the General Plan where feasible subject to safety, ADA compliance, and other factors.
Item #8. Page 21
Meeting Date: 9/26/2023 / Packet Page #: 71
20 | Page
City of Glendora Transportation Division Title VI Program – Updated: October 2023
CONTACT INFORMATION
For additional information on the City of Glendora’s Title VI Plan, or its efforts to comply with the Civil Rights Act of 1964 or Executive Order 13166 Improving Access to Services for Persons with Limited English Proficiency, please contact:
Transportation Division
410 E. Dalton Ave.
Glendora, CA 91741
Cityofglendora.org
(626) 914 - 8233
Item #8. Page 22
Meeting Date: 9/26/2023 / Packet Page #: 72
RESOLUTION CC 2023-____
A RESOLUTION OF THE CITY COUNCIL ADOPTING THE CITY OF
GLENDORA TRANSPORTATION DIVISION TITLE VI PROGRAM
ENSURING THE PROHIBITION OF DISCRIMINATION
THE CITY COUNCIL
City of Glendora, California
THE CITY COUNCIL OF THE CITY OF GLENDORA, CALIFORNIA, DOES HEREBY RESOLVE AS FOLLOWS:
WHEREAS, Title VI of the Civil Rights Act of 1964 prohibits discrimination on the basis of race, color, and national origin in programs and activities receiving federal financial assistance; and
WHEREAS, as a recipient of Federal Transit Administration (FTA) funding, the City of Glendora is required to implement a Title VI Program (Exhibit A) that demonstrates that no transit program or service provided by the City creates discrimination towards any demographic of the population served by that program or service; and
WHEREAS, the City’s Title VI Program was adopted in September 2020, and is required to be updated every three years; and
WHEREAS, staff has prepared an updated Title VI Plan to be adopted October 2023 in accordance with FTA Circular 4702.1B, dated October 1, 2012; and WHEREAS, the City is committed to ensuring that no person is excluded from participation in, denied the benefits of, or otherwise subjected to discrimination under any of its programs, activities, or services on the basis of race, color, or national origin.
NOW, THEREFORE, THE CITY COUNCIL OF THE CITY OF GLENDORA, CALIFORNIA, DOES HEREBY RESOLVE AS FOLLOWS:
SECTION 1. That the City Council of the City of Glendora hereby adopts the City’s Title VI Program and authorizes staff to submit the necessary documentation to the FTA for review and approval.
SECTION 2. That the City Council of the City of Glendora authorizes staff to make any necessary changes, amendments, or revisions to the Title VI Program in order to ensure compliance with the FTA Circular 4702.1B, dated October 1, 2012.
SECTION 3. The City Clerk shall certify to the passage and adoption of this resolution and shall enter the same in the Book of Original Resolutions.
Item #8. Page 23
Meeting Date: 9/26/2023 / Packet Page #: 73
Resolution CC 2023-____ Page 2 of 2
APPROVED and PASSED this __ day of ________, 2023.
City Council of Glendora, CA
BY:
GARY BOYER
Mayor
APPROVED AS TO FORM:
Aleshire & Wynder, LLP
WILLIAM W. WYNDER
City Attorney
CERTIFICATION
I, Kathleen R. Sessman, City Clerk of the City of Glendora, do hereby certify that the foregoing Resolution was duly adopted by the City Council of the City of Glendora at a regular meeting held on the ___ day of ______, 2023, by the following vote:
AYES: COUNCIL MEMBERS:
NOES: COUNCIL MEMBERS:
ABSENT: COUNCIL MEMBERS:
ABSTAIN: COUNCIL MEMBERS:
Dated:
KATHLEEN R. SESSMAN
City Clerk/Communications Director
Item #8. Page 24
Meeting Date: 9/26/2023 / Packet Page #: 74
STAFF REPORT
TO: Mayor and Council Members DATE: September 26, 2023
FROM: Public Works DISTRICT(S): Citywide
SUBJECT: Notice of Completion for Library Boiler Replacement - Plan No. 1370
RECOMMENDATION
That the City Council:
1. Accept and Approve the Notice of Completion of the Notice of Completion for the Library Boiler Replacement - Plan No. 1370 by Air-Ex Conditioning, Inc.; and
2. Authorize the Mayor to sign the Notice of Completion for recordation.
STRATEGIC FOCUS AREAS
Goal 5: Improve and Maintain the City’s Infrastructure and Facilities (IMCIF)
EXECUTIVE SUMMARY
The Notice of Completion for construction contract of the Notice of Completion for the Library Boiler Replacement - Plan No. 1370 for a total construction cost of $94,822.
LEGISLATIVE HISTORY / PREVIOUS ACTIONS
The Library Boiler Replacement - Plan No. 1370 was awarded by the City Council on January 24, 2023 to Air-Ex Conditioning. Inc in the amount of $ 94,822.
DISCUSSION
The City Council approved a total of $715,000 of funding during FY 2022 ($209,000) & FY 2023 ($506,000) biennial budget cycle for a capital improvement project renovating the Library’s heating, ventilation and air conditioning (HVAC) system. The library boiler was originally installed when the Library was built in 1972, which presented not only mounting maintenance and repair issues, but elevated operational costs. Therefore, installation of a new boiler was recommended to improve the heating efficiency and significantly reduce maintenance and operational costs. As a result, staff recommended having the boiler replaced to provide appropriate heating system for the library with high efficiency. The new boiler serves current library capacity without any additional electrical load added to the system.
The boiler portion of the project is now complete, and staff recommends that the City Council accept the completed project and authorize the Mayor to sign the Notice of Completion for recordation. The City Clerk’s Office will record the executed Notice of Completion with Los Angeles County Recorder Office.
The remaining HVAC projects funds will be evaluated for use as the future of the library takes shape considering the in-depth structural analysis and evaluation the is underway of the Library’s suitability for major renovations.
Item #9. Page 1
Meeting Date: 9/26/2023 / Packet Page #: 75
Staff Report Page 2 of 3
Before:
After:
FISCAL IMPACT
The construction contract was awarded previously by the City Council in the amount of $94,822 with 10% contingency. The total cost of the project was $104,304.20. The project was completed $9,308.20 under budget.
A summary of the project budget and expenditures is provided below:
Approved Budget $104,304.20
Total Construction Cost (by Air-Ex Conditioning, Inc.) ($94,822.00) CEQA Exemption Filing ($75)
Notice of Inviting Bid ($99)
Item #9. Page 2
Meeting Date: 9/26/2023 / Packet Page #: 76
Staff Report Page 3 of 3
(Over)/Under Budget $9,308.20
ENVIRONMENTAL DETERMINATION
A notice of categorical exemption was adopted prior to the start of construction.
Prepared By Michael Mai, Associate Civil Engineer
Concurs With Not Applicable
Reviewed By Michael Sledd, Assistant Public Works Director Certified to Availability of Funds Kyle Johnson, Assistant Director - Finance Approved By Adam Raymond, City Manager
Legal Review William W. Wynder, City Attorney
CEQA Review Not Applicable
ATTACHMENTS:
A. Notice of Completion 1370
Item #9. Page 3
Meeting Date: 9/26/2023 / Packet Page #: 77
4. Notice of Completion for Library Boiler Replacement – Plan No. 1370 CITY RECOMMENDATION:
1. Accept and Approve the Notice of Completion of the Notice of Completion for the Library Boiler Replacement - Plan No. 1370 by Air-Ex Conditioning, Inc.; and
2. Authorize the Mayor to sign the Notice of Completion for recordation.
Item #9. Page 4
Meeting Date: 9/26/2023 / Packet Page #: 78
Rev. 9/2011
RECORDING REQUESTED BY:
CITY OF GLENDORA
WHEN RECORDED MAIL TO THIS ADDRESS:
CITY CLERK
CITY OF GLENDORA
116 E. Foothill Boulevard
Glendora, CA 91741
SPACE ABOVE THIS LINE RESERVED FOR RECORDER'S USE
NOTICE OF COMPLETION
NOTICE IS HEREBY GIVEN THAT:
1. The undersigned is OWNER or agent of the OWNER of the interest or estate stated below in the property hereinafter described.
2. The full name of the OWNER is CITY OF GLENDORA.
3. The full address of the OWNER is 116 E. Foothill Boulevard, Glendora, CA 91741.
4. The nature of the interest or estate of the undersigned is: (i.e., In Fee.) Fee Interest.
5. A work of improvement on the property hereinafter described was COMPLETED on Friday, February 03, 2023.
6. The work of improvement completed is described as follows: Library Boiler Replacement, Plan No. 1370.
7. The name of the original contractor, if any, for such work of improvement is Air-Ex Conditioning, Inc.
8. The street address of said property is 140 S. Glendora Ave, Glendora, CA 91741.
9. The property on which said work of improvement was completed is in the City of GLENDORA, County of LOS ANGELES, State of CALIFORNIA, and is described as follows:
The scope of this project consisted of replacing the boiler at the City of Glendora Library with a Raypak boiler with all necessary structural attachment and anchorage details.
CITY OF GLENDORA
Date: September 12, 2023 Signature of Owner or agent: By________________________________________ GARY BOYER, Mayor
VERIFICATION
I, the undersigned, declare under penalty of perjury under the laws of the State of California, that I am the Mayor of the City of Glendora of the aforesaid interest or estate in the property described in the above Notice, that I have read the said Notice, that I know and understand the contents thereof, and that the facts stated therein are true and correct. _______________________________________________
September 12, 2023 at Glendora, California GARY BOYER
Item #9. Page 5
Meeting Date: 9/26/2023 / Packet Page #: 79
STAFF REPORT
TO: Chair and Authority Members DATE: September 26, 2023 FROM: Administrative Services DISTRICT(S): Citywide
SUBJECT: City of Glendora and Glendora Successor Agency Investment Report August 2023
RECOMMENDATION
That the City/Agency Council:
1. Receive and file the Monthly Investment Activity Report for August 2023.
EXECUTIVE SUMMARY
The City’s book value of cash and investments for August 2023 totaled $122,744,587. This is a decrease of $6,376,170 (-4.94%) compared to the previous month. The decrease is due to debt service payments in the amount of $1.5 million, annual insurance premium renewals to ICRMA in the amount of $3.4 million, and capital improvement projects in the amount of $1.6 million.
LEGISLATIVE HISTORY / PREVIOUS ACTIONS
Pursuant to Section 19 of the City’s FY 2023-24 Investment Policy, a monthly investment report must be provided to the City Council to provide a clear picture of the status of the current portfolio.
DISCUSSION
As prescribed in the Investment Policy for FY 2023, the attached investment report provides a listing of individual securities held at the end of the reporting period by authorized investment category, the average life and final maturity of all investments listed, coupon rate, discount or earnings rate, Par Value, Market Value and Book Value of each investment in the portfolio, including funds managed for the City by third parties.
In the month of August, there were no investment purchases and no securities that matured, however, the City did use its limited term government funds accounts (operates similar to a money market) in the amount of $3,000,000 towards the large payments mentioned above, resulting in neither a gain nor a loss.
FISCAL IMPACT
There is no fiscal impact associated with the recommended action.
ENVIRONMENTAL DETERMINATION
Not applicable
Prepared By Ryan Phelps, Senior Accountant
Concurs With Not Applicable
Reviewed By Kyle Johnson, Assistant Director - Finance
Certified to Availability of Funds Marie Ricci, Administrative Services Director/City Treasurer Approved By Adam Raymond, City Manager
Legal Review Not Applicable
CEQA Review Not Applicable
ATTACHMENTS:
A. August 2023 Investment Report
Item #10. Page 1
Meeting Date: 9/26/2023 / Packet Page #: 80
Item #10. Page 2
Meeting Date: 9/26/2023 / Packet Page #: 81
Financial Advisor
CHEN/GIORDANO/CRAWFORD
213-972-1457
UBS Client Review
As of August 31, 2023
251 South Lake Avenue10th FloorPasadena, CA 911013003Branch office Report Prepared for: City of Glendora* excluded from performance exhibits Type
AccountName
AccountNumberSX XX180 City of Glendora Business Service Account@SX XXX283* CITY OF GL Non UBS Investment Bank of America@SX XXX279* CITY OF GL Non UBS Investment LAIF What's insideAsset Allocation Review. . . . . . . . . . . . . . . . . . . . . . 2Sources of Portfolio Value. . . . . . . . . . . . . . . . . . . . 3Bond Summary. . . . . . . . . . . . . . . . . . . . . . . . . . . . 4Portfolio Holdings. . . . . . . . . . . . . . . . . . . . . . . . . . 5Bond Holdings. . . . . . . . . . . . . . . . . . . . . . . . . . . . . 21Important Information About This Report. . . . . . . . 37
Item #10. Page 3
Meeting Date: 9/26/2023 / Packet Page #: 82
Consolidated report prepared for City of Glendora
Asset Allocation Reviewas of August 31, 2023
Summary of Asset Allocation
Market
value ($)
% of
Portfolio
Cash 10,133,764.79 8.76
Cash 10,133,764.79 8.76 US 10,133,764.79 8.76
Fixed Income 105,550,392.10 91.24
US 105,550,392.10 91.24 US Fixed Income 19,100,477.65 16.51 Government 58,261,835.67 50.36 Municipals 255,303.75 0.22 Corporate IG Credit 27,932,775.03 24.15 Equity 0.00 0.00Commodities 0.00 0.00Non-Traditional 0.00 0.00Other 0.00 0.00Total Portfolio $115,684,156.89 100%Balanced mutual funds and Insurance & Annuity products are allocated in the 'Other' category Cash 8.76%US Fixed Income 91.24%
Total Value: $115,684,156.89
Assets held at other financial institutions are included in this report. We have not verified, and are not responsible for, the accuracy or completeness of this information.Accrued interest, if any, has been included in the total market value.Report created on: September 01, 2023 Page 2 of 42 Item #10. Page 4
Meeting Date: 9/26/2023 / Packet Page #: 83
Consolidated report prepared for City of Glendora
Sources of Portfolio Valueas of August 31, 2023
Market Value Net amount you invested (net of fees)
02/22 12/22 08/23
5075
100125150
$ Millions
MTD
07/31/2023 to
08/31/2023
QTD
06/30/2023 to
08/31/2023
ITD
02/23/2022 to
08/31/2023
YTD
12/31/2022 to
08/31/2023
Opening value 113,026,276.46 111,071,810.82 96,238,141.84 40,589,214.16 Net deposits/withdrawals -3,280,614.39 -1,718,739.88 11,741,167.96 72,079,101.03Div./interest income 307,379.99 484,864.48 1,266,446.41 2,319,189.54Change in accr. interest -116,849.29 -89,156.26 42,807.82 291,437.71Change in value 249,313.92 436,727.54 896,942.66 -5,093,435.76Closing value 110,185,506.69 110,185,506.69 110,185,506.69 110,185,506.69Net Time-weighted ROR 0.40 0.75 2.15 -1.88Performance returns are annualized after 1 year. Net deposits and withdrawals include program and account fees.Benchmarks - Annualized time-weighted returnsUS Treasury Bill - 3 Mos 0.46 0.90 3.25 3.14BofA Corp/Gov 1-5Y 0.25 0.66 1.88 -1.26BBG Agg Bond -0.64 -0.71 1.37 -5.33Past performance does not guarantee future results and current performance may be lower/higher than past data presented.Report created on: September 01, 2023 Page 3 of 42 Item #10. Page 5
Meeting Date: 9/26/2023 / Packet Page #: 84
Consolidated report prepared for City of Glendora
Bond Summaryas of August 31, 2023Bond OverviewTotal quantity 112,485,000Total market value $105,191,686.89Total accrued interest $358,705.21Total market value plus accrued interest $105,550,392.10Total estimated annual bond interest $1,987,515.75Average yield to maturityAverage coupon 1.81%
5.33%1.89%5.33%
Average current yieldAverage yield to worstAverage modified duration 1.99Average effective maturity 2.16 Investment Type AllocationInvestment type Taxable ($) Total ($) Tax-exempt /
deferred ($)
% of
bond
port.
Certificates of deposit 19,100,477.65 0.00 19,100,477.65 18.10Municipals 255,303.75 0.00 255,303.75 0.24U.S. corporates 27,932,775.03 0.00 27,932,775.03 26.46U.S. federal agencies 54,945,490.32 0.00 54,945,490.32 52.06U.S. treasuries 3,316,345.35 0.00 3,316,345.35 3.14Total $105,550,392.10 $0.00 $105,550,392.10 100% Credit Quality of Bond HoldingsA Aaa/AAA/AAA 16 25,807,399.36 24.45B Aa/AA/AA 24 36,538,848.40 34.63C A/A/A 16 24,103,666.70 22.82D Baa/BBB/BBB 0 0.00 0.00E Non-investment grade 0 0.00 0.00F Certificate of deposit 83 19,100,477.65 18.10G Not rated 0 0.00 0.00Total 139 $105,550,392.10 100%Effective credit rating % of
port.
Value on
Issues 08/31/2023 ($)
Bond Maturity Schedule
Effective maturity schedule
2023 2024 2025 2026 2027 2028 2029 2030 2031 2032 2033 2034 2034 + Other 0 1020304050
3.0%
18.6%
39.0%
24.6%
8.4% 6.3%
0.0% 0.0% 0.0% 0.0% 0.0% 0.0% 0.0% 0.0%
Cash, mutual funds and some preferred securities are not included.$ Millions Includes all fixed income securities in the selected portfolio. Average yields and durations exclude Structured Product, Pass-Through, Perpetual Preferred, and Foreign securities.Accrued interest, if any, has been included in the total market value.Report created on: September 01, 2023 Page 4 of 42 Item #10. Page 6
Meeting Date: 9/26/2023 / Packet Page #: 85
Consolidated report prepared for City of Glendora
Portfolio Holdingsas of August 31, 2023Summary of Portfolio Holdings Unrealized
Cost basis ($) gain/loss (%)
Est. annual
income ($)
Unrealized
gain/loss ($)
Value on
08/31/2023 ($)
Current
yield (%)
% of
portfolio
A Cash 5,666,355.86 10,133,764.79 0.00 0.00% 232,753.58 2.30% 8.76% Cash 5,666,355.86 10,133,764.79 0.00 0.00% 232,753.58 2.30% 8.76% US 5,666,355.86 10,133,764.79 0.00 0.00% 232,753.58 2.30% 8.76% B Fixed Income 112,610,822.4 105,550,392.10 -7,060,430.30 -6.27% 1,987,515.75 1.88% 91.24% US 112,610,822.40 105,550,392.10 -7,060,430.30 -6.27% 1,987,515.75 1.88% 91.24% US Fixed Income 20,147,059.99 19,100,477.65 -1,046,582.34 -5.19% 449,328.50 2.35% 16.51% Government 62,135,047.87 58,261,835.67 -3,873,212.20 -6.23% 1,011,506.50 1.74% 50.36% Municipals 250,000.00 255,303.75 5,303.75 2.12% 12,872.50 5.04% 0.22% Corporate IG Credit 30,078,714.54 27,932,775.03 -2,145,939.51 -7.13% 513,808.25 1.84% 24.15% C Equity 0.00 0.00 0.00 0.00% NA NA 0.00%D Commodities 0.00 0.00 0.00 0.00% NA NA 0.00%E Non-Traditional 0.00 0.00 0.00 0.00% NA NA 0.00%F Other 0.00 0.00 0.00 0.00% NA NA 0.00%Total Portfolio $118,277,178.26 $115,684,156.89 $-7,060,430.30 -5.97% $2,220,269.33 1.92% 100% Balanced mutual funds and Insurance & Annuity products are allocated in the 'Other' category B
A
Accrued interest, if any, has been included in the total market value.Report created on: September 01, 2023 Page 5 of 42 Item #10. Page 7
Meeting Date: 9/26/2023 / Packet Page #: 86
Consolidated report prepared for City of Glendora
Portfolio Holdingsas of August 31, 2023 (continued)
Details of Portfolio Holdings
% of
asset
class
Est. annual
Cost basis ($) income ($)
Unrealized
gain/loss
(%)
Unrealized
Market value ($) gain/loss ($)
Current
yield (%)
Total Portfolio $118,277,178. $115,684,156.89 $-7,060,430.30 -5.97% $2,220,269.33 1.92% 100% 100% % of
portfolio
Unrealized
gain/loss ($)
Unrealized
gain/loss
Quantity (%)
Current
Cost basis ($) yield (%)
Est. annual
income ($)
Purchase
price ($) / Cash Avg Price Market value ($)
Price on
08/31/2023
($)
% of
Cash
% of
portfolio
Cash
US
Outside ASSET (1) 1.00 2,670,002.18 2,670,002.18 0.00 0.00% NA NA 26.35% 2.31%[Outside Account @SXXXX279]
1.00 Outside ASSET (1) 1.00 2,828,648.02 2,828,648.02 0.00 0.00% NA NA 27.91% 2.45%[Outside Account @SXXXX283]
1.00 UBS INSURED SWEEP 448,320.05 1.00 448,320.05 448,320.05 0.00 0.00% 448.32 0.10% 0.39%PROGRAM
1.00 4.42%
UBS SELECT TREASURY 4,467,408.93 0.00 0.00 4,467,408.93 0.00 0.00% 232,305.26 5.20% 3.86%INSTITUTIONAL FUND
1.00 44.08%
USD CASH -280,614.39 1.00 1.00 -280,614.39 -280,614.39 0.00 0.00% NA NA -2.77% -0.24% Total US $5,666,355.86 $10,133,764.79 $0.00 0.00% $232,753.58 100.00 2.30% 8.76% Total Cash $5,666,355.86 $10,133,764.79 $0.00 0.00% $232,753.58 100.00 2.30% 8.76% Total Cash $5,666,355.86 $10,133,764.79 $0.00 0.00% $232,753.58 100.00 2.30% 8.76% Unrealized
gain/loss ($)
Unrealized
gain/loss
Quantity (%)
Current
Cost basis ($) yield (%)
Est. annual
income ($)
Purchase
price ($) /
Avg Price Market value ($)
Amort/Accr.($)
as of
Fixed Income 08/31/2023
Price on
08/31/2023
($)
% of
Fixed
Income
% of
portfolio
US
US Fixed Income
AFFINITY PLUS MN US RT 245,000.00 100.00 245,000.00 243,339.37 0.00 -1,660.63 -0.68% 12,372.50 5.09% 0.21%05.0500% MAT 03/20/26LICU SHARE CERTIFICATE
99.17 0.23%
Assets held at other financial institutions are included in this report. We have not verified, and are not responsible for, the accuracy or completeness of this information.Accrued interest, if any, has been included in the total market value.Report created on: September 01, 2023 Page 6 of 42 Item #10. Page 8
Meeting Date: 9/26/2023 / Packet Page #: 87
Consolidated report prepared for City of Glendora
Portfolio Holdingsas of August 31, 2023 (continued)
Unrealized
gain/loss ($)
Unrealized
gain/loss
Quantity (%)
Current
Cost basis ($) yield (%)
Est. annual
income ($)
Purchase
price ($) /
Avg Price Market value ($)
Amort/Accr.($)
as of
Fixed Income 08/31/2023
Price on
08/31/2023
($)
% of
Fixed
Income
% of
portfolio
US
US Fixed Income
ALLY BK UT US RT 245,000.00 100.00 245,000.00 234,932.98 0.00 -10,067.02 -4.11% 8,697.50 3.73% 0.20%03.5500% MAT 06/30/26FIXED RATE CD
95.29 0.22%
AMERICAN COMM BK GA 245,000.00 100.00 245,000.00 220,901.46 0.00 -24,098.54 -9.84% 980.00 0.44% 0.19%US RT 00.4000% MAT09/22/25 FIXED RATE CD
90.15 0.21%
ARBOR FINL CREDIT MI US 245,000.00 100.00 245,000.00 243,656.33 0.00 -1,343.67 -0.55% 12,250.00 5.05% 0.21%RT 05.0000% MAT 04/03/28FIXED RATE CD
99.07 0.23%
BANK OF NEW ENGLAN NH 245,000.00 100.00 245,000.00 242,446.93 0.00 -2,553.07 -1.04% 6,982.50 2.88% 0.21%US RT 02.8500% MAT02/15/24 FIXED RATE CD
98.83 0.23%
BANK3 TENNESSEE TN US RT 245,000.00 100.00 245,000.00 221,583.60 0.00 -23,416.40 -9.56% 980.00 0.44% 0.19%00.4000% MAT 08/28/25FIXED RATE CD
90.44 0.21%
BANKUNITED NA FLOR FL US 245,000.00 100.00 245,000.00 218,802.15 0.00 -26,197.85 -10.69% 2,327.50 1.06% 0.19%RT 00.9500% MAT 03/31/26FIXED RATE CD
89.31 0.21%
BAY ST SVGS BK MA US RT 245,000.00 100.00 245,000.00 243,862.73 0.00 -1,137.27 -0.46% 4,165.00 1.72% 0.21%01.7000% MAT 11/29/23FIXED RATE CD
99.10 0.23%
BEAL BANK - PLANO TX US 245,000.00 100.00 245,000.00 242,000.33 0.00 -2,999.67 -1.22% 5,390.00 2.25% 0.21%RT 02.2000% MAT 04/17/24FIXED RATE CD
97.97 0.23%
BELL ST B&T ND US RT 245,000.00 100.00 245,000.00 231,283.76 0.00 -13,716.24 -5.60% 3,920.00 1.70% 0.20%01.6000% MAT 02/27/25FIXED RATE CD
94.38 0.22%
BK HAPOALIM BM NY US RT 245,000.00 100.00 245,000.00 219,519.63 0.00 -25,480.37 -10.40% 1,225.00 0.56% 0.19%00.5000% MAT 12/15/25FIXED RATE CD
89.49 0.21%
BMO HARRIS BK NA IL US RT 245,000.00 100.00 245,000.00 218,726.67 0.00 -26,273.33 -10.72% 1,960.00 0.90% 0.19%00.8000% MAT 03/18/26FIXED RATE CD
89.11 0.21%
BMW BANK NORTH AME UT 245,000.00 100.07 245,160.42 234,101.59 -153.46 -11,058.83 -4.51% 4,410.00 1.90% 0.20%US RT 01.8000% MAT03/04/25 FIXED RATE CD
94.66 0.22%
Assets held at other financial institutions are included in this report. We have not verified, and are not responsible for, the accuracy or completeness of this information.Accrued interest, if any, has been included in the total market value.Report created on: September 01, 2023 Page 7 of 42 Item #10. Page 9
Meeting Date: 9/26/2023 / Packet Page #: 88
Consolidated report prepared for City of Glendora
Portfolio Holdingsas of August 31, 2023 (continued)
Unrealized
gain/loss ($)
Unrealized
gain/loss
Quantity (%)
Current
Cost basis ($) yield (%)
Est. annual
income ($)
Purchase
price ($) /
Avg Price Market value ($)
Amort/Accr.($)
as of
Fixed Income 08/31/2023
Price on
08/31/2023
($)
% of
Fixed
Income
% of
portfolio
US
US Fixed Income
BOKF NA OK US RT 245,000.00 100.00 245,000.00 241,550.87 0.00 -3,449.13 -1.41% 11,637.50 4.83% 0.21%04.7500% MAT 02/17/27FIXED RATE CD
98.41 0.23%
CADENCE BANK MS US RT 245,000.00 100.00 245,000.00 247,436.00 0.00 2,436.00 0.99% 13,107.50 5.36% 0.21%05.3500% MAT 07/05/24FIXED RATE CD
99.85 0.23%
CAPITAL ONE BK USA VA US 245,000.00 100.00 245,000.00 215,881.55 0.00 -29,118.45 -11.89% 2,817.50 1.31% 0.19%RT 01.1500% MAT 11/24/26FIXED RATE CD
87.80 0.20%
CAPITAL ONE NA VA US RT 245,000.00 100.00 245,000.00 215,881.55 0.00 -29,118.45 -11.89% 2,817.50 1.31% 0.19%01.1500% MAT 11/24/26FIXED RATE CD
87.80 0.20%
CENTERSTATE BK NA FL US 245,000.00 100.00 245,000.00 228,452.67 0.00 -16,547.33 -6.75% 2,450.00 1.08% 0.20%RT 01.0000% MAT 04/30/25FIXED RATE CD
92.91 0.22%
CFG COMMUNITY BANK MD 245,000.00 100.00 245,000.00 236,364.29 0.00 -8,635.71 -3.52% 9,310.00 3.95% 0.20%US RT 03.8000% MAT03/11/26 FIXED RATE CD
96.27 0.22%
CHAMBERS BANK AK US RT 108,000.00 100.00 108,000.00 97,645.33 0.00 -10,354.67 -9.59% 378.00 0.39% 0.08%00.3500% MAT 09/22/25FIXED RATE CD
90.26 0.09%
CIBC BANK ILLINOIS IL US RT 245,000.00 100.00 245,000.00 248,057.06 0.00 3,057.06 1.25% 12,250.00 5.05% 0.21%05.0000% MAT 03/24/26FIXED RATE CD
99.06 0.24%
CITADEL FED CREDIT PA US 245,000.00 100.00 245,000.00 231,459.05 0.00 -13,540.95 -5.53% 4,042.50 1.75% 0.20%RT 01.6500% MAT 02/27/25CREDIT UNION SHARE CERT
94.46 0.22%
CITIZENS ST BK CLA WI US 219,000.00 100.00 219,000.00 209,447.22 0.00 -9,552.78 -4.36% 3,723.00 1.78% 0.18%RT 01.7000% MAT 10/31/24FIXED RATE CD
95.64 0.20%
COMMUNITY BK TN US RT 245,000.00 100.00 245,000.00 221,647.77 0.00 -23,352.23 -9.53% 980.00 0.44% 0.19%00.4000% MAT 08/26/25FIXED RATE CD
90.46 0.21%
COMMUNITYWIDE FED IN 245,000.00 100.00 245,000.00 238,980.18 0.00 -6,019.82 -2.46% 5,512.50 2.31% 0.21%US RT 02.2500% MAT06/28/24 FIXED RATE CD
97.36 0.23%
Assets held at other financial institutions are included in this report. We have not verified, and are not responsible for, the accuracy or completeness of this information.Accrued interest, if any, has been included in the total market value.Report created on: September 01, 2023 Page 8 of 42 Item #10. Page 10
Meeting Date: 9/26/2023 / Packet Page #: 89
Consolidated report prepared for City of Glendora
Portfolio Holdingsas of August 31, 2023 (continued)
Unrealized
gain/loss ($)
Unrealized
gain/loss
Quantity (%)
Current
Cost basis ($) yield (%)
Est. annual
income ($)
Purchase
price ($) /
Avg Price Market value ($)
Amort/Accr.($)
as of
Fixed Income 08/31/2023
Price on
08/31/2023
($)
% of
Fixed
Income
% of
portfolio
US
US Fixed Income
CONNEXUS CREDIT UN WI 245,000.00 100.00 245,000.00 235,763.50 0.00 -9,236.50 -3.77% 735.00 0.31% 0.20%US RT 00.3000% MAT05/28/24 CREDIT UNIONSHARE CERT
96.23 0.22%
CY-FAIR FED CREDIT TX US 245,000.00 100.00 245,000.00 245,173.58 0.00 173.58 0.07% 12,985.00 5.31% 0.21%RT 05.3000% MAT 07/14/28FIXED RATE CD
99.82 0.23%
DISCOVER BANK DE US RT 245,000.00 100.00 245,000.00 230,539.97 0.00 -14,460.03 -5.90% 7,840.00 3.43% 0.20%03.2000% MAT 05/24/27FIXED RATE CD
93.23 0.22%
EAGLEMARK SVGS BK NV US 245,000.00 100.32 245,783.54 222,213.19 -319.55 -23,570.35 -9.59% 4,900.00 2.23% 0.19%RT 02.0000% MAT 03/02/27FIXED RATE CD
89.70 0.21%
ENCORE BANK AR US RT 245,000.00 100.00 245,000.00 226,331.17 0.00 -18,668.83 -7.62% 1,960.00 0.87% 0.20%00.8000% MAT 05/15/25FIXED RATE CD
92.35 0.21%
ENERBANK UT US RT 245,000.00 100.00 245,000.00 225,148.56 0.00 -19,851.44 -8.10% 1,592.50 0.71% 0.19%00.6500% MAT 06/19/25FIXED RATE CD
91.88 0.21%
ESSENTIAL FED CRED LA US 245,000.00 100.00 245,000.00 241,249.12 0.00 -3,750.88 -1.53% 11,515.00 4.78% 0.21%RT 04.7000% MAT 06/15/27LICU SHARE CERTIFICATE
98.26 0.23%
FIRST CAROLINA BK NC US 245,000.00 100.00 245,000.00 224,910.54 0.00 -20,089.46 -8.20% 1,470.00 0.65% 0.19%RT 00.6000% MAT 06/26/25FIXED RATE CD
91.79 0.21%
FIRST N/B MCGREG TX US RT 245,000.00 100.00 245,000.00 242,241.03 0.00 -2,758.97 -1.13% 6,982.50 2.88% 0.21%02.8500% MAT 02/21/24FIXED RATE CD
98.79 0.23%
FIRST NATL BK KS US RT 245,000.00 100.00 245,000.00 236,111.40 0.00 -8,888.60 -3.63% 4,532.50 1.92% 0.20%01.8500% MAT 08/30/24FIXED RATE CD
96.37 0.22%
FIRST ST BK AR US RT 245,000.00 100.00 245,000.00 235,991.35 0.00 -9,008.65 -3.68% 4,410.00 1.87% 0.20%01.8000% MAT 08/30/24FIXED RATE CD
96.32 0.22%
Assets held at other financial institutions are included in this report. We have not verified, and are not responsible for, the accuracy or completeness of this information.Accrued interest, if any, has been included in the total market value.Report created on: September 01, 2023 Page 9 of 42 Item #10. Page 11
Meeting Date: 9/26/2023 / Packet Page #: 90
Consolidated report prepared for City of Glendora
Portfolio Holdingsas of August 31, 2023 (continued)
Unrealized
gain/loss ($)
Unrealized
gain/loss
Quantity (%)
Current
Cost basis ($) yield (%)
Est. annual
income ($)
Purchase
price ($) /
Avg Price Market value ($)
Amort/Accr.($)
as of
Fixed Income 08/31/2023
Price on
08/31/2023
($)
% of
Fixed
Income
% of
portfolio
US
US Fixed Income
FLAGSTAR BANK, FSB MI US 245,000.00 100.00 245,000.00 228,685.05 0.00 -16,314.95 -6.66% 2,572.50 1.13% 0.20%RT 01.0500% MAT 04/30/25FIXED RATE CD
92.99 0.22%
GREAT STHN BK MO US RT 245,000.00 100.00 245,000.00 240,652.76 0.00 -4,347.24 -1.77% 11,025.00 4.59% 0.21%04.5000% MAT 10/20/25FIXED RATE CD
98.09 0.23%
GREENSTATE CREDIT IA US 245,000.00 100.00 245,000.00 218,601.45 0.00 -26,398.55 -10.77% 2,327.50 1.07% 0.19%RT 00.9500% MAT 04/16/26FIXED RATE CD
89.15 0.21%
HOME LN INVT BK RI US RT 245,000.00 100.00 245,000.00 221,626.70 0.00 -23,373.30 -9.54% 980.00 0.44% 0.19%00.4000% MAT 08/29/25FIXED RATE CD
90.43 0.21%
HOME SAVINGS BANK UT US 245,000.00 100.00 245,000.00 242,528.82 0.00 -2,471.18 -1.01% 6,982.50 2.88% 0.21%RT 02.8500% MAT 02/12/24FIXED RATE CD
98.84 0.23%
HORIZON BK NE US RT 245,000.00 100.00 245,000.00 229,121.52 0.00 -15,878.48 -6.48% 3,185.00 1.39% 0.20%01.3000% MAT 04/15/25FIXED RATE CD
93.46 0.22%
JPMORGAN CHASE BK OH 245,000.00 100.00 245,000.00 223,049.04 0.00 -21,950.96 -8.96% 1,715.00 0.77% 0.19%US RT 00.7000% MAT09/30/25 FIXED RATE CD
90.75 0.21%
LAFAYETTE FED CRED MD 245,000.00 100.00 245,000.00 228,892.39 0.00 -16,107.61 -6.57% 7,962.50 3.48% 0.20%US RT 03.2500% MAT06/15/27 LICU SHARECERTIFICATE
93.28 0.22%
LIBERTY FED CREDIT IN US RT 245,000.00 100.00 245,000.00 245,585.99 0.00 585.99 0.24% 12,495.00 5.11% 0.21%05.1000% MAT 03/08/24LICU SHARE CERTIFICATE
99.82 0.23%
LIVE OAK BKG CO NC US RT 245,000.00 100.00 245,000.00 214,798.25 0.00 -30,201.75 -12.33% 1,960.00 0.91% 0.19%00.8000% MAT 08/13/26FIXED RATE CD
87.61 0.20%
MCHENRY SVGS BK IL US RT 245,000.00 100.00 245,000.00 233,800.04 0.00 -11,199.96 -4.57% 4,287.50 1.83% 0.20%01.7500% MAT 11/29/24FIXED RATE CD
95.42 0.22%
Assets held at other financial institutions are included in this report. We have not verified, and are not responsible for, the accuracy or completeness of this information.Accrued interest, if any, has been included in the total market value.Report created on: September 01, 2023 Page 10 of 42 Item #10. Page 12
Meeting Date: 9/26/2023 / Packet Page #: 91
Consolidated report prepared for City of Glendora
Portfolio Holdingsas of August 31, 2023 (continued)
Unrealized
gain/loss ($)
Unrealized
gain/loss
Quantity (%)
Current
Cost basis ($) yield (%)
Est. annual
income ($)
Purchase
price ($) /
Avg Price Market value ($)
Amort/Accr.($)
as of
Fixed Income 08/31/2023
Price on
08/31/2023
($)
% of
Fixed
Income
% of
portfolio
US
US Fixed Income
MEDALLION BK UT US RT 245,000.00 100.00 245,000.00 223,073.74 0.00 -21,926.26 -8.95% 1,347.50 0.60% 0.19%00.5500% MAT 07/30/25FIXED RATE CD
91.05 0.21%
MERRICK BK UT US RT 245,000.00 100.00 245,000.00 243,571.65 0.00 -1,428.35 -0.58% 4,042.50 1.66% 0.21%01.6500% MAT 10/31/23FIXED RATE CD
99.42 0.23%
METRO CREDIT UNION MA 245,000.00 100.00 245,000.00 217,755.33 0.00 -27,244.67 -11.12% 4,165.00 1.92% 0.19%US RT 01.7000% MAT02/18/27 LICU SHARECERTIFICATE
88.74 0.21%
MONEY ONE FED CRED MD 248,000.00 101.59 251,938.00 241,128.40 -10,327.13 -10,809.60 -4.29% 4,960.00 2.08% 0.21%US RT 02.0000% MAT09/23/24 FIXED RATE CD
96.35 0.23%
MORGAN STANLEY BK UT 245,000.00 100.00 245,000.00 239,398.49 0.00 -5,601.51 -2.29% 10,412.50 4.36% 0.21%US RT 04.2500% MAT02/02/26 FIXED RATE CD
97.38 0.23%
MORGAN STANLEY PRV NY 245,000.00 100.00 245,000.00 236,815.32 0.00 -8,184.68 -3.34% 4,900.00 2.07% 0.20%US RT 02.0000% MAT08/22/24 FIXED RATE CD
96.61 0.22%
MORTON CMNTY BK IL US 245,000.00 100.00 245,000.00 225,139.63 0.00 -19,860.37 -8.11% 1,470.00 0.65% 0.19%RT 00.6000% MAT 06/19/25FIXED RATE CD
91.87 0.21%
NEIGHBORS FED CRED LA US 245,000.00 100.00 245,000.00 248,092.91 0.00 3,092.91 1.26% 8,085.00 3.30% 0.21%RT 03.3000% MAT 09/28/23FIXED RATE CD
99.85 0.24%
NEW ORLEANS FIREME LA 245,000.00 100.00 245,000.00 242,757.71 0.00 -2,242.29 -0.92% 12,250.00 5.06% 0.21%US RT 05.0000% MAT07/17/28 FIXED RATE CD
98.89 0.23%
NEW YORK CMNTY BK NY 245,000.00 100.00 245,000.00 215,580.17 0.00 -29,419.83 -12.01% 1,715.00 0.80% 0.19%US RT 00.7000% MAT07/01/26 FIXED RATE CD
87.87 0.20%
OCEANFIRST BK NA NJ US RT 245,000.00 100.00 245,000.00 241,863.90 0.00 -3,136.10 -1.28% 7,962.50 3.31% 0.21%03.2500% MAT 07/01/24FIXED RATE CD
98.16 0.23%
Assets held at other financial institutions are included in this report. We have not verified, and are not responsible for, the accuracy or completeness of this information.Accrued interest, if any, has been included in the total market value.Report created on: September 01, 2023 Page 11 of 42 Item #10. Page 13
Meeting Date: 9/26/2023 / Packet Page #: 92
Consolidated report prepared for City of Glendora
Portfolio Holdingsas of August 31, 2023 (continued)
Unrealized
gain/loss ($)
Unrealized
gain/loss
Quantity (%)
Current
Cost basis ($) yield (%)
Est. annual
income ($)
Purchase
price ($) /
Avg Price Market value ($)
Amort/Accr.($)
as of
Fixed Income 08/31/2023
Price on
08/31/2023
($)
% of
Fixed
Income
% of
portfolio
US
US Fixed Income
PACIFIC CREST SVGS WA US 245,000.00 100.00 245,000.00 228,228.00 0.00 -16,772.00 -6.85% 2,940.00 1.29% 0.20%RT 01.2000% MAT 04/30/25FIXED RATE CD
93.15 0.22%
PACIFIC WSTN BK CA US RT 245,000.00 100.00 245,000.00 230,556.55 0.00 -14,443.45 -5.90% 3,307.50 1.44% 0.20%01.3500% MAT 04/16/25FIXED RATE CD
93.60 0.22%
PENTAGON FED CREDI VA 245,000.00 100.00 245,000.00 217,561.34 0.00 -27,438.66 -11.20% 4,165.00 1.92% 0.19%US RT 01.7000% MAT02/18/27 CREDIT UNIONSHARE CERT
88.74 0.21%
PREMIER CMNTY BK WI US 245,000.00 100.00 245,000.00 244,418.58 0.00 -581.42 -0.24% 12,740.00 5.23% 0.21%RT 05.2000% MAT 12/13/27FIXED RATE CD
99.49 0.23%
RAYMOND JAMES BK N FL 245,000.00 100.00 245,000.00 235,881.40 0.00 -9,118.60 -3.72% 4,410.00 1.88% 0.20%US RT 01.8000% MAT11/08/24 FIXED RATE CD
95.71 0.22%
SALLIE MAE BANK UT US RT 245,000.00 100.00 245,000.00 240,734.52 0.00 -4,265.48 -1.74% 8,207.50 3.42% 0.21%03.3500% MAT 08/05/24FIXED RATE CD
98.00 0.23%
SAN FRANCISCO FED CA US 245,000.00 100.00 245,000.00 228,724.78 0.00 -16,275.22 -6.64% 2,695.00 1.18% 0.20%RT 01.1000% MAT 03/27/25LICU SHARE CERTIFICATE
93.35 0.22%
SAVOY BK NY US RT 245,000.00 100.00 245,000.00 226,395.81 0.00 -18,604.19 -7.59% 1,960.00 0.87% 0.20%00.8000% MAT 05/13/25FIXED RATE CD
92.37 0.21%
SOMERSET TRUST CO PA US 245,000.00 100.00 245,000.00 228,623.90 0.00 -16,376.10 -6.68% 2,450.00 1.07% 0.20%RT 01.0000% MAT 03/19/25FIXED RATE CD
93.28 0.22%
STATE BANK OF INDI NY US 245,000.00 100.00 245,000.00 219,853.33 0.00 -25,146.67 -10.26% 2,205.00 1.01% 0.19%RT 00.9000% MAT 03/25/26FIXED RATE CD
89.34 0.21%
STOCKMAN BK MT US RT 245,000.00 100.00 245,000.00 226,916.05 0.00 -18,083.95 -7.38% 1,470.00 0.65% 0.20%00.6000% MAT 06/10/25FIXED RATE CD
92.48 0.21%
Assets held at other financial institutions are included in this report. We have not verified, and are not responsible for, the accuracy or completeness of this information.Accrued interest, if any, has been included in the total market value.Report created on: September 01, 2023 Page 12 of 42 Item #10. Page 14
Meeting Date: 9/26/2023 / Packet Page #: 93
Consolidated report prepared for City of Glendora
Portfolio Holdingsas of August 31, 2023 (continued)
Unrealized
gain/loss ($)
Unrealized
gain/loss
Quantity (%)
Current
Cost basis ($) yield (%)
Est. annual
income ($)
Purchase
price ($) /
Avg Price Market value ($)
Amort/Accr.($)
as of
Fixed Income 08/31/2023
Price on
08/31/2023
($)
% of
Fixed
Income
% of
portfolio
US
US Fixed Income
SYNCHRONY BANK UT US 245,000.00 100.00 245,000.00 234,325.92 0.00 -10,674.08 -4.36% 4,900.00 2.11% 0.20%RT 02.0000% MAT 03/25/25FIXED RATE CD
94.77 0.22%
TECHNOLOGY CREDIT CA 245,000.00 100.00 245,000.00 243,681.80 0.00 -1,318.20 -0.54% 12,250.00 5.05% 0.21%US RT 05.0000% MAT03/23/26 CREDIT UNIONSHARE CERT
99.05 0.23%
TEXAS EXCHANGE BK TX US 245,000.00 100.00 245,000.00 220,157.37 0.00 -24,842.63 -10.14% 1,470.00 0.67% 0.19%RT 00.6000% MAT 10/23/25FIXED RATE CD
89.85 0.21%
THIRD FED S&L ASSN OH US 245,000.00 100.00 245,000.00 235,821.23 0.00 -9,178.77 -3.75% 4,777.50 2.04% 0.20%RT 01.9500% MAT 11/25/24FIXED RATE CD
95.73 0.22%
TOYOTA FINL SVG BK NV US 245,000.00 100.00 245,000.00 219,030.03 0.00 -25,969.97 -10.60% 2,205.00 1.01% 0.19%RT 00.9000% MAT 04/22/26FIXED RATE CD
89.08 0.21%
UBS BANK UT US RT 245,000.00 100.00 245,000.00 216,427.93 0.00 -28,572.07 -11.66% 2,082.50 0.96% 0.19%00.8500% MAT 06/16/26FIXED RATE CD
88.30 0.21%
USALLIANCE FED CRE NY US 245,000.00 100.00 245,000.00 221,468.49 0.00 -23,531.51 -9.60% 1,225.00 0.55% 0.19%RT 00.5000% MAT 09/29/25FIXED RATE CD
90.31 0.21%
VALLEY STRONG CRED CA 240,000.00 100.00 240,000.00 235,157.00 0.00 -4,843.00 -2.02% 6,840.00 2.91% 0.20%US RT 02.8500% MAT06/21/24 FIXED RATE CD
97.90 0.22%
VALLEYSTAR CR UN M VA 245,000.00 100.00 245,000.00 243,044.13 0.00 -1,955.87 -0.80% 12,250.00 5.05% 0.21%US RT 05.0000% MAT03/20/26 LICU SHARECERTIFICATE
99.05 0.23%
VIGO CNTY FED CR U IN US 245,000.00 100.00 245,000.00 244,928.35 0.00 -71.65 -0.03% 12,862.50 5.26% 0.21%RT 05.2500% MAT 07/16/24LICU SHARE CERTIFICATE
99.76 0.23%
VYSTAR CREDIT UNIO FL US 205,000.00 100.83 206,711.36 204,052.90 -17,105.95 -2,658.46 -1.29% 7,482.50 3.67% 0.18%RT 03.6500% MAT 12/11/23LICU SHARE CERTIFICATE
99.53 0.19%
Assets held at other financial institutions are included in this report. We have not verified, and are not responsible for, the accuracy or completeness of this information.Accrued interest, if any, has been included in the total market value.Report created on: September 01, 2023 Page 13 of 42 Item #10. Page 15
Meeting Date: 9/26/2023 / Packet Page #: 94
Consolidated report prepared for City of Glendora
Portfolio Holdingsas of August 31, 2023 (continued)
Unrealized
gain/loss ($)
Unrealized
gain/loss
Quantity (%)
Current
Cost basis ($) yield (%)
Est. annual
income ($)
Purchase
price ($) /
Avg Price Market value ($)
Amort/Accr.($)
as of
Fixed Income 08/31/2023
Price on
08/31/2023
($)
% of
Fixed
Income
% of
portfolio
US
US Fixed Income
WE FLORIDA FINL CR FL US 248,000.00 103.01 255,466.67 257,561.72 0.00 2,095.05 0.82% 11,160.00 4.50% 0.22%RT 04.5000% MAT 10/13/23LICU SHARE CERTIFICATE
99.90 0.24%
WEBBANK UT US RT 245,000.00 100.00 245,000.00 236,141.03 0.00 -8,858.97 -3.62% 857.50 0.36% 0.20%00.3500% MAT 05/28/24FIXED RATE CD
96.29 0.22%
WORKERS CREDIT UNI MA 245,000.00 100.00 245,000.00 244,631.76 0.00 -368.24 -0.15% 12,005.00 4.91% 0.21%US RT 04.9000% MAT01/26/24 LICU SHARECERTIFICATE
99.80 0.23%
Total US Fixed Income $20,147,059.99 $19,100,477.65 $-27,906.09 $-1,046,582.34 -5.19% $449,328.50 18.10% 2.35% 16.51% Government
FEDERAL FARM CREDIT 2,000,000.00 100.00 2,000,000.00 1,895,678.89 0.00 -104,321.11 -5.22% 19,400.00 1.03% 1.64%BANK 00.970 % DUE120924 DTD 120921 FC06092022
94.56 1.80%
FFCB BOND 00.210 % DUE 2,000,000.00 100.00 2,000,000.00 1,969,056.67 0.00 -30,943.33 -1.55% 4,200.00 0.21% 1.70%122123 DTD 122120 FC06212021
98.41 1.87%
FFCB BOND 00.440 % DUE 2,000,000.00 100.00 2,000,000.00 1,901,122.22 0.00 -98,877.78 -4.94% 8,800.00 0.46% 1.64%092324 DTD 092321 FC03232022
94.86 1.80%
FFCB BOND 00.600 % DUE 2,000,000.00 100.00 2,000,000.00 1,845,380.00 0.00 -154,620.00 -7.73% 12,000.00 0.65% 1.60%061625 DTD 061621 FC12162021
92.14 1.75%
FFCB BOND 00.600 % DUE 2,000,000.00 100.00 2,000,000.00 1,819,693.33 0.00 -180,306.67 -9.02% 12,000.00 0.66% 1.57%112425 DTD 112420 FC05242021
90.82 1.72%
FFCB BOND 00.610 % DUE 2,000,000.00 100.00 2,000,000.00 1,852,461.11 0.00 -147,538.89 -7.38% 12,200.00 0.66% 1.60%052325 DTD 082321 FC11232021
92.46 1.76%
FFCB BOND 00.660 % DUE 2,000,000.00 100.00 2,000,000.00 1,835,266.67 0.00 -164,733.33 -8.24% 13,200.00 0.72% 1.59%091525 DTD 091521 FC03152022
91.46 1.74%
Assets held at other financial institutions are included in this report. We have not verified, and are not responsible for, the accuracy or completeness of this information.Accrued interest, if any, has been included in the total market value.Report created on: September 01, 2023 Page 14 of 42 Item #10. Page 16
Meeting Date: 9/26/2023 / Packet Page #: 95
Consolidated report prepared for City of Glendora
Portfolio Holdingsas of August 31, 2023 (continued)
Unrealized
gain/loss ($)
Unrealized
gain/loss
Quantity (%)
Current
Cost basis ($) yield (%)
Est. annual
income ($)
Purchase
price ($) /
Avg Price Market value ($)
Amort/Accr.($)
as of
Fixed Income 08/31/2023
Price on
08/31/2023
($)
% of
Fixed
Income
% of
portfolio
US
Government
FFCB BOND 00.680 % DUE 2,000,000.00 100.00 2,000,000.00 1,855,893.33 0.00 -144,106.67 -7.21% 13,600.00 0.73% 1.60%051925 DTD 051921 FC11192021
92.60 1.76%
FFCB BOND 00.710 % DUE 2,000,000.00 100.00 2,000,000.00 1,863,127.78 0.00 -136,872.22 -6.84% 14,200.00 0.76% 1.61%042125 DTD 042121 FC10212021
92.90 1.77%
FFCB BOND 01.840 % DUE 2,000,000.00 100.00 2,000,000.00 1,817,357.78 0.00 -182,642.22 -9.13% 36,800.00 2.03% 1.57%012627 DTD 012622 FC07262022
90.69 1.72%
FFCB NTS 00.940 % DUE 2,000,000.00 100.00 2,000,000.00 1,786,070.00 0.00 -213,930.00 -10.70% 18,800.00 1.06% 1.54%092826 DTD 092821 FC03282022
88.90 1.69%
FHLB BOND 00.625 % DUE 2,000,000.00 100.00 2,000,000.00 1,843,363.33 0.00 -156,636.67 -7.83% 12,500.00 0.68% 1.59%063025 DTD 063021 FC12302021
92.06 1.75%
FHLB BOND 01.050 % DUE 1,000,000.00 96.84 968,385.25 896,265.00 0.00 -72,120.25 -7.45% 10,500.00 1.17% 0.77%081326 DTD 081321 FC02132022
89.57 0.85%
FHLB BOND 01.780 % DUE 2,000,000.00 100.00 2,000,000.00 1,810,396.67 0.00 -189,603.33 -9.48% 35,600.00 1.97% 1.56%021027 DTD 021022 FC08102022
90.42 1.72%
FHLB BOND 02.010 % DUE 3,215,000.00 95.65 3,075,098.40 2,927,755.83 0.00 -147,342.58 -4.79% 64,621.50 2.21% 2.53%022527 DTD 022522 FC08252022
91.03 2.77%
FHLB BOND 05.400 % DUE 2,000,000.00 100.00 2,000,004.77 1,975,340.00 -0.48 -24,664.77 -1.23% 108,000.00 5.47% 1.71%022428 DTD 022423 FC08242023
98.66 1.87%
FHLB BOND 05.450 % DUE 490,000.00 100.00 490,000.00 496,712.59 0.00 6,712.59 1.37% 26,705.00 5.51% 0.43%031627 DTD 121622 FC03162023
98.87 0.47%
FHLB BOND 05.650 % DUE 2,000,000.00 100.00 2,000,004.94 2,015,288.33 -0.32 15,283.39 0.76% 113,000.00 5.72% 1.74%042828 DTD 042823 FC10282023
98.83 1.91%
FHLB BOND STEP-UP 2,000,000.00 100.00 2,000,000.00 1,820,656.67 0.00 -179,343.33 -8.97% 17,500.00 0.96% 1.57%0.875% DUE 063026 DTD063021 FC 12302021
90.89 1.72%
Assets held at other financial institutions are included in this report. We have not verified, and are not responsible for, the accuracy or completeness of this information.Accrued interest, if any, has been included in the total market value.Report created on: September 01, 2023 Page 15 of 42 Item #10. Page 17
Meeting Date: 9/26/2023 / Packet Page #: 96
Consolidated report prepared for City of Glendora
Portfolio Holdingsas of August 31, 2023 (continued)
Unrealized
gain/loss ($)
Unrealized
gain/loss
Quantity (%)
Current
Cost basis ($) yield (%)
Est. annual
income ($)
Purchase
price ($) /
Avg Price Market value ($)
Amort/Accr.($)
as of
Fixed Income 08/31/2023
Price on
08/31/2023
($)
% of
Fixed
Income
% of
portfolio
US
Government
FHLB NTS 1.0500% DUE 2,000,000.00 100.00 2,000,000.00 1,832,650.00 0.00 -167,350.00 -8.37% 21,000.00 1.15% 1.58%033026 DTD 033021 FC09302021
91.20 1.74%
FHLB NTS 1.1500% DUE 2,000,000.00 100.00 2,000,000.00 1,802,479.44 0.00 -197,520.56 -9.88% 23,000.00 1.28% 1.56%082626 DTD 082621 FC02262022
90.11 1.71%
FHLB NTS 1.5000% DUE 2,000,000.00 100.00 2,000,000.00 1,837,800.00 0.00 -162,200.00 -8.11% 30,000.00 1.64% 1.59%063026 DTD 063021 FC12302021
91.64 1.74%
FHLMC MED TERM NTS 1,000,000.00 99.85 998,500.00 920,677.78 0.00 -77,822.22 -7.79% 5,000.00 0.54% 0.80%00.500 % DUE 072325 DTD072320 FC 01232021
92.02 0.87%
FHLMC MED TERM NTS 2,000,000.00 100.00 2,000,000.00 1,855,971.67 0.00 -144,028.33 -7.20% 14,600.00 0.79% 1.60%00.730 % DUE 052825 DTD052820 FC 11282020
92.61 1.76%
FHLMC MED TERM NTS 2,000,000.00 100.00 2,000,000.00 1,970,575.00 0.00 -29,425.00 -1.47% 61,000.00 3.11% 1.70%03.050 % DUE 062824 DTD062822 FC 12282022
98.00 1.87%
FHLMC MED TERM NTS 1,000,000.00 100.00 1,000,000.00 986,806.67 0.00 -13,193.33 -1.32% 51,000.00 5.19% 0.85%05.100 % DUE 012728 DTD013023 FC 07272023
98.20 0.93%
FHLMC MED TERM NTS 1,000,000.00 100.00 1,000,000.00 991,785.00 0.00 -8,215.00 -0.82% 51,000.00 5.14% 0.86%05.100 % DUE 022828 DTD022823 FC 08282023
99.14 0.94%
FHLMC MED TERM NTS 1,175,000.00 100.00 1,175,000.00 1,169,354.78 0.00 -5,645.22 -0.48% 62,275.00 5.35% 1.01%05.300 % DUE 012726 DTD012723 FC 07272023
99.02 1.11%
FNMA NTS 00.500 % DUE 1,000,000.00 100.00 999,950.00 914,646.11 0.00 -85,303.89 -8.53% 5,000.00 0.55% 0.79%081425 DTD 081420 FC02142021
91.44 0.87%
FNMA NTS 00.540 % DUE 2,000,000.00 100.00 2,000,000.00 1,820,800.00 0.00 -179,200.00 -8.96% 10,800.00 0.59% 1.57%102725 DTD 102720 FC04272021
90.85 1.73%
FNMA NTS 00.560 % DUE 2,000,000.00 100.00 2,000,000.00 1,819,275.56 0.00 -180,724.44 -9.04% 11,200.00 0.62% 1.57%111725 DTD 111720 FC05172021
90.80 1.72%
Assets held at other financial institutions are included in this report. We have not verified, and are not responsible for, the accuracy or completeness of this information.Accrued interest, if any, has been included in the total market value.Report created on: September 01, 2023 Page 16 of 42 Item #10. Page 18
Meeting Date: 9/26/2023 / Packet Page #: 97
Consolidated report prepared for City of Glendora
Portfolio Holdingsas of August 31, 2023 (continued)
Unrealized
gain/loss ($)
Unrealized
gain/loss
Quantity (%)
Current
Cost basis ($) yield (%)
Est. annual
income ($)
Purchase
price ($) /
Avg Price Market value ($)
Amort/Accr.($)
as of
Fixed Income 08/31/2023
Price on
08/31/2023
($)
% of
Fixed
Income
% of
portfolio
US
Government
FNMA NTS 04.125 % DUE 988,000.00 99.59 983,948.13 965,137.68 0.00 -18,810.45 -1.91% 40,755.00 4.22% 0.83%082825 DTD 083022 FC02282023
97.69 0.91%
INTL FIN CORP NTS 00.500 2,000,000.00 100.00 2,000,000.00 1,830,644.44 0.00 -169,355.56 -8.47% 10,000.00 0.55% 1.58%% DUE 051526 DTD 052821FC 11152021
91.39 1.73%
US TSY NOTE 01.125 % DUE 1,000,000.00 98.21 982,052.13 905,090.19 0.00 -76,961.94 -7.84% 11,250.00 1.25% 0.78%10/31/26 DTD 10/31/21 FC04/30/22
90.13 0.86%
US TSY NOTE 01.750 % DUE 1,500,000.00 97.67 1,465,036.50 1,438,272.56 0.00 -26,763.95 -1.83% 26,250.00 1.83% 1.24%12/31/24 DTD 12/31/19 FC06/30/20
95.59 1.36%
US TSY NOTE 02.375 % DUE 1,000,000.00 99.71 997,067.75 972,982.61 0.00 -24,085.14 -2.42% 23,750.00 2.44% 0.84%08/15/24 DTD 08/15/14 FC02/15/15
97.20 0.92%
Total Government $62,135,047.87 $58,261,835.67 $-0.80 $-3,873,212.20 -6.23% $1,011,506.50 55.20% 1.74% 50.36% Municipals
SULPHUR SPRINGS CAL UNI 250,000.00 100.00 250,000.00 255,303.75 0.00 5,303.75 2.12% 12,872.50 5.17% 0.22%TAX SR F BE/R/ 5.149090124 DTD 110322
99.55 0.24%
Total Municipals $250,000.00 $255,303.75 $0.00 $5,303.75 2.12% $12,872.50 5.04% 0.24% 0.22%Corporate IG Credit AMAZON COM INC NTS B/E 1,000,000.00 100.17 1,001,714.10 930,395.56 -3,108.59 -71,318.54 -7.12% 8,000.00 0.86% 0.80%00.800% 060325DTD060320CALL@MW+10BP
92.84 0.88%
CATERPILLAR FINL SERVICE 2,026,000.00 101.27 2,051,719.28 1,907,862.81 -44,725.78 -143,856.47 -7.01% 29,377.00 1.55% 1.65%01.450% 051525DTD051520 FC111520CALL@MW+20BP
93.74 1.81%
CHARLES SCHWAB CORP 2,000,000.00 99.49 1,989,860.00 1,794,520.00 0.00 -195,340.00 -9.82% 18,000.00 1.01% 1.55%NTS 00.900% 031126DTD121120 FC031121CALL@MW+10BP
89.30 1.70%
Assets held at other financial institutions are included in this report. We have not verified, and are not responsible for, the accuracy or completeness of this information.Accrued interest, if any, has been included in the total market value.Report created on: September 01, 2023 Page 17 of 42 Item #10. Page 19
Meeting Date: 9/26/2023 / Packet Page #: 98
Consolidated report prepared for City of Glendora
Portfolio Holdingsas of August 31, 2023 (continued)
Unrealized
gain/loss ($)
Unrealized
gain/loss
Quantity (%)
Current
Cost basis ($) yield (%)
Est. annual
income ($)
Purchase
price ($) /
Avg Price Market value ($)
Amort/Accr.($)
as of
Fixed Income 08/31/2023
Price on
08/31/2023
($)
% of
Fixed
Income
% of
portfolio
US
Corporate IG Credit
COMCAST CORP NEW B/E 1,000,000.00 105.05 1,050,542.07 967,180.00 -68,599.20 -83,362.07 -7.94% 33,750.00 3.49% 0.84%03.375% 081525DTD052715 FC081515CALL@MW+20BP
96.57 0.92%
E I DU PONT DE NEMOURS 2,141,000.00 101.40 2,170,883.19 2,000,683.62 -35,910.86 -170,199.57 -7.84% 36,397.00 1.82% 1.73%01.700% 071525DTD051520 FC011521CALL@MW+25BP
93.23 1.90%
HONEYWELL INTL NTS B/E 1,122,000.00 101.19 1,135,386.71 1,089,890.85 -45,657.96 -45,495.86 -4.01% 25,806.00 2.37% 0.94%02.300% 081524DTD080819CALL@MW+10BP
97.04 1.03%
IBM CORP NTS B/E 03.000% 1,664,000.00 101.54 1,689,604.58 1,648,197.55 -113,223.22 -41,407.03 -2.45% 49,920.00 3.06% 1.42%051524 DTD051519FC111519CALL@MW+15BP
98.17 1.56%
INTEL CORP NTS B/E 1,054,000.00 104.43 1,100,665.00 1,038,846.99 -87,022.19 -61,818.01 -5.62% 35,836.00 3.50% 0.90%03.400% 032525DTD032520CALL@MW+45BP
97.09 0.98%
JOHN DEERE CAPITAL CORP 1,124,000.00 102.07 1,147,212.53 1,081,828.77 -45,803.44 -65,383.76 -5.70% 23,042.00 2.14% 0.94%02.050% 010925DTD010920 FC070920 NTSB/E
95.95 1.02%
JOHN DEERE CPTL CORP 2,000,000.00 100.09 2,001,878.66 1,811,968.89 -2,023.53 -189,909.77 -9.49% 14,000.00 0.77% 1.57%00.700% 011526DTD010721 FC071521 MEDTERM NTS
90.51 1.72%
JPMORGAN CHASE & CO 1,200,000.00 100.00 1,200,000.00 1,057,249.33 0.00 -142,750.67 -11.90% 9,600.00 0.91% 0.91%00.800% 022626DTD022621 FC082621 MEDTERM NTS
88.09 1.00%
JPMORGAN CHASE & CO B/E 1,017,000.00 102.83 1,045,803.10 987,108.96 -64,105.93 -58,694.14 -5.61% 31,781.25 3.23% 0.85%03.125% 012325DTD012315 FC072315
96.73 0.94%
Assets held at other financial institutions are included in this report. We have not verified, and are not responsible for, the accuracy or completeness of this information.Accrued interest, if any, has been included in the total market value.Report created on: September 01, 2023 Page 18 of 42 Item #10. Page 20
Meeting Date: 9/26/2023 / Packet Page #: 99
Consolidated report prepared for City of Glendora
Portfolio Holdingsas of August 31, 2023 (continued)
Unrealized
gain/loss ($)
Unrealized
gain/loss
Quantity (%)
Current
Cost basis ($) yield (%)
Est. annual
income ($)
Purchase
price ($) /
Avg Price Market value ($)
Amort/Accr.($)
as of
Fixed Income 08/31/2023
Price on
08/31/2023
($)
% of
Fixed
Income
% of
portfolio
US
Corporate IG Credit
MASTERCARD INC NTS B/E 2,000,000.00 101.30 2,026,080.86 1,930,297.78 -56,606.64 -95,783.08 -4.73% 40,000.00 2.09% 1.67%02.000% 030325DTD120319 FC030320CALL@MW+10BP
95.53 1.83%
MICROSOFT CORP B/E 1,000,000.00 103.09 1,030,946.44 968,415.00 -63,482.67 -62,531.44 -6.07% 27,000.00 2.79% 0.84%02.700% 021225DTD021215 FC081215CALL@MW+12.5BP
96.70 0.92%
MORGAN STANLEY FIN LLC 2,000,000.00 100.00 2,000,000.00 1,738,513.33 0.00 -261,486.67 -13.07% 21,000.00 1.21% 1.50%01.050% 082726DTD082721 FC022722 MEDTERM NTS
86.91 1.65%
TARGET CORP NTS B/E 2,000,000.00 102.23 2,044,612.84 1,925,940.00 -87,762.82 -118,672.84 -5.80% 45,000.00 2.36% 1.66%02.250% 041525DTD033120 FC101520CALL@MW+30BP
95.45 1.82%
TOYOTA MOTOR CRDT 2,000,000.00 99.45 1,988,920.00 1,909,253.33 0.00 -79,666.67 -4.01% 12,500.00 0.66% 1.65%CORP 00.625% 091324DTD091321 FC031322 NTSB/E
95.17 1.81%
TRUIST BANK NTS B/E 1,386,000.00 101.03 1,400,269.12 1,328,670.04 -38,111.14 -71,599.08 -5.11% 29,799.00 2.25% 1.15%02.150% 120624DTD120619 FC060620
95.36 1.26%
UNITED HEALTH GROUP INC 2,000,000.00 100.13 2,002,616.06 1,815,952.22 -2,146.58 -186,663.84 -9.32% 23,000.00 1.27% 1.57%01.150% 051526DTD051921 FC111521CALL@MW+07.50BP
90.46 1.72%
Total Corporate IG Credit $30,078,714.54 $27,932,775.03 $-758,290.55 $-2,145,939.51 -7.13% $513,808.25 26.46% 1.84% 24.15% Total US $112,610,822.4 $105,550,392.10 $-786,197.44 $-7,060,430.30 -6.27% $1,987,515.75 100.00 1.88% 91.24% Total Fixed Income $112,610,822.4 $105,550,392.10 $-786,197.44 $-7,060,430.30 -6.27% $1,987,515.75 100.00 1.88% 91.24% Assets held at other financial institutions are included in this report. We have not verified, and are not responsible for, the accuracy or completeness of this information.Accrued interest, if any, has been included in the total market value.Report created on: September 01, 2023 Page 19 of 42 Item #10. Page 21
Meeting Date: 9/26/2023 / Packet Page #: 100
Consolidated report prepared for City of Glendora
Portfolio Holdingsas of August 31, 2023 (continued)Total Portfolio $118,277,178. $115,684,156.89 $-7,060,430.30 -5.97% $2,220,269.33 1.92% 100% 100% Unrealized
gain/loss
(%)
Unrealized
gain/loss ($)
% of
asset
class
Est. annual
Cost basis ($) income ($)
Current
Market value ($) yield (%)
% of
portfolio
Total accrued interest (included in market values): $358,705.21 Balanced mutual funds represented in multiple asset classes based on Morningstar allocations.
Assets held at other financial institutions are included in this report. We have not verified, and are not responsible for, the accuracy or completeness of this information.Accrued interest, if any, has been included in the total market value.Report created on: September 01, 2023 Page 20 of 42 Item #10. Page 22
Meeting Date: 9/26/2023 / Packet Page #: 101
Consolidated report prepared for City of Glendora
Bond Holdingsas of August 31, 2023Summary of Bond HoldingsMaturityYear Yield to
maturity (%)
Yield to
worst (%)
Unrealized
Issues gain/loss ($) Mkt. value ($)
Est. annual
income ($)
Adjusted
cost basis ($)
Modified
duration
Current
Quantity yield (%) % of bond portfolio maturing
2023 6 3,188,000 39,135.00 1.24% 5.42% 5.42% 0.26 3,197,178.03 -46,159.44 3,166,198.58
3.00%
2024 32 20,284,000 413,020.50 2.11% 5.54% 5.54% 0.95 20,292,222.66 -711,606.67 19,655,382.49
18.61%
2025 51 44,073,000 556,338.75 1.36% 5.25% 5.25% 1.74 44,375,737.96 -3,330,697.40 41,169,984.27
39.02%
2026 31 28,540,000 389,885.00 1.51% 5.29% 5.29% 2.60 28,484,792.1 -2,593,032.20 25,961,615.50
24.61%
2027 12 9,665,000 228,651.50 2.58% 4.98% 4.98% 3.29 9,525,881.94 -655,473.34 8,896,403.64
8.43%
2028 7 6,735,000 360,485.00 5.42% 5.66% 5.66% 3.96 6,735,009.71 -82,166.46 6,700,807.62
6.32%
2029 0 0 N/A N/A N/A2030 0 0 N/A N/A N/A2031 0 0 N/A N/A N/A2032 0 0 N/A N/A N/A2033 0 0 N/A N/A N/A2034 0 0 N/A N/A N/A2035 0 0 N/A N/A N/A2036 0 0 N/A N/A N/A2037 0 0 N/A N/A N/A2038 0 0 N/A N/A N/A2039 0 0 N/A N/A N/A2040 0 0 N/A N/A N/A2041 0 0 N/A N/A N/A2042 0 0 N/A N/A N/A2043 0 0 N/A N/A N/A2044 0 0 N/A N/A N/A2045 0 0 N/A N/A N/A2046 0 0 N/A N/A N/A2047 0 0 N/A N/A N/A2048 0 0 N/A N/A N/A2048 + 0 0 N/A N/A N/AOther 0 0 N/A N/A N/ATotal 139 112,485,000 $1,987,515.75 1.89% 5.33% 5.33% 1.99 $112,610,822.40 $-7,419,135.51 $105,550,392.10Includes all fixed-rate securities in the selected portfolio. Average yields and durations exclude Structured Product, Pass-Through, Perpetual Preferred, and Foreign securities.Accrued interest, if any, has been included in the total market value.Report created on: September 01, 2023 Page 21 of 42 Item #10. Page 23
Meeting Date: 9/26/2023 / Packet Page #: 102
Consolidated report prepared for City of Glendora
Bond Holdingsas of August 31, 2023 (continued)
Effective rating/
Underlying rating
(Mdy/Fitch/S&P)
Mkt. value ($)/
Accr. interest ($)
Adjusted
cost basis ($)/
Unreal. g/l ($)
Call date/
Coupon Call price ($)
Modified
duration
YTM (%)/
Quantity YTW (%)
Effective
maturity
% of
bond
port.
Market
price ($)
5.33%5.33%
10/27/2025 N/A 1.99$112,610,822.4 N/A $105,191,686.89
$-7,419,135.51
112,485,000
1.89% $358,705.21
1.81% $1,987,515.75 100%
$105,550,392.10
Total Bond Portfolio
Details of Bond Holdings
Est. annual
income ($)/
Curr. yield (%)
Maturing 2023
Effective rating/
Underlying rating
(Mdy/Fitch/S&P) Quantity Coupon
Effective
maturity
Call date/
Call price ($)
Est. annual
income ($)/
Curr. yield (%)
YTM (%)/
YTW (%)
Modified
duration
Market
price ($)
Mkt. value ($)/
Accr. interest ($)
% of
bond
port.
Adjusted
cost basis ($)/
Unreal. g/l ($)
245,000 245,000.00 99.852
3,455.51
3.30%
3.30% -362.60
09/28/2023 0.08 244,637.40 0.23%
5.17%
NEIGHBORS FED CRED LA US 8,085.00 5.17%RT 03.3000% MAT 09/28/23FIXED RATE CD /LA CD
248,000 255,466.67 99.898
9,814.68
4.50%
4.50% -7,719.63
10/13/2023 0.12 247,747.04 0.24%
5.17%
WE FLORIDA FINL CR FL US 11,160.00 5.17%RT 04.5000% MAT 10/13/23LICU SHARE CERTIFICATE /FL CD
245,000 245,000.00 99.417
0.00 1.65%
1.66% -1,428.35
10/31/2023 N/A 243,571.65 0.23%
N/A
MERRICK BK UT US RT 4,042.50 N/A01.6500% MAT 10/31/23FIXED RATE CD /UT CD
245,000 245,000.00 99.098
1,072.63
1.70%
1.72% -2,209.90
11/29/2023 0.24 242,790.10 0.23%
5.39%
BAY ST SVGS BK MA US RT 4,165.00 5.39%01.7000% MAT 11/29/23FIXED RATE CD /MA CD
205,000 206,711.36 99.528
20.50 3.65%
3.67% -2,678.96
12/11/2023 0.28 204,032.40 0.19%
5.36%
VYSTAR CREDIT UNIO FL US 7,482.50 5.36%RT 03.6500% MAT 12/11/23LICU SHARE CERTIFICATE /FL CD
2,000,000 2,000,000.00 98.412
816.67
0.21%
0.21% -31,760.00
12/21/2023 0.30 1,968,240.00 1.87%
5.49%
4,200.00 5.49%
NR/NR/NR
FFCB BOND 00.210 % DUE Aaa/AA+/AA+122123 DTD 122120 FC06212021 Total 2023 3,188,000 1.24% 12/03/2023 $39,135.00
1.24%
5.42%5.42%
0.26 $3,197,178.03
$-46,159.44
$3,151,018.59
$15,179.99
3.00%
Includes all fixed-rate securities in the selected portfolio. Average yields and durations exclude Structured Product, Pass-Through, Perpetual Preferred, and Foreign securities.Accrued interest, if any, has been included in the total market value.Report created on: September 01, 2023 Page 22 of 42 Item #10. Page 24
Meeting Date: 9/26/2023 / Packet Page #: 103
Consolidated report prepared for City of Glendora
Bond Holdingsas of August 31, 2023 (continued)Maturing 2024 Effective rating/
Underlying rating
(Mdy/Fitch/S&P) Quantity Coupon
Effective
maturity
Call date/
Call price ($)
Est. annual
income ($)/
Curr. yield (%)
YTM (%)/
YTW (%)
Modified
duration
Market
price ($)
Mkt. value ($)/
Accr. interest ($)
% of
bond
port.
Adjusted
cost basis ($)/
Unreal. g/l ($)
245,000 245,000.00 99.796
131.56
4.90%
4.91% -499.80
01/26/2024 0.40 244,500.20 0.23%
5.41%
WORKERS CREDIT UNI MA 12,005.00 5.41%US RT 04.9000% MAT01/26/24 LICU SHARECERTIFICATE /MA CD
245,000 245,000.00 98.843
363.47
2.85%
2.88% -2,834.65
02/12/2024 0.44 242,165.35 0.23%
5.47%
HOME SAVINGS BANK UT US 6,982.50 5.47%RT 02.8500% MAT 02/12/24FIXED RATE CD /UT CD
245,000 245,000.00 98.833
306.08
2.85%
2.88% -2,859.15
02/15/2024 0.45 242,140.85 0.23%
5.43%
BANK OF NEW ENGLAN NH 6,982.50 5.43%US RT 02.8500% MAT02/15/24 FIXED RATE CD /NH CD
245,000 245,000.00 98.788
210.43
2.85%
2.88% -2,969.40
02/21/2024 0.47 242,030.60 0.23%
5.44%
FIRST N/B MCGREG TX US RT 6,982.50 5.44%02.8500% MAT 02/21/24FIXED RATE CD /TX CD
245,000 245,000.00 99.820
1,026.99
5.10%
5.11% -441.00
03/08/2024 0.51 244,559.00 0.23%
5.45%
LIBERTY FED CREDIT IN US RT 12,495.00 5.45%05.1000% MAT 03/08/24LICU SHARE CERTIFICATE /IN CD
245,000 245,000.00 97.974
1,964.03
2.20%
2.25% -4,963.70
04/17/2024 0.61 240,036.30 0.23%
5.51%
BEAL BANK - PLANO TX US 5,390.00 5.51%RT 02.2000% MAT 04/17/24FIXED RATE CD /TX CD
1,664,000 1,689,604.58 98.167
14,698.67
3.00%
3.06% -56,105.70
05/15/2024 0.68 1,633,498.88 1.55%
5.68%
49,920.00 5.68%
NR/NR/NR
A3/WD/A- IBM CORP NTS B/E 03.000%
051524 DTD051519FC111519 CALL@MW+15BP
245,000 245,000.00 96.230
0.00 0.30%
0.31% -9,236.50
05/28/2024 0.74 235,763.50 0.22%
5.50%
CONNEXUS CREDIT UN WI 735.00 5.50%US RT 00.3000% MAT05/28/24 CREDIT UNIONSHARE CERT /WI CD
245,000 245,000.00 96.293
223.18
0.35%
0.36% -9,082.15
05/28/2024 09/28/2023 0.72 235,917.85 0.22%
5.51%5.51%
100.00
WEBBANK UT US RT 857.5000.3500% MAT 05/28/24FIXED RATE CD /UT CD
240,000 240,000.00 97.904
187.40
2.85%
2.91% -5,030.40
06/21/2024 09/21/2023 0.79 234,969.60 0.22%
5.51%5.51%
100.00
VALLEY STRONG CRED CA 6,840.00US RT 02.8500% MAT06/21/24 FIXED RATE CD /CA CD
245,000 245,000.00 97.358
453.08
2.25%
2.31% -6,472.90
06/28/2024 0.80 238,527.10 0.23%
5.56%
COMMUNITYWIDE FED IN US 5,512.50 5.56%RT 02.2500% MAT 06/28/24FIXED RATE CD /IN CD
Includes all fixed-rate securities in the selected portfolio. Average yields and durations exclude Structured Product, Pass-Through, Perpetual Preferred, and Foreign securities.Accrued interest, if any, has been included in the total market value.Report created on: September 01, 2023 Page 23 of 42 Item #10. Page 25
Meeting Date: 9/26/2023 / Packet Page #: 104
Consolidated report prepared for City of Glendora
Bond Holdingsas of August 31, 2023 (continued)Maturing 2024 Effective rating/
Underlying rating
(Mdy/Fitch/S&P) Quantity Coupon
Effective
maturity
Call date/
Call price ($)
Est. annual
income ($)/
Curr. yield (%)
YTM (%)/
YTW (%)
Modified
duration
Market
price ($)
Mkt. value ($)/
Accr. interest ($)
% of
bond
port.
Adjusted
cost basis ($)/
Unreal. g/l ($)
2,000,000 2,000,000.00 97.995
10,675.00
3.05%
3.11% -40,100.00
06/28/2024 09/28/2023 0.80 1,959,900.00 1.86%
5.56%5.56%
100.00
61,000.00
NR/NR/NR
FHLMC MED TERM NTS Aaa/AA+/AA+03.050 % DUE 062824 DTD062822 FC 12282022 245,000 245,000.00 98.159
1,374.35
3.25%
3.31% -4,510.45
07/01/2024 0.81 240,489.55 0.23%
5.52%
OCEANFIRST BK NA NJ US RT 7,962.50 5.52%03.2500% MAT 07/01/24FIXED RATE CD /NJ CD
245,000 245,000.00 99.851
2,801.05
5.35%
5.36% -365.05
07/05/2024 0.81 244,634.95 0.23%
5.51%
CADENCE BANK MS US RT 13,107.50 5.51%05.3500% MAT 07/05/24FIXED RATE CD /MS CD
245,000 245,000.00 99.755
528.60
5.25%
5.26% -600.25
07/16/2024 0.85 244,399.75 0.23%
5.54%
VIGO CNTY FED CR U IN US 12,862.50 5.54%RT 05.2500% MAT 07/16/24LICU SHARE CERTIFICATE /IN CD
245,000 245,000.00 98.002
629.62
3.35%
3.42% -4,895.10
08/05/2024 0.90 240,104.90 0.23%
5.58%
SALLIE MAE BANK UT US RT 8,207.50 5.58%03.3500% MAT 08/05/24FIXED RATE CD /UT CD
1,122,000 1,135,386.71 97.036
1,146.93
2.30%
2.37% -46,642.79
08/15/2024 07/15/2024 0.92 1,088,743.92 1.04%
5.53%5.53%
100.00
25,806.00
NR/NR/NR
HONEYWELL INTL NTS B/E A2/A/A02.300% 081524DTD080819CALL@MW+10BP 1,000,000 997,067.75 97.195
1,032.61
2.38%
2.44% -25,117.75
08/15/2024 0.93 971,950.00 0.92%
5.42%
23,750.00 5.42%
NR/NR/NR
US TSY NOTE 02.375 % DUE Aaa/AA+/NR08/15/24 DTD 08/15/14 FC02/15/15 245,000 245,000.00 96.610
120.82
2.00%
2.07% -8,305.50
08/22/2024 0.94 236,694.50 0.23%
5.62%
MORGAN STANLEY PRV NY 4,900.00 5.62%US RT 02.0000% MAT08/22/24 FIXED RATE CD /NY CD
245,000 245,000.00 96.372
0.00 1.85%
1.92% -8,888.60
08/30/2024 0.99 236,111.40 0.22%
5.59%
FIRST NATL BK KS US RT 4,532.50 5.59%01.8500% MAT 08/30/24FIXED RATE CD /KS CD
245,000 245,000.00 96.323
0.00 1.80%
1.87% -9,008.65
08/30/2024 0.99 235,991.35 0.22%
5.59%
FIRST ST BK AR US RT 4,410.00 5.59%01.8000% MAT 08/30/24FIXED RATE CD /AR CD
250,000 250,000.00 99.547
6,436.25
5.15%
5.17% -1,132.50
09/01/2024 0.94 248,867.50 0.24%
5.62%
12,872.50 5.62%
NR/NR/NR
SULPHUR SPRINGS CAL UNI NR/NR/AATAX SR F BE/R/ 5.149 090124DTD 110322 /CAIncludes all fixed-rate securities in the selected portfolio. Average yields and durations exclude Structured Product, Pass-Through, Perpetual Preferred, and Foreign securities.Accrued interest, if any, has been included in the total market value.Report created on: September 01, 2023 Page 24 of 42 Item #10. Page 26
Meeting Date: 9/26/2023 / Packet Page #: 105
Consolidated report prepared for City of Glendora
Bond Holdingsas of August 31, 2023 (continued)Maturing 2024 Effective rating/
Underlying rating
(Mdy/Fitch/S&P) Quantity Coupon
Effective
maturity
Call date/
Call price ($)
Est. annual
income ($)/
Curr. yield (%)
YTM (%)/
YTW (%)
Modified
duration
Market
price ($)
Mkt. value ($)/
Accr. interest ($)
% of
bond
port.
Adjusted
cost basis ($)/
Unreal. g/l ($)
2,000,000 1,988,920.00 95.171
5,833.33
0.63%
0.66% -85,500.00
09/13/2024 1.00 1,903,420.00 1.81%
5.50%
12,500.00 5.50%
NR/NR/NR
TOYOTA MOTOR CRDT A1/A+/A+CORP 00.625% 091324DTD091321 FC031322 NTSB/E 2,000,000 2,000,000.00 94.863
3,862.22
0.44%
0.46% -102,740.00
09/23/2024 1.03 1,897,260.00 1.80%
5.49%
8,800.00 5.49%
NR/NR/NR
FFCB BOND 00.440 % DUE Aaa/AA+/AA+092324 DTD 092321 FC03232022 248,000 251,938.00 96.347
2,187.84
2.00%
2.08% -12,997.44
09/23/2024 1.02 238,940.56 0.23%
5.58%
MONEY ONE FED CRED MD 4,960.00 5.58%US RT 02.0000% MAT09/23/24 FIXED RATE CD/MD CD
219,000 219,000.00 95.638
0.00 1.70%
1.78% -9,552.78
10/31/2024 N/A 209,447.22 0.20%
N/A
CITIZENS ST BK CLA WI US 3,723.00 N/ART 01.7000% MAT 10/31/24FIXED RATE CD /WI CD
245,000 245,000.00 95.711
1,389.45
1.80%
1.88% -10,508.05
11/08/2024 1.15 234,491.95 0.22%
5.57%
RAYMOND JAMES BK N FL 4,410.00 5.57%US RT 01.8000% MAT11/08/24 FIXED RATE CD /FL CD
245,000 245,000.00 95.730
1,282.73
1.95%
2.04% -10,461.50
11/25/2024 1.19 234,538.50 0.22%
5.56%
THIRD FED S&L ASSN OH US 4,777.50 5.56%RT 01.9500% MAT 11/25/24FIXED RATE CD /OH CD
245,000 245,000.00 95.419
23.49 1.75%
1.83% -11,223.45
11/29/2024 1.23 233,776.55 0.22%
5.56%
MCHENRY SVGS BK IL US RT 4,287.50 5.56%01.7500% MAT 11/29/24FIXED RATE CD /IL CD
1,386,000 1,400,269.12 95.356
7,035.88
2.15%
2.25% -78,634.96
12/06/2024 11/06/2024 1.21 1,321,634.16 1.26%
6.02%6.02%
100.00
29,799.00
NR/NR/NR
TRUIST BANK NTS B/E A2/A+/A02.150% 120624DTD120619 FC060620 2,000,000 2,000,000.00 94.563
4,418.89
0.97%
1.03% -108,740.00
12/09/2024 1.23 1,891,260.00 1.80%
5.45%
19,400.00 5.45%
NR/NR/NR
FEDERAL FARM CREDIT Aaa/AA+/AA+BANK 00.970 % DUE120924 DTD 120921 FC06092022 1,500,000 1,465,036.50 95.590
4,422.56
1.75%
1.83% -31,186.50
12/31/2024 1.28 1,433,850.00 1.36%
5.22%
26,250.00 5.22%
NR/NR/NR
US TSY NOTE 01.750 % DUE NR/AA+/NR12/31/24 DTD 12/31/19 FC06/30/20 Total 2024 20,284,000 2.05% 08/26/2024 $413,020.50
2.11%
5.54%5.54%
0.95$20,292,222.66
$-711,606.67
$19,580,615.99
$74,766.50
18.61%
Includes all fixed-rate securities in the selected portfolio. Average yields and durations exclude Structured Product, Pass-Through, Perpetual Preferred, and Foreign securities.Accrued interest, if any, has been included in the total market value.Report created on: September 01, 2023 Page 25 of 42 Item #10. Page 27
Meeting Date: 9/26/2023 / Packet Page #: 106
Consolidated report prepared for City of Glendora
Bond Holdingsas of August 31, 2023 (continued)Maturing 2025 Effective rating/
Underlying rating
(Mdy/Fitch/S&P) Quantity Coupon
Effective
maturity
Call date/
Call price ($)
Est. annual
income ($)/
Curr. yield (%)
YTM (%)/
YTW (%)
Modified
duration
Market
price ($)
Mkt. value ($)/
Accr. interest ($)
% of
bond
port.
Adjusted
cost basis ($)/
Unreal. g/l ($)
1,124,000 1,147,212.53 95.952
3,328.29
2.05%
2.14% -68,712.05
01/09/2025 1.31 1,078,500.48 1.03%
5.18%
23,042.00 5.18%
NR/NR/NR
JOHN DEERE CAPITAL CORP A2/A+/A02.050% 010925DTD010920 FC070920 NTSB/E 1,017,000 1,045,803.10 96.731
3,354.69
3.13%
3.23% -62,048.83
01/23/2025 10/23/2024 1.33 983,754.27 0.94%
5.59%5.59%
100.00
31,781.25
NR/NR/NR
A1/AA-/A- JPMORGAN CHASE & CO B/E
03.125% 012325DTD012315 FC072315
1,000,000 1,030,946.44 96.699
1,425.00
2.70%
2.79% -63,956.44
02/12/2025 11/12/2024 1.39 966,990.00 0.92%
5.09%5.09%
100.00
27,000.00
NR/NR/NR
MICROSOFT CORP B/E Aaa/WD/AAA02.700% 021225DTD021215 FC081215CALL@MW+12.5BP 245,000 245,000.00 94.384
42.96 1.60%
1.70% -13,759.20
02/27/2025 1.47 231,240.80 0.22%
5.52%
BELL ST B&T ND US RT 3,920.00 5.52%01.6000% MAT 02/27/25FIXED RATE CD /ND CD
245,000 245,000.00 94.455
44.30 1.65%
1.75% -13,585.25
02/27/2025 1.47 231,414.75 0.22%
5.52%
CITADEL FED CREDIT PA US 4,042.50 5.52%RT 01.6500% MAT 02/27/25CREDIT UNION SHARE CERT/PA CD
2,000,000 2,026,080.86 95.526
19,777.78
2.00%
2.09% -115,560.86
03/03/2025 02/03/2025 1.44 1,910,520.00 1.82%
5.13%5.13%
100.00
40,000.00
NR/NR/NR
MASTERCARD INC NTS B/E Aa3/NR/A+02.000% 030325DTD120319 FC030320CALL@MW+10BP 245,000 245,160.42 94.664
2,174.79
1.80%
1.90% -13,233.62
03/04/2025 1.44 231,926.80 0.22%
5.54%
BMW BANK NORTH AME UT 4,410.00 5.54%US RT 01.8000% MAT03/04/25 FIXED RATE CD /UT CD
245,000 245,000.00 93.283
80.55 1.00%
1.07% -16,456.65
03/19/2025 1.53 228,543.35 0.22%
5.53%
SOMERSET TRUST CO PA US 2,450.00 5.53%RT 01.0000% MAT 03/19/25FIXED RATE CD /PA CD
1,054,000 1,100,665.00 97.089
15,528.93
3.40%
3.50% -77,346.94
03/25/2025 02/25/2025 1.48 1,023,318.06 0.97%
5.36%5.36%
100.00
35,836.00
NR/NR/NR
INTEL CORP NTS B/E A2/A-/A03.400% 032525DTD032520CALL@MW+45BP 245,000 245,000.00 94.772
2,134.52
2.00%
2.11% -12,808.60
03/25/2025 1.50 232,191.40 0.22%
5.53%
SYNCHRONY BANK UT US RT 4,900.00 5.53%02.0000% MAT 03/25/25FIXED RATE CD /UT CD
Includes all fixed-rate securities in the selected portfolio. Average yields and durations exclude Structured Product, Pass-Through, Perpetual Preferred, and Foreign securities.Accrued interest, if any, has been included in the total market value.Report created on: September 01, 2023 Page 26 of 42 Item #10. Page 28
Meeting Date: 9/26/2023 / Packet Page #: 107
Consolidated report prepared for City of Glendora
Bond Holdingsas of August 31, 2023 (continued)Maturing 2025 Effective rating/
Underlying rating
(Mdy/Fitch/S&P) Quantity Coupon
Effective
maturity
Call date/
Call price ($)
Est. annual
income ($)/
Curr. yield (%)
YTM (%)/
YTW (%)
Modified
duration
Market
price ($)
Mkt. value ($)/
Accr. interest ($)
% of
bond
port.
Adjusted
cost basis ($)/
Unreal. g/l ($)
245,000 245,000.00 93.345
29.53 1.10%
1.18% -16,304.75
03/27/2025 1.55 228,695.25 0.22%
5.53%
SAN FRANCISCO FED CA US 2,695.00 5.53%RT 01.1000% MAT 03/27/25LICU SHARE CERTIFICATE/CA CD
245,000 245,000.00 93.462
139.62
1.30%
1.39% -16,018.10
04/15/2025 1.60 228,981.90 0.22%
5.52%
HORIZON BK NE US RT 3,185.00 5.52%01.3000% MAT 04/15/25FIXED RATE CD /NE CD
2,000,000 2,044,612.84 95.447
17,000.00
2.25%
2.36% -135,672.84
04/15/2025 03/15/2025 1.55 1,908,940.00 1.81%
5.21%5.21%
100.00
45,000.00
NR/NR/NR
TARGET CORP NTS B/E A2/A/A02.250% 041525DTD033120 FC101520CALL@MW+30BP 245,000 245,000.00 93.598
1,241.45
1.35%
1.44% -15,684.90
04/16/2025 1.56 229,315.10 0.22%
5.52%
PACIFIC WSTN BK CA US RT 3,307.50 5.52%01.3500% MAT 04/16/25FIXED RATE CD /CA CD
2,000,000 2,000,000.00 92.900
5,127.78
0.71%
0.76% -142,000.00
04/21/2025 1.59 1,858,000.00 1.77%
5.29%
14,200.00 5.29%
NR/NR/NR
FFCB BOND 00.710 % DUE Aaa/AA+/AA+042125 DTD 042121 FC10212021 245,000 245,000.00 92.909
825.62
1.00%
1.08% -17,372.95
04/30/2025 1.61 227,627.05 0.22%
5.51%
CENTERSTATE BK NA FL US 2,450.00 5.51%RT 01.0000% MAT 04/30/25FIXED RATE CD /FL CD
245,000 245,000.00 92.987
866.90
1.05%
1.13% -17,181.85
04/30/2025 1.61 227,818.15 0.22%
5.51%
FLAGSTAR BANK, FSB MI US 2,572.50 5.51%RT 01.0500% MAT 04/30/25FIXED RATE CD /MI CD
245,000 245,000.00 93.151
8.05 1.20%
1.29% -16,780.05
04/30/2025 1.64 228,219.95 0.22%
5.52%
PACIFIC CREST SVGS WA US 2,940.00 5.52%RT 01.2000% MAT 04/30/25FIXED RATE CD /WA CD
245,000 245,000.00 92.367
96.66 0.80%
0.87% -18,700.85
05/13/2025 1.68 226,299.15 0.22%
5.51%
SAVOY BK NY US RT 1,960.00 5.51%00.8000% MAT 05/13/25FIXED RATE CD /NY CD
2,026,000 2,051,719.28 93.742
8,649.89
1.45%
1.55% -152,506.36
05/15/2025 1.64 1,899,212.92 1.81%
5.34%
29,377.00 5.34%
NR/NR/NR
CATERPILLAR FINL SERVICE A2/A+/A01.450% 051525DTD051520 FC111520CALL@MW+20BP 245,000 245,000.00 92.345
85.92 0.80%
0.87% -18,754.75
05/15/2025 1.69 226,245.25 0.22%
5.51%
ENCORE BANK AR US RT 1,960.00 5.51%00.8000% MAT 05/15/25FIXED RATE CD /AR CD
Includes all fixed-rate securities in the selected portfolio. Average yields and durations exclude Structured Product, Pass-Through, Perpetual Preferred, and Foreign securities.Accrued interest, if any, has been included in the total market value.Report created on: September 01, 2023 Page 27 of 42 Item #10. Page 29
Meeting Date: 9/26/2023 / Packet Page #: 108
Consolidated report prepared for City of Glendora
Bond Holdingsas of August 31, 2023 (continued)Maturing 2025 Effective rating/
Underlying rating
(Mdy/Fitch/S&P) Quantity Coupon
Effective
maturity
Call date/
Call price ($)
Est. annual
income ($)/
Curr. yield (%)
YTM (%)/
YTW (%)
Modified
duration
Market
price ($)
Mkt. value ($)/
Accr. interest ($)
% of
bond
port.
Adjusted
cost basis ($)/
Unreal. g/l ($)
2,000,000 2,000,000.00 92.602
3,853.33
0.68%
0.73% -147,960.00
05/19/2025 1.66 1,852,040.00 1.76%
5.24%
13,600.00 5.24%
NR/NR/NR
FFCB BOND 00.680 % DUE Aaa/AA+/AA+051925 DTD 051921 FC11192021 2,000,000 2,000,000.00 92.457
3,321.11
0.61%
0.66% -150,860.00
05/23/2025 1.67 1,849,140.00 1.76%
5.23%
12,200.00 5.23%
NR/NR/NR
FFCB BOND 00.610 % DUE Aaa/AA+/AA+052325 DTD 082321 FC11232021 2,000,000 2,000,000.00 92.610
3,771.67
0.73%
0.79% -147,800.00
05/28/2025 11/28/2023 1.69 1,852,200.00 1.76%
5.22%5.22%
100.00
14,600.00
NR/NR/NR
FHLMC MED TERM NTS Aaa/AA+/NR00.730 % DUE 052825 DTD052820 FC 11282020 1,000,000 1,001,714.10 92.844
1,955.56
0.80%
0.86% -73,274.10
06/03/2025 05/03/2025 1.70 928,440.00 0.88%
5.11%5.11%
100.00
8,000.00
NR/NR/NR
AMAZON COM INC NTS B/E A1/AA-/AA00.800% 060325DTD060320CALL@MW+10BP 245,000 245,000.00 92.484
330.25
0.60%
0.65% -18,414.20
06/10/2025 1.73 226,585.80 0.22%
5.07%
STOCKMAN BK MT US RT 1,470.00 5.07%00.6000% MAT 06/10/25FIXED RATE CD /MT CD
2,000,000 2,000,000.00 92.144
2,500.00
0.60%
0.65% -157,120.00
06/16/2025 1.74 1,842,880.00 1.75%
5.25%
12,000.00 5.25%
NR/NR/NR
FFCB BOND 00.600 % DUE Aaa/AA+/AA+061625 DTD 061621 FC12162021 245,000 245,000.00 91.876
52.36 0.65%
0.71% -19,903.80
06/19/2025 1.78 225,096.20 0.21%
5.39%
ENERBANK UT US RT 1,592.50 5.39%00.6500% MAT 06/19/25FIXED RATE CD /UT CD
245,000 245,000.00 91.874
48.33 0.60%
0.65% -19,908.70
06/19/2025 1.78 225,091.30 0.21%
5.34%
MORTON CMNTY BK IL US 1,470.00 5.34%RT 00.6000% MAT 06/19/25FIXED RATE CD /IL CD
245,000 245,000.00 91.792
20.14 0.60%
0.65% -20,109.60
06/26/2025 1.80 224,890.40 0.21%
5.34%
FIRST CAROLINA BK NC US 1,470.00 5.34%RT 00.6000% MAT 06/26/25FIXED RATE CD /NC CD
2,000,000 2,000,000.00 92.064
2,083.33
0.63%
0.68% -158,720.00
06/30/2025 06/30/2024 1.78 1,841,280.00 1.75%
5.22%5.22%
100.00
12,500.00
NR/NR/NR
FHLB BOND 00.625 % DUE Aaa/NR/AA+063025 DTD 063021 FC12302021 2,141,000 2,170,883.19 93.229
4,650.73
1.70%
1.82% -174,850.30
07/15/2025 06/15/2025 1.80 1,996,032.89 1.90%
5.56%5.56%
100.00
36,397.00
NR/NR/NR
E I DU PONT DE NEMOURS A3/A/A01.700% 071525DTD051520 FC011521CALL@MW+25BPIncludes all fixed-rate securities in the selected portfolio. Average yields and durations exclude Structured Product, Pass-Through, Perpetual Preferred, and Foreign securities.Accrued interest, if any, has been included in the total market value.Report created on: September 01, 2023 Page 28 of 42 Item #10. Page 30
Meeting Date: 9/26/2023 / Packet Page #: 109
Consolidated report prepared for City of Glendora
Bond Holdingsas of August 31, 2023 (continued)Maturing 2025 Effective rating/
Underlying rating
(Mdy/Fitch/S&P) Quantity Coupon
Effective
maturity
Call date/
Call price ($)
Est. annual
income ($)/
Curr. yield (%)
YTM (%)/
YTW (%)
Modified
duration
Market
price ($)
Mkt. value ($)/
Accr. interest ($)
% of
bond
port.
Adjusted
cost basis ($)/
Unreal. g/l ($)
1,000,000 998,500.00 92.015
527.78
0.50%
0.54% -78,350.00
07/23/2025 1.84 920,150.00 0.87%
4.97%
5,000.00 4.97%
NR/NR/NR
FHLMC MED TERM NTS Aaa/AA+/NR00.500 % DUE 072325 DTD072320 FC 01232021 245,000 245,000.00 91.049
3.69 0.55%
0.60% -21,929.95
07/30/2025 1.89 223,070.05 0.21%
5.49%
MEDALLION BK UT US RT 1,347.50 5.49%00.5500% MAT 07/30/25FIXED RATE CD /UT CD
1,000,000 999,950.00 91.441
236.11
0.50%
0.55% -85,540.00
08/14/2025 11/14/2023 1.90 914,410.00 0.87%
5.16%5.16%
100.00
5,000.00
NR/NR/NR
FNMA NTS 00.500 % DUE Aaa/AA+/AA+081425 DTD 081420 FC02142021 1,000,000 1,050,542.07 96.568
1,500.00
3.38%
3.49% -84,862.07
08/15/2025 05/15/2025 1.86 965,680.00 0.92%
5.24%5.24%
100.00
33,750.00
NR/NR/NR
COMCAST CORP NEW B/E A3/A-/A03.375% 081525DTD052715 FC081515CALL@MW+20BP 245,000 245,000.00 90.463
13.42 0.40%
0.44% -23,365.65
08/26/2025 1.97 221,634.35 0.21%
5.48%
COMMUNITY BK TN US RT 980.00 5.48%00.4000% MAT 08/26/25FIXED RATE CD /TN CD
245,000 245,000.00 90.439
8.05 0.40%
0.44% -23,424.45
08/28/2025 1.98 221,575.55 0.21%
5.47%
BANK3 TENNESSEE TN US RT 980.00 5.47%00.4000% MAT 08/28/25FIXED RATE CD /TN CD
988,000 983,948.13 97.686
0.00 4.13%
4.22% -18,810.45
08/28/2025 11/28/2023 1.88 965,137.68 0.92%
5.37%5.37%
100.00
40,755.00
NR/NR/NR
FNMA NTS 04.125 % DUE Aaa/AA+/AA+082825 DTD 083022 FC02282023 245,000 245,000.00 90.427
80.55 0.40%
0.44% -23,453.85
08/29/2025 1.98 221,546.15 0.21%
5.47%
HOME LN INVT BK RI US RT 980.00 5.47%00.4000% MAT 08/29/25FIXED RATE CD /RI CD
2,000,000 2,000,000.00 91.459
6,086.67
0.66%
0.72% -170,820.00
09/15/2025 1.97 1,829,180.00 1.74%
5.12%
13,200.00 5.12%
NR/NR/NR
FFCB BOND 00.660 % DUE Aaa/AA+/AA+091525 DTD 091521 FC03152022 245,000 245,000.00 90.154
24.16 0.40%
0.44% -24,122.70
09/22/2025 09/22/2023 2.04 220,877.30 0.21%
5.46%5.46%
100.00
AMERICAN COMM BK GA 980.00US RT 00.4000% MAT09/22/25 FIXED RATE CD /GA CD
108,000 108,000.00 90.257
167.77
0.35%
0.39% -10,522.44
09/22/2025 2.00 97,477.56 0.09%
5.41%
CHAMBERS BANK AK US RT 378.00 5.41%00.3500% MAT 09/22/25FIXED RATE CD /AK CD
Includes all fixed-rate securities in the selected portfolio. Average yields and durations exclude Structured Product, Pass-Through, Perpetual Preferred, and Foreign securities.Accrued interest, if any, has been included in the total market value.Report created on: September 01, 2023 Page 29 of 42 Item #10. Page 31
Meeting Date: 9/26/2023 / Packet Page #: 110
Consolidated report prepared for City of Glendora
Bond Holdingsas of August 31, 2023 (continued)Maturing 2025 Effective rating/
Underlying rating
(Mdy/Fitch/S&P) Quantity Coupon
Effective
maturity
Call date/
Call price ($)
Est. annual
income ($)/
Curr. yield (%)
YTM (%)/
YTW (%)
Modified
duration
Market
price ($)
Mkt. value ($)/
Accr. interest ($)
% of
bond
port.
Adjusted
cost basis ($)/
Unreal. g/l ($)
245,000 245,000.00 90.309
211.44
0.50%
0.55% -23,742.95
09/29/2025 09/29/2023 2.04 221,257.05 0.21%
5.46%5.46%
100.00
USALLIANCE FED CRE NY US 1,225.00RT 00.5000% MAT 09/29/25FIXED RATE CD /NY CD
245,000 245,000.00 90.747
718.89
0.70%
0.77% -22,669.85
09/30/2025 09/30/2023 2.01 222,330.15 0.21%
5.46%5.46%
100.00
JPMORGAN CHASE BK OH 1,715.00US RT 00.7000% MAT09/30/25 FIXED RATE CD /OH CD
245,000 245,000.00 98.090
332.26
4.50%
4.59% -4,679.50
10/20/2025 09/20/2023 2.03 240,320.50 0.23%
5.45%5.45%
100.00
GREAT STHN BK MO US RT 11,025.0004.5000% MAT 10/20/25FIXED RATE CD /MO CD
245,000 245,000.00 89.847
32.22 0.60%
0.67% -24,874.85
10/23/2025 09/23/2023 2.12 220,125.15 0.21%
5.63%5.63%
100.00
TEXAS EXCHANGE BK TX US 1,470.00RT 00.6000% MAT 10/23/25FIXED RATE CD /TX CD
2,000,000 2,000,000.00 90.854
3,720.00
0.54%
0.59% -182,920.00
10/27/2025 10/27/2023 2.09 1,817,080.00 1.73%
5.07%5.07%
100.00
10,800.00
NR/NR/NR
FNMA NTS 00.540 % DUE Aaa/AA+/AA+102725 DTD 102720 FC04272021 2,000,000 2,000,000.00 90.802
3,235.56
0.56%
0.62% -183,960.00
11/17/2025 11/17/2023 2.14 1,816,040.00 1.73%
5.01%5.01%
100.00
11,200.00
NR/NR/NR
FNMA NTS 00.560 % DUE Aaa/AA+/AA+111725 DTD 111720 FC05172021 2,000,000 2,000,000.00 90.823
3,233.33
0.60%
0.66% -183,540.00
11/24/2025 2.16 1,816,460.00 1.73%
5.00%
12,000.00 5.00%
NR/NR/NR
FFCB BOND 00.600 % DUE Aaa/AA+/AA+112425 DTD 112420 FC05242021 245,000 245,000.00 89.493
261.78
0.50%
0.56% -25,742.15
12/15/2025 2.22 219,257.85 0.21%
5.44%
BK HAPOALIM BM NY US RT 1,225.00 5.44%00.5000% MAT 12/15/25FIXED RATE CD /NY CD
Total 2025 44,073,000 1.28% 06/20/2025 $556,338.75
1.36%
5.25%5.25%
1.74$44,375,737.96
$-3,330,697.40
$41,045,040.56
$124,943.71
39.02%
Includes all fixed-rate securities in the selected portfolio. Average yields and durations exclude Structured Product, Pass-Through, Perpetual Preferred, and Foreign securities.Accrued interest, if any, has been included in the total market value.Report created on: September 01, 2023 Page 30 of 42 Item #10. Page 32
Meeting Date: 9/26/2023 / Packet Page #: 111
Consolidated report prepared for City of Glendora
Bond Holdingsas of August 31, 2023 (continued)Maturing 2026 Effective rating/
Underlying rating
(Mdy/Fitch/S&P) Quantity Coupon
Effective
maturity
Call date/
Call price ($)
Est. annual
income ($)/
Curr. yield (%)
YTM (%)/
YTW (%)
Modified
duration
Market
price ($)
Mkt. value ($)/
Accr. interest ($)
% of
bond
port.
Adjusted
cost basis ($)/
Unreal. g/l ($)
2,000,000 2,001,878.66 90.509
1,788.89
0.70%
0.77% -191,698.66
01/15/2026 2.30 1,810,180.00 1.72%
4.99%
14,000.00 4.99%
NR/NR/NR
JOHN DEERE CPTL CORP A2/A+/A00.700% 011526DTD010721 FC071521 MEDTERM NTS 1,175,000 1,175,000.00 99.019
5,881.53
5.30%
5.35% -11,526.75
01/27/2026 10/27/2023 2.22 1,163,473.25 1.11%
5.74%5.74%
100.00
62,275.00
NR/NR/NR
FHLMC MED TERM NTS Aaa/AA+/AA+05.300 % DUE 012726 DTD012723 FC 07272023 245,000 245,000.00 97.376
827.29
4.25%
4.36% -6,428.80
02/02/2026 2.26 238,571.20 0.23%
5.42%
MORGAN STANLEY BK UT US 10,412.50 5.42%RT 04.2500% MAT 02/02/26FIXED RATE CD /UT CD
1,200,000 1,200,000.00 88.093
133.33
0.80%
0.91% -142,884.00
02/26/2026 02/26/2024 2.39 1,057,116.00 1.00%
6.03%6.03%
100.00
9,600.00
NR/NR/NR
A1/AA-/A- JPMORGAN CHASE & CO
00.800% 022626DTD022621 FC082621 MEDTERM NTS
245,000 245,000.00 96.267
510.14
3.80%
3.95% -9,145.85
03/11/2026 09/11/2023 2.33 235,854.15 0.22%
5.40%5.40%
100.00
CFG COMMUNITY BANK MD 9,310.00US RT 03.8000% MAT03/11/26 FIXED RATE CD/MD CD
2,000,000 1,989,860.00 89.301
8,500.00
0.90%
1.01% -203,840.00
03/11/2026 02/11/2026 2.42 1,786,020.00 1.70%
5.49%5.49%
100.00
18,000.00
NR/NR/NR
CHARLES SCHWAB CORP A2/A/ANTS 00.900% 031126DTD121120 FC031121CALL@MW+10BP 245,000 245,000.00 89.114
397.37
0.80%
0.90% -26,670.70
03/18/2026 09/18/2023 2.48 218,329.30 0.21%
5.40%5.40%
100.00
BMO HARRIS BK NA IL US RT 1,960.0000.8000% MAT 03/18/26FIXED RATE CD /IL CD
245,000 245,000.00 99.170
372.87
5.05%
5.09% -2,033.50
03/20/2026 2.38 242,966.50 0.23%
5.40%
AFFINITY PLUS MN US RT 12,372.50 5.40%05.0500% MAT 03/20/26LICU SHARE CERTIFICATE/MN CD
245,000 245,000.00 99.051
369.18
5.00%
5.05% -2,325.05
03/20/2026 2.39 242,674.95 0.23%
5.40%
VALLEYSTAR CR UN M VA 12,250.00 5.40%US RT 05.0000% MAT03/20/26 LICU SHARECERTIFICATE /VA CD
Includes all fixed-rate securities in the selected portfolio. Average yields and durations exclude Structured Product, Pass-Through, Perpetual Preferred, and Foreign securities.Accrued interest, if any, has been included in the total market value.Report created on: September 01, 2023 Page 31 of 42 Item #10. Page 33
Meeting Date: 9/26/2023 / Packet Page #: 112
Consolidated report prepared for City of Glendora
Bond Holdingsas of August 31, 2023 (continued)Maturing 2026 Effective rating/
Underlying rating
(Mdy/Fitch/S&P) Quantity Coupon
Effective
maturity
Call date/
Call price ($)
Est. annual
income ($)/
Curr. yield (%)
YTM (%)/
YTW (%)
Modified
duration
Market
price ($)
Mkt. value ($)/
Accr. interest ($)
% of
bond
port.
Adjusted
cost basis ($)/
Unreal. g/l ($)
245,000 245,000.00 99.051
1,006.85
5.00%
5.05% -2,325.05
03/23/2026 2.39 242,674.95 0.23%
5.40%
TECHNOLOGY CREDIT CA US 12,250.00 5.40%RT 05.0000% MAT 03/23/26CREDIT UNION SHARE CERT/CA CD
245,000 245,000.00 99.056
5,369.86
5.00%
5.05% -2,312.80
03/24/2026 2.32 242,687.20 0.23%
5.40%
CIBC BANK ILLINOIS IL US RT 12,250.00 5.40%05.0000% MAT 03/24/26FIXED RATE CD /IL CD
245,000 245,000.00 89.344
960.53
0.90%
1.01% -26,107.20
03/25/2026 2.46 218,892.80 0.21%
5.40%
STATE BANK OF INDI NY US 2,205.00 5.40%RT 00.9000% MAT 03/25/26FIXED RATE CD /NY CD
2,000,000 2,000,000.00 91.195
8,750.00
1.05%
1.15% -176,100.00
03/30/2026 N/A 1,823,900.00 1.73%
N/A
21,000.00 N/A
NR/NR/NR
FHLB NTS 1.0500% DUE Aaa/NR/AA+033026 DTD 033021 FC09302021 245,000 245,000.00 89.307
0.00 0.95%
1.06% -26,197.85
03/31/2026 08/31/2023 N/A 218,802.15 0.21%
N/AN/A
100.00
BANKUNITED NA FLOR FL US 2,327.50RT 00.9500% MAT 03/31/26FIXED RATE CD /FL CD
245,000 245,000.00 89.147
191.30
0.95%
1.07% -26,589.85
04/16/2026 2.58 218,410.15 0.21%
5.39%
GREENSTATE CREDIT IA US 2,327.50 5.39%RT 00.9500% MAT 04/16/26FIXED RATE CD /IA CD
245,000 245,000.00 89.077
791.38
0.90%
1.01% -26,761.35
04/22/2026 2.54 218,238.65 0.21%
5.39%
TOYOTA FINL SVG BK NV US 2,205.00 5.39%RT 00.9000% MAT 04/22/26FIXED RATE CD /NV CD
2,000,000 2,000,000.00 91.385
2,944.44
0.50%
0.55% -172,300.00
05/15/2026 11/15/2023 N/A 1,827,700.00 1.74%
N/AN/A
100.00
10,000.00
NR/NR/NR
INTL FIN CORP NTS 00.500 % Aaa/NR/AAADUE 051526 DTD 052821 FC11152021 2,000,000 2,002,616.06 90.459
6,772.22
1.15%
1.27% -193,436.06
05/15/2026 04/15/2026 2.60 1,809,180.00 1.72%
4.96%4.96%
100.00
23,000.00
NR/NR/NR
UNITED HEALTH GROUP INC A2/A/A+01.150% 051526DTD051921 FC111521CALL@MW+07.50BP 245,000 245,000.00 88.303
85.58 0.85%
0.96% -28,657.65
06/16/2026 12/16/2023 2.75 216,342.35 0.21%
5.37%5.37%
100.00
UBS BANK UT US RT 2,082.5000.8500% MAT 06/16/26FIXED RATE CD /UT CD
245,000 245,000.00 95.288
1,477.38
3.55%
3.73% -11,544.40
06/30/2026 09/30/2023 2.63 233,455.60 0.22%
5.36%5.36%
100.00
ALLY BK UT US RT 03.5500% 8,697.50MAT 06/30/26 FIXED RATECD /UT CD
Includes all fixed-rate securities in the selected portfolio. Average yields and durations exclude Structured Product, Pass-Through, Perpetual Preferred, and Foreign securities.Accrued interest, if any, has been included in the total market value.Report created on: September 01, 2023 Page 32 of 42 Item #10. Page 34
Meeting Date: 9/26/2023 / Packet Page #: 113
Consolidated report prepared for City of Glendora
Bond Holdingsas of August 31, 2023 (continued)Maturing 2026 Effective rating/
Underlying rating
(Mdy/Fitch/S&P) Quantity Coupon
Effective
maturity
Call date/
Call price ($)
Est. annual
income ($)/
Curr. yield (%)
YTM (%)/
YTW (%)
Modified
duration
Market
price ($)
Mkt. value ($)/
Accr. interest ($)
% of
bond
port.
Adjusted
cost basis ($)/
Unreal. g/l ($)
2,000,000 2,000,000.00 90.887
2,916.67
0.88%
0.96% -182,260.00
06/30/2026 09/30/2023 N/A 1,817,740.00 1.73%
N/AN/A
100.00
17,500.00
NR/NR/NR
FHLB BOND STEP-UP 0.875% Aaa/NR/AA+DUE 063026 DTD 063021 FC12302021 2,000,000 2,000,000.00 91.640
5,000.00
1.50%
1.64% -167,200.00
06/30/2026 N/A 1,832,800.00 1.74%
N/A
30,000.00 N/A
NR/NR/NR
FHLB NTS 1.5000% DUE Aaa/NR/AA+063026 DTD 063021 FC12302021 245,000 245,000.00 87.873
291.32
0.70%
0.80% -29,711.15
07/01/2026 2.73 215,288.85 0.20%
5.37%
NEW YORK CMNTY BK NY 1,715.00 5.37%US RT 00.7000% MAT07/01/26 FIXED RATE CD /NY CD
1,000,000 968,385.25 89.574
525.00
1.05%
1.17% -72,645.25
08/13/2026 09/13/2023 2.84 895,740.00 0.85%
4.89%4.89%
100.00
10,500.00
NR/NR/NR
FHLB BOND 01.050 % DUE Aaa/NR/AA+081326 DTD 081321 FC02132022 245,000 245,000.00 87.607
161.10
0.80%
0.91% -30,362.85
08/13/2026 2.90 214,637.15 0.20%
5.35%
LIVE OAK BKG CO NC US RT 1,960.00 5.35%00.8000% MAT 08/13/26FIXED RATE CD /NC CD
2,000,000 2,000,000.00 90.108
319.44
1.15%
1.28% -197,840.00
08/26/2026 N/A 1,802,160.00 1.71%
N/A
23,000.00 N/A
NR/NR/NR
FHLB NTS 1.1500% DUE Aaa/NR/AA+082626 DTD 082621 FC02262022 2,000,000 2,000,000.00 86.914
233.33
1.05%
1.21% -261,720.00
08/27/2026 08/27/2025 2.86 1,738,280.00 1.65%
5.89%5.89%
100.00
21,000.00
NR/NR/NR
MORGAN STANLEY FIN LLC A1/A+/A01.050% 082726DTD082721 FC022722 MEDTERM NTS 2,000,000 2,000,000.00 88.904
7,990.00
0.94%
1.06% -221,920.00
09/28/2026 2.95 1,778,080.00 1.69%
4.87%
18,800.00 4.87%
NR/NR/NR
FFCB NTS 00.940 % DUE Aaa/AA+/AA+092826 DTD 092821 FC03282022 1,000,000 982,052.13 90.133
3,760.19
1.13%
1.25% -80,722.13
10/31/2026 3.03 901,330.00 0.86%
4.50%
11,250.00 4.50%
NR/NR/NR
US TSY NOTE 01.125 % DUE NR/AA+/NR10/31/26 DTD 10/31/21 FC04/30/22 245,000 245,000.00 87.803
764.20
1.15%
1.31% -29,882.65
11/24/2026 3.09 215,117.35 0.20%
5.30%
CAPITAL ONE BK USA VA US 2,817.50 5.30%RT 01.1500% MAT 11/24/26FIXED RATE CD /VA CD
245,000 245,000.00 87.803
764.20
1.15%
1.31% -29,882.65
11/24/2026 3.09 215,117.35 0.20%
5.30%
CAPITAL ONE NA VA US RT 2,817.50 5.30%01.1500% MAT 11/24/26FIXED RATE CD /VA CD
Includes all fixed-rate securities in the selected portfolio. Average yields and durations exclude Structured Product, Pass-Through, Perpetual Preferred, and Foreign securities.Accrued interest, if any, has been included in the total market value.Report created on: September 01, 2023 Page 33 of 42 Item #10. Page 35
Meeting Date: 9/26/2023 / Packet Page #: 114
Consolidated report prepared for City of Glendora
Bond Holdingsas of August 31, 2023 (continued)Maturing 2026 Effective rating/
Underlying rating
(Mdy/Fitch/S&P) Quantity Coupon
Effective
maturity
Call date/
Call price ($)
Est. annual
income ($)/
Curr. yield (%)
YTM (%)/
YTW (%)
Modified
duration
Market
price ($)
Mkt. value ($)/
Accr. interest ($)
% of
bond
port.
Adjusted
cost basis ($)/
Unreal. g/l ($)
Total 2026 28,540,000 1.40% 05/30/2026 $389,885.00
1.51%
5.29%5.29%
2.60$28,484,792.10
$-2,593,032.20
$25,891,759.90
$69,855.60
24.61%
Maturing 2027
Effective rating/
Underlying rating
(Mdy/Fitch/S&P) Quantity Coupon
Effective
maturity
Call date/
Call price ($)
Est. annual
income ($)/
Curr. yield (%)
YTM (%)/
YTW (%)
Modified
duration
Market
price ($)
Mkt. value ($)/
Accr. interest ($)
% of
bond
port.
Adjusted
cost basis ($)/
Unreal. g/l ($)
2,000,000 2,000,000.00 90.689
3,577.78
1.84%
2.03% -186,220.00
01/26/2027 3.22 1,813,780.00 1.72%
4.84%
36,800.00 4.84%
NR/NR/NR
FFCB BOND 01.840 % DUE Aaa/AA+/AA+012627 DTD 012622 FC07262022 2,000,000 2,000,000.00 90.416
2,076.67
1.78%
1.97% -191,680.00
02/10/2027 11/10/2023 3.27 1,808,320.00 1.72%
4.84%4.84%
100.00
35,600.00
NR/NR/NR
FHLB BOND 01.780 % DUE Aaa/NR/AA+021027 DTD 021022 FC08102022 245,000 245,000.00 98.410
446.37
4.75%
4.83% -3,895.50
02/17/2027 11/17/2023 3.17 241,104.50 0.23%
5.25%5.25%
100.00
BOKF NA OK US RT 11,637.5004.7500% MAT 02/17/27FIXED RATE CD /OK CD
245,000 245,000.00 88.740
342.33
1.70%
1.92% -27,587.00
02/18/2027 3.35 217,413.00 0.21%
5.26%
METRO CREDIT UNION MA 4,165.00 5.26%US RT 01.7000% MAT02/18/27 LICU SHARECERTIFICATE /MA CD
245,000 245,000.00 88.740
148.34
1.70%
1.92% -27,587.00
02/18/2027 3.35 217,413.00 0.21%
5.26%
PENTAGON FED CREDI VA US 4,165.00 5.26%RT 01.7000% MAT 02/18/27CREDIT UNION SHARE CERT/VA CD
3,215,000 3,075,098.40 91.032
1,077.03
2.01%
2.21% -148,419.60
02/25/2027 11/25/2023 3.29 2,926,678.80 2.78%
4.84%4.84%
100.00
64,621.50
NR/NR/NR
FHLB BOND 02.010 % DUE Aaa/NR/AA+022527 DTD 022522 FC08252022 245,000 245,783.54 89.702
2,443.29
2.00%
2.23% -26,013.64
03/02/2027 3.27 219,769.90 0.21%
5.26%
EAGLEMARK SVGS BK NV US 4,900.00 5.26%RT 02.0000% MAT 03/02/27FIXED RATE CD /NV CD
490,000 490,000.00 98.872
12,239.79
5.45%
5.51% -5,527.20
03/16/2027 09/16/2023 3.10 484,472.80 0.46%
5.81%5.81%
100.00
26,705.00
NR/NR/NR
FHLB BOND 05.450 % DUE Aaa/NR/AA+031627 DTD 121622 FC03162023 245,000 245,000.00 93.230
2,126.47
3.20%
3.43% -16,586.50
05/24/2027 3.42 228,413.50 0.22%
5.22%
DISCOVER BANK DE US RT 7,840.00 5.22%03.2000% MAT 05/24/27FIXED RATE CD /DE CD
Includes all fixed-rate securities in the selected portfolio. Average yields and durations exclude Structured Product, Pass-Through, Perpetual Preferred, and Foreign securities.Accrued interest, if any, has been included in the total market value.Report created on: September 01, 2023 Page 34 of 42 Item #10. Page 36
Meeting Date: 9/26/2023 / Packet Page #: 115
Consolidated report prepared for City of Glendora
Bond Holdingsas of August 31, 2023 (continued)Maturing 2027 Effective rating/
Underlying rating
(Mdy/Fitch/S&P) Quantity Coupon
Effective
maturity
Call date/
Call price ($)
Est. annual
income ($)/
Curr. yield (%)
YTM (%)/
YTW (%)
Modified
duration
Market
price ($)
Mkt. value ($)/
Accr. interest ($)
% of
bond
port.
Adjusted
cost basis ($)/
Unreal. g/l ($)
245,000 245,000.00 98.263
504.77
4.70%
4.78% -4,255.65
06/15/2027 3.45 240,744.35 0.23%
5.21%
ESSENTIAL FED CRED LA US 11,515.00 5.21%RT 04.7000% MAT 06/15/27LICU SHARE CERTIFICATE /LA CD
245,000 245,000.00 93.283
349.04
3.25%
3.48% -16,456.65
06/15/2027 3.54 228,543.35 0.22%
5.21%
LAFAYETTE FED CRED MD US 7,962.50 5.21%RT 03.2500% MAT 06/15/27LICU SHARE CERTIFICATE/MD CD
245,000 245,000.00 99.492
663.18
5.20%
5.23% -1,244.60
12/13/2027 06/12/2024 3.82 243,755.40 0.23%
5.33%5.33%
100.00
PREMIER CMNTY BK WI US 12,740.00RT 05.2000% MAT 12/13/27FIXED RATE CD /WI CD
Total 2027 9,665,000 2.40% 03/05/2027 $228,651.50
2.58%
4.98%4.98%
3.29 $9,525,881.94
$-655,473.34
$8,870,408.60
$25,995.04
8.43%
Maturing 2028
Effective rating/
Underlying rating
(Mdy/Fitch/S&P) Quantity Coupon
Effective
maturity
Call date/
Call price ($)
Est. annual
income ($)/
Curr. yield (%)
YTM (%)/
YTW (%)
Modified
duration
Market
price ($)
Mkt. value ($)/
Accr. interest ($)
% of
bond
port.
Adjusted
cost basis ($)/
Unreal. g/l ($)
1,000,000 1,000,000.00 98.199
4,816.67
5.10%
5.19% -18,010.00
01/27/2028 10/27/2023 3.87 981,990.00 0.93%
5.57%5.57%
100.00
51,000.00
NR/NR/NR
FHLMC MED TERM NTS NR/AA+/AA+05.100 % DUE 012728 DTD013023 FC 07272023 2,000,000 2,000,004.77 98.662
2,100.00
5.40%
5.47% -26,764.77
02/24/2028 11/24/2023 3.92 1,973,240.00 1.88%
5.74%5.74%
100.00
108,000.00
NR/NR/NR
FHLB BOND 05.400 % DUE Aaa/NR/AA+022428 DTD 022423 FC08242023 1,000,000 1,000,000.00 99.136
425.00
5.10%
5.14% -8,640.00
02/28/2028 02/28/2024 3.96 991,360.00 0.94%
5.32%5.32%
100.00
51,000.00
NR/NR/NR
FHLMC MED TERM NTS Aaa/AA+/AA+05.100 % DUE 022828 DTD022823 FC 08282023 245,000 245,000.00 99.068
939.73
5.00%
5.05% -2,283.40
04/03/2028 04/03/2026 4.07 242,716.60 0.23%
5.23%5.23%
100.00
ARBOR FINL CREDIT MI US RT 12,250.0005.0000% MAT 04/03/28FIXED RATE CD /MI CD
2,000,000 2,000,004.94 98.834
38,608.33
5.65%
5.72% -23,324.94
04/28/2028 10/28/2023 3.96 1,976,680.00 1.88%
5.94%5.94%
100.00
113,000.00
NR/NR/NR
FHLB BOND 05.650 % DUE Aaa/NR/AA+042828 DTD 042823 FC10282023 245,000 245,000.00 99.824
604.78
5.30%
5.31% -431.20
07/14/2028 07/14/2025 4.27 244,568.80 0.23%
5.34%5.34%
100.00
CY-FAIR FED CREDIT TX US 12,985.00RT 05.3000% MAT 07/14/28FIXED RATE CD /TX CD
Includes all fixed-rate securities in the selected portfolio. Average yields and durations exclude Structured Product, Pass-Through, Perpetual Preferred, and Foreign securities.Accrued interest, if any, has been included in the total market value.Report created on: September 01, 2023 Page 35 of 42 Item #10. Page 37
Meeting Date: 9/26/2023 / Packet Page #: 116
Consolidated report prepared for City of Glendora
Bond Holdingsas of August 31, 2023 (continued)Maturing 2028 Effective rating/
Underlying rating
(Mdy/Fitch/S&P) Quantity Coupon
Effective
maturity
Call date/
Call price ($)
Est. annual
income ($)/
Curr. yield (%)
YTM (%)/
YTW (%)
Modified
duration
Market
price ($)
Mkt. value ($)/
Accr. interest ($)
% of
bond
port.
Adjusted
cost basis ($)/
Unreal. g/l ($)
245,000 245,000.00 98.893
469.86
5.00%
5.06% -2,712.15
07/17/2028 4.31 242,287.85 0.23%
5.26%
NEW ORLEANS FIREME LA US 12,250.00 5.26%RT 05.0000% MAT 07/17/28FIXED RATE CD /LA CD
Total 2028 6,735,000 5.35% 03/23/2028 $360,485.00
5.42%
5.66%5.66%
3.96 $6,735,009.71
$-82,166.46
$6,652,843.25
$47,964.37
6.32%
Effective rating/
Underlying rating
(Mdy/Fitch/S&P)
Mkt. value ($)/
Accr. interest ($)
Adjusted
cost basis ($)/
Unreal. g/l ($)
Call date/
Coupon Call price ($)
Modified
duration
YTM (%)/
YTW (%)
Est. annual
income ($)/
Quantity Curr. yield (%)
Effective
maturity
% of
bond
port.
Market
price ($)
5.33%5.33%
10/27/2025 N/A 1.99$112,610,822.4 N/A $105,191,686.89
$-7,419,135.51
112,485,000
1.89% $358,705.21 Total Bond Portfolio 1.81% $1,987,515.75 100% $105,550,392.10
Includes all fixed-rate securities in the selected portfolio. Average yields and durations exclude Structured Product, Pass-Through, Perpetual Preferred, and Foreign securities.Accrued interest, if any, has been included in the total market value.Report created on: September 01, 2023 Page 36 of 42 Item #10. Page 38
Meeting Date: 9/26/2023 / Packet Page #: 117
Important Information About This Report Disclosures Applicable to Accounts at UBS Financial Services Inc.
This section contains important disclosures regarding the information and valuations presented here. Allinformation presented is subject to change at any time and is provided only as of the date indicated. Theinformation in this report is for informational purposes only and should not be relied upon as the basis of aninvestment or liquidation decision. UBS FS account statements and official tax documents are the only officialrecord of your accounts and are not replaced, amended or superseded by any of the information presented inthese reports. You should not rely on this information in making purchase or sell decisions, for tax purposes orotherwise.UBS FS offers a number of investment advisory programs to clients, acting in our capacity as an investmentadviser, including fee-based financial planning, discretionary account management, non-discretionary investmentadvisory programs, and advice on the selection of investment managers and mutual funds offered through ourinvestment advisory programs. When we act as your investment adviser, we will have a written agreement withyou expressly acknowledging our investment advisory relationship with you and describing our obligations toyou. At the beginning of our advisory relationship, we will give you our Form ADV brochure(s) for the program(s)you selected that provides detailed information about, among other things, the advisory services we provide, ourfees, our personnel, our other business activities and financial industry affiliations and conflicts between ourinterests and your interests.In our attempt to provide you with the highest quality information available, we have compiled this report usingdata obtained from recognized statistical sources and authorities in the financial industry. While we believe thisinformation to be reliable, we cannot make any representations regarding its accuracy or completeness. Pleasekeep this guide as your Advisory Review.Please keep in mind that most investment objectives are long term. Although it is important to evaluate yourportfolio's performance over multiple time periods, we believe the greatest emphasis should be placed on thelonger period returns.Please review the report content carefully and contact your Financial Advisor with any questions.Client Accounts: This report may include all assets in the accounts listed and may include eligible and ineligibleassets in a fee-based program. Since ineligible assets are not considered fee-based program assets, the inclusionof such securities will distort the actual performance of your accounts and does not reflect the performance ofyour accounts in the fee-based program. As a result, the performance reflected in this report can varysubstantially from the individual account performance reflected in the performance reports provided to you aspart of those programs. For fee-based programs, fees are charged on the market value of eligible assets in theaccounts and assessed quarterly in advance, prorated according to the number of calendar days in the billingperiod. When shown on a report, the risk profile and return objectives describe your overall goals for theseaccounts. For each account you maintain, you choose one return objective and a primary risk profile. If you havequestions regarding these objectives or wish to change them, please contact your Financial Advisor to updateyour account records.Performance: This report presents account activity and performance depending on which inception type you'vechosen. The two options are: (1) All Assets (Since Performance Start): This presents performance for all assetssince the earliest possible date; (2) Advisory Assets (Advisory Strategy Start) for individual advisory accounts: Thispresents Advisory level performance since the Latest Strategy Start date; If an account that has never beenmanaged is included in the consolidated report, the total performance of that unmanaged account will beincluded since inception.
Time-weighted Returns for accounts / SWP/AAP sleeves (Monthly periods): The report displays a timeweighted rate of return (TWR) that is calculated using the Modified Dietz Method. This calculation uses thebeginning and ending portfolio values for the month and weighs each contribution/withdrawal based upon theday the cash flow occurred. Periods greater than one month are calculated by linking the monthly returns. TheTWR gives equal weighting to every return regardless of amount of money invested, so it is an effective measurefor returns on a fee based account. All periods shown which are greater than 12 months are annualized. Thisapplies to all performance for all assets before 09/30/2010, Advisory assets before 12/31/2010 and SWP sleevesbefore 04/30/2018.Time-weighted Returns for accounts / SWP/AAP sleeves (Daily periods): The report displays a timeweighted rate of return (TWR) that is calculated by dividing the portfolio's daily gain/loss by the previous day'sclosing market value plus the net value of cash flows that occurred during the day, if it was positive. The TWRgives equal weighting to every return regardless of amount of money invested, so it is an effective measure forreturns on a fee based account. Periods greater than one day are calculated by linking the daily returns. Allperiods shown which are greater than 12 months are annualized. For reports generated prior to 01/26/2018, theperformance calculations used the account's end of day value on the performance inception (listed in the reportunder the column "ITD") and all cash flows were posted at end of day. As a result of the change, the overallrate of return (TWR) and beginning market value displayed can vary from prior generated reports. This applies toall performance for all assets on or after 09/30/2010, Advisory assets on or after 12/31/2010, SWP/AAP sleeveson or after 04/30/2018 as well as all Asset Class and Security level returns.Money-weighted returns: Money-weighted return (MWR) is a measure of the rate of return for an asset orportfolio of assets. It is calculated by finding the daily Internal Rate of Return (IRR) for the period and thencompounding this return by the number of days in the period being measured. The MWR incorporates the sizeand timing of cash flows, so it is an effective measure of returns on a portfolio.Annualized Performance: All performance periods greater than one year are calculated (unless otherwisestated) on an annualized basis, which represents the return on an investment multiplied or divided to give acomparable one year return.Cumulative Performance: A cumulative return is the aggregate amount that an investment has gained or lostover time, independent of the period of time involved.Net of Fees and Gross of Fees Performance: Performance is presented on a "net of fees" and "gross offees" basis, where indicated. Net returns do not reflect Program and wrap fees prior to 10/31/10 for accountsthat are billed separately via invoice through a separate account billing arrangement. Gross returns do not reflectthe deduction of fees, commissions or other charges. The payment of actual fees and expenses will reduce aclient's return. The compound effect of such fees and expenses should be considered when reviewing returns.For example, the net effect of the deduction of fees on annualized performance, including the compoundedeffect over time, is determined by the relative size of the fee and the account's investment performance. Itshould also be noted that where gross returns are compared to an index, the index performance also does notreflect any transaction costs, which would lower the performance results. Market index data maybe subject toreview and revision.Benchmark/Major Indices: The past performance of an index is not a guarantee of future results. Anybenchmark is shown for informational purposes only and relates to historical performance of market indices andnot the performance of actual investments. Although most portfolios use indices as benchmarks, portfolios areactively managed and generally are not restricted to investing only in securities in the index. As a result, your Report created on: September 01, 2023 Page 37 of 42
Item #10. Page 39
Meeting Date: 9/26/2023 / Packet Page #: 118
Disclosures Applicable to Accounts at UBS Financial Services Inc. (continued) portfolio holdings and performance may vary substantially from the index. Each index reflects an unmanageduniverse of securities without any deduction for advisory fees or other expenses that would reduce actualreturns, as well as the reinvestment of all income and dividends. An actual investment in the securities includedin the index would require an investor to incur transaction costs, which would lower the performance results.Indices are not actively managed and investors cannot invest directly in the indices. Market index data maybesubject to review and revision. Further, there is no guarantee that an investor's account will meet or exceed thestated benchmark. Index performance information has been obtained from third parties deemed to be reliable.We have not independently verified this information, nor do we make any representations or warranties to theaccuracy or completeness of this information.Blended Index - For Advisory accounts, Blended Index is designed to reflect the asset categories in which youraccount is invested. For Brokerage accounts, you have the option to select any benchmark from the list.For certain products, the blended index represents the investment style corresponding to your client targetallocation. If you change your client target allocation, your blended index will change in step with your changeto your client target allocation.Blended Index 2 - 8 - are optional indices selected by you which may consist of a blend of indexes. For advisoryaccounts, these indices are for informational purposes only. Depending on the selection, the benchmark selectedmay not be an appropriate basis for comparison of your portfolio based on it's holdings.For strategies that are highly customized, such as Concentrated Equity Solutions (CES), benchmarks are broadmarket indices included for general reference and are not intended to show comparative market performance orpotential portfolios with risk or return profiles similar to your account. Benchmark indices are shown forillustrative purposes only.Custom Time Periods: If represented on this report, the performance start date and the performance end datehave been selected by your Financial Advisor in order to provide performance and account activity informationfor your account for the specified period of time only. As a result, only a portion of your account's activity andperformance information is presented in the performance report, and, therefore, presents a distortedrepresentation of your account's activity and performance.Net Deposits/Withdrawals: When shown on a report, this information represents the net value of all cash andsecurities contributions and withdrawals, program fees (including wrap fees) and other fees added to orsubtracted from your accounts from the first day to the last day of the period. When fees are shown separately,net deposits / withdrawals does not include program fees (including wrap fees). When investment return isdisplayed net deposits / withdrawals does not include program fees (including wrap fees). For securitycontributions and withdrawals, securities are calculated using the end of day UBS FS price on the day securitiesare delivered in or out of the accounts. Wrap fees will be included in this calculation except when paid via aninvoice or through a separate accounts billing arrangement. When shown on Client summary and/or Portfolioreview report, program fees (including wrap fees) may not be included in net deposits/withdrawals. PACEProgram fees paid from sources other than your PACE account are treated as a contribution. A PACE ProgramFee rebate that is not reinvested is treated as a withdrawal.Deposits: When shown on a report, this information represents the net value of all cash and securitiescontributions added to your accounts from the first day to the last day of the period. On Client Summary Reportand/or Portfolio Review Report, this may exclude the Opening balance. For security contributions, securities arecalculated using the end of day UBS FS price on the day securities are delivered in or out of the accounts.
Withdrawals: When shown on a report, this information represents the net value of all cash and securitieswithdrawals subtracted from your accounts from the first day to the last day of the period. On Client summaryand/or portfolio review report Withdrawals may not include program fees (including wrap fees). For securitywithdrawals, securities are calculated using the end of day UBS FS price on the day securities are delivered in orout of the accounts.Dividends/Interest: Dividend and interest earned, when shown on a report, does not include income onsecurities that have been lent out & does not reflect your account's tax status or reporting requirements. Useonly official tax reporting documents (i.e. 1099) for tax reporting purposes. The classification of privateinvestment distributions can only be determined by referring to the official year-end tax-reporting documentprovided by the issuer.Change in Accrued Interest: When shown on a report, this information represents the difference between theaccrued interest at the beginning of the period from the accrued interest at the end of the period.Change in Value: Represents the change in value of the portfolio during the reporting period, excludingadditions/withdrawals, dividend and interest income earned and accrued interest. Change in Value may includeprograms fees (including wrap fees) and other fees.Fees: Fees represented in this report include program and wrap fees. Program and wrap fees prior to October 1,2010 for accounts that are billed separately via invoice through a separate account billing arrangement are notincluded in this report.Performance Start Date Changes: The Performance Start Date for accounts marked with a '^' have changed.Performance figures of an account with a changed Performance Start Date may not include the entire history ofthe account. The new Performance Start Date will generate performance returns and activity information for ashorter period than is available at UBS FS. As a result, the overall performance of these accounts may generatebetter performance than the period of time that would be included if the report used the inception date of theaccount. UBS FS recommends reviewing performance reports that use the inception date of the account becausereports with longer time frames are usually more helpful when evaluating investment programs and strategies.Performance reports may include accounts with inception dates that precede the new Performance Start Dateand will show performance and activity information from the earliest available inception date.The change in Performance Start Date may be the result of a performance gap due to a zero-balance thatprevents the calculation of continuous returns from the inception of the account. The Performance Start Datemay also change if an account has failed one of our performance data integrity tests. In such instances, theaccount will be labeled as 'Review Required' and performance prior to that failure will be restricted. Finally, thePerformance Start Date will change if you have explicitly requested a performance restart. Please contact yourFinancial Advisor for additional details regarding your new Performance Start Date.Closed Account Performance: Accounts that have been closed may be included in the consolidatedperformance report. When closed accounts are included in the consolidated report, the performance report willonly include information for the time period the account was active during the consolidated performancereporting time period.Important information on options-based strategies: Options involve risk and are not suitable for everyone.Prior to buying or selling an option investors must read a copy of the Characteristics & Risks of StandardizedOptions, also known as the options disclosure document (ODD). It explains the characteristics and risks of Report created on: September 01, 2023 Page 38 of 42
Item #10. Page 40
Meeting Date: 9/26/2023 / Packet Page #: 119
Disclosures Applicable to Accounts at UBS Financial Services Inc. (continued) exchange traded options. The options risk disclosure document can be accessed at the following web address:www.optionsclearing.com/about/publications/character-risks.Concentrated Equity Solutions (CES) managers are not involved in the selection of the underlying stock positions.The Manager will advise only on the options selection in order to pursue the strategy in connection with theunderlying stock position(s) deposited in the account. It is important to keep this in mind when evaluating themanager's performance since the account's performance will include the performance of the underlying equityposition that is not being managed. CES use options to seek to achieve your investment objectives regardingyour concentration stock position. Options strategies change the potential return profile of your stock. In certainscenarios, such as call writing, the call position will limit your ability to participate in any potential increase in theunderlying equity position upon which the call was written. Therefore, in some market conditions, particularlyduring periods of significant appreciation of the underlying equity position(s), the CES account will decrease theperformance that would have been achieved had the stock been held long without implementing the CESstrategy.Portfolio: For purposes of this report "portfolio" is defined as all of the accounts presented on the cover pageor the header of this report and does not necessarily include all of the client's accounts held at UBS FS orelsewhere.Percentage: Portfolio (in the "% Portfolio / Total" column) includes all holdings held in the account(s) selectedwhen this report was generated. Broad asset class (in the "% broad asset class" column) includes all holdingsheld in that broad asset class in the account(s) selected when this report was generated.Tax lots: This report displays security tax lots as either one line item (i.e., lumped tax lots) or as separate tax lotlevel information. If you choose to display security tax lots as one line item, the total cost equals the total valueof all tax lots. The unit cost is an average of the total cost divided by the total number of shares. If the shareswere purchased in different lots, the unit price listed does not represent the actual cost paid for each lot. Theunrealized gain/loss value is calculated by combining the total value of all tax lots plus or minus the total marketvalue of the security.If you choose to display tax lot level information as separate line items on the Portfolio Holdings report, the taxlot information may include information from sources other than UBS FS. The Firm does not independently verifyor guarantee the accuracy or validity of any information provided by sources other than UBS FS. As a result thisinformation may not be accurate and is provided for informational purposes only. Clients should not rely on thisinformation in making purchase or sell decisions, for tax purposes or otherwise. See your monthly statement foradditional information.Pricing: All securities are priced using the closing price reported on the last business day preceding the date ofthis report. Every reasonable attempt has been made to accurately price securities; however, we make nowarranty with respect to any security's price. Please refer to the back of the first page of your UBS FS accountstatement for important information regarding the pricing used for certain types of securities, the sources ofpricing data and other qualifications concerning the pricing of securities. To determine the value of securities inyour account, we generally rely on third party quotation services. If a price is unavailable or believed to beunreliable, we may determine the price in good faith and may use other sources such as the last recordedtransaction. When securities are held at another custodian or if you hold illiquid or restricted securities for whichthere is no published price, we will generally rely on the value provided by the custodian or issuer of thatsecurity.
Cash: Cash on deposit at UBS Bank USA is protected by the Federal Deposit Insurance Corporation (FDIC) up to$250,000 in principal and accrued interest per depositor for each ownership type. Deposits made in anindividual's own name, joint name, or individual retirement account are each held in a separate type ofownership. Such deposits are not guaranteed by UBS FS. More information is available upon request.Margin: The quantity value may indicate that all or part of this position is held on margin or held in the shortaccount. When an account holds a debit balance, this debit balance is incorporated into the account's totalmarket value and deducted from the total value. When calculating the percent of portfolio on each security, thepercentage will be impacted by the total market value of the account. Therefore, if the account's market value isreduced by a debit value of a holding the percent of portfolio will be greater and if the account's market value isincreased by a holding then the percent of portfolio will be less.Asset Allocation: Your allocation analysis is based on your current portfolio. The Asset Allocation portion ofthis report shows the mix of various investment classes in your account. An asset allocation that shows asignificantly higher percentage of equity investments may be more appropriate for an investor with a moreaggressive investment strategy and higher tolerance for risk. Similarly, the asset allocation of a more conservativeinvestor may show a higher percentage of fixed income investments.Separately Managed Accounts and Pooled Investment Vehicles (such as mutual funds, closed end fundsand exchanged traded funds): The asset classification displayed is based on firm's proprietary methodology forclassifying assets. Please note that the asset classification assigned to rolled up strategies may include individualinvestments that provide exposure to other asset classes. For example, an International Developed Marketsstrategy may include exposure to Emerging Markets, and a US Large Cap strategy may include exposure to MidCap and Small Cap, etc.Mutual Fund Asset Allocation: If the option to unbundle balanced mutual funds is selected and if a fund'sholdings data is available, mutual funds will be classified by the asset class, subclass, and style breakdown oftheir underlying holdings. Where a mutual fund or ETF contains equity holdings from multiple equity sectors, thisreport will proportionately allocate the underlying holdings of the fund to those sectors measured as apercentage of the total fund's asset value as of the date shown.This information is supplied by Morningstar, Inc. on a daily basis to UBS FS based on data supplied by the fundwhich may not be current. Mutual funds change their portfolio holdings on a regular (often daily) basis.Accordingly, any analysis that includes mutual funds may not accurately reflect the current composition of thesefunds. If a fund's underlying holding data is not available, it will be classified based on its corresponding overallMorningstar classification. All data is as of the date indicated in the report.All pooled investment vehicles (such as mutual funds, closed end mutual funds, and exchange traded funds)incorporate internal management and operation expenses, which are reflected in the performance returns.Please see relevant fund prospectus for more information. Please note, performance for mutual funds is inclusiveof multiple share classes.Ineligible Assets: We require that you hold and purchase only eligible managed assets in your advisoryaccounts. Please contact your Financial Advisor for a list of the eligible assets in your program. These reports mayprovide performance information for eligible and ineligible assets in a fee-based program. Since ineligible assetsare not considered fee-based program assets, the inclusion of such securities will distort the actual performanceof your advisory assets. As a result, the performance reflected in this report can vary substantially from theindividual account performance reflected in the performance reports provided to you as part of those programs.
Report created on: September 01, 2023 Page 39 of 42
Item #10. Page 41
Meeting Date: 9/26/2023 / Packet Page #: 120
Disclosures Applicable to Accounts at UBS Financial Services Inc. (continued) For fee-based programs, fees are charged on the market value of eligible assets in the accounts and assessedquarterly in advance, prorated according to the number of calendar days in the billing period. Neither UBS noryour Financial Advisor will act as your investment adviser with respect to Ineligible Assets.Variable Annuity Asset Allocation: If the option to unbundle a variable annuity is selected and if a variableannuity's holdings data is available, variable annuities will be classified by the asset class, subclass, and stylebreakdown for their underlying holdings. Where a variable annuity contains equity holdings from multiple equitysectors, this report will proportionately allocate the underlying holdings of the variable annuity to those sectorsmeasured as a percentage of the total variable annuity's asset value as of the date shown.This information is supplied by Morningstar, Inc. on a weekly basis to UBS FS based on data supplied by thevariable annuity which may not be current. Portfolio holdings of variable annuities change on a regular (oftendaily) basis. Accordingly, any analysis that includes variable annuities may not accurately reflect the currentcomposition of these variable annuities. If a variable annuity's underlying holding data is not available, it willremain classified as an annuity. All data is as of the date indicated in the report.Equity Style: The Growth, Value and Core labels are determined by Morningstar. If an Equity Style isunclassified, it is due to non-availability of data required by Morningstar to assign it a particular style.Equity Capitalization: Market Capitalization is determined by Morningstar. Equity securities are classified asLarge Cap, Mid Cap or Small Cap by Morningstar. Unclassified securities are those for which no capitalization isavailable on Morningstar.Equity Sectors: The Equity sector analysis may include a variety of accounts, each with different investment andrisk parameters. As a result, the overweighting or underweighting in a particular sector or asset class should notbe viewed as an isolated factor in making investment/liquidation decisions; but should be assessed on anaccount by account basis to determine the overall impact on the account's portfolio.Classified Equity: Classified equities are defined as those equities for which the firm can confirm the specificindustry and sector of the underlying equity instrument.Estimated Annual Income: The Estimated Annual Income is the dividend/interest rate paid by the investmentsolely as of the date of this report, annualized yearly per share and multiplied by the quantity of shares held inthe selected account(s). For Expected Cash Flow and Portfolio Holdings reports prior to June 23, 2023, savingsproducts & sweep funds do not display such calculations and instead, values are displayed as N/A. For all otherreports, Estimated Annual Income for savings products & sweep funds is not calculated or factored intoaggregate calculations and will be displayed as 0.Current Yield: Current yield calculations display the current yield of the investment solely as of the date of thisreport, is defined as the estimated annual income divided by the total market value. For Portfolio Holdings reportgenerated prior to June 23, 2023, savings products & sweep funds do not include such information and instead,values are displayed as N/A. For all other reports, Current Yield for savings products & sweep funds is notcalculated or factored into aggregate calculations and will be displayed as 0.Bond Rating: These ratings are obtained from independent industry sources and are not verified by UBS FS.Securities without rating information are left blank. Rating agencies may discontinue ratings on high yieldsecurities.
NR: When NR is displayed under bond rating column, no ratings are currently available from that rating agency.High Yield: This report may designate a security as a high yield fixed income security even though one or morerating agencies rate the security as an investment grade security. Further, this report may incorporate a ratingthat is no longer current with the rating agency. For more information about the rating for any high yield fixedincome security, or to consider whether to hold or sell a high yield fixed income security, please contact yourfinancial advisor or representative and do not make any investment decision based on this report.Credit/Event Risk: Investments are subject to event risk and changes in credit quality of the issuer. Issuers canexperience economic situations that may have adverse effects on the market value of their securities.Interest Rate Risk: Bonds are subject to market value fluctuations as interest rates rise and fall. If sold prior tomaturity, the price received for an issue may be less than the original purchase price.Reinvestment Risk: Since most corporate issues pay interest semiannually, the coupon payments over the lifeof the bond can have a major impact on the bond's total return.Call Provisions: When evaluating the purchase of a corporate bond, one should be aware of any features thatmay allow the issuer to call the security. This is particularly important when considering an issue that is trading ata premium to its call price, since the return may be negatively impacted if the issue is redeemed. Should an issuebe called, investors may be faced with an earlier than anticipated reinvestment decision, and may be unable toreinvest their principal at equally favorable rates.Effective Maturity: Effective maturity is the expected redemption due to pre-refunding, puts, or maturity anddoes not reflect any sinking fund activity, optional or extraordinary calls. Securities without a maturity date areleft blank and typically include Preferred Securities, Mutual Funds and Fixed Income UITs.Yields: Yield to Maturity and Yield to Worst are calculated to the worst call.Accrued Interest: Interest that has accumulated between the most recent payment and the report date may bereflected in market values for interest bearing securities.Bond Averages: All averages are weighted averages calculated based on market value of the holding, notincluding accrued interest.Tax Status: "Taxable" includes all securities held in a taxable account that are subject to federal and/or state orlocal taxation. "Tax-exempt" includes all securities held in a taxable account that are exempt from federal, stateand local taxation. "Tax-deferred" includes all securities held in a tax-deferred account, regardless of the statusof the security.Bond sensitivity analysis: This analysis uses Modified Duration which approximates the percentage pricechange of a security for a given change in yield. The higher the modified duration of a security, the higher itsrisk. For callable securities, modified duration does not address the impact of changing interest rates on abond's expected cash flow as a result of a call or prepayment.Amortization and Accretion: Prior to March 2008, amortization was calculated using the straight line methodfor tax exempt securities and was not calculated for taxable securities. Post March 2008, amortization iscalculated using the constant yield method. Prior to October 2008, accretion due to original issue discount was Report created on: September 01, 2023 Page 40 of 42
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Disclosures Applicable to Accounts at UBS Financial Services Inc. (continued) not calculated. Post October 2008, accretion due to original issue discount is calculated using the constant yieldmethod.  Prior to January 2015, accretion due to market discount was calculated using the straight linemethod. Post January 2015, accretion due to market discount is calculated using the constant yield method. We assume the securities are held to par and premiums are calculated to call date. Amortization and accretionvalues may be incorrect due to adjustments related to cost basis. You may hold additional fixed income securitiesthat may not appear on this report. Please refer to your account statements for information regarding all of yourholdings.Gain/Loss: The gain/loss information may include calculations based upon non-UBS FS cost basis information.The Firm does not independently verify or guarantee the accuracy or validity of any information provided bysources other than UBS FS. In addition, if this report contains positions with unavailable cost basis, the gain/(loss)for these positions are excluded in the calculation for the Gain/(Loss). As a result these figures may not beaccurate and are provided for informational purposes only. Clients should not rely on this information in makingpurchase or sell decisions, for tax purposes or otherwise. Rely only on year-end tax forms when preparing yourtax return. See your monthly statement for additional information.Accounts Included in this Report: The account listing may or may not include all of your accounts with UBSFS. The accounts included in this report are listed under the "Accounts included in this review" shown on thefirst page or listed at the top of each page. If an account number begins with "@" this denotes assets orliabilities held at other financial institutions. Information about these assets, including valuation, account typeand cost basis, is based on the information you provided to us, or provided to us by third party data aggregatorsor custodians at your direction. We have not verified, and are not responsible for, the accuracy or completenessof this information.Account name(s) displayed in this report and labels used for groupings of accounts can be customizable"nicknames" chosen by you to assist you with your recordkeeping or may have been included by your financialadvisor for reference purposes only. The names used have no legal effect, are not intended to reflect anystrategy, product, recommendation, investment objective or risk profile associated with your accounts or anygroup of accounts, and are not a promise or guarantee that wealth, or any financial results, can or will beachieved. All investments involve the risk of loss, including the risk of loss of the entire investment.For more information about account or group names, or to make changes, contact your Financial Advisor.Account changes: At UBS, we are committed to helping you work toward your financial goals. So that we maycontinue providing you with financial advice that is consistent with your investment objectives, please considerthe following two questions:1) Have there been any changes to your financial situation or investment objectives?2) Would you like to implement or modify any restrictions regarding the management of your account?If the answer to either question is "yes," it is important that you contact your Financial Advisor as soon aspossible to discuss these changes. For MAC advisory accounts, please contact your investment manager directlyif you would like to impose or change any investment restrictions on your account.ADV disclosure: A complimentary copy of our current Form ADV Disclosure Brochure that describes theadvisory program and related fees is available through your Financial Advisor. Please contact your FinancialAdvisor if you have any questions.Important information for former Piper Jaffray and McDonald Investments clients: As an accommodation to former Piper Jaffray and McDonald Investments clients, these reports include performancehistory for their Piper Jaffray accounts prior to August 12, 2006 and McDonald Investments accounts prior toFebruary 9, 2007, the date the respective accounts were converted to UBS FS. UBS FS has not independentlyverified this information nor do we make any representations or warranties as to the accuracy or completenessof that information and will not be liable to you if any such information is unavailable, delayed or inaccurate.For insurance, annuities, and 529 Plans, UBS FS relies on information obtained from third party services itbelieves to be reliable. UBS FS does not independently verify or guarantee the accuracy or validity of anyinformation provided by third parties. Information for insurance, annuities, and 529 Plans that has been providedby a third party service may not reflect the quantity and market value as of the previous business day. Whenavailable, an "as of" date is included in the description.Investors outside the U.S. are subject to securities and tax regulations within their applicable jurisdiction that arenot addressed in this report. Nothing in this report shall be construed to be a solicitation to buy or offer to sellany security, product or service to any non-U.S. investor, nor shall any such security, product or service besolicited, offered or sold in any jurisdiction where such activity would be contrary to the securities laws or otherlocal laws and regulations or would subject UBS to any registration requirement within such jurisdiction.Performance History prior to the account's inception at UBS Financial Services, Inc. may have been included inthis report and is based on data provided by third party sources. UBS Financial Services Inc. has notindependently verified this information nor does UBS Financial Services Inc. guarantee the accuracy or validity ofthe information.Important information about brokerage and advisory services. As a firm providing wealth managementservices to clients, UBS Financial Services Inc. offers investment advisory services in its capacity as an SECregistered investment adviser and brokerage services in its capacity as an SEC-registered broker-dealer.Investment advisory services and brokerage services are separate and distinct, differ in material ways and aregoverned by different laws and separate arrangements. It is important that clients understand the ways in whichwe conduct business, that they carefully read the agreements and disclosures that we provide to them about theproducts or services we offer. For more information, please review client relationship summary provided at ubs.com/relationshipsummary. UBS Financial Services account protectionThe Firm is a member of the Securities Investor Protection Corporation (SIPC), which protects securitiescustomers of its members up to $500,000 (including $250,000 for claims for cash). Explanatory brochureavailable upon request or at www.sipc.org. The SIPC asset protection limits apply to all accounts that you hold ina particular capacity.The Firm, together with certain affiliates, has also purchased supplemental insurance. The maximum amountpayable to all eligible clients, collectively under this protection is $500 million as of December 10, 2019. Subjectto the policy conditions and limitations, cash at the Firm is further protected for up to $1.9 million in theaggregate for all your accounts held in a particular capacity. A full copy of the policy wording is available uponrequest.Neither the SIPC protection nor the supplemental protection apply to:
• Certain financial assets controlled by (and included in your account value) but held away from UBS Financial Services. For example certain (i) insurance products, including variable annuities, Report created on: September 01, 2023 Page 41 of 42
Item #10. Page 43
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Disclosures Applicable to Accounts at UBS Financial Services Inc. (continued) and (ii) shares of mutual funds registered in the name of the account holder on the books ofthe issuer or transfer agent); • Investment contracts or investment interests (e.g., limited partnerships and private placements) that are not registered under the Securities Act of 1933; • Commodities contracts (e.g., foreign exchange and precious metal contracts), including futures contracts and commodity option contracts;
• Securities on loan to UBS Financial Services; and• Deposit accounts (except certificates of deposit) at UBS Bank USA, UBS AG U.S. branches and banks in the FDIC Insured Deposit Program.
The SIPC protection and the supplemental protection do not apply to these assets even if they otherwise appearon your statements. The SIPC protection and the supplemental protection do not protect against changes in themarket value of your investments (whether as a result of market movement, issuer bankruptcy or otherwise).Non-UBS Assets and Liabilities: This report is not intended to provide you with consolidated information orreporting regarding your holdings at other firms. However, at your request, this report may include informationregarding assets that you hold at other financial institutions so that you may review your asset allocation and/orinvestment strategy in the context of your overall holdings. You should review and maintain the originaldocuments for these assets, such as the statements for individual accounts held away from UBS. Thosedocuments may contain notices, disclosures and other information important to you, and may also serve as areference should questions arise regarding the accuracy of that information as presented in this report.The information presented for accounts held at other financial institutions has been provided to UBS at yourdirection through your agreement with an Outside Asset Data Aggregation Service. These accounts have beenadded to this report at your request and are automatically updated to reflect the most recent data received fromthe custodian. Information may have also been provided based on documents and valuation you provided toyour Financial Advisor. These accounts have been added to this report at your request and may not reflect thecurrent valuation.If an account number begins with "@" this denotes assets or liabilities held at other financial institutions.Information about these assets, including valuation, account type and cost basis, is based on the information youprovided to us, or provided to us by third party data aggregators or custodians at your direction. We have notverified, and are not responsible for, the accuracy or completeness of this information.If the information you or your custodians provided to us is not current, inclusion of these assets will impact theaccuracy of the current asset allocation and other analysis presented. We do not provide purchase, sale or holdrecommendations or advice with respect to your assets at other firms and do not assume responsibility foractivity you conduct at other financial institutions.UBS’s SIPC coverage applies to assets held at UBS. If you maintain assets at other firms that may be SIPCmembers, you should contact their financial representative or the other entity or refer to the other entitysstatement regarding SIPC membership. Your UBS Financial Services Inc. account statements are the only officialrecord of your UBS holdings and account and are not replaced, amended or superseded by any of theinformation presented in this report.Assets that you hold at other financial institutions are priced using the closing price reported on the last businessday preceding the date of this report. Every reasonable attempt has been made to accurately price securities; however, we make no warranty with respect to any security’s price. To determine the value of securities in youraccount, we generally rely on third party quotation services. If a price is unavailable or believed to be unreliable,we may determine the price in good faith and may use other sources such as the last recorded transaction.When securities are held at another custodian or if you hold illiquid or restricted securities for which there is nopublished price, we will generally rely on the value provided by the custodian or issuer of that security.The value of assets held at other financial institutions is based on the "Last Refresh Date" displayed. Up todate valuation and information can be obtained directly from the custodian of your assets. The accountstatements you receive from your third party custodian regarding the assets you hold with them are the officialrecord of your holdings and accounts and are not impacted or superseded by the information in this report.Account balances and security pricing will always display in U.S. Dollars even if assets in your Outside Accountsare denominated in other currencies. UBS will convert any values received in the Outside Account Information toU.S. Dollars using foreign exchange rates from UBS as of the previous business.
Report created on: September 01, 2023 Page 42 of 42
Item #10. Page 44
Meeting Date: 9/26/2023 / Packet Page #: 123
STAFF REPORT
TO: Chair and Authority Members DATE: September 26, 2023 FROM: Administrative Services DISTRICT(S): Citywide
SUBJECT: Consideration of a Resolution Approving an Amendment to the Authorized Position Control Listing and Amending the Classification and Compensation Plan for the City of Glendora Relating to Finance Director/City Treasurer
RECOMMENDATION
That the City/Agency/Authority Council:
1. Adopt a City Council Resolution approving an amendment to the Authorized Position Control Listing and Amending the Classification and Compensation Plan for the City of Glendora relating to the Finance Director/City Treasurer.
STRATEGIC FOCUS AREAS
Goal 3: Enhance Employee Development and Retention (EEDR) Goal 4: Enhance and Modernize the Organization (EMO)
EXECUTIVE SUMMARY
Recruiting and retaining employees continues to be a critical challenge for the City. In order to maintain stability and retain staff while modernizing the organization, certain personnel adjustments are necessary to ensure reliable quality services are provided to the community in an efficient and effective manner.
The reinstatement of a Finance Director/City Treasurer position with a competitive salary will provide highlevel assistance, guidance, and leadership to the City Manager and City departments for all Finance related services. Adding this role to the classification plan is intended to provide allow existing staff to promote and while retaining qualified staff for long term stability of the City. On September 12, 2023, the City Council approved the creation of a Deputy City Manager with opportunities for other staff members to move up from Assistant Director to Finance Director.
LEGISLATIVE HISTORY / PREVIOUS ACTIONS
The Code Glendora Municipal Code § 2.08.070(4) provides that “the City Manager . . . [shall] recommend to the City Council such reorganization of offices, positions, departments or units under their direction as may be indicated in the interest of efficient, effective, and economical conduct of the city’s business.”
DISCUSSION
In August 2019, the City Council approved the reorganization of Finance and Human Resources, which resulted in the creation of the Administrative Services Director to oversee the day-to-day operations of Finance, Human Resources, and Risk Management. Since then, the City has started the implementation of a new finance, permitting, and work order software.
On September 12, 2023, the City Council approved the creation of a Deputy City Manager with opportunities for other staff members to move up from Assistant Director to Finance Director.
Item #11. Page 1
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Staff Report Page 2 of 2
Reinstatement of the Finance Director/City Treasurer position will allow for upward movement within the organization. There will not be an increase in the number of employees with the creation of this position.
The intent is to reclassify an existing position to this title to reflect the increased duties and responsibilities. The proposed salary for the position will be equal to the Public Works Director and Community Development Director with a minimum of $14,163.72 monthly and a maximum of $17,688.55 monthly.
This position will be in the Executive Management group and entitled to the approved Executive Management Benefits. Any other benefits or deviations from the Executive Management Benefits Schedule will be outlined in the individual employment contract.
FISCAL IMPACT
Sufficient funding is available in the FY 2023-24 Operating Budget. The increase to the labor costs will be approximately $12,000 with savings from vacancies to offset the increase.
ENVIRONMENTAL DETERMINATION
None
Prepared By Marie Ricci, Administrative Services Director Concurs With Not Applicable
Reviewed By Marie Ricci, Administrative Services Director Certified to Availability of Funds Marie Ricci, Administrative Services Director/City Treasurer Approved By Adam Raymond, City Manager
Legal Review William W. Wynder, City Attorney
CEQA Review Not Applicable
ATTACHMENTS:
A. Resolution
B. Exhibit A of Resolution – Finance Director/City Treasurer Job Description Item #11. Page 2
Meeting Date: 9/26/2023 / Packet Page #: 125
RESOLUTION CC 2023-____
A RESOLUTION OF THE GLENDORA CITY COUNCIL APPROVING AN
AMENDMENT TO THE AUTHORIZED POSITION CONTROL AND
AMENDING THE CLASSIFICATION AND COMPENSATION PLAN FOR
THE CITY OF GLENDORA RELATING TO FINANCE DIRECTOR/CITY
TREASURER
THE CITY COUNCIL
City of Glendora, California
WHEREAS, Section 2.08.074(4) of the Glendora Municipal Code provides that it is the duty and responsibility of the City Manager to recommend to the City Council such reorganization of offices, positions, departments, or units under their direction as may be indicated in the interest of efficient, effective, and economical conduct of the city’s business.; and,
WHEREAS, Section 2.09.030 of the Glendora Municipal Code provides that a Position Classification Plan, and revisions thereof, shall be prepared by the Personnel Officer covering all positions in the competitive service, which shall become effective upon the approval of the City Council; and,
WHEREAS, as part of the ongoing effort to modernize the organization, coordinate implementation of the 2023-2025 Strategic Plan objectives, address legislative initiatives, and prepare for succession planning; and,
WHEREAS, periodically the Compensation Plan and authorized positions lists are amended to reflect changes in the organizational structure.
NOW, THEREFORE, THE CITY COUNCIL OF THE CITY OF GLENDORA, CALIFORNIA, DOES HEREBY RESOLVE AS FOLLOWS:
SECTION 1. That the City Council adopt the job descriptions for the revised Finance Director/City Treasurer attached in Exhibit A.
SECTION 2. That the City Council approve the following recommended new classification and salary range for inclusion in the Position Compensation Plan and the Authorized Position Listing within the City’s Fiscal Year 2023-25 budget plan:
Title Proposed Salary
Finance Director/City Treasurer $14,163.72/mo - $17,688.55/mo SECTION 3. Authorize the reclassification to Finance Director/City Treasurer as deemed appropriate by the City Manager.
SECTION 4. The City Clerk shall certify to the passage and adoption of this resolution and shall enter the same in the Book of Original Resolutions.
Item #11. Page 3
Meeting Date: 9/26/2023 / Packet Page #: 126
Resolution CC 2023-_____ Page 2 of 2
APPROVED and PASSED this __ day of September, 2023.
City Council of Glendora, CA
BY:
GARY BOYER
Mayor
APPROVAL TO FORM
Aleshire & Wynder, LLP
WILLIAM W. WYNDER
City Attorney
CERTIFICATION
I, do hereby certify that the foregoing Resolution was duly adopted by the City Council of the City of Glendora at a regular meeting held on the ___ day of September, 2023, by the following vote:
AYES: MEMBERS:
NOES: MEMBERS:
ABSENT: MEMBERS:
ABSTAIN: MEMBERS:
Dated:
KATHLEEN R. SESSMAN
City Clerk/Communications Director
Item #11. Page 4
Meeting Date: 9/26/2023 / Packet Page #: 127
Date Adopted: 6/13/06
Revised: 9/26/23
CITY OF GLENDORA
FINANCE DIRECTOR/CITY TREASURER
Class specifications are intended to present a descriptive list of the range of duties performed by employees in the class. Specifications are not intended to reflect all duties performed within the job.
DEFINITION
Under general direction, functions as the administrative head of a City department composed of financial services including accounting, payroll, accounts receivable and cashiering, budget, risk management, water and refuse billing, purchasing, business licensing, and City Treasurer; participates in the development of policies related to assigned areas of responsibility; as a member of the City’s executive management team, reviews and assists in addressing general City concerns; performs related duties as required.
CLASS CHARACTERISTICS
Employees in Executive Management classes report to the City Manager or his/her designee and are responsible for the development and administration of programs designed to address primary areas of City service. The incumbent is expected to exercise independent judgment, wisdom, common sense, and initiative in establishing efficient and effective departmental operations consistent with City Council policies and administrative guidelines established by the City Manager. The incumbent must also function as a member of the City’s management team and participate actively in addressing issues of concern to the City which at times may not have a direct impact on area of specialization.
ESSENTIAL JOB FUNCTIONS
These functions may not be present in all positions in this class. When a position is to be filled, the essential functions will be noted in the announcement of position availability. Letters in parenthesis at the end of each function statement represent the abilities required to perform that function.
1. Plans, directs and coordinates the fiscal management program of the City including budget preparation and monitoring, collection and disbursement of revenues, accounting, financial reporting and auditing and investment of funds. (a b d g j k p q r)
2. Monitors City compliance with various laws and regulations governing the administration of fiscal affairs. (a d j k o p)
3. Plans, directs, coordinates and is responsible for investments and cash flow; develops and implements policies governing the investment of City funds; directs the investment program. (a b d h j k l p q)
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Meeting Date: 9/26/2023 / Packet Page #: 128
Finance Director/City Treasurer - 2 -
4. Reviews loss runs and participates in administration of the City’s risk management program including the processing of payments, preparation of related reports and coordination with the City’s claims administrator. (a b d g h j k l m n p q)
5. Participates in the compilation of budget requests, preparation of preliminary and final budget documents, and various transactions required for budget control and administration. (b d n o p q r)
6. Monitors the financial activities of the Redevelopment Agency and interfaces with Bond Counsels and bond holders. (a b c d f g h j k l n o p q r)
7. Directs the preparation of revenue, expenditure, debt, costs and other reports on departmental operations. (a b d g j k p)
8. Provides advice and counsel to the City Council and staff on fiscal planning, revenue, expenditure projections and related matters. (a b c j k o p)
9. Resolves complaints and problems which cannot be satisfactorily addressed by subordinates. (a b c f i j k p)
10.Coordinates departmental activities with other City departments and outside agencies. (a c j k p)
11.Participates in City management staff meetings; may serve on special task forces or direct the conduct of projects having general City-wide impact. (a b f j k p)
REQUISITE ABILITIES
The following generally describes the abilities required to enter the job and/or be learned within a short period of time in order to successfully perform the assigned duties. a. Communicate clearly and concisely, both orally and in writing. b. Research and prepare complex reports on a variety of subjects. c. Establish and maintain effective relationships with the community at large, the City Council, and other public officials.
d. Plan, direct, and coordinate accounting, purchasing and stores, and revenue collection, treasury management and licensing programs and manage a department.
e. Select, train, supervise and evaluate employees.
f. Represent the City in a variety of meetings.
Item #11. Page 6
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Finance Director/City Treasurer - 3 -
g. Make decisions regarding operational and personnel functions. h. Operate programs within allocated amounts.
i. Respond to emergency and problem situations in an effective manner. j. Understand, explain and apply policies and procedures. k. Analyze unusual situations and resolve them through application of management principles and practices.
l. Develop comprehensive plans to meet future City needs/services. m. Deal constructively with conflict and develop effective resolutions. n. Plan and enforce a balanced budget.
o. Develop new policies impacting department operations/procedures. p. Interpret financial statements and cost accounting reports. q. Analyze financial issues as they relate to City services. r. Develop programs to fund City services.
MARGINAL FUNCTIONS
These are position functions which may be changed, deleted or reassigned to accommodate an individual with a disability.
QUALIFICATIONS GUIDELINES
Education and/or Experience Any combination of education and experience that would likely provide the required knowledge and abilities is qualifying. A typical way to obtain the knowledge and abilities would be:
A Bachelor’s degree or equivalent with major work in public or business administration, accounting or a closely related field and five years of progressively responsible experience in governmental accounting including at least three years as an Assistant Director or in a high level municipal finance supervisory capacity.
Knowledge and Skill Levels
Thorough knowledge of municipal accounting and finance administration principles, systems, procedures, reports and practices; management and organization theories, principles, practices and methods; laws and regulations which govern municipal finance administration; treasury management and investment programs available for municipal funds; sources of revenue to fund Item #11. Page 7
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Finance Director/City Treasurer - 4 -
City services; municipal budgeting processes.
PHYSICAL DEMANDS AND WORKING ENVIRONMENT
The conditions herein are representative of those that must be met by an employee to successfully perform the essential functions of this job. Reasonable accommodations may be made to enable individuals with disabilities to perform the essential job functions.
Environment: Work is performed primarily in a standard office setting. Duties are typically performed at a desk or computer terminal; subject to noise from office equipment operation; frequent interruptions and contact in person and on the telephone with a variety of City staff and others. At least minimal environmental controls are in place to assure health and comfort.
Physical: Primary functions require sufficient physical ability and mobility to work in an office setting; to stand or sit for prolonged periods of time; to operate office equipment requiring repetitive hand movement and fine coordination including use of a computer keyboard; and to verbally communicate to exchange information.
Vision: See in the normal visual range with or without correction.
Hearing: Hear in the normal audio range with or without correction.
Item #11. Page 8
Meeting Date: 9/26/2023 / Packet Page #: 131
STAFF REPORT
TO: Mayor and Council Members DATE: September 26, 2023
FROM: City Manager’s Office DISTRICT(S): Citywide
SUBJECT: Discussion of Assembly of the Constitution Amendment No. 13 (Boyer and Thompson)
RECOMMENDATION
That the City Council:
1. Consider Assembly Constitutional Amendment No. 13 (Ward, 2023); and
2. Provide City staff with direction accordingly.
STRATEGIC FOCUS AREAS
Not Applicable
EXECUTIVE SUMMARY
The League of California Cities (Cal Cities) is requesting that cities consider taking a position of support for Assembly Constitutional Amendment No. 13 which would require any constitutional amendment proposed by an initiative that increases a vote requirement for future measures to be approved by the same proportion of voters.
LEGISLATIVE HISTORY / PREVIOUS ACTIONS
Assembly Constitutional Amendment (ACA) No. 13 was introduced by Assemblymember Christopher M.
Ward (78th District) as part of the most recent legislative term.
On September 6, 2023, the California Assembly approved ACA No. 13, with 57 ayes, 19 noes, and four no vote recorded.
On September 14, 2023, the California Senate approved ACA No. 13, with 28 ayes, 9 noes, and three no vote recorded.
On September 14, 2023, the California Assembly concurred with the amendments made by the Senate, with 55 ayes, 19 noes, and six no vote recorded.
DISCUSSION
Under existing law, any state ballot measure can be approved by a simple majority vote of the electorate, regardless of the changes to state law made by the measure. By contrast, some local ballot measures are subject to higher vote requirements. For instance, a local measure that is placed on the ballot by a local governing body and that proposes a special tax (a tax for which the proceeds will be used for a specific purpose) requires a two-thirds vote of the electorate.
If this measure is approved by voters, it would mark the first time that any state ballot measure would require more than a simple majority vote to be approved. Specifically, state ballot measures that: 1) are initiative measures (the term "initiative" refers exclusively to a proposed law that qualifies for the ballot through the collection of voters' signatures on an initiative petition); 2) propose to amend the state constitution; and, 3) propose to increase the vote required for voters to approve a state or local ballot Item #12. Page 1
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Staff Report Page 2 of 2
measure, would be subject to a voter approval threshold that is greater than a simple majority vote.
On February 1, 2023, the Secretary of State (SOS) certified that initiative #1935 (referred to as "The Taxpayer Protection and Government Accountability Act" by its proponent) – a measure that would amend the California Constitution to change the rules for how the state and local governments can impose taxes, fees, and other charges – is eligible to appear on the ballot at the November 5, 2024 Statewide General Election. Among other provisions, initiative #1935 requires that any local special tax be approved by a two-thirds vote of the electorate to take effect. Recent case law suggests that local special taxes that are proposed by a local initiative measure can be approved by a majority vote of the electorate. By contrast, local special taxes that are placed on the ballot by a local jurisdiction must be approved by a two-thirds vote of the electorate. Additionally, initiative #1935 prohibits an advisory measure from appearing on the same ballot as a local measure that proposes a general tax if the advisory measure would indicate that the revenue from the general tax will, could, or should be used for a specific purpose.
If this measure applied to the voter's consideration of initiative #1935, it appears that initiative #1935 would need to be approved by two-thirds of the voters in order to take effect. However, while this measure likely would affect the vote requirement for initiative #1935, its effects are not limited to that initiative.
Rather, the provisions of this measure would apply to any initiative constitutional amendment that appears on the ballot in the future and that proposes to increase the vote requirement for a state or local ballot measure.
As an example, an initiative constitutional amendment that required a two-thirds vote of the local electorate to approve any ballot measure that sought to rezone parcels would need to be approved by two-thirds of the voters if this measure takes effect. By contrast, an initiative constitutional amendment that required a two-thirds vote of a local governing body to rezone parcels would be subject to a simple majority vote (provided that the initiative did not also include other provisions that affected the vote requirement for actions taken by voters).
Assembly Constitutional Amendment No. 13 was amended to provide that its provisions apply to all statewide initiative measures submitted to the electors on or after January 1, 2024, including measures that appear on the ballot at the same election as this measure. As a constitutional amendment, this measure requires the approval of the voters to take effect.
FISCAL IMPACT
There is no fiscal impact associated with this report.
ENVIRONMENTAL DETERMINATION
There is no environmental impact associated with this report.
Prepared By Kathleen R. Sessman, City Clerk/Communications Director Concurs With Not Applicable
Reviewed By Kathleen R. Sessman, City Clerk/Communications Director Certified to Availability of Funds Marie Ricci, Administrative Services Director/City Treasurer Approved By Adam Raymond, City Manager
Legal Review William W. Wynder, City Attorney
CEQA Review Jeff Kugel, Community Development Director
ATTACHMENTS:
A. Assembly Constitutional Amendment No. 13 (Ward, 2023) – Voting Thresholds Item #12. Page 2
Meeting Date: 9/26/2023 / Packet Page #: 133
AMENDED IN SENATE SEPTEMBER 11, 2023
AMENDED IN ASSEMBLY SEPTEMBER 1, 2023
AMENDED IN ASSEMBLY AUGUST 17, 2023
california legislature—2023–24 regular session
Assembly Constitutional Amendment No. 13
Introduced by Assembly Member Ward
(Principal coauthors: Assembly Members Aguiar-Curry, Berman, and Lee)
(Coauthors: Assembly Members Robert Rivas, Haney, Jackson, Ortega, and Rendon)
(Coauthors: Senators Durazo, Gonzalez, Skinner, Smallwood-Cuevas, and Wiener)
July 13, 2023
Assembly Constitutional Amendment No. 13—A resolution to propose to the people of the State of California an amendment to the Constitution of the State, by amending Section 10 of, and adding Section
10.5 to, Article II thereof, and adding Section 7.8 to Article XI thereof, relating to voting.
legislative counsel’s digest
ACA 13, as amended, Ward. Voting thresholds.
The California Constitution provides that a proposed constitutional amendment and a statewide initiative measure each take effect only if approved by a majority of the votes cast on the amendment or measure.
This measure would further provide that an initiative measure that includes one or more provisions that would amend the Constitution to increase the voter approval requirement to adopt any state or local measure would be approved by the voters only if the proportion of votes
96 Item #12. Page 3
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cast in favor of the initiative measure is equal to or greater than the highest voter approval requirement that the initiative measure would impose. The measure would specify that this voter approval requirement would apply to statewide initiative measures that appear on the ballot on or after January 1, 2024.
The California Constitution also permits initiative and referendum powers to be exercised by the voters of each city or county under procedures provided by the Legislature.
This measure would expressly authorize a local governing body to hold an advisory vote concerning any issue of governance for the purpose of allowing voters within the jurisdiction to voice their opinions on the issue. The measure would specify that an advisory question is approved only if a majority of the votes cast on the question are in favor.
This measure would further declare that its provisions are severable and that if any provision is held invalid, the other provisions of the act remain valid, as specified.
Vote: 2⁄3. Appropriation: no. Fiscal committee: yes.
State-mandated local program: no.
line 1 WHEREAS, In an era of special interests and others attempting line 2 to manipulate the electoral process, it is important to preserve the line 3 fundamental right of California citizens to approve statewide line 4 initiative statutes and referenda by a majority vote; and line 5 WHEREAS, Initiative measures proposing to amend the line 6 Constitution to increase the vote requirement above a majority line 7 vote to pass other state and local measures violate the principle of line 8 majority rule; and
line 9 WHEREAS, Citizens have a substantial interest in voicing their line 10 opinions on issues of local governance and must be allowed to line 11 approve local advisory measures by majority vote; and line 12 WHEREAS, The provisions of this measure are not intended to line 13 reverse or invalidate provisions of the Constitution in effect before line 14 January 1, 2024, including the provisions of Proposition 13 of line 15 1978; and
line 16 WHEREAS, The purpose of this measure is to do all of the line 17 following:
line 18 (a) Retain the majority vote requirement to pass statewide line 19 initiative statutes and referenda;
line 20 (b) Provide that any proposed initiative measure that would line 21 amend the Constitution to increase the voter approval requirement 96 ACA 13 — 2 —
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line 1 to pass other state or local measures is effective only if the initiative line 2 is approved by the highest vote requirement it imposes on other line 3 measures;
line 4 (c) Constitutionally authorize local governments to submit line 5 questions to voters asking for their opinion on issues of governance; line 6 now, therefore, be it
line 7 Resolved, That this measure shall be known, and may be cited, line 8 as the Protect and Retain the Majority Vote Act; and be it further line 9 Resolved by the Assembly, the Senate concurring, That the line 10 Legislature of the State of California at its 2023–24 Regular line 11 Session, commencing on the fifth day of December 2022, line 12 two-thirds of the membership of each house concurring, hereby line 13 proposes to the people of the State of California, California that line 14 the Constitution of the State be amended as follows:
line 15 First—That Section 10 of Article II thereof is amended to read:
line 16 SEC. 10. (a) An initiative statute or referendum approved by line 17 the electors pursuant to Section 10.5 takes effect on the fifth day line 18 after the Secretary of State files the statement of the vote for the line 19 election at which the measure is voted on, but the measure may line 20 provide that it becomes operative after its effective date. If a line 21 referendum petition is filed against a part of a statute, the remainder line 22 of the statute shall not be delayed from going into effect. line 23 (b) If provisions of two or more measures approved at the same line 24 election conflict, the provisions of the measure receiving the line 25 highest number of affirmative votes shall prevail. line 26 (c) The Legislature may amend or repeal a referendum statute. line 27 The Legislature may amend or repeal an initiative statute by line 28 another statute that becomes effective only when approved by the line 29 electors unless the initiative statute permits amendment or repeal line 30 without the electors’ approval.
line 31 (d) Before circulation of an initiative or referendum petition for line 32 signatures, a copy shall be submitted to the Attorney General who line 33 shall prepare a title and summary of the measure as provided by line 34 law.
line 35 (e) The Legislature shall provide for the manner in which a line 36 petition shall be circulated, presented, and certified, and the manner line 37 in which a measure shall be submitted to the electors. line 38 Second—That Section 10.5 is added to Article II thereof, to line 39 read:
96 — 3 — ACA 13
Item #12. Page 5
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line 1 SEC. 10.5. (a) Except as provided in subdivision (b), a line 2 statewide initiative statute or referendum is approved if a majority line 3 of the votes cast on the measure are in favor.
line 4 (b) Notwithstanding Section 4 of Article XVIII or any other line 5 provision of the Constitution, an initiative measure that includes line 6 one or more provisions that amend the Constitution to increase the line 7 voter approval requirement to adopt any state or local measure is line 8 approved by the voters only if the proportion of votes cast in favor line 9 of the initiative measure is equal to or greater than the highest line 10 voter approval requirement that the initiative measure would line 11 impose for the adoption of any state or local measure. line 12 (c) This section applies to all statewide initiative measures line 13 submitted to the electors on or after January 1, 2024, including line 14 measures that appear on the ballot at the same election at which line 15 the measure adding this section is approved by the electors. line 16 Third—That Section 7.8 is added to Article XI thereof, to read:
line 17 SEC. 7.8. At any election, pursuant to procedures that the line 18 Legislature shall provide, a local governing body may hold an line 19 advisory vote concerning any issue of governance for the purpose line 20 of allowing voters within the jurisdiction to voice their opinions line 21 on the issue. An advisory question is approved only if a majority line 22 of the votes cast on the question are in favor. The results of the line 23 advisory vote shall in no manner be controlling on the sponsoring line 24 local governing body.
line 25 Fourth—The provisions of this measure are severable. If any line 26 portion, section, subdivision, paragraph, clause, sentence, phrase, line 27 word, or application of this measure is for any reason held to be line 28 invalid by a decision of any court of competent jurisdiction, that line 29 decision shall not affect the validity of the remaining portions of line 30 this measure. The people of the State of California hereby declare line 31 that they would have adopted this measure and each and every line 32 portion, section, subdivision, paragraph, clause, sentence, phrase, line 33 word, and application not declared invalid or unconstitutional line 34 without regard to whether any portion of this measure or line 35 application thereof would be subsequently declared invalid.
O
96 ACA 13 — 4 —
Item #12. Page 6
Meeting Date: 9/26/2023 / Packet Page #: 137
STAFF REPORT
TO: Chair and Authority Members DATE: September 26, 2023 FROM: Public Works DISTRICT(S): Citywide
SUBJECT: Award of Contract for Artificial Turf Replacement for Field 3 at Louie Pompei Memorial Sports Park Tt Field Turf USA, Inc. in the amount not to exceed $509,307.76
RECOMMENDATION
That the City/Authority Council:
1. Award the contract for Artificial Turf Replacement for Field 3 at Louie Pompei Memorial Sports Park to Filed Turf USA, Inc. in the amount not to exceed $509,307.76; and
2. Authorize the City Manager or his designee to execute the agreement including minimal and/or non-substantive changes.
STRATEGIC FOCUS AREAS
Goal 5: Improve and Maintain the City’s Infrastructure and Facilities (IMCIF)
EXECUTIVE SUMMARY
Louie Pompei Memorial Sports Park opened in 2007 and contains a total of five (5) multi-use fields for softball, football, soccer, and flag football. Currently, fields 1, 2, 4, and 5 are being converted to artificial turf. The soccer field (field #3) was originally converted to artificial turf in 2016. Artificial turf fields have a usual life expectancy of about 8-10 years. Staff is recommending replacing the artificial turf on field 3, as it is nearing its useful life expectancy. Additionally, contractors are currently on-site working on the other field replacements. It the field three (3) turf replacement is also conducted while the park is currently still closed, it will minimize future interruptions to recreation services for the public.
LEGISLATIVE HISTORY / PREVIOUS ACTIONS
On December 13, 2022, City Council approved an agreement for the design and construction of artificial turf on fields # 1, 2, 4, and 5 at Louie Pompei Memorial Sports Park.
DISCUSSION
In 2016, the replacement of the natural turf on field 3 with artificial turf, resulted in an approximate annual water conservation of 1.8 million gallons for the City. The typical lifespan of an artificial turf field ranges from 8 to 10 years and field 3 is quickly approaching the end of its useful life expectancy.
This recommended replacement would include:
1. Removal of existing synthetic turf and Install 64,000 SF of new synthetic turf
2. Enhanced Playability: The new artificial turf will offer improved playability and safety.
3. Durability: Modern artificial turf is designed to withstand heavy use and weather conditions. The new turf will have a longer lifespan, reducing maintenance and replacement costs in the long term.
4. Cost Savings: While there is an initial investment for replacement, the long-term cost savings in maintenance and repairs is significant. The new turf will require minimal upkeep and reduce the need for constant repairs.
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Staff Report Page 2 of 2
5. Community Satisfaction: A high-quality soccer field will increase community satisfaction and encourage more participation in local sports programs.
Per GMC Section 2.40.090(c)(6), competitive procurement through the informal and formal procurement processes shall not be required when cooperative purchasing is available and undertaken or when goods can be obtained through federal, state, and/or other public entity pricing contracts or price agreements.
Per California Government Code 6502 regarding Joint Powers Agreements, “if authorized by their legislative or other governing bodies, two or more public agencies by agreement may jointly exercise any power common to the contracting parties, including but not limited to, the authority to levy a fee, assessment, or tax, even though one or more of the contracting agencies may be located outside this state.” California Multiple Award Schedules (CMAS) offers a wide variety of commodity products and services at prices which have been assessed to be fair, reasonable and competitive. The CMAS Program creates a pool of suppliers that government agencies can solicit offers from and streamlines the procurement process. Field Turf USA, Inc.’s pricing proposal provided to the City of Glendora complies with CMAS contract number GS-07F-9631S. FieldTurf USA, Inc. is currently also a subcontractor for Ohno Construction, who was awarded the original bid and completing the work on the other fields at the park.
Since the park is currently closed for the transition from natural to artificial turf on the rest of the fields, opting to replace the field now while contractors are on-site will lead to cost savings for the City and minimize future interruptions to recreation services for the public.
FISCAL IMPACT
Sufficient funds are available in the Water Capital Projects Fund in the City Facility Conservation Improvements Project for this effort.
ENVIRONMENTAL DETERMINATION
A CEQA Notice of Categorical Exemption was approved for this project by the City Council on December 22, 2022.
Prepared By Jessica Clark, Business Services Manager
Concurs With Not Applicable
Reviewed By Michael Sledd, Assistant Public Works Director Certified to Availability of Funds Marie Ricci, Administrative Services Director/City Treasurer Approved By Adam Raymond, City Manager
Legal Review William W. Wynder, City Attorney
CEQA Review Jeff Kugel, Community Development Director
ATTACHMENTS:
A. Agreement
B. CMAS Agreement
C. Presentation
Item #13. Page 2
Meeting Date: 9/26/2023 / Packet Page #: 139
PUBLIC WORKS AGREEMENT
By and Between
CITY OF GLENDORA
and
FIELDTURF USA INC.
Item #13. Page 3
Meeting Date: 9/26/2023 / Packet Page #: 140
PW Agreement – FieldTurf USA Inc (Louie Pompei Memorial Sports Park Field 3 Replacement) 1
AGREEMENT FOR PUBLIC WORKS SERVICES
BETWEEN THE CITY OF GLENDORA AND
FIELDTURF USA INC.
THIS AGREEMENT FOR PUBLIC WORKS SERVICES (herein “Agreement”) is made and entered into this ____ day of ________, 2023 by and between the City of Glendora, a California municipal corporation (“City”) and FieldTurf USA Inc., a Florida corporation (“Contractor”). City and Contractor may be referred to, individually or collectively, as “Party” or “Parties.”
RECITALS
A. City has sought, in accordance with Glendora Municipal Code (GMC) 2.40.050 (4), the performance of the services defined and described particularly in Article 1 of this Agreement.
B. Contractor, following submission of a proposal or bid for the performance of the services defined and described particularly in Article 1 of this Agreement, was selected by the City to perform those services.
C. Pursuant to the City of Glendora Municipal Code, City has authority to enter into and execute this Agreement.
D. The Parties desire to formalize the selection of Contractor for performance of those services defined and described particularly in Article 1 of this Agreement and desire that the terms of that performance be as particularly defined and described herein.
OPERATIVE PROVISIONS
NOW, THEREFORE, in consideration of the mutual promises and covenants made by the Parties and contained herein and other consideration, the value and adequacy of which are hereby acknowledged, the parties agree as follows:
ARTICLE 1. WORK OF CONTRACTOR
1.1 Scope of Work.
In compliance with all terms and conditions of this Agreement, the Contractor shall provide those services specified in the “Scope of Work” attached hereto as Exhibit “A” and incorporated herein by this reference, which may be referred to herein as the “services” or “work” hereunder. As a material inducement to the City entering into this Agreement, Contractor represents and warrants that it has the qualifications, experience, and facilities necessary to properly perform the work required under this Agreement in a thorough, competent, and professional manner, and is experienced in performing the work and services contemplated herein.
Contractor shall at all times faithfully, competently and to the best of its ability, experience and talent, perform all services described herein. Contractor covenants that it shall follow the highest professional standards in performing the work and services required hereunder and that all materials will be both of good quality as well as fit for the purpose intended. For purposes of this Agreement, the phrase “highest professional standards” shall mean those standards of practice recognized by one or more first-class firms performing similar work under similar circumstances.
Item #13. Page 4
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PW Agreement – FieldTurf USA Inc (Louie Pompei Memorial Sports Park Field 3 Replacement) 2
1.2 Bid Documents.
The Scope of Work shall include the “General Provisions” and “Special Provisions” in the bid documents for the project entitled Louie Pompei Memorial Sports Park Field 3 Replacement including any documents or exhibits referenced therein (collectively, “bid documents”), all of which are incorporated herein by this reference. In the event of any inconsistency between the terms of the bid documents and this Agreement, the terms of this Agreement shall govern.
1.3 Compliance with Law.
Contractor shall keep itself informed concerning, and shall render all services hereunder in accordance with, all ordinances, resolutions, statutes, rules, and regulations of the City and any Federal, State or local governmental entity having jurisdiction in effect at the time service is rendered.
1.4 Compliance with California Labor Law.
(a) Public Work. The Parties acknowledge that the work to be performed under this Agreement is a “public work” as defined in Labor Code Section 1720 and that this Agreement is therefore subject to the requirements of Division 2, Part 7, Chapter 1 (commencing with Section 1720) of the California Labor Code relating to public works contracts and the rules and regulations established by the Department of Industrial Relations (“DIR”) implementing such statutes. The work performed under this Agreement is subject to compliance monitoring and enforcement by the DIR. Contractor shall post job site notices, as prescribed by regulation.
(b) Prevailing Wages. Contractor shall pay prevailing wages to the extent required by Labor Code Section 1771. Pursuant to Labor Code Section 1773.2, copies of the prevailing rate of per diem wages are on file at City Hall and will be made available to any interested party on request. By initiating any work under this Agreement, Contractor acknowledges receipt of a copy of the Department of Industrial Relations (DIR) determination of the prevailing rate of per diem wages, and Contractor shall post a copy of the same at each job site where work is performed under this Agreement.
(c) Penalty for Failure to Pay Prevailing Wages. Contractor shall comply with and be bound by the provisions of Labor Code Sections 1774 and 1775 concerning the payment of prevailing rates of wages to workers and the penalties for failure to pay prevailing wages. The Contractor shall, as a penalty to the City, forfeit two hundred dollars ($200) for each calendar day, or portion thereof, for each worker paid less than the prevailing rates as determined by the DIR for the work or craft in which the worker is employed for any public work done pursuant to this Agreement by Contractor or by any subcontractor. (d) Payroll Records. Contractor shall comply with and be bound by the provisions of Labor Code Section 1776, which requires Contractor and each subcontractor to: keep accurate payroll records and verify such records in writing under penalty of perjury, as specified in Section 1776; certify and make such payroll records available for inspection as provided by Section 1776; and inform the City of the location of the records. (e) Apprentices. Contractor shall comply with and be bound by the provisions of Labor Code Sections 1777.5, 1777.6, and 1777.7 and California Code of Regulations Item #13. Page 5
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PW Agreement – FieldTurf USA Inc (Louie Pompei Memorial Sports Park Field 3 Replacement) 3 Title 8, Section 200 et seq. concerning the employment of apprentices on public works projects.
Contractor shall be responsible for compliance with these aforementioned Sections for all apprenticeable occupations. Prior to commencing work under this Agreement, Contractor shall provide City with a copy of the information submitted to any applicable apprenticeship program.
Within sixty (60) days after concluding work pursuant to this Agreement, Contractor and each of its subcontractors shall submit to the City a verified statement of the journeyman and apprentice hours performed under this Agreement.
(f) Eight-Hour Work Day. Contractor acknowledges that eight (8) hours labor constitutes a legal day's work. Contractor shall comply with and be bound by Labor Code Section 1810.
(g) Penalties for Excess Hours. Contractor shall comply with and be bound by the provisions of Labor Code Section 1813 concerning penalties for workers who work excess hours. The Contractor shall, as a penalty to the City, forfeit twenty-five dollars ($25) for each worker employed in the performance of this Agreement by the Contractor or by any subcontractor for each calendar day during which such worker is required or permitted to work more than eight (8) hours in any one calendar day and forty (40) hours in any one calendar week in violation of the provisions of Division 2, Part 7, Chapter 1, Article 3 of the Labor Code. Pursuant to Labor Code section 1815, work performed by employees of Contractor in excess of eight (8) hours per day, and forty (40) hours during any one week shall be permitted upon public work upon compensation for all hours worked in excess of 8 hours per day at not less than one and one-half (1½) times the basic rate of pay.
(h) Workers’ Compensation. California Labor Code Sections 1860 and 3700 provide that every employer will be required to secure the payment of compensation to its employees if it has employees. In accordance with the provisions of California Labor Code Section 1861, Contractor certifies as follows:
“I am aware of the provisions of Section 3700 of the Labor Code which require every employer to be insured against liability for workers' compensation or to undertake self-insurance in accordance with the provisions of that code, and I will comply with such provisions before commencing the performance of the work of this contract.”
Contractor’s Authorized Initials _______________
Darren Gill
Executive Vice President
(i) Contractor’s Responsibility for Subcontractors. For every subcontractor who will perform work under this Agreement, Contractor shall be responsible for such subcontractor's compliance with Division 2, Part 7, Chapter 1 (commencing with Section 1720) of the California Labor Code, and shall make such compliance a requirement in any contract with any subcontractor for work under this Agreement. Contractor shall be required to take all actions necessary to enforce such contractual provisions and ensure subcontractor's compliance, including without limitation, conducting a review of the certified payroll records of the subcontractor on a periodic basis or upon becoming aware of the failure of the subcontractor to pay his or her workers the specified prevailing rate of wages. Contractor shall diligently take corrective action to halt or rectify any such failure by any subcontractor.
Item #13. Page 6
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PW Agreement – FieldTurf USA Inc (Louie Pompei Memorial Sports Park Field 3 Replacement) 4
1.5 Licenses, Permits, Fees and Assessments.
Contractor shall obtain at its sole cost and expense such licenses, permits, registrations, and approvals as may be required by law for the performance of the services required by this Agreement. Contractor shall have the sole obligation to pay for any fees, assessments and taxes, plus applicable penalties and interest, which may be imposed by law and arise from or are necessary for the Contractor’s performance of the services required by this Agreement, and shall indemnify, defend and hold harmless City, its officers, employees or agents of City, against any such fees, assessments, taxes, penalties or interest levied, assessed or imposed against City hereunder.
1.6 Familiarity with Work.
(a) By executing this Agreement, Contractor warrants that Contractor (i) has thoroughly investigated and considered the scope of work to be performed, (ii) has carefully considered how the services should be performed, and (iii) fully understands the facilities, difficulties and restrictions attending performance of the services under this Agreement. If the services involve work upon any site, Contractor warrants that Contractor has or will investigate the site and is or will be fully acquainted with the conditions there existing, prior to commencement of services hereunder.
(b) Contractor shall promptly, and before the following conditions are disturbed, notify the City, in writing, of any: (i) material Contractor believes may be hazardous waste as defined in Section 25117 of the Health & Safety Code required to be removed to a Class I, II, or III disposal site in accordance with existing law; (ii) subsurface, unknown or latent conditions, materially different from those indicated; or (iii) unknown physical conditions at the site of any unusual nature, different from those ordinarily encountered and generally recognized as inherent in work of the character provided for in this Agreement, and will materially affect the performance of the services hereunder.
(c) City shall promptly investigate the conditions, and if it finds that the conditions do materially differ, or do involve hazardous waste, and cause a decrease or increase in Contractor's cost of, or the time required for, performance of any part of the work, shall issue a change order per Section 1.10 of this Agreement.
(d) In the event that a dispute arises between City and Contractor whether the conditions materially differ, or involve hazardous waste, or cause a decrease or increase in Contractor's cost of, or time required for, performance of any part of the work, Contractor shall not be excused from any scheduled completion date set, but shall proceed with all work to be performed under the Agreement. Contractor shall retain any and all rights provided either by contract or by law, which pertain to the resolution of disputes and protests between the contracting parties.
(e) City will compensate Contractor to the extent required by Government Code Section 4215 by issuing a change order per Section 1.10 of this Agreement.
1.7 Protection and Care of Work and Materials.
The Contractor shall adopt reasonable methods, including providing and maintaining storage facilities, during the life of the Agreement to furnish continuous protection to the work, and the equipment, materials, papers, documents, plans, studies and/or other components Item #13. Page 7
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PW Agreement – FieldTurf USA Inc (Louie Pompei Memorial Sports Park Field 3 Replacement) 5 thereof to prevent losses or damages, and shall be responsible for all such damages, to persons or property, until acceptance of the work by City, except such losses or damages as caused by City’s own negligence. Stored materials shall be reasonably accessible for inspection. Contractor shall not, without City’s consent, assign, sell, mortgage, hypothecate, or remove equipment or materials which have been installed or delivered and which may be necessary for the completion of the work.
1.8 Warranty.
Contractor warrants all work under the Agreement (which for purposes of this Section shall be deemed to include unauthorized work which has not been removed and any non-conforming materials incorporated into the work) to be of good quality and free from any defective or faulty material and workmanship. Contractor agrees that for a period of one year (or the period of time specified elsewhere in the Agreement or in any guarantee or warranty provided by any manufacturer or supplier of equipment or materials incorporated into the work, whichever is later) after the date of final acceptance, Contractor shall within ten (10) days after being notified in writing by the City of any defect in the work or non-conformance of the work to the Agreement, commence and prosecute with due diligence all work necessary to fulfill the terms of the warranty at its sole cost and expense. Contractor shall act as soon as requested by the City in response to an emergency. In addition, Contractor shall, at its sole cost and expense, repair, remove and replace any portions of the work (or work of other contractors) damaged by its defective work or which becomes damaged in the course of repairing or replacing defective work. For any work so corrected, Contractor's obligation hereunder to correct defective work shall be reinstated for an additional one year period, commencing with the date of acceptance of such corrected work.
Contractor shall perform such tests as the City may require to verify that any corrective actions, including, without limitation, redesign, repairs, and replacements comply with the requirements of the Agreement. All costs associated with such corrective actions and testing, including the removal, replacement, and reinstitution of equipment and materials necessary to gain access, shall be the sole responsibility of the Contractor. All warranties and guarantees of subcontractors, suppliers and manufacturers with respect to any portion of the work, whether express or implied, are deemed to be obtained by Contractor for the benefit of the City, regardless of whether or not such warranties and guarantees have been transferred or assigned to the City by separate agreement and Contractor agrees to enforce such warranties and guarantees, if necessary, on behalf of the City. In the event that Contractor fails to perform its obligations under this Section, or under any other warranty or guaranty under this Agreement, to the reasonable satisfaction of the City, the City shall have the right to correct and replace any defective or non-conforming work and any work damaged by such work or the replacement or correction thereof at Contractor's sole expense.
Contractor shall be obligated to fully reimburse the City for any expenses incurred hereunder upon demand.
1.9 Further Responsibilities of Parties.
Both parties agree to use reasonable care and diligence to perform their respective obligations under this Agreement. Both parties agree to act in good faith to execute all instruments, prepare all documents and take all actions as may be reasonably necessary to carry out the purposes of this Agreement. Unless hereafter specified, neither party shall be responsible for the service of the other.
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PW Agreement – FieldTurf USA Inc (Louie Pompei Memorial Sports Park Field 3 Replacement) 6
1.10 Additional Work and Change Orders.
(a) City shall have the right at any time during the performance of the services, without invalidating this Agreement, to order extra work beyond that specified in the Scope of Work or make changes by altering, adding to or deducting from said work. No such extra work may be undertaken unless a written change order is first given by the Contract Officer to the Contractor, incorporating therein any adjustment in (i) the Contract Sum, and/or (ii) the time to perform this Agreement, which said adjustments are subject to the written approval of the Contractor (“Change Order”). All Change Orders must be signed by the Contractor and Contract Officer prior to commencing the extra work thereunder.
(b) Any increase in compensation of up to ten percent (10%) of the Contract Sum or $25,000, whichever is less; or any increase in the time to perform of up to one hundred eighty (180) days; and does not materially affect the Work and which are not detrimental to the Work or to the interest of the City, may be approved by the Contract Officer. Any greater increases, taken either separately or cumulatively, must be approved by the City Council. (c) Any adjustment in the Contract Sum for a Change Order must be in accordance with the rates set forth in the Schedule of Compensation in Exhibit “C”. If the rates in the Schedule of Compensation do not cover the type of work in the Change Order, the cost of such work shall not exceed an amount agreed upon in writing and signed by Contractor and Contract Officer. If the cost of the Change Order cannot be agreed upon, the City will pay for actual work of the Change Order completed, to the satisfaction of the City, as follows:
(i) Labor: the cost of labor shall be the actual cost for wages of workers and subcontractors performing the work for the Change Order at the time such work is done. The use of labor classifications that would increase the cost of such work shall not be permitted.
(ii) Materials and Equipment: the cost of materials and equipment shall be at cost to Contractor or lowest current price which such materials and equipment are reasonably available at the time the work is done, whichever is lower. (iii) If the cost of the extra work cannot be agreed upon, the Contractor must provide a daily report that includes invoices for labor, materials and equipment costs for the work under the Change Order. The daily report must include: list of names of workers, classifications, and hours worked; description and list of quantities of materials used; type of equipment, size, identification number, and hours of operation, including loading and transportation, if applicable; description of other City authorized services and expenditures in such detail as the City may require. Failure to submit a daily report by the close of the next working day may, at the City’s sole and absolute discretion, waive the Contractor’s rights for that day. (d) It is expressly understood by Contractor that the provisions of this Section 1.10 shall not apply to services specifically set forth in the Scope of Work. Contractor hereby acknowledges that it accepts the risk that the services to be provided pursuant to the Scope of Work may be more costly or time consuming than Contractor anticipates and that Contractor shall not be entitled to additional compensation therefor. City may in its sole and absolute discretion have similar work done by other contractors.
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PW Agreement – FieldTurf USA Inc (Louie Pompei Memorial Sports Park Field 3 Replacement) 7 (e) No claim for an increase in the Contract Sum or time for performance shall be valid unless the procedures established in this Section are followed.
1.11 Special Requirements.
Additional terms and conditions of this Agreement, if any, which are made a part hereof are set forth in the “Special Requirements” attached hereto as Exhibit “B” and incorporated herein by this reference. In the event of a conflict between the provisions of Exhibit “B” and any other provisions of this Agreement, the provisions of Exhibit “B” shall govern.
ARTICLE 2. COMPENSATION AND METHOD OF PAYMENT.
2.1 Contract Sum.
Subject to any limitations set forth in this Agreement, City agrees to pay Contractor the amounts specified in the “Schedule of Compensation” attached hereto as Exhibit “C” and incorporated herein by this reference. The total compensation, including reimbursement for actual expenses, shall not exceed $463,007.05 (Four Hundred Sixty Three Thousand and Seven Dollars and Five Cents) (the “Contract Sum”), unless additional compensation is approved pursuant to Section 1.10.
2.2 Method of Compensation.
The method of compensation may include: (i) a lump sum payment upon completion; (ii) payment in accordance with specified tasks or the percentage of completion of the services less the contract retention; (iii) payment for time and materials based upon the Contractor’s rates as specified in the Schedule of Compensation, provided that (a) time estimates are provided for the performance of sub tasks, (b) contract retention is maintained and (c) the Contract Sum is not exceeded; or (iv) such other methods as may be specified in the Schedule of Compensation.
2.3 Reimbursable Expenses.
Compensation may include reimbursement for actual and necessary expenditures for reproduction costs, telephone expenses, and travel expenses approved by the Contract Officer in advance, or actual subcontractor expenses of an approved subcontractor pursuant to Section 4.5, and only if specified in the Schedule of Compensation. The Contract Sum shall include the attendance of Contractor at all project meetings reasonably deemed necessary by the City.
Coordination of the performance of the work with City is a critical component of the services. If Contractor is required to attend additional meetings to facilitate such coordination, Contractor shall not be entitled to any additional compensation for attending said meetings.
2.4 Invoices.
Each month Contractor shall furnish to City an original invoice for all work performed and expenses incurred during the preceding month in a form approved by City’s Director of Finance. By submitting an invoice for payment under this Agreement, Contractor is certifying compliance with all provisions of the Agreement. The invoice shall contain all information specified in Exhibit “C”, and shall detail charges for all necessary and actual expenses by the following categories: labor (by sub-category), travel, materials, equipment, supplies, and Item #13. Page 10
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PW Agreement – FieldTurf USA Inc (Louie Pompei Memorial Sports Park Field 3 Replacement) 8 sub-contractor contracts. Sub-contractor charges shall also be detailed by such categories.
Contractor shall not invoice City for any duplicate services performed by more than one person.
City shall, as soon as practicable, independently review each invoice submitted by the Contractor to determine whether the work performed and expenses incurred are in compliance with the provisions of this Agreement. Except as to any charges for work performed or expenses incurred by Contractor which are disputed by City, or as provided in Section 7.3, City will cause Contractor to be paid within thirty (30) days of receipt of Contractor’s correct and undisputed invoice; however, Contractor acknowledges and agrees that due to City warrant run procedures, the City cannot guarantee that payment will occur within this time period. In the event that City does not cause Contractor to be paid within thirty (30) days of receipt of an undisputed and properly submitted invoice, Contractor shall be entitled to the payment of interest to the extent allowed under Public Contract Code Section 20104.50. In the event any charges or expenses are disputed by City, the original invoice shall be returned by City to Contractor, not later than seven (7) days after receipt by the City, for correction and resubmission. Returned invoices shall be accompanied by a document setting forth in writing the reasons why the payment request was rejected. Review and payment by the City of any invoice provided by the Contractor shall not constitute a waiver of any rights or remedies provided herein or any applicable law.
2.5 Waiver.
Payment to Contractor for work performed pursuant to this Agreement shall not be deemed to waive any defects in work performed by Contractor.
ARTICLE 3. PERFORMANCE SCHEDULE
3.1 Time of Essence.
Time is of the essence in the performance of this Agreement.
3.2 Schedule of Performance.
Contractor shall commence the services pursuant to this Agreement upon receipt of a written notice to proceed and shall perform all services within the time period(s) established in the “Schedule of Performance” attached hereto as Exhibit “D” and incorporated herein by this reference. When requested by the Contractor, extensions to the time period(s) specified in the Schedule of Performance may be approved in writing by the Contract Officer but not exceeding one hundred eighty (180) days cumulatively.
3.3 Force Majeure.
The time period(s) specified in the Schedule of Performance for performance of the services rendered pursuant to this Agreement shall be extended because of any delays due to unforeseeable causes beyond the control and without the fault or negligence of the Contractor, including, but not restricted to, acts of God or of the public enemy, unusually severe weather, fires, earthquakes, floods, epidemics, quarantine restrictions, riots, strikes, freight embargoes, wars, litigation, and/or acts of any governmental agency, including the City, if the Contractor shall within ten (10) days of the commencement of such delay notify the Contract Officer in writing of the causes of the delay. The Contract Officer shall ascertain the facts and the extent of delay, and extend the time for performing the services for the period of the enforced delay when and if in the judgment of the Contract Officer such delay is justified. The Contract Officer’s determination shall Item #13. Page 11
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PW Agreement – FieldTurf USA Inc (Louie Pompei Memorial Sports Park Field 3 Replacement) 9 be final and conclusive upon the parties to this Agreement. In no event shall Contractor be entitled to recover damages against the City for any delay in the performance of this Agreement, however caused, Contractor’s sole remedy being extension of the Agreement pursuant to this Section.
3.4 Inspection and Final Acceptance.
City may inspect and accept or reject any of Contractor’s work under this Agreement, either during performance or when completed. City shall reject or finally accept Contractor’s work within forty-five (45) days after submitted to City. City shall accept work by a timely written acceptance, otherwise work shall be deemed to have been rejected. City’s acceptance shall be conclusive as to such work except with respect to latent defects, fraud and such gross mistakes as to amount to fraud. Acceptance of any work by City shall not constitute a waiver of any of the provisions of this Agreement including, but not limited to, Articles 1 and 5, pertaining to warranty and indemnification and insurance, respectively.
3.5 Term.
Unless earlier terminated in accordance with Article 7 of this Agreement, this Agreement shall continue in full force and effect until completion of the services but not exceeding one (1) year from the date hereof, except as otherwise provided in the Schedule of Performance (Exhibit “D”).
ARTICLE 4. COORDINATION OF WORK
4.1 Representatives and Personnel of Contractor.
The following principals of Contractor (“Principals”) are hereby designated as being the principals and representatives of Contractor authorized to act in its behalf with respect to the work specified herein and make all decisions in connection therewith:
Cal Watson, Regional Sales Manager
Dino Di Maulo, Project Manager
It is expressly understood that the experience, knowledge, capability and reputation of the foregoing Principals were a substantial inducement for City to enter into this Agreement.
Therefore, the Principals shall be responsible during the term of this Agreement for directing all activities of Contractor and devoting sufficient time to personally supervise the services hereunder.
All personnel of Contractor, and any authorized agents, shall at all times be under the exclusive direction and control of the Principals. For purposes of this Agreement, the Principals may not be replaced nor may their responsibilities be substantially reduced by Contractor without the express written approval of City. Additionally, Contractor shall make every reasonable effort to maintain the stability and continuity of Contractor’s staff and subcontractors, if any, assigned to perform the services required under this Agreement. Contractor shall notify City of any changes in Contractor’s staff and subcontractors, if any, assigned to perform the services required under this Agreement, prior to and during any such performance.
4.2 Status of Contractor.
Contractor shall have no authority to bind City in any manner, or to incur any obligation, debt or liability of any kind on behalf of or against City, whether by contract or Item #13. Page 12
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PW Agreement – FieldTurf USA Inc (Louie Pompei Memorial Sports Park Field 3 Replacement) 10 otherwise, unless such authority is expressly conferred under this Agreement or is otherwise expressly conferred in writing by City. Contractor shall not at any time or in any manner represent that Contractor or any of Contractor’s officers, employees, or agents are in any manner officials, officers, employees or agents of City. Neither Contractor, nor any of Contractor’s officers, employees or agents, shall obtain any rights to retirement, health care or any other benefits which may otherwise accrue to City’s employees. Contractor expressly waives any claim Contractor may have to any such rights.
4.3 Contract Officer.
The Contract Officer shall be Recreation & Human Services Director, or such person as may be designated by the City Manager. It shall be the Contractor’s responsibility to assure that the Contract Officer is kept informed of the progress of the performance of the services and the Contractor shall refer any decisions which must be made by City to the Contract Officer.
Unless otherwise specified herein, any approval of City required hereunder shall mean the approval of the Contract Officer. The Contract Officer shall have authority, if specified in writing by the City Manager, to sign all documents on behalf of the City required hereunder to carry out the terms of this Agreement.
4.4 Independent Contractor.
Neither the City nor any of its employees shall have any control over the manner, mode or means by which Contractor, its agents or employees, perform the services required herein, except as otherwise set forth herein. City shall have no voice in the selection, discharge, supervision or control of Contractor’s employees, servants, representatives or agents, or in fixing their number, compensation or hours of service. Contractor shall perform all services required herein as an independent contractor of City and shall remain at all times as to City a wholly independent contractor with only such obligations as are consistent with that role. Contractor shall not at any time or in any manner represent that it or any of its agents or employees are agents or employees of City. City shall not in any way or for any purpose become or be deemed to be a partner of Contractor in its business or otherwise or a joint venturer or a member of any joint enterprise with Contractor.
4.5 Prohibition Against Subcontracting or Assignment.
The experience, knowledge, capability and reputation of Contractor, its principals and employees were a substantial inducement for the City to enter into this Agreement. Therefore, Contractor shall not contract with any other entity to perform in whole or in part the services required hereunder without the express written approval of the City. All subcontractors shall obtain, at its or Contractor’s expense, such licenses, permits, registrations and approvals (including from the City) as may be required by law for the performance of any services or work under this Agreement. In addition, neither this Agreement nor any interest herein may be transferred, assigned, conveyed, hypothecated or encumbered voluntarily or by operation of law, whether for the benefit of creditors or otherwise, without the prior written approval of City. Transfers restricted hereunder shall include the transfer to any person or group of persons acting in concert of more than twenty five percent (25%) of the present ownership and/or control of Contractor, taking all transfers into account on a cumulative basis. In the event of any such unapproved transfer, including any bankruptcy proceeding, this Agreement shall be void. No approved transfer shall release the Contractor or any surety of Contractor of any liability hereunder without the express consent of City.
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PW Agreement – FieldTurf USA Inc (Louie Pompei Memorial Sports Park Field 3 Replacement) 11 ARTICLE 5. INSURANCE, INDEMNIFICATION AND BONDS
5.1 Insurance Coverages.
Without limiting Contractor’s indemnification of City, and prior to commencement of any services under this Agreement, Contractor shall obtain, provide a=nd maintain at its own expense during the term of this Agreement, policies of insurance of the type and amounts described below and in a form satisfactory to City.
(a) General liability insurance. Contractor shall maintain commercial general liability insurance with coverage at least as broad as Insurance Services Office form CG 00 01, in an amount not less than $2,000,000 per occurrence, $4,000,000 general aggregate, for bodily injury, personal injury, and property damage. The policy must include contractual liability that has not been amended. Any endorsement restricting standard ISO “insured contract” language will not be accepted.
(b) Automobile liability insurance. Contractor shall maintain automobile insurance at least as broad as Insurance Services Office form CA 00 01 covering bodily injury and property damage for all activities of the Contractor arising out of or in connection with Services to be performed under this Agreement, including coverage for any owned, hired, non-owned or rented vehicles, in an amount not less than $1,000,000 combined single limit for each accident. (c) Professional liability (errors & omissions) insurance. Contractor shall maintain professional liability insurance that covers the Services to be performed in connection with this Agreement, in the minimum amount of $1,000,000 per claim and in the aggregate. Any policy inception date, continuity date, or retroactive date must be before the effective date of this Agreement and Contractor agrees to maintain continuous coverage through a period no less than three (3) years after completion of the services required by this Agreement. (d) Workers’ compensation insurance. Contractor shall maintain Workers’ Compensation Insurance (Statutory Limits) and Employer’s Liability Insurance (with limits of at least $1,000,000).
(e) Subcontractors. Contractor shall include all subcontractors as insureds under its policies or shall furnish separate certificates and certified endorsements for each subcontractor. All coverages for subcontractors shall include all of the requirements stated herein. (f) Additional Insurance. Policies of such other insurance, as may be required in the Special Requirements in Exhibit “B”.
5.2 General Insurance Requirements.
(a) Proof of insurance. Contractor shall provide certificates of insurance to City as evidence of the insurance coverage required herein, along with a waiver of subrogation endorsement for workers’ compensation. Insurance certificates and endorsements must be approved by City’s Risk Manager prior to commencement of performance. Current certification of insurance shall be kept on file with City at all times during the term of this Agreement. City reserves the right to require complete, certified copies of all required insurance policies, at any time.
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PW Agreement – FieldTurf USA Inc (Louie Pompei Memorial Sports Park Field 3 Replacement) 12 (b) Duration of coverage. Contractor shall procure and maintain for the duration of this Agreement insurance against claims for injuries to persons or damages to property, which may arise from or in connection with the performance of the Services hereunder by Contractor, its agents, representatives, employees or subcontractors. (c) Primary/noncontributing. Coverage provided by Contractor shall be primary and any insurance or self-insurance procured or maintained by City shall not be required to contribute with it. The limits of insurance required herein may be satisfied by a combination of primary and umbrella or excess insurance. Any umbrella or excess insurance shall contain or be endorsed to contain a provision that such coverage shall also apply on a primary and noncontributory basis for the benefit of City before the City’s own insurance or self-insurance shall be called upon to protect it as a named insured.
(d) City’s rights of enforcement. In the event any policy of insurance required under this Agreement does not comply with these specifications or is canceled and not replaced, City has the right but not the duty to obtain the insurance it deems necessary and any premium paid by City will be promptly reimbursed by Contractor or City will withhold amounts sufficient to pay premium from Contractor payments. In the alternative, City may cancel this Agreement. (e) Acceptable insurers. All insurance policies shall be issued by an insurance company currently authorized by the Insurance Commissioner to transact business of insurance or that is on the List of Approved Surplus Line Insurers in the State of California, with an assigned policyholders’ Rating of A- (or higher) and Financial Size Category Class VI (or larger) in accordance with the latest edition of Best’s Key Rating Guide, unless otherwise approved by the City’s Risk Manager.
(f) Waiver of subrogation. All insurance coverage maintained or procured pursuant to this agreement shall be endorsed to waive subrogation against City, its elected or appointed officers, agents, officials, employees and volunteers or shall specifically allow Contractor or others providing insurance evidence in compliance with these specifications to waive their right of recovery prior to a loss. Contractor hereby waives its own right of recovery against City, and shall require similar written express waivers and insurance clauses from each of its subcontractors.
(g) Enforcement of contract provisions (non-estoppel). Contractor acknowledges and agrees that any actual or alleged failure on the part of the City to inform Contractor of non-compliance with any requirement imposes no additional obligations on the City nor does it waive any rights hereunder.
(h) Requirements not limiting. Requirements of specific coverage features or limits contained in this section are not intended as a limitation on coverage, limits or other requirements, or a waiver of any coverage normally provided by any insurance. Specific reference to a given coverage feature is for purposes of clarification only as it pertains to a given issue and is not intended by any party or insured to be all inclusive, or to the exclusion of other coverage, or a waiver of any type. If the Contractor maintains higher limits than the minimums shown above, the City requires and shall be entitled to coverage for the higher limits maintained by the Contractor. Any available insurance proceeds in excess of the specified minimum limits of insurance and coverage shall be available to the City.
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PW Agreement – FieldTurf USA Inc (Louie Pompei Memorial Sports Park Field 3 Replacement) 13 (i) Notice of cancellation. Contractor agrees to oblige its insurance agent or broker and insurers to provide to City with a thirty (30) day notice of cancellation (except for nonpayment for which a ten (10) day notice is required) or nonrenewal of coverage for each required coverage.
(j) Additional insured status. General liability policies shall provide or be endorsed to provide that City and its officers, officials, employees, and agents, and volunteers shall be additional insureds under such policies. This provision shall also apply to any excess/umbrella liability policies.
(k) Prohibition of undisclosed coverage limitations. None of the coverages required herein will be in compliance with these requirements if they include any limiting endorsement of any kind that has not been first submitted to City and approved of in writing. (l) Separation of insureds. A severability of interests provision must apply for all additional insureds ensuring that Contractor’s insurance shall apply separately to each insured against whom claim is made or suit is brought, except with respect to the insurer’s limits of liability. The policy(ies) shall not contain any cross-liability exclusions. (m) Pass through clause. Contractor agrees to ensure that its subconsultants, subcontractors, and any other party involved with the project who is brought onto or involved in the project by Contractor, provide the same minimum insurance coverage and endorsements required of Contractor. Contractor agrees to monitor and review all such coverage and assumes all responsibility for ensuring that such coverage is provided in conformity with the requirements of this section. Contractor agrees that upon request, all agreements with consultants, subcontractors, and others engaged in the project will be submitted to City for review. (n) Agency’s right to revise specifications. The City reserves the right at any time during the term of the contract to change the amounts and types of insurance required by giving the Contractor ninety (90) days advance written notice of such change. If such change results in substantial additional cost to the Contractor, the City and Contractor may renegotiate Contractor’s compensation.
(o) Self-insured retentions. Any self-insured retentions must be declared to and approved by City. City reserves the right to require that self-insured retentions be eliminated, lowered, or replaced by a deductible. Self-insurance will not be considered to comply with these specifications unless approved by City.
(p) Timely notice of claims. Contractor shall give City prompt and timely notice of claims made or suits instituted that arise out of or result from Contractor’s performance under this Agreement, and that involve or may involve coverage under any of the required liability policies.
(q) Additional insurance. Contractor shall also procure and maintain, at its own cost and expense, any additional kinds of insurance, which in its own judgment may be necessary for its proper protection and prosecution of the work.
5.3 Indemnification.
To the full extent permitted by law, Contractor agrees to indemnify, defend and hold harmless the City, its officers, employees and agents (“Indemnified Parties”) against, and will Item #13. Page 16
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PW Agreement – FieldTurf USA Inc (Louie Pompei Memorial Sports Park Field 3 Replacement) 14 hold and save them and each of them harmless from, any and all actions, either judicial, administrative, arbitration or regulatory claims, damages to persons or property, losses, costs, penalties, obligations, errors, omissions or liabilities whether actual or threatened (herein “claims or liabilities”) that may be asserted or claimed by any person, firm or entity arising out of or in connection with the negligent performance of the work, operations or activities provided herein of Contractor, its officers, employees, agents, subcontractors, or invitees, or any individual or entity for which Contractor is legally liable (“indemnitors”), or arising from Contractor’s or indemnitors’ reckless or willful misconduct, or arising from Contractor’s or indemnitors’ negligent performance of or failure to perform any term, provision, covenant or condition of this Agreement, and in connection therewith:
(a) Contractor will defend any action or actions filed in connection with any of said claims or liabilities and will pay all costs and expenses, including legal costs and attorneys’ fees incurred in connection therewith;
(b) Contractor will promptly pay any judgment rendered against the City, its officers, agents or employees for any such claims or liabilities arising out of or in connection with the negligent performance of or failure to perform such work, operations or activities of Contractor hereunder; and Contractor agrees to save and hold the City, its officers, agents, and employees harmless therefrom;
(c) In the event the City, its officers, agents or employees is made a party to any action or proceeding filed or prosecuted against Contractor for such damages or other claims arising out of or in connection with the negligent performance of or failure to perform the work, operation or activities of Contractor hereunder, Contractor agrees to pay to the City, its officers, agents or employees, any and all costs and expenses incurred by the City, its officers, agents or employees in such action or proceeding, including but not limited to, legal costs and attorneys’ fees.
In addition, Contractor agrees to indemnify, defend and hold harmless the Indemnified Parties from, any and all claims and liabilities for any infringement of patent rights, copyrights or trademark on any person or persons in consequence of the use by the Indemnified Parties of articles to be supplied by Contractor under this Agreement, and of which the Contractor is not the patentee or assignee or has not the lawful right to sell the same.
Contractor shall incorporate similar indemnity agreements with its subcontractors and if it fails to do so Contractor shall be fully responsible to indemnify City hereunder therefore, and failure of City to monitor compliance with these provisions shall not be a waiver hereof. This indemnification includes claims or liabilities arising from any negligent or wrongful act, error or omission, or reckless or willful misconduct of Contractor in the performance of professional services and work hereunder. The provisions of this Section do not apply to claims or liabilities occurring as a result of City’s sole negligence or willful acts or omissions, but, to the fullest extent permitted by law, shall apply to claims and liabilities resulting in part from City’s negligence, except that design professionals’ indemnity hereunder shall be limited to claims and liabilities arising out of the negligence, recklessness or willful misconduct of the design professional. The indemnity obligation shall be binding on successors and assigns of Contractor and shall survive termination of this Agreement.
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PW Agreement – FieldTurf USA Inc (Louie Pompei Memorial Sports Park Field 3 Replacement) 15
5.4 Notification of Third-Party Claims.
City shall timely notify Contractor of the receipt of any third-party claim relating to the work under this Agreement. City shall be entitled to recover from Contractor its reasonable costs incurred in providing such notification.
5.5 Performance and Labor Bonds.
Concurrently with execution of this Agreement Contractor shall deliver to the City, the following:
(a) A performance bond in the amount of the Contract Sum of this Agreement, in the form provided by the City Clerk, which secures the faithful performance of this Agreement.
(b) A labor and materials bond in the amount of the Contract Sum of this Agreement, in the form provided by the City Clerk, which secures the payment of all persons furnishing labor and/or materials in connection with the work under this Agreement.
Both the performance and labors bonds required under this Section 5.5 shall contain the original notarized signature of an authorized officer of the surety and affixed thereto shall be a certified and current copy of his power of attorney. The bond shall be unconditional and remain in force during the entire term of the Agreement and shall be null and void only if the Contractor promptly and faithfully performs all terms and conditions of this Agreement and pays all labor and materials for work and services under this Agreement.
5.6 Sufficiency of Insurer or Surety.
Insurance and bonds required by this Agreement shall be satisfactory only if issued by companies qualified to do business in California, rated “A” or better in the most recent edition of Best’s Rating Guide, The Key Rating Guide or in the Federal Register, and only if they are of a financial category Class VII or better, unless such requirements are waived by the Risk Manager of the City (“Risk Manager”) due to unique circumstances. If this Agreement continues for more than 3 years duration, or in the event the Risk Manager determines that the work or services to be performed under this Agreement creates an increased or decreased risk of loss to the City, the Contractor agrees that the minimum limits of the insurance policies and the performance bond required by Section 5.5 may be changed accordingly upon receipt of written notice from the Risk Manager.
5.7 Substitution of Securities.
Pursuant to Public Contract Code Section 22300, substitution of eligible equivalent securities for any funds withheld to ensure performance under this Agreement may be permitted at the request and sole expense of the Contractor. Alternatively, the Contractor may, pursuant to an escrow agreement in a form prescribed by Public Contract Code Section 22300, request payment of retentions funds earned directly to the escrow agent at the sole expense of the Contractor.
5.8 Release of Securities.
City shall release the Performance and Labor Bonds when the following have occurred:
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PW Agreement – FieldTurf USA Inc (Louie Pompei Memorial Sports Park Field 3 Replacement) 16 (a) Contractor has made a written request for release and provided evidence of satisfaction of all other requirements under Article 5 of this Agreement; (b) the Work has been accepted; and
(c) after passage of the time within which lien claims are required to be made pursuant to applicable laws; if lien claims have been timely filed, City shall hold the Labor Bond until such claims have been resolved, Contractor has provided statutory bond, or otherwise as required by applicable law.
ARTICLE 6. RECORDS, REPORTS, AND RELEASE OF INFORMATION
6.1 Records.
Contractor shall keep, and require subcontractors to keep, such ledgers, books of accounts, invoices, vouchers, canceled checks, reports, studies, certified and accurate copies of payroll records in compliance with all applicable laws, or other documents relating to the disbursements charged to City and services performed hereunder (the “books and records”), as shall be necessary to perform the services required by this Agreement and enable the Contract Officer to evaluate the performance of such services. Any and all such documents shall be maintained in accordance with generally accepted accounting principles and shall be complete and detailed. The Contract Officer shall have full and free access to such books and records at all times during normal business hours of City, including the right to inspect, copy, audit and make records and transcripts from such records. Such records shall be maintained for a period of 3 years following completion of the services hereunder, and the City shall have access to such records in the event any audit is required. In the event of dissolution of Contractor’s business, custody of the books and records may be given to City, and access shall be provided by Contractor’s successor in interest. Notwithstanding the above, the Contractor shall fully cooperate with the City in providing access to the books and records if a public records request is made and disclosure is required by law including but not limited to the California Public Records Act.
6.2 Reports.
Contractor shall periodically prepare and submit to the Contract Officer such reports concerning the performance of the services required by this Agreement as the Contract Officer shall require. Contractor hereby acknowledges that the City is greatly concerned about the cost of work and services to be performed pursuant to this Agreement. For this reason, Contractor agrees that if Contractor becomes aware of any facts, circumstances, techniques, or events that may or will materially increase or decrease the cost of the work or services contemplated herein or, if Contractor is providing design services, the cost of the project being designed, Contractor shall promptly notify the Contract Officer of said fact, circumstance, technique or event and the estimated increased or decreased cost related thereto and, if Contractor is providing design services, the estimated increased or decreased cost estimate for the project being designed.
6.3 Ownership of Documents.
All drawings, specifications, maps, designs, photographs, studies, surveys, data, notes, computer files, reports, records, documents and other materials (the “documents and materials”) prepared by Contractor, its employees, subcontractors and agents in the performance of this Agreement shall be the property of City and shall be delivered to City upon request of the Contract Officer or upon the termination of this Agreement, and Contractor shall have no claim Item #13. Page 19
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PW Agreement – FieldTurf USA Inc (Louie Pompei Memorial Sports Park Field 3 Replacement) 17 for further employment or additional compensation as a result of the exercise by City of its full rights of ownership use, reuse, or assignment of the documents and materials hereunder. Any use, reuse or assignment of such completed documents for other projects and/or use of uncompleted documents without specific written authorization by the Contractor will be at the City’s sole risk and without liability to Contractor, and Contractor’s guarantee and warranties shall not extend to such use, reuse or assignment. Contractor may retain copies of such documents for its own use.
Contractor shall have an unrestricted right to use the concepts embodied therein. All subcontractors shall provide for assignment to City of any documents or materials prepared by them, and in the event Contractor fails to secure such assignment, Contractor shall indemnify City for all damages resulting therefrom. Moreover, Contractor with respect to any documents and materials that may qualify as “works made for hire” as defined in 17 U.S.C. § 101, such documents and materials are hereby deemed “works made for hire” for the City.
6.4 Confidentiality and Release of Information.
(a) information gained or work product produced by Contractor in performance of this Agreement shall be considered confidential, unless such information is in the public domain or already known to Contractor. Contractor shall not release or disclose any such information or work product to persons or entities other than City without prior written authorization from the Contract Officer.
(b) Contractor, its officers, employees, agents or subcontractors, shall not, without prior written authorization from the Contract Officer or unless requested by the City Attorney, voluntarily provide documents, declarations, letters of support, testimony at depositions, response to interrogatories or other information concerning the work performed under this Agreement. Response to a subpoena or court order shall not be considered "voluntary" provided Contractor gives City notice of such court order or subpoena. (c) If Contractor, or any officer, employee, agent or subcontractor of Contractor, provides any information or work product in violation of this Agreement, then City shall have the right to reimbursement and indemnity from Contractor for any damages, costs and fees, including attorneys’ fees, caused by or incurred as a result of Contractor’s conduct. (d) Contractor shall promptly notify City should Contractor, its officers, employees, agents or subcontractors be served with any summons, complaint, subpoena, notice of deposition, request for documents, interrogatories, request for admissions or other discovery request, court order or subpoena from any party regarding this Agreement and the work performed there under. City retains the right, but has no obligation, to represent Contractor or be present at any deposition, hearing or similar proceeding. Contractor agrees to cooperate fully with City and to provide City with the opportunity to review any response to discovery requests provided by Contractor. However, this right to review any such response does not imply or mean the right by City to control, direct, or rewrite said response.
ARTICLE 7. ENFORCEMENT OF AGREEMENT AND TERMINATION
7.1 California Law.
This Agreement shall be interpreted, construed and governed both as to validity and to performance of the parties in accordance with the laws of the State of California. Legal actions concerning any dispute, claim or matter arising out of or in relation to this Agreement shall be Item #13. Page 20
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PW Agreement – FieldTurf USA Inc (Louie Pompei Memorial Sports Park Field 3 Replacement) 18 instituted in the Superior Court of the County of Los Angeles, State of California, or any other appropriate court in such county, and Contractor covenants and agrees to submit to the personal jurisdiction of such court in the event of such action. In the event of litigation in a U.S. District Court, venue shall lie exclusively in the Central District of California, in the County of Los Angeles, State of California.
7.2 Disputes.
(a) Default; Cure. In the event that Contractor is in default under the terms of this Agreement, the City shall not have any obligation or duty to continue compensating Contractor for any work performed after the date of default. Instead, the City may give notice to Contractor of the default and the reasons for the default. The notice shall include the timeframe in which Contractor may cure the default. This timeframe is presumptively thirty (30) days, but may be extended, though not reduced, if circumstances warrant. During the period of time that Contractor is in default, the City shall hold all invoices and shall proceed with payment on the invoices only when the default is cured. In the alternative, the City may, in its sole discretion, elect to pay some or all of the outstanding invoices during the period of default. If Contractor does not cure the default, the City may take necessary steps to terminate this Agreement under this Article.
Any failure on the part of the City to give notice of the Contractor’s default shall not be deemed to result in a waiver of the City’s legal rights or any rights arising out of any provision of this Agreement.
(b) Dispute Resolution. This contract is subject to the provisions of Article 1.5 (commencing at Section 20104) of Division 2, Part 3 of the California Public Contract Code regarding the resolution of public works claims of less than $375,000. Article 1.5 mandates certain procedures for the filing of claims and supporting documentation by the Contractor, for the response to such claims by the City, for a mandatory meet and confer conference upon the request of the Contractor, for mandatory non-binding mediation in the event litigation is commenced, and for mandatory judicial arbitration upon the failure to resolve the dispute through mediation. This Agreement hereby incorporates the provisions of Article 1.5 as though fully set forth herein.
7.3 Retention of Funds.
Contractor hereby authorizes City to deduct from any amount payable to Contractor (whether or not arising out of this Agreement) (i) any amounts the payment of which may be in dispute hereunder or which are necessary to compensate City for any losses, costs, liabilities, or damages suffered by City, and (ii) all amounts for which City may be liable to third parties, by reason of Contractor’s acts or omissions in performing or failing to perform Contractor’s obligation under this Agreement. In the event that any claim is made by a third party, the amount or validity of which is disputed by Contractor, or any indebtedness shall exist which shall appear to be the basis for a claim of lien, City may withhold from any payment due, without liability for interest because of such withholding, an amount sufficient to cover such claim. The failure of City to exercise such right to deduct or to withhold shall not, however, affect the obligations of the Contractor to insure, indemnify, and protect City as elsewhere provided herein.
7.4 Waiver.
Waiver by any party to this Agreement of any term, condition, or covenant of this Agreement shall not constitute a waiver of any other term, condition, or covenant. Waiver by any party of any breach of the provisions of this Agreement shall not constitute a waiver of any other Item #13. Page 21
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PW Agreement – FieldTurf USA Inc (Louie Pompei Memorial Sports Park Field 3 Replacement) 19 provision or a waiver of any subsequent breach or violation of any provision of this Agreement.
Acceptance by City of any work or services by Contractor shall not constitute a waiver of any of the provisions of this Agreement. No delay or omission in the exercise of any right or remedy by a non-defaulting party on any default shall impair such right or remedy or be construed as a waiver.
Any waiver by either party of any default must be in writing and shall not be a waiver of any other default concerning the same or any other provision of this Agreement.
7.5 Rights and Remedies are Cumulative.
Except with respect to rights and remedies expressly declared to be exclusive in this Agreement, the rights and remedies of the parties are cumulative and the exercise by either party of one or more of such rights or remedies shall not preclude the exercise by it, at the same or different times, of any other rights or remedies for the same default or any other default by the other party.
7.6 Legal Action.
In addition to any other rights or remedies, either party may take legal action, in law or in equity, to cure, correct or remedy any default, to recover damages for any default, to compel specific performance of this Agreement, to obtain declaratory or injunctive relief, or to obtain any other remedy consistent with the purposes of this Agreement. Notwithstanding any contrary provision herein, Contractor shall file a claim pursuant to Government Code Sections 905 et seq. and 910 et seq., in order to pursue a legal action under this Agreement.
7.7 Liquidated Damages.
Since the determination of actual damages for any delay in performance of this Agreement would be extremely difficult or impractical to determine in the event of a breach of this Agreement, the Contractor and its sureties shall be liable for and shall pay to the City the sum of $1,000.00 (One Thousand Dollars) as liquidated damages for each working day of delay in the performance of any service required hereunder, as specified in the Schedule of Performance (Exhibit “D”). The City may withhold from any monies payable on account of services performed by the Contractor any accrued liquidated damages. Pursuant to Government Code Section 4215, Contractor shall not be assessed liquidated damages for delay in completion of the project when such delay was caused by the failure of the public agency or owner of the utility to provide for removal or relocation of utility facilities.
7.8 Termination Prior to Expiration of Term.
This Section shall govern any termination of this Contract except as specifically provided in the following Section for termination for cause. The City reserves the right to terminate this Contract at any time, with or without cause, upon thirty (30) days’ written notice to Contractor, except that where termination is due to the fault of the Contractor, the period of notice may be such shorter time as may be determined by the Contract Officer. In addition, the Contractor reserves the right to terminate this Contract at any time, with or without cause, upon sixty (60) days’ written notice to City, except that where termination is due to the fault of the City, the period of notice may be such shorter time as the Contractor may determine. Upon receipt of any notice of termination, Contractor shall immediately cease all services hereunder except such as may be specifically approved by the Contract Officer. Except where the Contractor has initiated termination, the Contractor shall be entitled to compensation for all services rendered prior to the Item #13. Page 22
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PW Agreement – FieldTurf USA Inc (Louie Pompei Memorial Sports Park Field 3 Replacement) 20 effective date of the notice of termination and for any services authorized by the Contract Officer thereafter in accordance with the Schedule of Compensation or such as may be approved by the Contract Officer, except as provided in Section 7.3. In the event the Contractor has initiated termination, the Contractor shall be entitled to compensation only for the reasonable value of the work product actually produced hereunder. In the event of termination without cause pursuant to this Section, the terminating party need not provide the non-terminating party with the opportunity to cure pursuant to Section 7.2.
7.9 Termination for Default of Contractor.
If termination is due to the failure of the Contractor to fulfill its obligations under this Agreement, City may, after compliance with the provisions of Section 7.2, take over the work and prosecute the same to completion by contract or otherwise, and the Contractor shall be liable to the extent that the total cost for completion of the services required hereunder exceeds the compensation herein stipulated (provided that the City shall use reasonable efforts to mitigate such damages), and City may withhold any payments to the Contractor for the purpose of set-off or partial payment of the amounts owed the City as previously stated.
7.10 Attorneys’ Fees.
If either party to this Agreement is required to initiate or defend or made a party to any action or proceeding in any way connected with this Agreement, the prevailing party in such action or proceeding, in addition to any other relief which may be granted, whether legal or equitable, shall be entitled to reasonable attorney’s fees. Attorney’s fees shall include attorney’s fees on any appeal, and in addition a party entitled to attorney’s fees shall be entitled to all other reasonable costs for investigating such action, taking depositions and discovery and all other necessary costs the court allows which are incurred in such litigation. All such fees shall be deemed to have accrued on commencement of such action and shall be enforceable whether or not such action is prosecuted to judgment.
7.11 Unfair Business Practices Claims.
In entering into this Agreement, Contractor offers and agrees to assign to the City all rights, title, and interest in and to all causes of action it may have under Section 4 of the Clayton Act (15 U.S.C. § 15) or under the Cartwright Act (Chapter 2, (commencing with Section 16700) of Part 2 of Division 7 of the Business and Professions Code), arising from purchases of goods, services or materials related to this Agreement. This assignment shall be made and become effective at the time the City renders final payment to the Contractor without further acknowledgment of the Parties.
ARTICLE 8. CITY OFFICERS AND EMPLOYEES: NON-DISCRIMINATION
8.1 Non-liability of City Officers and Employees.
No officer or employee of the City shall be personally liable to the Contractor, or any successor in interest, in the event of any default or breach by the City or for any amount which may become due to the Contractor or to its successor, or for breach of any obligation of the terms of this Agreement.
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PW Agreement – FieldTurf USA Inc (Louie Pompei Memorial Sports Park Field 3 Replacement) 21
8.2 Conflict of Interest.
Contractor covenants that neither it, nor any officer or principal of its firm, has or shall acquire any interest, directly or indirectly, which would conflict in any manner with the interests of City or which would in any way hinder Contractor’s performance of services under this Agreement. Contractor further covenants that in the performance of this Agreement, no person having any such interest shall be employed by it as an officer, employee, agent or subcontractor without the express written consent of the Contract Officer. Contractor agrees to at all times avoid conflicts of interest or the appearance of any conflicts of interest with the interests of City in the performance of this Agreement.
No officer or employee of the City shall have any financial interest, direct or indirect, in this Agreement nor shall any such officer or employee participate in any decision relating to the Agreement which effects his financial interest or the financial interest of any corporation, partnership or association in which he is, directly or indirectly, interested, in violation of any State statute or regulation. The Contractor warrants that it has not paid or given and will not pay or give any third party any money or other consideration for obtaining this Agreement.
8.3 Covenant Against Discrimination.
Contractor covenants that, by and for itself, its heirs, executors, assigns, and all persons claiming under or through them, there shall be no discrimination against or segregation of, any person or group of persons on account of race, color, creed, religion, sex, gender, sexual orientation, marital status, national origin, ancestry, or other protected class in the performance of this Agreement. Contractor shall take affirmative action to insure that applicants are employed and that employees are treated during employment without regard to their race, color, creed, religion, sex, gender, sexual orientation, marital status, national origin, ancestry, or other protected class.
8.4 Unauthorized Aliens.
Contractor hereby promises and agrees to comply with all of the provisions of the Federal Immigration and Nationality Act, 8 U.S.C. § 1101 et seq., as amended, and in connection therewith, shall not employ unauthorized aliens as defined therein. Should Contractor so employ such unauthorized aliens for the performance of work and/or services covered by this Agreement, and should any liability or sanctions be imposed against City for such use of unauthorized aliens, Contractor hereby agrees to and shall reimburse City for the cost of all such liabilities or sanctions imposed, together with any and all costs, including attorneys' fees, incurred by City.
ARTICLE 9. MISCELLANEOUS PROVISIONS
9.1 Notices.
Any notice, demand, request, document, consent, approval, or communication either party desires or is required to give to the other party or any other person shall be in writing and either served personally or sent by prepaid, first-class mail, in the case of the City, to the City Manager and to the attention of the Contract Officer (with her/his name and City title), City of Glendora, 116 E. Foothill Blvd., Glendora, California 91741-3380, and in the case of the Contractor, to the person at the address designated on the execution page of this Agreement. Either party may change its address by notifying the other party of the change of address in writing.
Notice shall be deemed communicated at the time personally delivered or in seventy-two (72) Item #13. Page 24
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PW Agreement – FieldTurf USA Inc (Louie Pompei Memorial Sports Park Field 3 Replacement) 22 hours from the time of mailing if mailed as provided in this Section. All correspondence relating to this Agreement shall be serialized consecutively.
9.2 Interpretation.
The terms of this Agreement shall be construed in accordance with the meaning of the language used and shall not be construed for or against either party by reason of the authorship of this Agreement or any other rule of construction which might otherwise apply.
9.3 Counterparts.
This Agreement may be executed in counterparts, each of which shall be deemed to be an original, and such counterparts shall constitute one and the same instrument.
9.4 Integration; Amendment.
This Agreement including the attachments hereto is the entire, complete and exclusive expression of the understanding of the parties. It is understood that there are no oral agreements between the parties hereto affecting this Agreement and this Agreement supersedes and cancels any and all previous negotiations, arrangements, agreements and understandings, if any, between the parties, and none shall be used to interpret this Agreement. No amendment to or modification of this Agreement shall be valid unless made in writing and approved by the Contractor and by the City Council. The parties agree that this requirement for written modifications cannot be waived and that any attempted waiver shall be void.
9.5 Severability.
In the event that any one or more of the phrases, sentences, clauses, paragraphs, or sections contained in this Agreement shall be declared invalid or unenforceable by a valid judgment or decree of a court of competent jurisdiction, such invalidity or unenforceability shall not affect any of the remaining phrases, sentences, clauses, paragraphs, or sections of this Agreement which are hereby declared as severable and shall be interpreted to carry out the intent of the parties hereunder unless the invalid provision is so material that its invalidity deprives either party of the basic benefit of their bargain or renders this Agreement meaningless.
9.6 Warranty & Representation of Non-Collusion.
No official, officer, or employee of City has any financial interest, direct or indirect, in this Agreement, nor shall any official, officer, or employee of City participate in any decision relating to this Agreement which may affect his/her financial interest or the financial interest of any corporation, partnership, or association in which (s)he is directly or indirectly interested, or in violation of any corporation, partnership, or association in which (s)he is directly or indirectly interested, or in violation of any State or municipal statute or regulation. The determination of “financial interest” shall be consistent with State law and shall not include interests found to be “remote” or “noninterests” pursuant to Government Code Sections 1091 or 1091.5. Contractor warrants and represents that it has not paid or given, and will not pay or give, to any third party including, but not limited to, any City official, officer, or employee, any money, consideration, or other thing of value as a result or consequence of obtaining or being awarded any agreement.
Contractor further warrants and represents that (s)he/it has not engaged in any act(s), omission(s), or other conduct or collusion that would result in the payment of any money, consideration, or other thing of value to any third party including, but not limited to, any City official, officer, or Item #13. Page 25
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PW Agreement – FieldTurf USA Inc (Louie Pompei Memorial Sports Park Field 3 Replacement) 23 employee, as a result of consequence of obtaining or being awarded any agreement. Contractor is aware of and understands that any such act(s), omission(s) or other conduct resulting in such payment of money, consideration, or other thing of value will render this Agreement void and of no force or effect.
Contractor’s Authorized Initials ___________________
Darren Gill
Executive Vice President
9.7 Corporate Authority.
The persons executing this Agreement on behalf of the parties hereto warrant that (i) such party is duly organized and existing, (ii) they are duly authorized to execute and deliver this Agreement on behalf of said party, (iii) by so executing this Agreement, such party is formally bound to the provisions of this Agreement, and (iv) the entering into this Agreement does not violate any provision of any other Agreement to which said party is bound. This Agreement shall be binding upon the heirs, executors, administrators, successors and assigns of the parties. [SIGNATURES ON FOLLOWING PAGE]
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PW Agreement – FieldTurf USA Inc (Louie Pompei Memorial Sports Park Field 3 Replacement) 24 IN WITNESS WHEREOF, the parties hereto have executed this Agreement on the date and year first-above written.
CITY:
City of Glendora, a municipal corporation
Adam Raymond
City Manager
APPROVED AS TO FORM: CERTIFY AVAILABILITY OF FUNDS:
ALESHIRE & WYNDER, LLP
William W. Wynder
City Attorney
Marie Ricci
Administrative Services Director/City Treasurer
ATTEST:
Kathleen R. Sessman
City Clerk/Communications Director
CONTRACTOR:
FieldTurf USA Inc
Name: Darren Gill
Title: Executive Vice President
Email: [email protected]
Name: Jennifer Hopper
Title: CFO and Treasurer
Email: [email protected]
Address: 175 N Industrial Blvd NE. Calhoun, GA 90701
Two corporate officer signatures required when Contractor is a corporation, with one signature required from each of the following groups: 1) Chairman of the Board, President or any Vice President; and 2) Secretary, any Assistant Secretary, Chief Financial Officer or any Assistant Treasurer. CONTRACTOR’S SIGNATURES SHALL BE DULY NOTARIZED, AND APPROPRIATE ATTESTATIONS
SHALL BE INCLUDED AS MAY BE REQUIRED BY THE BYLAWS, ARTICLES OF INCORPORATION, OR OTHER RULES OR REGULATIONS APPLICABLE TO CONTRACTOR’S BUSINESS ENTITY.
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01240.0001/535311.1 A-1
EXHIBIT “A”
SCOPE OF WORK
I. Contractor shall perform all of the work and comply with all of the specifications and requirements in the product details and civil scope listed in the FieldTurf CMAS Pricing Proposal document for the project entitled Louie Pompei Memorial Sports Park Field 3 Artificial Turf Replacement, including any documents or exhibits referenced therein.
II. Brief description of the work to be performed:
From date of Notice to Proceed – Removal and disposal of existing synthetic turf and replace with new synthetic turf, regrade of existing permeable aggregate, replace the existing nailerboard, up to 1,130 LF
III. In addition to the requirements of Section 6.2, during performance of the work, Contractor will keep the City apprised of the status of performance by delivering the following status reports:
A. Contractor will provide City with weekly updates on project. This includes all deliverables listed in proposal, any timeline changes, issues, or change orders needed.
IV. All work is subject to review and acceptance by the City, and must be revised by the Contractor without additional charge to the City until found satisfactory and accepted by City.
V. Contractor shall provide safe and continuous passage for pedestrian and vehicular traffic in accordance with the Work Area Traffic Control Handbook (WATCH), latest edition.
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01240.0001/535311.1 B-1
EXHIBIT “B”
SPECIAL REQUIREMENTS
(Superseding Contract Boilerplate)
Added text is indicated in bold italics, deleted text is indicated in strikethrough.
1.2 Bid Documents.
The Scope of Work shall include the “General Provisions” and “Special Provisions” in the bid documents all specifications and requirements listed in the product details and civil scope in the FieldTurf CMAS Pricing Proposal provided to the City of Glendora listed in Exhibit C-1. All pricing shall comply with CMAS contract number GS-07F-9631S for the project entitled Louie Pompei Memorial Sports Park Field 3 Replacement including any documents or exhibits referenced therein (collectively, “bid documents”), all of which are incorporated herein by this reference. In the event of any inconsistency between the terms of the bid documents and this Agreement, the terms of this Agreement shall govern.
1.8 Warranty.
Contractor warrants all work under the Agreement (which for purposes of this Section shall be deemed to include unauthorized work which has not been removed and any non-conforming materials incorporated into the work) to be of good quality and free from any defective or faulty material and workmanship. Contractor agrees that for a period of one year (or the period of time specified elsewhere in the Agreement or in any guarantee or warranty provided by any manufacturer or supplier of equipment or materials incorporated into the work, whichever is later) after the date of final acceptance, Contractor shall within ten (10) days after being notified in writing by the City of any defect in the work or non-conformance of the work to the Agreement, commence and prosecute with due diligence all work necessary to fulfill the terms of the warranty at its sole cost and expense. Contractor shall act as soon as requested by the City in response to an emergency. In addition, Contractor shall, at its sole cost and expense, repair, remove and replace any portions of the work (or work of other contractors) damaged by its defective work or which becomes damaged in the course of repairing or replacing defective work. For any work so corrected, Contractor's obligation hereunder to correct defective work shall be reinstated for an additional one year period, commencing with the date of acceptance of such corrected work.
Contractor shall perform such tests as the City may require to verify that any corrective actions, including, without limitation, redesign, repairs, and replacements comply with the requirements of the Agreement. All costs associated with such corrective actions and testing, including the removal, replacement, and reinstitution of equipment and materials necessary to gain access, shall be the sole responsibility of the Contractor. All warranties and guarantees of subcontractors, suppliers and manufacturers with respect to any portion of the work, whether express or implied, are deemed to be obtained by Contractor for the benefit of the City, regardless of whether or not such warranties and guarantees have been transferred or assigned to the City by separate agreement and Contractor agrees to enforce such warranties and guarantees, if necessary, on behalf of the City. In the event that Contractor fails to perform its obligations under this Section, or under any other warranty or guaranty under this Agreement, to the reasonable satisfaction of the City, the Item #13. Page 29
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01240.0001/535311.1 B-2
City shall have the right to correct and replace any defective or non-conforming work and any work damaged by such work or the replacement or correction thereof at Contractor's sole expense.
Contractor shall be obligated to fully reimburse the City for any expenses incurred hereunder upon demand.
1.10 Additional Work and Change Orders
(c)(ii) Materials and Equipment: the cost of materials and equipment shall be at cost to Contractor plus an allowable markup of up to 10% or lowest current price which such materials and equipment are reasonably available at the time the work is done, whichever is lower.
2.2 Method of Compensation
The method of compensation may include: (i) a lump sum payment upon completion; (ii) (i) payment on a monthly basis in accordance with specified tasks or the percentage of completion of the services less the contract retention; (iii) (ii) payment for time and materials based upon the Contractor’s rates as specified in the Schedule of Compensation, provided that (a) time estimates are provided for the performance of sub tasks, (b) contract retention is maintained and (c) the Contract Sum is not exceeded; or (iv)(iii) such other methods as may be specified in the Schedule of Compensation.
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01240.0001/535311.1 C-1
EXHIBIT “C”
SCHEDULE OF COMPENSATION
I. Contractor shall perform all work at the rates on the Bid Sheet submitted as part of Contractor’s Proposal, and listed below:
See Exhibit C-1 for contractors proposal.
I. A retention of five percent (5%) shall be held from each monthly requisition for payment as a contract retention to be paid as part of the final payment upon satisfactory completion of services.
II. Within the budgeted amounts for each item on the Bid Sheet, and with the approval of the Contract Officer, funds may be shifted from one item’s subbudget to another so long as the Contract Sum is not exceeded per Section 2.1, unless Additional Work is approved per Section 1.10.
III. The City will compensate Contractor for the Services performed upon submission of a valid invoice. Each invoice is to include:
A. Line items for all personnel describing the work performed, the number of hours worked, and the hourly rate.
B. Line items for all materials and equipment properly charged to the Services.
C. Line items for all other approved reimbursable expenses claimed, with supporting documentation.
D. Line items for all approved subcontractor labor, supplies, equipment, materials, and travel properly charged to the Services.
V. The total compensation for the Services shall not exceed the Contract Sum, as provided in Section 2.1 of this Agreement.
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01240.0001/535311.1 C-2
EXHIBIT “C-1”
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01240.0001/535311.1 C-3
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01240.0001/535311.1 C-4
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01240.0001/535311.1 D-1
EXHIBIT “D”
SCHEDULE OF PERFORMANCE
I. Contractor shall perform all work timely in accordance with the following schedule:
All work listed in Exhibit A should be completed by December 31, 2023.
IV. Contractor shall deliver the following tangible work products to the City by the following dates.
A. Removal of existing synthetic turf.
B. Regrade of existing permeable aggregate.
C. Replace the existing nailerboard up to 1,130 LF.
D. Install new synthetic turf in accordance with specifications submitted in the submitted proposal.
V. The Contract Officer may approve extensions for performance of the services in accordance with Section 3.2.
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01240.0001/535311.1 D-1
PERFORMANCE BOND
WHEREAS, the CITY OF GLENDORA, (“City”), has awarded to FieldTurf USA Inc, as Contractor (“Principal”), a Contract for the work entitled and described as follows: Louie Pompei Memorial Sports Park Field 3 Replacement;
WHEREAS, the Contractor is required under the terms of said Contract to furnish a bond for the faithful performance of the Contract;
NOW, THEREFORE, we the undersigned Contractor and Surety, are held and firmly bound unto the City in the sum of $463,007.05 (Four Hundred Sixty Three Thousand and Seven Dollars and Five Cents) this amount being not less than one hundred percent (100%) of the total Contract price, lawful money of the United States of America, for payment of which sum well and truly be made we bind ourselves, our heirs, executors, administrators, and successors, jointly and severally, firmly by these presents. In case suit is brought upon this bond, the Surety will pay a reasonable attorney’s fee to the City in an amount to be fixed by the court.
THE CONDITION OF THIS OBLIGATION IS SUCH THAT, if the hereby bound Contractor, or its heirs, executors, administrators, successors, or assigns, shall in all things stand and abide by, well and truly keep and perform all undertakings, terms, covenants, conditions, and agreements in the said Contract and any alteration thereof, made as therein provided, all within the time and in the manner designated and in all respects according to their true intent and meaning, then this obligation shall become null and void; otherwise it shall be and remain in full force and effect.
FURTHER, the said Surety, for value received, hereby stipulates and agrees that no change, extension of time, alteration, or modification of the Contract Documents or of the work to be performed thereunder shall in any way affect its obligations on this bond, and it does hereby waive notice of such change, extension of time, alteration, or modification of the Contract Documents or of the work to be performed thereunder.
Executed on 20___.
PRINCIPAL
(Seal if Corporation) By
Title
(Attach Acknowledgment of Authorized Representative of Principal) Item #13. Page 36
Meeting Date: 9/26/2023 / Packet Page #: 173
01240.0001/535311.1 D-2
Any claims under this bond may be addressed to:
(name and address of Surety)
(name and address of Surety's agent for service
of
process in California, if different from above)
(telephone number of Surety's agent in
California)
(Attach Acknowledgment)
SURETY
By
(Attorney-in-Fact)
APPROVED:
(Attorney for CITY)
NOTICE:
No substitution or revision to this bond form will be accepted. Sureties must be authorized to do business in and have an agent for service of process in California. Certified copy of Power of Attorney must be attached.
Item #13. Page 37
Meeting Date: 9/26/2023 / Packet Page #: 174
01240.0001/535311.1
PAYMENT BOND
(Labor and Material Bond)
WHEREAS, the CITY OF GLENDORA, (“City”), has awarded to FieldTurf USA Inc, as Contractor (“Principal”), a Contract for the work entitled and described as follows: Louie Pompei Memorial Sports Park Field 3 Replacement;
WHEREAS, said Contractor is required to furnish a bond in conjunction with said Contract, to secure the payment of claims of laborers, mechanics, material men, and other persons as provided by law;
NOW, THEREFORE, we the undersigned Contractor and Surety, are held and firmly bound unto the City in the sum of $463,007.05 (Four Hundred Sixty Three Thousand and Seven Dollars and Five Cents) this amount being not less than one hundred percent (100%) of the total Contract price, lawful money of the United States of America, for payment of which sum well and truly be made we bind ourselves, our heirs, executors, administrators, and successors, jointly and severally, firmly by these presents. In case suit is brought upon this bond, the Surety will pay a reasonable attorney’s fee to the City in an amount to be fixed by the court.
THE CONDITION OF THIS OBLIGATION IS SUCH THAT, if said Contractor, its heirs, executors, administrators, successors, assigns, or subcontractor fails to pay: (1) for any work, materials, services, provisions, provender, or other supplies, or for the use of implements of machinery, used in, upon, for, or about the performance of the work to be done, or for any work or labor thereon of any kind; (2) for work performed by any of the persons named in Civil Code Section 9100; (3) for any amounts due under the Unemployment Insurance Code with respect to work or labor performed under the contract; and/or (4) for any amounts required to be deducted, withheld, and paid over to the Employment Development Department from the wages of employees of the Contractor and/or its subcontractors pursuant to Section 13020 of the Unemployment Insurance Code with respect to such work and labor, then the Surety herein will pay for the same in an amount not exceeding the sum specified in this bond, otherwise the above obligation shall be void.
This bond shall inure to the benefit of any of the persons named in Civil Code Section 9100 so as to give a right of action to such persons or their assigns in any suit brought upon the bond. Moreover, if the City or any entity or person entitled to file stop payment notices is required to engage the services of an attorney in connection with the enforcement of this bond, each shall be liable for the reasonable attorney's fees incurred, with or without suit, in addition to the above sum.
Said Surety, for value received, hereby stipulates and agrees that no change, extension of time, alteration, or modification of the Contract Documents or of the work to be performed thereunder shall in any way affect its obligations on this bond, and it does hereby waive notice of such change, extension of time, alteration, or modification of the Contract Documents or of the work to be performed thereunder.
Item #13. Page 38
Meeting Date: 9/26/2023 / Packet Page #: 175
01240.0001/535311.1
Executed on , 20____.
PRINCIPAL
(Seal if Corporation) By
Title
(Attach Acknowledgment of Authorized Representative of Principal) Any claims under this bond may be addressed to:
(name and address of Surety)
(name and address of Surety's agent for service
of process in California, if different from above)
(telephone number of Surety's agent in
California)
(Attach Acknowledgment)
SURETY
By
(Attorney-in-Fact)
APPROVED:
(Attorney for CITY)
NOTICE:
No substitution or revision to this bond form will be accepted. Sureties must be authorized to do business in and have an agent for service of process in California. Certified copy of Power of Attorney must be attached.
Item #13. Page 39
Meeting Date: 9/26/2023 / Packet Page #: 176
01240.0001/535311.1
WORKERS COMPENSATION INSURANCE CERTIFICATE
Description of Contract: City of Glendora
Project: Louie Pompei Memorial Sports Park Field 3
Replacement
Type of Insurance: Workers' Compensation and
Employers' Liability Insurance
THIS IS TO CERTIFY that the following policy has been issued by the below-stated company in conformance with the requirements of Article 5 of the Contract and is in force at this time, and is in a form approved by the Insurance Commissioner.
The Company will give at least 30 days' written notice to the City and Engineer/Architect prior to any cancellation of said policy.
POLICY NUMBER EXPIRATION DATE LIMITS OF LIABILITY
Workers' Compensation:
Statutory Limits Under the Laws
of the State of California
Employers' Liability:
$_________________ Each Accident
$_________________ Disease - Policy Limit
$_________________ Disease - Each Employee
Named Insured (Contractor) Insurance Company
Street Number Street Number
City and State City and State
By
(Company Representative)
(SEE NOTICE ON NEXT PAGE)
Item #13. Page 40
Meeting Date: 9/26/2023 / Packet Page #: 177
01240.0001/535311.1
Insurance Company Agent for Service
of Process in California:
Name
Agency
Street Number
City and State
Telephone Number
This certificate is issued as a matter of information only and confers no rights upon the certificate holder. This certificate does not amend, extend, or alter the coverage afforded by the policy listed herein.
This is to certify that the policy has been issued to the named insured for the policy period indicated, notwithstanding any requirement, term, or condition of any contract or other document with respect to which this certificate may be issued or may pertain, the insurance afforded by the policy described herein is subject to all the terms, exclusions, and conditions of such policy.
NOTICE:
No substitution or revision to the above certificate form will be accepted. If the insurance called for is provided by more than one insurance company, a separate certificate in the exact above form shall be provided for each insurance company.
Item #13. Page 41
Meeting Date: 9/26/2023 / Packet Page #: 178
01240.0001/535311.1
ADDITIONAL INSURED ENDORSEMENT
COMPREHENSIVE GENERAL LIABILITY
Name and address of named insured (“Named Insured”)
Name and address of Insurance Company (“Company”)
General description of agreement(s), permit(s), license(s), and/or activity(ies) insured Notwithstanding any inconsistent statement in the policy to which this endorsement is attached (the “Policy”) or in any endorsement now or hereafter attached thereto, it is agreed as follows:
1. The
(“Public Agency”), its elected officials, officers, attorneys, agents, employees, and volunteers are additional insureds (the above named additional insureds are hereafter referred to as the “Additional Insureds”) under the Policy in relation to those activities described generally above with regard to operations performed by or on behalf of the Named Insured. The Additional Insureds have no liability for the payment of any premiums or assessments under the Policy.
2. The insurance coverages afforded the Additional Insureds under the Policy shall be primary insurance, and no other insurance maintained by the Additional Insureds shall be called upon to contribute with the insurance coverages provided by the Policy.
3. Each insurance coverage under the Policy shall apply separately to each Additional Insured against whom claim is made or suit is brought except with respect to the limits of the Company's liability.
4. Nothing in this contract of insurance shall be construed to preclude coverage of a claim by one insured under the policy against another insured under the policy. All such claims shall be covered as third-party claims, i.e., in the same manner as if separate policies had been issued to each insured. Nothing contained in this provision shall operate to increase or replicate the Company's limits of liability as provided under the policy.
5. The insurance afforded by the Policy for contractual liability insurance (subject to the terms, conditions and exclusions applicable to such insurance) includes liability assumed by the Named Insured under the indemnification and/or hold harmless provision(s) contained in or executed in conjunction with the written agreement(s) or permit(s) designated above, between the Named Insured and the Additional Insureds.
6. The policy to which this endorsement is attached shall not be subject to cancellation, change in coverage, reduction of limits (except as the result of the payment of claims), or non-renewal except after written notice to Public Agency, by certified mail, return receipt requested, not less than thirty (30) days prior to the effective date thereof. In the event of Company's failure to comply with this notice provision, the policy as initially drafted will continue in full force and effect until compliance with this notice requirement.
7. Company hereby waives all rights of subrogation and contribution against the Additional Insureds, while acting within the scope of their duties, from all claims, losses and liabilities arising out of or incident to the perils insured against in relation to those activities described generally above with regard Item #13. Page 42
Meeting Date: 9/26/2023 / Packet Page #: 179
01240.0001/535311.1
to operations performed by or on behalf of the Named Insured regardless of any prior, concurrent, or subsequent active or passive negligence by the Additional Insureds.
8. It is hereby agreed that the laws of the State of California shall apply to and govern the validity, construction, interpretation, and enforcement of this contract of insurance.
9. This endorsement and all notices given hereunder shall be sent to Public Agency at:
City Manager, City of Glendora, 116 E. Foothill Blvd., Glendora, California 91741-3380.
10. Except as stated above and not in conflict with this endorsement, nothing contained herein shall be held to waive, alter or extend any of the limits, agreements, or exclusions of the policy to which this endorsement is attached.
TYPE OF COVERAGES TO WHICH POLICY PERIOD LIMITS OF
THIS ENDORSEMENT ATTACHES FROM/TO LIABILITY
11. Scheduled items or locations are to be identified on an attached sheet. The following inclusions relate to the above coverages. Includes:
□ Contractual Liability □ Explosion Hazard
□ Owners/Landlords/Tenants □ Collapse Hazard
□ Manufacturers/Contractors □ Underground Property Damage □ Products/Completed Operations □ Pollution Liability
□ Broad Form Property Damage □ Liquor Liability
□ Extended Bodily Injury □
□ Broad Form Comprehensive □
General Liability Endorsement □
12. A □ deductible or □ self-insured retention (check one) of $ applies to all coverage(s) except:
(if none, so state). The deductible is applicable □ per claim or □ per occurrence (check one).
13. This is an □ occurrence or □ claims made policy (check one).
14. This endorsement is effective on at 12:01 a.m. and forms a part of Policy Number .
(signatures on following page)
Item #13. Page 43
Meeting Date: 9/26/2023 / Packet Page #: 180
01240.0001/535311.1
I, (print name), hereby
declare under penalty of perjury under the laws of the State of California, that I have the authority to bind the Company to this endorsement and that by my execution hereof, I do so bind the Company.
Executed , 20
Signature of Authorized Representative
(Original signature only; no facsimile signature
Telephone No.: ( ) or initialed signature accepted)
Item #13. Page 44
Meeting Date: 9/26/2023 / Packet Page #: 181
01240.0001/535311.1
ADDITIONAL INSURED ENDORSEMENT
AUTOMOBILE LIABILITY
Name and address of named insured (“Named Insured”)
Name and address of Insurance Company (“Company”)
General description of agreement(s), permit(s), license(s), and/or activity(ies) insured Notwithstanding any inconsistent statement in the policy to which this endorsement is attached (the “Policy”) or in any endorsement now or hereafter attached thereto, it is agreed as follows:
1. The
(“Public Agency”), its elected officials, officers, attorneys, agents, employees, and volunteers are additional insureds (the above named additional insureds are hereafter referred to as the “Additional Insureds”) under the Policy in relation to those activities described generally above with regard to operations performed by or on behalf of the Named Insured. The Additional Insureds have no liability for the payment of any premiums or assessments under the Policy.
2. The insurance coverages afforded the Additional Insureds under the Policy shall be primary insurance, and no other insurance maintained by the Additional Insureds shall be called upon to contribute with the insurance coverages provided by the Policy.
3. Each insurance coverage under the Policy shall apply separately to each Additional Insured against whom claim is made or suit is brought except with respect to the limits of the Company's liability.
4. Nothing in this contract of insurance shall be construed to preclude coverage of a claim by one insured under the policy against another insured under the policy. All such claims shall be covered as third-party claims, i.e., in the same manner as if separate policies had been issued to each insured. Nothing contained in this provision shall operate to increase or replicate the Company's limits of liability as provided under the policy.
5. The insurance afforded by the Policy for contractual liability insurance (subject to the terms, conditions and exclusions applicable to such insurance) includes liability assumed by the Named Insured under the indemnification and/or hold harmless provision(s) contained or executed in conjunction with the written agreement(s) or permit(s) designated above, between the Named Insured and the Additional Insureds.
6. The policy to which this endorsement is attached shall not be subject to cancellation, change in coverage, reduction of limits (except as the result of the payment of claims), or non-renewal except after written notice to Public Agency, by certified mail, return receipt requested, not less than thirty (30) days prior to the effective date thereto. In the event of Company's failure to comply with this notice provision, the policy as initially drafted will continue in full force and effect until compliance with this notice requirement.
7. Company hereby waives all rights of subrogation and contribution against the Additional Insureds, while acting within the scope of their duties, from all claims, losses and liabilities arising out of or incident to the perils insured against in relation to those activities described generally above with regard Item #13. Page 45
Meeting Date: 9/26/2023 / Packet Page #: 182
01240.0001/535311.1
to operations performed by or on behalf of the Named Insured regardless of any prior, concurrent, or subsequent active or passive negligence by the Additional Insureds.
8. It is hereby agreed that the laws of the State of California shall apply to and govern the validity, construction, interpretation, and enforcement of this contract of insurance.
9. This endorsement and all notices given hereunder shall be sent to Public Agency at:
City Manager
City of Glendora
116 E. Foothill Blvd.
Glendora, California 91741-3380
10. Except as stated above and not in conflict with this endorsement, nothing contained herein shall be held to waive, alter or extend any of the limits, agreements, or exclusions of the policy to which this endorsement is attached.
TYPE OF COVERAGES TO WHICH POLICY PERIOD LIMITS OF
THIS ENDORSEMENT ATTACHES FROM/TO LIABILITY
11. Scheduled items or locations are to be identified on an attached sheet. The following inclusions relate to the above coverages. Includes:
□ Any Automobiles □ Truckers Coverage
□ All Owned Automobiles □ Motor Carrier Act
□ Non-owned Automobiles □ Bus Regulatory Reform Act
□ Hired Automobiles □ Public Livery Coverage
□ Scheduled Automobiles □
□ Garage Coverage □
12. A □ deductible or □ self-insured retention (check one) of $ applies to all coverage(s) except: (if none, so state). The deductible is applicable □ per claim or □ per occurrence (check one).
13. This is an □ occurrence or □ claims made policy (check one).
14. This endorsement is effective on at 12:01 a.m. and forms a part of Policy Number .
(signatures on following page)
Item #13. Page 46
Meeting Date: 9/26/2023 / Packet Page #: 183
01240.0001/535311.1
I, (print name), hereby
declare under penalty of perjury under the laws of the State of California, that I have the authority to bind the Company to this endorsement and that by my execution hereof, I do so bind the Company.
Executed , 20
Signature of Authorized Representative
(Original signature only; no facsimile signature
Telephone No.: ( ) or initialed signature accepted)
Item #13. Page 47
Meeting Date: 9/26/2023 / Packet Page #: 184
01240.0001/535311.1
ADDITIONAL INSURED ENDORSEMENT
EXCESS LIABILITY
Name and address of named insured (“Named Insured”)
Name and address of Insurance Company (“Company”)
General description of agreement(s), permit(s), license(s), and/or activity(ies) insured Notwithstanding any inconsistent statement in the policy to which this endorsement is attached (the “Policy”) or in any endorsement now or hereafter attached thereto, it is agreed as follows:
1. The
(“Public Agency”), its elected officials, officers, attorneys, agents, employees, and volunteers are additional insureds (the above named additional insureds are hereafter referred to as the “Additional Insureds”) under the Policy in relation to those activities described generally above with regard to operations performed by or on behalf of the Named Insured. The Additional Insureds have no liability for the payment of any premiums or assessments under the Policy.
2. The insurance coverages afforded the Additional Insureds under the Policy shall be primary insurance, and no other insurance maintained by the Additional Insureds shall be called upon to contribute with the insurance coverages provided by the Policy.
3. Each insurance coverage under the Policy shall apply separately to each Additional Insured against whom claim is made or suit is brought, except with respect to the limits of the Company's liability.
4. Nothing in this contract of insurance shall be construed to preclude coverage of a claim by one insured under the policy against another insured under the policy. All such claims shall be covered as third-party claims, i.e., in the same manner as if separate policies had been issued to each insured. Nothing contained in this provision shall operate to increase or replicate the Company's limits of liability as provided under the policy.
5. The insurance afforded by the Policy for contractual liability insurance (subject to the terms, conditions and exclusions applicable to such insurance) includes liability assumed by the Named Insured under the indemnification and/or hold harmless provision(s) contained in or executed in conjunction with the written agreement(s) or permit(s) designated above, between the Named Insured and the Additional Insureds.
6. The policy to which this endorsement is attached shall not be subject to cancellation, change in coverage, reduction of limits (except as the result of the payment of claims), or non-renewal except after written notice to Public Agency, by certified mail, return receipt requested, not less than thirty (30) days prior to the effective date thereto. In the event of Company's failure to comply with this notice provision, the policy as initially drafted will continue in full force and effect until compliance with this notice requirement.
7. Company hereby waives all rights of subrogation and contribution against the Additional Insureds, while acting within the scope of their duties, from all claims, losses and liabilities arising out of or incident to the perils insured against in relation to those activities described generally above with regard to operations performed by or on behalf of the Named Insured regardless of any prior, concurrent, or subsequent active or passive negligence by the Additional Insureds.
Item #13. Page 48
Meeting Date: 9/26/2023 / Packet Page #: 185
01240.0001/535311.1
8. It is hereby agreed that the laws of the State of California shall apply to and govern the validity, construction, interpretation, and enforcement of this contract of insurance.
9. This endorsement and all notices given hereunder shall be sent to Public Agency at:
City Manager
City of Glendora
116 E. Foothill Blvd.
Glendora, California 91741-3380
10. Except as stated above and not in conflict with this endorsement, nothing contained herein shall be held to waive, alter or extend any of the limits, agreements, or exclusions of the policy to which this endorsement is attached.
TYPE OF COVERAGES TO WHICH POLICY PERIOD LIMITS OF
THIS ENDORSEMENT ATTACHES FROM/TO LIABILITY
□ Following Form
□ Umbrella Liability
□
11. Applicable underlying coverages:
INSURANCE COMPANY POLICY NO. AMOUNT
12. The following inclusions, exclusions, extensions or specific provisions relate to the above coverages:
13. A □ deductible or □ self-insured retention (check one) of $ applies to all coverage(s) except:
(if none, so state). The deductible is applicable □ per claim or □ per occurrence (check one).
14. This is an □ occurrence or □ claims made policy (check one).
15. This endorsement is effective on at 12:01 a.m. and forms a part of Policy Number .
Item #13. Page 49
Meeting Date: 9/26/2023 / Packet Page #: 186
01240.0001/535311.1
(signatures on following page)
I, (print name), hereby
declare under penalty of perjury under the laws of the State of California, that I have the authority to bind the Company to this endorsement and that by my execution hereof, I do so bind the Company.
Executed , 20
Signature of Authorized Representative
(Original signature only; no facsimile signature
Telephone No.: ( ) or initialed signature accepted)
Item #13. Page 50
Meeting Date: 9/26/2023 / Packet Page #: 187
Procurement Division
707 Third Street, 2nd Floor, MS #2-202
West Sacramento, CA 95605-2811
State of California
MULTIPLE AWARD SCHEDULE
FieldTurf USA, Inc. Categories Information
CMAS NUMBER: 4-06-78-0031A
SUPPLEMENT NUMBER: 8
CMAS TERM DATES: 10/07/2016 through 08/06/2026
CMAS CATEGORY: Non Information Technology Commodities
APPLICABLE
TERMS & CONDITIONS:
December 1, 2017
(www.dgs.ca.gov/-/media/Divisions/PD/Acquisitions/
CMAS/Non-IT-Commodities-CMAS-Terms-andConditions.ashx?la=en&hash=9AD54FF697C740F342 E8B9B5BDEEDFC263632CB3)
MAXIMUM ORDER LIMIT:
State Agencies: See Purchasing Authority
Dollar Threshold provision
Local Government Agencies: Unlimited
FOR USE BY: State & Local Government Agencies
BASE SCHEDULE #: GS-07F-9631S
BASE SCHEDULE HOLDER: FieldTurf USA, Inc.
This CMAS provides for the purchase, warranty, removal, disposal, installation, maintenance and repair of synthetic turf, athletic track surfaces, tennis courts, sport flooring, and playground surfaces. (See page 3 for the restrictions applicable to this CMAS.)
This supplement is to extend this CMAS through 08/06/2026. In addition, this supplement replaces in its entirety the existing California Multiple Award Schedule (CMAS). The most current Ordering Instructions and Special Provisions, CMAS Terms and Conditions, and products and/or services are included herein. All purchase orders issued by State agencies shall incorporate these Ordering Instructions and Special Provisions, and CMAS Terms and Conditions. Please review these provisions carefully because they have changed.
Original Signature on File Effective Date: 04/15/2021
KATELYNNE LEISENRING, Program Analyst, California Multiple Award Schedules Unit Item #13. Page 51
Meeting Date: 9/26/2023 / Packet Page #: 188
CALIFORNIA MULTIPLE AWARD SCHEDULE (CMAS)
FIELDTURF USA, INC.
CMAS NO. 4-06-78-0031A, SUPPLEMENT NO. 8
April 7, 2021 Ordering Instructions and Special Provisions 2 NOTICE: Products and/or services on this CMAS may be available on a Mandatory Statewide Contracts. If this is the case, the use of this CMAS is restricted unless the State agency has an approved exemption as explained in the Statewide Contract User Instructions. Information regarding Statewide Contracts can be obtained at the: Statewide Contract Index Listing (www.dgs.ca.gov/PD/About/Page-Content/PD-Branch-Intro-Accordion-List/Acquisitions/StatewideContracts?search=statewide contract listing). This requirement is not applicable to local government entities.
The services provided under this CMAS are only in support of the products covered by this CMAS.
Agency non-compliance with the requirements may result in the loss of delegated authority to use the CMAS program.
CMAS contractor non-compliance with the requirements may result in termination.
Item #13. Page 52
Meeting Date: 9/26/2023 / Packet Page #: 189
CALIFORNIA MULTIPLE AWARD SCHEDULE (CMAS)
FIELDTURF USA, INC.
CMAS NO. 4-06-78-0031A, SUPPLEMENT NO. 8
April 7, 2021 Ordering Instructions and Special Provisions 3
CMAS PRODUCT & SERVICE CODES
Product & Service Codes listed below are for marketing purposes only. Review the base schedule for the products and/or services available.
Brand-Beynon
Brand-Fieldturf
Floor Cov-Sport Flooring
Floor Cov-Synthetic Turf
Playground-Surface Rubberized
Sport Surface-Synthetic Track
AVAILABLE PRODUCTS AND/OR SERVICES
All of the products in the base schedule are available within the scope of this CMAS.
The ordering agency must verify all products and/or services are currently available on the base General Services Administration (GSA) schedule. Access the GSA eLibrary at www.gsaelibrary.gsa.gov.
EXCLUDED PRODUCTS AND/OR SERVICES
Order-level materials are not available under this CMAS.
ISSUE PURCHASE ORDER TO
Agency purchase orders must be either mailed or emailed to the following:
FieldTurf USA, Inc.
175 N Industrial Blvd NE
Calhoun, GA 30701
Attn: Sarah Morehead
E-mail: [email protected]
Agencies with questions regarding products and/or services may contact the CMAS contractor as follows:
Contact: Sarah Morehead
Phone: (503) 267-0165
E-mail: [email protected]
TOP 500 DELINQUENT TAXPAYERS
In accordance with Public Contract Code (PCC) § 10295.4, and prior to placing an order for nonIT goods and/or services, agencies must verify with the Franchise Tax Board and the California Department of Tax and Fee Administration that this CMAS contractor’s name does not appear on either list of the 500 largest tax delinquencies pursuant to Section 7063 or 19195 of the Revenue and Taxation Code. See next paragraph for information.
Item #13. Page 53
Meeting Date: 9/26/2023 / Packet Page #: 190
CALIFORNIA MULTIPLE AWARD SCHEDULE (CMAS)
FIELDTURF USA, INC.
CMAS NO. 4-06-78-0031A, SUPPLEMENT NO. 8
April 7, 2021 Ordering Instructions and Special Provisions 4 The Franchise Tax Board’s list of Top 500 Delinquent Taxpayers is available at www.ftb.ca.gov/about-ftb/newsroom/top-500-past-due-balances/index.html.
The California Department of Tax and Fee Administration’s list of Top 500 Sales & Use Tax Delinquencies in California is available at www.cdtfa.ca.gov/taxes-and-fees/top500.htm.
CALIFORNIA SELLER’S PERMIT
The CMAS contractor’s California Seller’s Permit Number is 097731798. Prior to placing an order with this company, agencies must verify that this permit is still valid at the California Department of Tax and Fee Administration website (cdtfa.ca.gov).
CMAS PRICES
The maximum prices allowed for the products and/or services available are those set forth in the base schedule.
The ordering agency is encouraged to seek prices lower than those in the base schedule. When responding to an agency’s Request for Offer (RFO), the CMAS contractor can offer lower prices to be competitive.
PRICE DISCOUNTS
This CMAS contains prompt payment discounts when full payment is received within 10 days or less of installation completion. See the base schedule for the specific percent of discount.
DARFUR CONTRACTING ACT
This CMAS contractor has certified compliance to the Darfur Contracting Act, per Public Contract Code (PCC) § 10475, et seq. It is the agency’s responsibility to verify that the contractor has a Darfur Contracting Act Certification on file.
CALIFORNIA CIVIL RIGHTS LAW CERTIFICATION
Pursuant to Public Contract Code section 2010, effective January 1, 2017, applicants must certify their compliance with the California Civil Rights laws and Employer Discriminatory Policies (section 51 of the Civil Code, section 12960 of the Government Code). It is the agency’s responsibility to verify that the contractor has a California Civil Rights Law Certification on file.
WARRANTY
For warranties, see the base schedule, the CMAS Terms and Conditions, General Provisions, and CMAS Warranty.
DELIVERY
60 days after receipt of order, or as negotiated between agency and CMAS contractor and included in the purchase order, or as otherwise stipulated in the contract.
Item #13. Page 54
Meeting Date: 9/26/2023 / Packet Page #: 191
CALIFORNIA MULTIPLE AWARD SCHEDULE (CMAS)
FIELDTURF USA, INC.
CMAS NO. 4-06-78-0031A, SUPPLEMENT NO. 8
April 7, 2021 Ordering Instructions and Special Provisions 5
SHIPPING INSTRUCTIONS
F.O.B. (Free On Board) Destination. Seller pays the freight charges.
PURCHASING AUTHORITY DOLLAR THRESHOLD
Order limits for the purchase of goods and/or services is determined by the individual agency purchasing authority threshold.
No CMAS order may be executed by a State agency that exceeds that agency’s purchasing authority threshold. State agencies with approved purchasing authority, along with their dollar thresholds can be obtained at the List of State Departments with Approved Purchasing Authority website (www.dgs.ca.gov/PD/Resources/Page-Content/Procurement-Division-Resources-ListFolder/List-of-State-Departments-with-Approved-Purchasing-Authority).
HOW TO USE CMAS
Agencies must adhere to the detailed requirements in the State Contracting Manual (SCM) when using CMAS. The requirements for the following bullets are in the SCM, Volume 2, Chapter 6 (for non-IT), the SCM, Volume 3, Chapter 6 (for IT), and the SCM, Volume FISCal, Chapter 5 (FISCal):
• Develop a Request for Offer, which includes a Scope of Work (SOW), and Bidder Declaration form. For information on the Bidder Declaration requirements, see the SCM, Volume 2, Section 3.5.7 and Volume 3, Section 3.4.7.
• Search for potential CMAS contractors on the CMAS website (www.dgs.ca.gov/PD/About/Page-Content/PD-Branch-Intro-AccordionList/Acquisitions/California-Multiple-Award-Schedules) and select “Find a CMAS Contractor.”
• Solicit offers from a minimum of 3 CMAS contractors including one small business and/or DVBE, if available, who are authorized to sell the products and/or services needed. • If soliciting offers from a certified DVBE, include the Disabled Veteran Business Enterprise Declarations form (Standard 843) in the Request for Offer. This declaration must be completed and returned by the DVBE prime contractor and/or any DVBE subcontractors. (See the SCM Volumes 2, 3, and FISCal, Chapter 3).
• This is not a bid transaction, so the small business preference, DVBE incentives, protest language, intents to award, evaluation criteria, advertising, etc., are not applicable. • If less than 3 offers are received, State agencies must document their file with the reasons why the other suppliers solicited did not respond with an offer. • Assess the offers received using best value methodology, with cost as one of the criteria. • Issue a Purchase Order to the selected CMAS contractor. • For CMAS transactions under $10,000, only one offer is required if the State agency can establish and document that the price is fair and reasonable. The fair and reasonable method can only be used for non-customizable purchases.
Local governments set their own order limits, and are not bound by the order limits on the cover page of this CMAS.
Item #13. Page 55
Meeting Date: 9/26/2023 / Packet Page #: 192
CALIFORNIA MULTIPLE AWARD SCHEDULE (CMAS)
FIELDTURF USA, INC.
CMAS NO. 4-06-78-0031A, SUPPLEMENT NO. 8
April 7, 2021 Ordering Instructions and Special Provisions 6
SPLITTING ORDERS
Splitting orders to avoid any monetary limitations is prohibited.
Do not circumvent normal procurement methods by splitting purchases into a series of delegated purchase orders, per Public Contract Code (PCC) § 10329.
Splitting a project into small projects to avoid either fiscal or procedural controls is prohibited, per State Administrative Manual (SAM) § 4819.34.
MINIMUM ORDER LIMITATION
There is no minimum dollar value limitation on orders placed under this CMAS.
ORDERING PROCEDURES
1. Purchase Orders
All Ordering Agency purchase order documents executed under this CMAS must contain the applicable CMAS number as show on page 1.
1. State Departments:
Standard 65 Purchase Documents – State departments not transacting in FISCal must use the Purchasing Authority Purchase Order (Standard 65) for purchase execution. An electronic version of the Standard 65 is available at the DGS-PD website (www.dgsapps.dgs.ca.gov/osp/StatewideFormsWeb/Forms.aspx), select Standard STD Forms.
FISCAL Purchase Documents – State departments transacting in FISCal will follow the FISCal procurement and contracting procedures.
2. Local Governmental Departments:
Local governmental agencies may use their own purchase document for purchase execution.
The agency is required to complete and distribute the purchase order. For services, the agency shall modify the information contained on the order to include the service period (start and end date), and the monthly cost (or other intermittent cost), and any other information pertinent to the services being provided. The cost for each line item should be included in the order, not just system totals.
The contractor must immediately reject purchase orders that are not accurate. Discrepancies are to be negotiated and incorporated into the purchase order prior to the products and services being delivered.
Item #13. Page 56
Meeting Date: 9/26/2023 / Packet Page #: 193
CALIFORNIA MULTIPLE AWARD SCHEDULE (CMAS)
FIELDTURF USA, INC.
CMAS NO. 4-06-78-0031A, SUPPLEMENT NO. 8
April 7, 2021 Ordering Instructions and Special Provisions 7
2. Service and Delivery after CMAS Expiration
The purchase order must be issued before the CMAS expires. However, delivery of the products or completion of the services may be after the CMAS expires (unless otherwise specifically stated in the purchase order).
3. Multiple CMAS Agreements on a Single Purchase Order
Agencies wishing to include multiple CMAS agreements on a single FISCal purchase order must adhere to the following guidelines:
• All CMAS must be for the same CMAS contractor.
• The purchase order must go to one contractor location. • Write the word “CMAS” in the space usually reserved for the contract number. On Standard 65’s, this is at the top of the form. The word “CMAS” signifies that the purchase order contains items from multiple CMAS agreements. The purchasing agency may only use one bill code.
• For each individual CMAS (as differentiated by alpha suffix), the agency must identify and group together the CMAS number with the line items and subtotal per CMAS number (do not include tax in the subtotal), and sequentially identify each individual CMAS as Sub #1, Sub #2, Sub #3, etc. This facilitates accurate billing of administrative fees by the Procurement Division.
• The total of all items on the purchase order must not exceed the purchase order limit identified in the CMAS.
• Do not combine items from both non-IT and Information Technology CMAS agreements. A non-IT CMAS begin with the number “4” and an Information Technology CMAS begins with the number “3.” The purchase order limits are different for these two types of CMAS agreements.
4. Amendments to Agency's Purchase Orders
Agency purchase orders cannot be amended if the CMAS has expired.
The SCM, Volumes 2 & 3, Chapter 6.A5.0 and SCM, Volume FISCal, Chapter 5.A4.0 provides the following direction regarding amendments to all types of LPA purchase orders:
Original orders, which include options for changes (e.g., quantity or time), that were evaluated and considered in the selection for award during the RFO process, may be amended consistent with the terms of the original order, provided that the original order allowed for amendments. If the original order did not evaluate options, then amendments are not allowed unless an NCB is approved for those amendments.
Item #13. Page 57
Meeting Date: 9/26/2023 / Packet Page #: 194
CALIFORNIA MULTIPLE AWARD SCHEDULE (CMAS)
FIELDTURF USA, INC.
CMAS NO. 4-06-78-0031A, SUPPLEMENT NO. 8
April 7, 2021 Ordering Instructions and Special Provisions 8 Amendments unique to non-IT services are covered in the SCM, Volume 2, Chapter 6.B2.9 and SCM, Volume FISCal, Chapter 5.A4.1 as follows:
If the original contract permitted amendments, but did not specify the changes (e.g., quantity or time), it may be amended, per Public Contract Code (PCC) § 10335 (d)(1). Only a contract may be amended once under this exemption. The time shall not exceed one year, or add not more than 30% of the original order value and may not exceed $250,000. If the original contract did not have language permitting amendments, the NCB process must be followed.
Also, see the SCM, Volumes 2 & 3, Chapter 8, Topic 6, for more information on amending purchase orders.
CMAS CONTRACTOR OWNERSHIP INFORMATION
The CMAS contractor is a large business enterprise.
SMALL BUSINESS MUST BE CONSIDERED
Prior to placing orders under the CMAS program, State agencies shall whenever practicable first consider offers from small businesses that have established CMAS [Government Code (GC) § 14846(b)]. NOTE: The Department of General Services auditors will request substantiation of compliance with this requirement when agency files are reviewed.
CMAS Small Business and Disabled Veteran Partners lists (www.dgs.ca.gov/PD/About/PageContent/PD-Branch-Intro-Accordion-List/Acquisitions/California-Multiple-Award-Schedules) can be found on the CMAS website by selecting “Find a CMAS Contractor”.
In response to our commitment to increase participation by small businesses, the Department of General Services waives the administrative fee (a fee currently charged to customer agencies to support the CMAS program) for orders to certified small business enterprises.
See the current fees in the DGS Price Book at: www.dgs.ca.gov/OFS/Price-Book.
SMALL BUSINESS/DVBE - TRACKING
State agencies are able to claim subcontracting dollars towards their SB or DVBE goals whenever the CMAS contractor subcontracts a commercially useful function to a certified SB or DVBE. The CMAS contractor will provide the ordering agency with the name of the SB or DVBE used and the dollar amount the ordering agency can apply towards its SB or DVBE goal.
SMALL BUSINESS/DVBE - SUBCONTRACTING
1. The amount an ordering agency can claim towards achieving its SB or DVBE goals is the dollar amount of the subcontract award made by the CMAS contractor to each SB or DVBE.
Item #13. Page 58
Meeting Date: 9/26/2023 / Packet Page #: 195
CALIFORNIA MULTIPLE AWARD SCHEDULE (CMAS)
FIELDTURF USA, INC.
CMAS NO. 4-06-78-0031A, SUPPLEMENT NO. 8
April 7, 2021 Ordering Instructions and Special Provisions 9
2. The CMAS contractor will provide an ordering agency with the following information at the time the order is quoted:
a. The CMAS contractor will state that, as the prime contractor, it shall be responsible for the overall execution of the fulfillment of the order.
b. The CMAS contractor will indicate to the ordering agency how the order meets the SB or DVBE goal, as follows:
i. List the name of each company that is certified by the Office of Small Business and DVBE Services that it intends to subcontract a commercially useful function to; and ii. Include the SB or DVBE certification number of each company listed, and attach a copy of each certification; and
iii. Indicate the dollar amount of each subcontract with a SB or DVBE that may be claimed by the ordering agency towards the SB or DVBE goal; and iv. Indicate what commercially useful function the SB or DVBE subcontractor will be providing towards fulfillment of the order.
3. The ordering agency’s purchase order must be addressed to the prime contractor, and the purchase order must reference the information provided by the prime contractor as outlined above.
WITHHOLD LANGUAGE (SB588)
Option 1 – Withhold Language
Upon delivery or completion of ordered goods or services, for which the Contractor committed to DVBE subcontractor participation, state departments shall require the Contractor to certify all the following:
1. The amount and percentage of work the Contractor committed to provide to one or more DVBEs under the requirements of the contract and the amount each DVBE received from the Contractor.
2. That all payments under the contract have been made to the DVBE. Upon request, the Contractor shall provide proof of payment for the work.
In accordance with the Military and Veterans Code 999.7, state departments shall withhold $10,000 from the final payment, or the full final payment if less than $10,000, if the Contractor fails to meet the certification requirements identified above. State departments shall notify the Contractor of their failure to meet the certification requirements and give the Contractor an opportunity to comply with the certification requirements. If after thirty (30) calendar days from the date of notice, the Contractor refuses to comply with the certification requirements, the state department shall permanently deduct $10,000 from the final payment, or the full payment if less than $10,000.
Item #13. Page 59
Meeting Date: 9/26/2023 / Packet Page #: 196
CALIFORNIA MULTIPLE AWARD SCHEDULE (CMAS)
FIELDTURF USA, INC.
CMAS NO. 4-06-78-0031A, SUPPLEMENT NO. 8
April 7, 2021 Ordering Instructions and Special Provisions 10 Option 2 – No Withhold Language
During the contract term, and upon completion of the contract for which a DVBE subcontractor commitment was made, DGS-PD will require the Contractor to certify all participation commitments and payments under the contract have been made to the DVBE. Upon request by DGS-PD, the Contractor shall provide proof of payment for the work.
NEW EQUIPMENT REQUIRED
The State will procure new equipment. All equipment must be new (or warranted as newly manufactured) and the latest model in current production. Used, shopworn, demonstrator, prototype, or discontinued models are not acceptable.
Where Federal Energy Management Program (FEMP) standards are available, all State agencies shall purchase only those products that meet the recommended standards. All products displaying the Energy Star label meet the FEMP standards.
SPECIAL MANUFACTURED GOODS
Any CMAS for goods to be manufactured by the CMAS contractor specifically for the State and not suitable for sale to others may require progress payments.
For a Non-IT goods CMAS, see the CMAS Non-IT Commodities Terms and Conditions, Provision 69, Progress Payments.
PRODUCT INSTALLATION
The CMAS contractor is fully responsible for all installation services performed under the CMAS.
Product installations must be performed by manufacturer authorized personnel and meet manufacturer documented specifications.
The prime contractor, as well as any subcontractors, must hold any certifications and/or licenses required for the project.
TRADE-IN EQUIPMENT
Trade-ins at open market price may be considered. The product description and trade-in allowance must be identified on the purchase order.
Agencies are required to adhere to State Administrative Manual (SAM) § 3520 through 3520.6, Disposal of Personal Property and Surplus Personal Property, as applicable, when trade-ins are considered. A Property Survey Report, Standard 152, must be submitted for approval prior to disposition of any State-owned personal property, including general office furniture regardless of the acquisition value, or if the property was recorded or capitalized for accounting purposes.
Item #13. Page 60
Meeting Date: 9/26/2023 / Packet Page #: 197
CALIFORNIA MULTIPLE AWARD SCHEDULE (CMAS)
FIELDTURF USA, INC.
CMAS NO. 4-06-78-0031A, SUPPLEMENT NO. 8
April 7, 2021 Ordering Instructions and Special Provisions 11
STATE AGENCY BUY RECYCLED CAMPAIGN (SABRC)
State ordering agencies are required to report purchases made within the eleven product categories in the California Department of Resources Recycling and Recovery’s State Agency Buy Recycled Campaign (SABRC) per Public Contract Code sections 12200-12217.
Contractor will be required to complete and return a Recycled-Content Certification form (www.calrecycle.ca.gov/contracts/forms) upon request by the state ordering agency.
PUBLIC WORKS (INSTALLATION SERVICES ONLY)
A public works contract is defined as an agreement for “the erection, construction, alteration, repair, or improvement of any public structure, building, road, or other public improvement of any kind” in accordance with the Public Contract Code (PCC) § 1101. State agencies planning these types of projects need to review the SCM, Volume 1, Chapters 10 and 11 for applicable guidelines and regulations. Visit the Department of General Services (DGS), Real Estate Services Division (RESD) website (www.dgs.ca.gov/RESD) if you have questions about these types of transactions.
Agencies are to ensure that the applicable laws and codes pertaining to the contractor and subcontractor licensing, prevailing wage rates, bonding, labor code requirements, etc., are adhered to by the prime contractor as well as any sub-contractor during performance under the CMAS purchase order.
The bond amount for public works is not less than 100% of the purchase order price.
NOTE: In accordance with Labor Code (LC) § 1773.2, the ordering agency is responsible for determining the appropriate craft, classification or type of worker needed for any contract for public works. Also, the agency is to specify the applicable prevailing wage rates as determined by the Director of the Department of Industrial Relations (DIR). In lieu of specifying the prevailing wage rates, the agency may include a statement on the order that the prevailing wage rates are on file at the agency’s office, and will be made available upon request. The prevailing wage rates are available from the DIR at www.dir.ca.gov (select Statistics & Research).
Bonds: For guidelines, see CMAS, General Terms and Conditions, Public Works Requirements.
State Contractor’s License: Public works services can be obtained through CMAS only if incidental to the overall purchase order. If incidental public works services are included in the purchase order, prior to issuing the order agencies should contact the State Contractor’s License Board (www.cslb.ca.gov) to verify that the Contractor’s License shown below is still active and in good standing.
The CMAS contractor’s California Contractor's License number is 849044. This is a Class C-61, D12, A, C27 license that is valid through 10/31/2022.
NOT SPECIFICALLY PRICED (NSP) ITEMS
The only time that open market/incidental, non-schedule items may be included in a CMAS order is when they fall under the parameters of the Not Specifically Priced (NSP) Items provision.
Item #13. Page 61
Meeting Date: 9/26/2023 / Packet Page #: 198
CALIFORNIA MULTIPLE AWARD SCHEDULE (CMAS)
FIELDTURF USA, INC.
CMAS NO. 4-06-78-0031A, SUPPLEMENT NO. 8
April 7, 2021 Ordering Instructions and Special Provisions 12 CMAS contractors must be authorized providers of the hardware, software and/or services they offer under the Not Specifically Priced (NSP) Items provision.
Agency and CMAS contractor use of the NSP provision is subject to the following requirements:
1. Purchase orders containing only NSP items are prohibited.
2. A purchase order containing NSP items may be issued only if it results in the lowest overall alternative to the State.
3. NSP items shall be clearly identified in the order. Any product or service already specifically priced and included in the base schedule may not be identified as an NSP item.
4. NSP Installation Services: The CMAS contractor is fully responsible for all installation services performed under the CMAS. Product installations must be performed by manufacturer authorized personnel and meet manufacturer documented specifications. The prime contractor, as well as any subcontractors, must hold any certifications and/or licenses required for the project. The total dollar value of all installation services included in the purchase order cannot exceed the dollar value of the products included in the purchase order, nor can they exceed the NSP Maximum Order Limitation.
5. Maximum Order Limitation: For orders $250,000, or less, the total dollar value of all NSP items included in a purchase order shall not exceed $5,000. For orders exceeding $250,000, and at the option of the contractor, the total dollar value of all NSP items in a purchase order shall not exceed 5% of the total cost of the order, or $25,000 whichever is lower.
6. An NSP item included in an order issued against a CMAS is subject to all of the terms and conditions set forth in the contract.
7. Trade-ins, upgrades, involving the swapping of boards, are permissible, where the contract makes specific provisions for this action. In those instances, where it is permitted, the purchase order must include the replacement item and a notation that the purchase involves the swapping of a board.
The following NSP items are specifically excluded from any order issued under this CMAS:
1. Items not intended for use in directly supporting the priced items included in the same order.
An NSP item must be subordinate to the specifically priced item that it is supporting. For example, a cable, which is not otherwise specifically priced in the base schedule, is subordinate to a specifically priced printer or facsimile machine, and is eligible to be an NSP item subject to that cable meeting the remaining NSP requirements. However, a printer or facsimile machine, which is not otherwise specifically priced in the base schedule, is not subordinate to a specifically priced cable, and is not eligible to be an NSP item.
Item #13. Page 62
Meeting Date: 9/26/2023 / Packet Page #: 199
CALIFORNIA MULTIPLE AWARD SCHEDULE (CMAS)
FIELDTURF USA, INC.
CMAS NO. 4-06-78-0031A, SUPPLEMENT NO. 8
April 7, 2021 Ordering Instructions and Special Provisions 13
2. Supply type items, except for the minimum amount necessary to provide initial support to the priced items included in the same order.
3. Items that do not meet the Productive Use Requirements for information technology products, per the SCM, Volume 3, Chapter 2, Section 2.B6.2 and SCM, Volume FISCal, Chapter 2, Section 2.E3.2.
4. Any other item or class of items specifically excluded from the scope of this CMAS.
5. Public Works components NOT incidental to the total purchase order amount.
6. Products or services the CMAS contractor is NOT factory authorized or otherwise certified or trained to provide.
7. Follow-on consultant services that were previously recommended or suggested by the same CMAS contractor.
The CMAS contractor is required to reject purchase orders containing NSP items that do not conform to the above requirements. The CMAS contractor will promptly notify the agency issuing the non-conforming order of its non-acceptance and the reasons for its non-acceptance.
STATE AND LOCAL GOVERNMENTS CAN USE CMAS
State and local government agency use of CMAS is optional. A local government is any city, county, city and county, district, or other local governmental body or corporation, including UC, CSU, K-12 schools and community colleges empowered to expend public funds. While the State makes this CMAS available, each local government agency should make its own determination whether the CMAS program is consistent with their procurement policies and regulations.
UPDATES AND/OR CHANGES
A CMAS supplement is not required for updates and/or changes once the update and/or change becomes effective for the base schedule, except as follows:
• A CMAS supplement is required when the CMAS is based on specific products and/or services from another contractor’s multiple award contract and the contractor wants to add a new manufacturer’s products and/or services.
• A CMAS supplement is required for new federal contract terms and conditions that constitute a material difference from existing contract terms and conditions. A material change has a potentially significant effect on the delivery, quantity or quality of items provided, the amount paid to the contractor or on the cost to the State.
Item #13. Page 63
Meeting Date: 9/26/2023 / Packet Page #: 200
CALIFORNIA MULTIPLE AWARD SCHEDULE (CMAS)
FIELDTURF USA, INC.
CMAS NO. 4-06-78-0031A, SUPPLEMENT NO. 8
April 7, 2021 Ordering Instructions and Special Provisions 14
SELF-DELETING BASE SCHEDULE TERMS AND CONDITIONS
Instructions, or terms and conditions that appear in the Special Items or other provisions of the base schedule and apply to the purchase, license, or rental (as applicable) of products or services by the US Government in the United States, and/or to any overseas location shall be self-deleting. (Example: "Examinations of Records" provision).
Federal regulations and standards, such as Federal Acquisition Regulation (FAR), Federal Information Resources Management Regulation (FIRMR), Federal Information Processing Standards (FIPS), General Services Administration Regulation (GSAR), or Federal Installment Payment Agreement (FIPA) shall be self-deleting. Federal blanket orders and small order procedures are not applicable.
ORDER OF PRECEDENCE
The CMAS Terms and Conditions takes precedence if there is a conflict between the terms and conditions of the contractor's base schedule, packaging, invoices, catalogs, brochures, technical data sheets or other documents (see CMAS Terms and Conditions, CONFLICT OF TERMS).
APPLICABLE CODES, POLICIES AND GUIDELINES
All California codes, policies, and guidelines are applicable. The use of CMAS does not reduce or relieve state agencies of their responsibility to meet statewide requirements regarding contracting or the procurement of goods or services. Most procurement and contract codes, policies, and guidelines are incorporated into CMAS agreements. Nonetheless, there is no guarantee that every possible requirement that pertains to all the different and unique State processes has been included.
PAYMENTS AND INVOICES
This CMAS contains prompt payment discounts when full payment is received within 10 days or less of installation completion. See the base schedule for the specific percent of discount.
1. Payment Terms
Payment terms for this CMAS are net 45 days.
Payment will be made in accordance with the provisions of the California Prompt Payment Act, Government Code (GC) § 927 et. seq. Unless expressly exempted by statute, the Act requires State agencies to pay properly submitted, undisputed invoices not more than 45 days after (1) the date of acceptance of goods or performance of services; or (2) receipt of an undisputed invoice, whichever is later.
Item #13. Page 64
Meeting Date: 9/26/2023 / Packet Page #: 201
CALIFORNIA MULTIPLE AWARD SCHEDULE (CMAS)
FIELDTURF USA, INC.
CMAS NO. 4-06-78-0031A, SUPPLEMENT NO. 8
April 7, 2021 Ordering Instructions and Special Provisions 15
2. Payee Data Record (Standard 204)
State Agencies not transacting in FISCal, must obtain a copy of the Payee Data Record (Standard 204) in order to process payments. State Ordering Agencies forward a copy of the Standard 204 to their accounting offices. Without the Standard 204, payment may be unnecessarily delayed. State Agencies should contact the CMAS contractor for copies of the Payee Data Record.
3. DGS Administrative and Incentive Fees
Orders from State Agencies:
The Department of General Services (DGS) will bill each State agency directly an administrative fee for use of CMAS. The administrative fee should NOT be included in the order total, nor remitted before an invoice is received from DGS. This administrative fee is waived for CMAS purchase orders issued to California certified small businesses.
See the current administrative fees in the DGS Price Book (www.dgs.ca.gov/OFS/Price-Book).
Orders from Local Government Agencies:
CMAS contractors, who are not California certified small businesses, are required to remit to DGS an incentive fee equal to a percentage of the total of all local government agency orders (excluding sales tax and freight) placed against their CMAS. The incentive fee is in lieu of local government agencies being billed the referenced DGS administrative fee.
See the current incentive fees in the DGS Price Book.
This incentive fee is waived for CMAS purchase orders issued to California certified small businesses.
The check covering this fee shall be made payable to the Department of General Services, CMAS Unit, and mailed to the CMAS Unit along with the applicable Quarterly Report. See the provision in this CMAS entitled “Contractor Quarterly Report Process” for information on when and where to send these checks and reports.
4. Contractor Invoices
Unless otherwise stipulated, the CMAS contractor must send their invoices to the agency address set forth in the purchase order. Invoices shall be submitted in triplicate and shall include the following:
• CMAS number
• Agency purchase order number
• Agency Bill Code (State Only)
• Line item number
• Unit price
• Extended line item price
• Invoice total
Item #13. Page 65
Meeting Date: 9/26/2023 / Packet Page #: 202
CALIFORNIA MULTIPLE AWARD SCHEDULE (CMAS)
FIELDTURF USA, INC.
CMAS NO. 4-06-78-0031A, SUPPLEMENT NO. 8
April 7, 2021 Ordering Instructions and Special Provisions 16 State sales tax and/or use tax shall be itemized separately and added to each invoice as applicable.
The company name on the CMAS, purchase order and invoice must match or the State Controller’s Office will not approve payment.
5. Advance Payments
Advance payment is allowed for services only under limited, narrowly defined circumstances, e.g., between specific departments and certain types of non-profit organizations, or when paying another government agency (Government Code (GC) § 11256 – 11263 and 11019).
It is NOT acceptable to pay in advance, except software maintenance and license fees, which are considered a subscription and may be paid in advance if a provision addressing payment in advance is included in the purchase order.
Software warranty upgrades and extensions may also be paid for in advance, one time.
6. Credit Card
The CMAS contractor does not accept the State of California credit card (CAL-Card).
7. Lease/Purchase Analysis
State agencies must complete a Lease/Purchase Analysis (LPA) to determine best value when contemplating a lease/rental, and retain a copy for future audit purposes (State Administrative Manual (SAM) § 3710).
For short-term rental equipment, the lease/purchase analysis must be approved by the Department of General Services, Office of legal Services.
The lease/purchase analysis for all other purchases must be approved by the Department of General Services, GS SMart State Financial Marketplace. Buyers may contact the GS SMart Administrator, Kris Bianchini via e-mail at [email protected] for further information.
8. Leasing
The State reserves the right to select the form of payment for all procurements, be it either an outright purchase with payment rendered directly by the State, or a financing/lease-purchase or operating lease via the State Financial Marketplace (GS SMart and/or Lease SMart). If payment is via the financial marketplace, the Supplier will invoice the State and the State will approve the invoice and the selected Lender/Lessor for all product listed on the State’s procurement document will pay the supplier on behalf of the State.
Buyers may contact the GS SMart Administrator, Kris Bianchini via e-mail at [email protected] for further information.
Item #13. Page 66
Meeting Date: 9/26/2023 / Packet Page #: 203
CALIFORNIA MULTIPLE AWARD SCHEDULE (CMAS)
FIELDTURF USA, INC.
CMAS NO. 4-06-78-0031A, SUPPLEMENT NO. 8
April 7, 2021 Ordering Instructions and Special Provisions 17
9. Maintenance Tax
The California Department of Tax and Fee Administration has ruled that in accordance with Section 1546 of the Sales and Use Tax Regulations of the Business Taxes Law Guide, whenever optional maintenance contracts include consumable supplies, such supplies are subject to sales tax.
Generally, the State has two options:
1. For agreements that provide for only maintenance services (i.e., the furnishing of labor and parts necessary to maintain equipment), the charges for the provision of maintenance services are not taxable.
2. For agreements that provide for both maintenance services and consumable supply items (i.e., toner, developer, and staples, for example), the provision of the consumable supplies is considered a taxable sale of tangible personal property. Therefore, State agencies awarding optional maintenance contracts are responsible for paying the applicable sales tax on the consumable supplies used during the performance period of the maintenance contract.
The Contractor will be required to itemize the consumables being taxed for State accounting purposes.
CONTRACTOR QUARTERLY REPORT PROCESS
CMAS contractors are required to submit a detailed CMAS Business Activity Report on a quarterly basis to the CMAS Unit.
This report shall be mailed to:
Department of General Services
Procurement Division – CMAS Unit
Attention: Quarterly Report Processing
PO Box 989052, MS #2-202
West Sacramento, CA 95798-9052
Reports that include checks for incentive fees must be mailed and shall not be e-mailed. All other reports may be e-mailed to the attention of Quarterly Report Processing as follows:
CMAS Unit E-Mail: [email protected]
For the full instructions on completing and submitting CMAS Quarterly Business Activity Reports, and a soft copy of a blank quarterly report form, go to the CMAS website (www.dgs.ca.gov/PD/About/Page-Content/PD-Branch-Intro-Accordion-List/Acquisitions/CaliforniaMultiple-Award-Schedules) and then select “File a CMAS Quarterly Report”.
Item #13. Page 67
Meeting Date: 9/26/2023 / Packet Page #: 204
CALIFORNIA MULTIPLE AWARD SCHEDULE (CMAS)
FIELDTURF USA, INC.
CMAS NO. 4-06-78-0031A, SUPPLEMENT NO. 8
April 7, 2021 Ordering Instructions and Special Provisions 18 Important things to remember regarding CMAS Quarterly Business Activity Reports:
• A report is required for each CMAS, each quarter, even when no new purchase orders are received in the quarter.
• A separate report is required for each CMAS.
• Each purchase order must be reported only once in the quarter identified by the purchase order date, regardless of when the services were performed, the products were delivered, the invoice was sent, or the payment was received. • Purchase orders from State and local government agencies must be separated on the report, as shown in the instructions.
• CMAS contractors must report the sales activity for all resellers listed on their CMAS. • Any report that does not follow the required format or excludes required information will be deemed incomplete and returned to the CMAS contractor for corrections. • Taxes and freight must not be included in the report. • CMAS contractors must attach to their quarterly report a check covering the required incentive fee for all CMAS sales to local government agencies. • New CMAS agreements and supplements will be approved only if the CMAS contractor has submitted all required quarterly reports and incentive fees.
CMAS Quarterly Business Activity Reports are due in the CMAS Unit within two weeks after the end of each quarter as shown below:
Quarter 1 January 1 to March 31 Due April 15
Quarter 2 April 1 to June 30 Due July 15
Quarter 3 July 1 to September 30 Due October 15
Quarter 4 October 1 to December 31 Due January 15
CONTRACTOR QUARTERLY INCENTIVE FEES
CMAS contractors, who are not California certified small businesses, are required to remit to DGS an incentive fee equal to a percentage of the total of all local government agency orders (excluding sales tax and freight) placed against their CMAS. The incentive fee is in lieu of local government agencies being billed the referenced DGS administrative fee.
See the current incentive fees in the DGS Price Book.
CMAS contractors cannot charge local government agencies an additional charge on a separate line item to cover the incentive fee. The CMAS contractor must include the incentive fee in the price of the products or services offered, and the line item prices must not exceed the applicable base schedule prices.
A local government agency is any city, county, district, or other local governmental body, including the California State University (CSU) and University of California (UC) systems, K-12 public schools and community colleges empowered to expend public funds.
This incentive fee is waived for CMAS purchase orders issued to California certified small businesses.
Item #13. Page 68
Meeting Date: 9/26/2023 / Packet Page #: 205
CALIFORNIA MULTIPLE AWARD SCHEDULE (CMAS)
FIELDTURF USA, INC.
CMAS NO. 4-06-78-0031A, SUPPLEMENT NO. 8
April 7, 2021 Ordering Instructions and Special Provisions 19 The check covering this fee shall be made payable to the Department of General Services, CMAS Unit, and mailed to the CMAS Unit along with the applicable Quarterly Report. See the provision in this CMAS entitled “Contractor Quarterly Report Process” for information on when and where to send these checks and reports.
OBTAINING COPY OF ORIGINAL CMAS AND SUPPLEMENTS
A copy of a CMAS and supplements, if any, can be obtained at Cal eProcure (caleprocure.ca.gov).
A complete CMAS consists of the following:
• CMAS cover pages (which includes the signature page, ordering instructions and special provisions, and any attachments or exhibits as prepared by the CMAS Unit) • CMAS Terms and Conditions.
• Base schedule terms and conditions
• Product/service listing and prices
• Supplements, if applicable.
It is important for the agency to confirm that the required products, services, and prices are included in the CMAS and are at or below base schedule rates. To streamline substantiation that the needed items are in the base schedule, the agencies should ask the CMAS contractor to identify the specific pages from the base schedule that include the required products, services, and prices. Agencies should save these pages for their file documentation.
CONTRACTORS ACTING AS FISCAL AGENTS ARE PROHIBITED
When a subcontractor ultimately provides all of the products or performs all of the services that a CMAS contractor has agreed to provide, and the prime contractor only handles the invoicing of expenditures, then the prime contractor's role becomes that of a fiscal agent because it is merely administrative in nature, and does not provide a Commercially Useful Function (CUF). It is unacceptable to use fiscal agents in this manner because the agency is paying unnecessary administrative costs.
AGENCY RESPONSIBILITY
Each agency is responsible for its own contracting program and purchasing decisions, including use of the CMAS program and associated outcomes.
This responsibility includes, but is not necessarily limited to, ensuring the necessity of the services, securing appropriate funding, complying with laws and policies, preparing the purchase order in a manner that safeguards the State’s interests, obtaining required approvals, and documenting compliance with Government Code (GC) § 19130.b (3) for outsourcing services.
It is the responsibility of each agency to consult as applicable with their legal staff and contracting offices for advice depending upon the scope or complexity of the purchase order.
If you do not have legal services available to you within your agency, the DGS Office of Legal Services is available to provide services on a contractual basis.
Item #13. Page 69
Meeting Date: 9/26/2023 / Packet Page #: 206
CALIFORNIA MULTIPLE AWARD SCHEDULE (CMAS)
FIELDTURF USA, INC.
CMAS NO. 4-06-78-0031A, SUPPLEMENT NO. 8
April 7, 2021 Ordering Instructions and Special Provisions 20
CONFLICT OF INTEREST
Agencies must evaluate the proposed purchase order to determine if there are any potential conflict of interest issues. See the CMAS Terms and Conditions, Conflict of Interest, for more information.
FEDERAL DEBARMENT
When federal funds are being expended, the agency is required to obtain (retain in file) a signed “Federal Debarment” certification from the CMAS contractor before the purchase order is issued.
This certification is required by the regulations implementing Executive Order 12549, Debarment and Suspension, 29 CFR Part 98, Section 98.510, Participants; responsibilities. The regulations were published as Part VII of the May 26, 1988 Federal Register (pages 19160-19211).
CONTRACTOR TRAVEL
The Travel provision is not applicable to this CMAS.
LIQUIDATED DAMAGES FOR LATE DELIVERY
The value of the liquidated damages cannot be a penalty, must be mutually agreed upon by agency and contractor and included in the purchase order to be applicable.
ACCEPTANCE TESTING CRITERIA
If the agency wants to include acceptance testing for all newly installed technology systems, and individual equipment, and machines which are added or field modified (modification of a machine from one model to another) after a successful performance period, the test criteria must be included in the purchase order to be applicable.
AMERICANS WITH DISABILITY ACT (ADA)
Section 504 of the Rehabilitation Act of 1973 as amended; Title VI and VII of the Civil Rights Act of 1964 as amended; Americans with Disabilities Act, 42 USC 12101; California Code of Regulations, Title 2, Title 22; California Government Code, Sections 11135, et seq.; and other federal and State laws, and Executive Orders prohibit discrimination. All programs, activities, employment opportunities, and services must be made available to all persons, including persons with disabilities. See Attachment A for Procurement Division’s ADA Compliance Policy of Nondiscrimination on the Basis of Disability.
Individual government agencies are responsible for self-compliance with ADA regulations.
Contractor sponsored events must provide reasonable accommodations for persons with disabilities.
Item #13. Page 70
Meeting Date: 9/26/2023 / Packet Page #: 207
CALIFORNIA MULTIPLE AWARD SCHEDULE (CMAS)
FIELDTURF USA, INC.
CMAS NO. 4-06-78-0031A, SUPPLEMENT NO. 8
April 7, 2021 Ordering Instructions and Special Provisions 21
DGS PROCUREMENT DIVISION CONTACT AND PHONE NUMBER
Department of General Services
Procurement Division, CMAS Unit
707 Third Street, 2nd Floor, MS 2-202
West Sacramento, CA 95605-2811
Phone # (916) 375-4365
Item #13. Page 71
Meeting Date: 9/26/2023 / Packet Page #: 208
CALIFORNIA MULTIPLE AWARD SCHEDULE (CMAS)
FIELDTURF USA, INC.
CMAS NO. 4-06-78-0031A, SUPPLEMENT NO. 8
April 7, 2021 Ordering Instructions and Special Provisions 22
ATTACHMENT A
ADA NOTICE
Procurement Division (State Department of General Services)
AMERICANS WITH DISABILITIES ACT (ADA) COMPLIANCE
POLICY OF NONDISCRIMINATION ON THE BASIS OF DISABILITY
To meet and carry out compliance with the nondiscrimination requirements of the Americans with Disabilities Act (ADA), it is the policy of the Procurement Division (within the State Department of General Services) to make every effort to ensure that its programs, activities, and services are available to all persons, including persons with disabilities.
For persons with a disability needing a reasonable accommodation to participate in the Procurement process, or for persons having questions regarding reasonable accommodations for the Procurement process, please contact the Procurement Division at (916) 375-4400 (main office); the Procurement Division TTY/TDD (telephone device for the deaf) or California Relay Service numbers which are listed below. You may also contact directly the Procurement Division contact person who is handling this procurement.
Important: To ensure that we can meet your need, it is best that we receive your request at least 10 working days before the scheduled event (i.e., meeting, conference, workshop, etc.) or deadline due-date for procurement documents.
The Procurement Division TTY telephone numbers are:
Sacramento Office: 916-376-5127 (CALNET 480-5127)
The California Relay Service Telephone Numbers are:
Voice: 1-800-735-2922, or 7-1-1
Speech to Speech Service: 1-800-854-7784
Item #13. Page 72
Meeting Date: 9/26/2023 / Packet Page #: 209
Award the Contract for Artificial Turf
Replacement for Field 3 at Louie Pompei
Memorial Sports Park to Field Turf USA,
Inc. In the amount not to exceed
$509,307.76. (STRATEGIC GOAL 5)
Public Works
Department
City Council
September 26, 2023
CityOfGlendora.org
Item #13. Page 73
Meeting Date: 9/26/2023 / Packet Page #: 210
2 Louie Pompei Memorial Sports Park
• Louie Pompei Memorial Sports Park
• 1100 S. Valley Center
• Opened in 2007
• Multisport complex
• 5 fields
• Design-build services awarded for the removal of
natural turf on fields 1, 2, 4, and 5 – in progress
Item #13. Page 74
Meeting Date: 9/26/2023 / Packet Page #: 211
3 Field Three (3)
• The soccer field (field #3) was converted to
artificial turf in 2016.
• The prior replacement of the natural turf on field 3
with artificial turf, resulted in an approximate
annual water conservation of 1.8 million gallons
for the City.
• Artificial turf fields have a life expectancy of about 8-10 years. Staff is recommending replacing the
artificial turf on field 3, as it is nearing its useful life expectancy.
Item #13. Page 75
Meeting Date: 9/26/2023 / Packet Page #: 212
4 Project Award
• This recommended replacement will include:
• Removal of existing synthetic turf and Install 64,000 SF of new synthetic turf • Enhanced Playability: The new artificial turf will offer improved playability, • Durability: Modern artificial turf is designed to withstand heavy use and weather conditions. The new turf will have a longer lifespan, reducing maintenance and replacement costs in the long term.
• Cost Savings: While there is an initial investment for replacement, the long-term cost savings in maintenance and repairs is significant. The new turf will require minimal upkeep and reduce the need for constant repairs.
• Community Satisfaction: A high-quality soccer field will increase community satisfaction and encourage more participation in local sports programs.
Item #13. Page 76
Meeting Date: 9/26/2023 / Packet Page #: 213
5 RECOMMENDATIONS
1. Award the contract for Artificial Turf Replacement for Field 3 at Louie Pompei Memorial Sports Park to Field Turf USA, Inc. in the amount not to exceed $509,307.76; and
2. Authorize the City Manager or his designee to execute the agreement including minimal and/or non-substantive changes
That the City Council:
Item #13. Page 77
Meeting Date: 9/26/2023 / Packet Page #: 214