Lodi City Council
June 17, 2026

Homeless Management Information System
Enroll
ment Form (Program: ___________________)
(Separate E
nrollment Form must be completed for all household members as part of Program Enrollment; Head of Household must complete all fields; Children in Household only need shaded/highlighted fields.) Client name: ___________________________________________________ _ Date of Enrollment:________________ Social Security Number: _____________________________________ Date of Birth: ___________________________ Pho
ne number/email address: __________________________________________________________________________ CES Referral: ☐ Yes ☐ No O ther referring agency (if any): ___________________________________________ Case mana
ger from other agency (if any): ______________________________ Case manager p hone/email: ______________________________ Location of Client at enrollment: ☐ Stockton ☐ L athrop ☐ L odi ☐ Manteca ☐ Tracy ☐ Unincorpora ted County ☐ Other: __________________________________________________ Client is: ☐ Head of Household ☐ Unaccompanied Adult (Single Adult) ☐ Other Adult in household ☐ Child in household ☐ Unaccompanied Youth (Youth without any other household members) Head of Household (if different from “Client Name”): ____________________________________________________________________________ Gender: ☐ Woman/Girl ☐ Man/Boy ☐ Culturally specific identity ☐ Transgender ☐ NonBinary ☐ Questioning ☐ Dif ferent Identity ☐ Client doesn’t know ☐ Client prefers not to answer ☐ Data not collected
Race (check all that apply):
☐ White ☐ Black or African American ☐ Asian
☐ American Indian or Alaskan Native ☐ Native Hawaiian or Pacific Islander ☐ Data not collected ☐ Client doesn’t know ☐ Client prefers not to answer
Ethnicity: ☐ Hispanic/Latinx ☐ Non-Hispanic/Latinx ☐ Client doesn’t know ☐ Client prefers not to answer ☐ Data not collected
Marital Status: ☐ Married ☐ Not Married but Living with Partner ☐ Divorced ☐ Separated ☐ Widowed ☐ Nev er Married ☐ Unknown ☐ Data Not Collected Sexual Orientation:☐ Straight/Heterosexual ☐ Gay/Lesbian ☐ Bisexual ☐ Questioning ☐ Client doesn’t know ☐ Client r efuses ☐ Data not collected Client’s Preferred Language: __________________________________ Veteran status: ☐ Yes ☐ No ☐ Client do esn’t know ☐ Client refused Branch of military: ☐ Army ☐ Air Force ☐ Navy ☐ Marines ☐ Other ☐ Client doesn’t know ☐ Client refused
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Current living situation / Type of Residence (where was household last night?):
☐ Emergency shelter ☐ Place not meant for human habitation ☐ Transitional housing for homeless ☐ Hotel/motel paid by HSA or charity ☐ Permanent housing for formerly homeless ☐ Hotel/motel paid by household ☐ Psychological hospital/facility ☐ Rental by client with ongoing housing subsidy ☐ Substance abuse treatment facility or Detox center ☐ Rental by client with no ongoing subsidy ☐ Residential project/halfway house w/ no homeless criteria ☐ Owned by client with ongoing housing subsidy ☐ Hospital or other medical residential facility ☐ Owned by client with no ongoing subsidy ☐ Staying with family members ☐ Jail/prison/juvenile detention facility ☐ Staying with friends ☐ Long-term care facility
☐ Foster care or foster group home ☐ Other (_________________________________________) ☐ Client doesn’t know ☐ Client prefers not to answer ☐ Data not collected

Current living situation / Length of stay in prior living situation indicated above:
☐ 1 week or less ☐ 1 week to 1 month ☐ 1 month to 3 months ☐ 3 months to 1 year ☐ more than 1 year ☐ Client doesn’t know ☐ Client refused Approximate date this homeless episode started: ________________ Number of times been on the streets or in Emergency Shelter during the past three years: ______________________________________ Verification provided: ☐ Yes ☐ No
Total number of months on streets or in ES during the past three years: ________________ Verification provided: ☐ Yes ☐ No
Last permanent address: ______________________________________________________________________ Is Client currently being evicted:
☐ Yes ☐ No ☐ Client doesn’t know ☐ Client refused ☐ Data Not Collected Has Client been evicted in past 3 years:
☐ Yes ☐ No ☐ Client doesn’t know ☐ Client refused ☐ Data Not Collected Number of evictions in past 3 years: _____________
Has Client been discharged from an institution (jail, hospital, etc.) in past 6 months:
☐ Yes ☐ No ☐ Client doesn’t know ☐ Client refused ☐ Data Not Collected

Disabling condition: ☐ Yes ☐ No ☐ Client doesn’t know ☐ Client refused Verification provided: ☐ Ye s ☐ No
Physical Disability: ☐ Yes ☐ No ☐ Client doesn’t know ☐ Client refused ☐ Data not collected If yes, is it long term? ☐ Y es ☐ No ☐ Client doesn’t know ☐ Client refused ☐ Data not collected Developmental Disability: ☐ Yes ☐ No ☐ Client doesn’t know ☐ Client refused ☐ Data not collected If yes, is it lon g term? ☐ Yes ☐ No ☐ Client doesn’t know ☐ Client refused ☐ Data not collected Chronic Health Condition: ☐ Yes ☐ No ☐ Client doesn’t know ☐ Client refused ☐ Data not collected If yes, is it lon g term? ☐ Yes ☐ No ☐ Client doesn’t know ☐ Client refused ☐ Data not collected HIV-AIDS diagnosis: ☐ Yes ☐ No ☐ Client doesn’t know ☐ Client refused ☐ Data not collected Mental Health Problem: ☐ Yes ☐ No ☐ Client doesn’t know ☐ Client refused ☐ Data not collected If yes, is it lon g term? ☐ Yes ☐ No ☐ Client doesn’t know ☐ Client refused ☐ Data not collected

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Substance Use Disorder: ☐ Alcohol Use ☐ Drug Use ☐ Both Alcohol and Drug Use ☐ No ☐ Client refused ☐ Data not collected
If yes, is it lon g term? ☐ Yes ☐ No ☐ Client doesn’t know ☐ Client refused ☐ Data not collected Victim of Domestic Violence: ☐ Yes ☐ No ☐ Client doesn’t know ☐ Client refused ☐ Data not collected A re you currently fleeing?: ☐ Yes ☐ No ☐ Client doesn’t know ☐ Client refused ☐ Data not collected Last occurrence: ☐ within past 3 months ☐ 3 to 6 months ago ☐ 6 to 12 months ago ☐ more than 1 year ago ☐ Client doesn’t know ☐ Client refused Cash income (in most recent 30 days): for any income, list amount monthly _________ Earned income _________ Unemployment insurance _________ Workers compensation _________ Private disability _________ Veteran’s service related disability _________ SSDI _________ SSI _________ Social Security retirement
_________ Veteran’s non-service disability pension _________ Employment pension _________ TANF _________ General Assistance
_________ Spousal support _________ Child support
_________ Other (explain: ________________________________________________) _________ Total cash monthly income
Non-cash benefits (in most recent 30 days): for any benefits, list amount monthly _________ SNAP / Food stamps
_________ WIC
_________ TANF child care
_________ TANF transportation
_________ Other TANF
_________Other (explain: _____________________________________________)

Health Insurance
☐ Yes ☐ N o Medi-Cal
If Yes: I s Health Insurance through Health Net :
☐ Yes ☐ No ☐ Client doesn’t know ☐ Client refused ☐ Data not collected If Yes: I s Health Insurance through Health Plan of San Joaquin:
☐ Yes ☐ No ☐ Client doesn’t know ☐ Client refused ☐ Data not collected If Yes: W hat is your Managed Health Plan Number: ___________________________ ☐ Yes ☐ No Medicare
☐ Yes ☐ No S tate Children’s Health Insurance Plan ☐ Yes ☐ No VA Medical Services
☐ Yes ☐ No Employer provided health insurance
☐ Yes ☐ No Health insurance through COBRA
☐ Yes ☐ No Private pay health insurance
☐ Yes ☐ No S tate Health Insurance for Adults
☐ Yes ☐ No Indian Health Services Program O ther: _______________________________ 480

Does Client have a Payee or Conservator:
☐ Yes ☐ No ☐ Client doesn’t know ☐ Client refused ☐ Data not collected Clien
t perceives life has value and worth:
☐ Strongly Disagree ☐ Somewhat Disagree ☐ Neither Disagree nor Agree ☐ Somewhat Agree ☐ Strongly Agree ☐ Client doesn’t know ☐ Client refused ☐ Data not collected Client perceives they have support from others who will listen to problems:
☐ Strongly Disagree ☐ Somewhat Disagree ☐ Neither Disagree nor Agree ☐ Somewhat Agree ☐ Strongly Agree ☐ Client doesn’t know ☐ Client refused ☐ Data not collected Client perceives they have a tendency to bounce back after tough times:
☐ Strongly Disagree ☐ Somewhat Disagree ☐ Neither Disagree nor Agree ☐ Somewhat Agree ☐ Strongly Agree ☐ Client doesn’t know ☐ Client refused ☐ Data not collected Client frequency of feeling nervous, tense, worried, frustrated, or afraid:
☐ Not at all ☐ Once a month ☐ Several times a month ☐ Several times a week ☐ At least every day ☐ Client doesn’t know ☐ Client refused ☐ Data not collected General health status:
☐ Excellent ☐ Very good ☐ Good ☐ Fair ☐ Poor ☐ Client doesn’t know ☐ Client refused ☐ Data not collected 481
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ANTI-DISCRIMINATION AND HARRASSMENT POLICY
Outreach Ministries International (OMI) is committed to providing a workplace that is free from all forms of discrimination and harassment. We believe that all employees have the right to work in an environment that promotes equal opportunities and prohibits discriminatory practices, including harassment.

Policy
Discrimination and harassment based on race, color, religion, sex, national origin, age, disability, veteran status, sexual orientation, gender identity or expression, or any other characteristic protected by federal, state, or local law will not be tolerated. This policy applies to all employment practices, including recruitment, selection, promotion, transfer, merit increase, salary, training and development, demotion, and separation.

Harassment is defined as behavior, which is not welcome, is personally offensive, debilitates morale, and therefore, interferes with work effectiveness. Harassment can occur as a result of a verbal or physical act or expression.

Complaint Procedure
Any employee who feels harassed or discriminated against should report the incident immediately to his or her supervisor, or directly to the Human Resources Department if the supervisor is the subject of the complaint.

Every reported complaint of harassment or discrimination will be investigated promptly and impartially, with every effort made to maintain confidentiality. The complainant and the accused will be informed of the results of the investigation.

If it is determined from the investigation that harassment or discrimination occurred, the offender will be subject to appropriate disciplinary action, up to and including termination.

Retaliation
Retaliation against an individual for reporting harassment or discrimination or for participating in an investigation of a claim of harassment or discrimination is a serious violation of this policy and, like harassment or discrimination itself, will be su bject to disciplinary action, up to and including termination.
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Training
OMI will conduct periodic training sessions to ensure that all employees understand their rights and responsibilities under this policy and the foundation's commitment to maintaining a workplace free from discrimination and harassment.

At Outreach Ministries International, we strive to create a work environment in which all individuals are treated with respect and dignity. Everyone has the right to work in a professional atmosphere that promotes equal employment opportunities and prohibits unlawful discriminatory practices, including harassment.

Please note that this policy does not constitute a contract of employment or alter the at- will nature of any employee's employment in any way.

I have read and understand the above policy and agree to abide by its guidelines

Employee Signature Date
485

ATTENDANCE POLICY

Punctuality and regular attendance is very important to the operation of Outreach Ministries International’s business, and is the responsibility of each employee. Tardiness and absences cause a slow -down in operations and create an added burden for fellow employees. Good attendance is something that is expected from all employees. As such, employees are expected to report to work at their scheduled start time and be prepared to begin their workday.

Employees are also expected to remain at work for their entire workday. Late arrivals, early departures or other absences from scheduled hours are disruptive and shoul d be avoided as much as possible.

This policy does not apply to absences covered by statutory leave. These exceptions are described in separate policies.

Absence

“Absence” is defined as when an employee is unavailable for work as assigned/scheduled and such time off was not scheduled/approved in advance as required by the Company’s notification procedure. There are typically three types of absences:

• Excused absence. Occurs when an employee provides management with sufficient notice in advance of the absence; the absence request has been approved in advance by the employee’s supervisor; and the employee has sufficient accrued paid time off (PTO) to cover the absence. Sufficient notice is at least forty-eight (48) hours prior to the absence taking place. Excused absences also include pre -approved vacation, personal holidays, bereavement leave and jury duty.
• Unplanned absence. Occurs when an employee has properly notified their supervisor that they will be absent from work due to an illness or an emergency. Employees must notify their supervisor no later than one (1) hour prior to the employee’s scheduled start time on the same day the absence is occurring. Each employee is responsible for contacting their supervisor if they are going to be absent from work. • Unexcused absence. Occurs when an employee fails to report to work or properly notify their supervisor of the absence (“No call, no show”) or when an employee has exhausted all of their sick leave. Absences that occur frequently or demonstrate a pattern of absenteeism may be deemed unexcused and subject to corrective action. An unexcused absence counts as one (1) occurrence for the purposes of discipline under this policy. No more than three (3) unexcused absences will be allowed in a twelve (12) month period.

Employees with three (3) or more consecutive days of excused absence due to illness or injury may be asked to provide a doctor’s note prior to returning to work, unless this violates state or local law. Furthermore, employees who have exhausted their sick leave may be asked to provide a doctor’s note for the day(s) they were absent. Providing Outreach Ministries International with 486
a doctor’s note does not automatically deem an absence excused. Management will review overall patterns of attendance and make determinations accordingly.

Absences and tardiness reported by text message and email are not acceptable.

Tardiness

An employee is deemed to be tardy when they:
• Fail to report for work at the assigned/scheduled work time. • Arrive to work past their scheduled start time.
• Leave work prior to the end of assigned/scheduled work time without prior supervisory approval.
• Take an extended meal or break period without approval.

If an employee cannot report to work as scheduled, they must notify their supervisor no later than their regular starting time. This notification does not excuse the tardiness but simply notifies the supervisor that a schedule change may be necessary.

Employees who must leave work before the end of their scheduled shift must also notify their supervisor immediately.

We realize traffic or weather conditions may cause an employee to be late occasionally. However, employees are expected to plan for traffic and weather problems and to allow for extra time to commute to work. If the employee will be late, they must let their supervisor know of their late arrival as soon as practical. Notification does not change the fact that this will still be considered an unexcused tardy. Excessive absences, tardiness, or early departures will lead to discipline, up to and including discharge. Absences or tardiness are excessive if they occur frequently or if they demonstrate a pattern.

Corrective Action

Excessive absenteeism is defined as two (2) or more occurrences of unplanned absences or late arrivals in a thirty (30) day period and may result in corrective action. Three (3) occurrences of unexcused absences in a twelve (12) month period are considered grounds for termination.

Job Abandonment

Any employee who fails to report to work for a period of three (3) days (no call/no show) or more without properly notifying their supervisor will be considered to have abandoned their job and voluntarily terminated their employment with Peer Recovery Services.

I have read and understand the above policy and agree to abide by its guidelines

Employee Signature Date
487

CONFIDENTIALITY POLICY

Employees may not disclose confidential information to anyone outside the Company without appropriate authorization.

Confidential information may include client names and information, client whereabouts, whether or not a client is receiving services, employee information, internal reports, financials, policies, or other internal business-related communications.

Confidential information may only be disclosed or discussed with those who need the information. Conversations of a confidential nature should not be held within earshot of the public or clients.

When any inquiry is made regarding an employee, former employee, or client, the inquiry should be forwarded to a Director or Human Resources without comment from the employee. If an inquiry is made about a client, employee, or any other confidential information, employees are to direct the individual to speak to the Director or Human Resources.

This policy is intended to impress upon employees the need for discretion at all times and is not intended to inhibit normal business communications. In addition, nothing in this policy is intended to infringe upon employee rights under Section 7 of the National Labor Relations Act.

I have read and understand the above policy and agree to abide by its guidelines

Employee Signature Date
488

CORRECTIVE ACTION POLICY

At Outreach Ministries International (OMI) , we value the contribution of every employee. In order to provide the highest level of services to our members, we expect all employees to meet performance expectations and to conduct themselves in accordance with our standards of conduct as well as other applicable policies and procedures. Employees who fail to meet performance expectations or engage in unacceptable conduct shall be subject to corrective action.

OMI does not adhere to any formal system of discipline but considers various factors such as the gravity of the violation, the number of times a rule has been violated, the type of rules violated and the employee’s overall performance when deciding how or when to issue corrective action.

Corrective action is considered as part of an employee’s total performance. Therefore, continued infractions whether in one category or distinct and multiple categories, the employee’s performance is viewed with all the infractions in mind. Where there are multiple infractions within an immediate time frame, all the infractions will be outlined into one single corrective action document.

The following progressive disciplinary process may be utilized to improve performance and address employee conduct issues:

• First offense – Verbal (documented)
• Second offense – First written reprimand
• Third offense – Final written reprimand
• Fourth offense – Termination

While the use of progressive disciplinary steps is recommended, it is not required, and OMI reserves the right to take any corrective action it deems appropriate based on the facts and circumstances of each case.

Corrective actions will remain in an employee’s personnel file but will expire after twelve (12) months and no longer be considered when evaluating overall performance with the exception of egregious or willful misconduct that resulted in a corrective action.

This policy is not intended to, should not be construed to , and does not create a term of employment. Further, it does not limit or modify OMI’s right to terminate your employment or to alter the terms and conditions of your employment, at any time and for any reason, with or without cause. OMI may, of course, terminate employment without following the progressive discipline steps outlined above whenever it determines that such action is warranted. Severe misconduct does not require progressive discipline and is grounds for immediate termination.

Examples of severe misconduct are found in OMI’s Workplace Conduct Policy.

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All employees are expected to meet our standards of performance, professionalism, and conduct, and to follow our work rules. Any improper conduct or violation of work rules may warrant disciplinary action, up to and including termination.

I have read and understand the above policy and agree to abide by its guidelines.

Employee Signature Date

490

Drug and Alcohol Use Policy
Outreach Ministries International (OMI) is committed to providing a safe, productive, and healthy work environment for all employees. This Drug and Alcohol Use Policy outlines OMI’s position on the use of these substances in the workplace or when conducting OMI business.

Policy

1. Alcohol Use: The consumption of alcohol during working hours, including meal and break periods, is strictly prohibited.

2. Illegal Drug Use: The use, possession, sale, or distribution of illegal drugs in the workplace or while conducting OMI business is strictly prohibited . This also includes the misuse of prescription drugs.

3. Prescription Drugs: If an employee is taking a prescribed medication that may affect their ability to safely perform their job, they should notify their supervisor or the Human Resources department.

4. Impairment: Employees are prohibited from working while under the influence of alcohol, illegal drugs, or any substances that impair their ability to perform their job safely and effectively.

Testing
If reasonable suspicion exists to believe that an employee is under the influence of drugs or alcohol during working hours, OMI reserves the right to require a drug or alcohol test.

OMI may also require drug testing as part of a post -accident investigation.

Treatment and Counseling
OMI encourages employees struggling with substance abuse to seek professional assistance . We are supportive of those who voluntarily seek help, and will work to accommodate employees undergoing treatment, as long as this does not create undue hardship for the organization.

Consequences of Violations
Violations of this Drug and Alcohol Use Policy may result in disciplinary action, up to and including termination of employment. Legal activities related to drug use may also be reported to law enforcement.

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At Outreach Ministries International, we care about the well -being of our employees . If you have questions about this Drug and Alcohol Use Policy or need assistance with a substance abuse issue, please contact the Human Resources department.

Please note that this policy does not constitute a contract of employment or alter the at - will nature of any employee's employment in any way.

I have read and understand the above policy and agree to abide by its guidelines

Employee Signature Date
492

DUAL RELATIONSHIP POLICY

Integrity, safety, and professionalism are very important to the operation of Outreach Ministries International’s (OMI) business at the Lodi Access Center. This policy establishes clear guidelines for managing dual relationships between staff, volunteers, and clients in order to ensure an equitable approach to every client.

Definition
A dual relationship occurs when a staff member or volunteer has another significant relationship with a client outside of their professional role with OMI and/or at the Lodi Access Center. This includes, but is not limited to, business, social, familial, or romantic relationships.

Policy Guidelines

Prohibition of Dual Relationships
Staff and volunteers must not enter into dual relationships with clients that could impair professional judgment, create conflicts of interest, or risk the appearance of impropriety. This includes, but is not limited to:
o Romantic or sexual relationships with current clients. o Business or financial dealings with clients (e.g., lending/borrowing money, buying/selling goods or services).

Pre-existing Relationships
If a staff member or volunteer has a close personal friendship or family relationship with a client that predates their employment or volunteer service with OMI at the Lodi Access Center, this is still considered a dual relationship.

o These pre-existing relationships must be disclosed to the Director or Assistant Director of Operations upon hire or as soon as they are recognized.

o The Director will assess the situation and, if necessary, adjust duties to avoid conflicts of interest or boundary issues.

Disclosure and Management
If a staff member or volunteer becomes aware of a potential or actual dual relationship, whether pre-existing or new, they must immediately disclose it to the Director or Assistant Director of Operations. The Director will determine the appropriate course of action, which may include limiting the employee’s involvement with the client.

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Boundaries
Staff and volunteers are expected to maintain clear and professional boundaries at all times.

Personal contact information should not be shared with clients unless required for official center business and approved by a supervisor. Whenever necessary, OMI would prefer clients use the Lodi Access Center phone number to correspond with staff.

It is understood by OMI that certain interactions with clients will require the sharing of personal contact information. Acceptable interactions for sharing contact information should be discussed with the Director prior to sharing. OMI considers interactions which include Recovery Support, Mentoring, Transportation to/from community events and specific resources, and Community Service and Ministry to be acceptable reasons for sharing personal contact information. If a staff member shares personal contact information with a client, staff are expected to notify the Director of such exchange.

Gifts and Favors
Staff and volunteers must not accept personal gifts, favors, or services from clients, nor offer them to clients, as this may compromise professional boundaries.

Reporting Concerns
Any concerns or violations of this policy must be reported to the Director or Assistant Director.

Violations may result in corrective action, up to and including termination, as outlined in OMI’s corrective action and workplace conduct policies.

Enforcement
Failure to adhere to this policy may result in disciplinary action, including suspension or termination consistent with the OMI’s corrective action procedures.

Questions regarding this policy should be submitted to Human Resources.

I have read and understand the above policy and agree to abide by its guidelines

Employee Signature Date
494

EMPLOYEE DRESS CODE POLICY

The Lodi Access Center strives to create a safe, welcoming, and professional environment for both clients and staff. Our dress code policy is designed to promote a positive image of the center while allowing staff to dress comfortably and practically for the tasks at hand.

Dress Code Guidelines:

1. General Attire
o Staff should wear clean, well-maintained clothing that is professional yet practical for the nature of their work.
o Acceptable attire includes jeans or khakis, casual slacks, and appropriate -length shorts or skirts (knee-length or longer).
o Tops should include polo shirts, blouses, or collared shirts. T -shirts without graphics or logos are also acceptable.
o Clothing should be free of offensive language, images, or large brand logos. Lodi Access Center or organization-branded apparel is encouraged.

2. Footwear
o Closed-toe shoes are required to ensure safety, especially when handling equipment or assisting with tasks involving transportation and movement of supplies.
o Comfortable, non-slip shoes are encouraged, as staff are often required to walk or stand for extended periods.
o Sandals, flip-flops, and open-toed shoes are not permitted.

3. Outerwear and Accessories
o Jackets, sweaters, and other outerwear are permitted, especially during cooler weather, but should follow the same guidelines regarding logos and images. o For staff working outdoors or engaging in outreach activities, hats and other protective outerwear are allowed for sun protection.
o Accessories should be minimal and practical, avoiding items that may pose a safety risk.

4. Hygiene and Presentation
o Staff are expected to maintain personal hygiene to ensure a pleasant and respectful environment for clients and coworkers.
o Hair should be clean and neatly presented. Long hair should be secured if working around food, equipment, or in other active roles.
o Scented products should be minimal to respect clients and staff who may have sensitivities to fragrance.

5. Safety Gear
o Staff in roles that involve outdoor clean -up or security should wear any required safety gear, such as gloves, reflective vests, or protective eyewear, provided by the center.

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6. Exceptions and Accommodations
o Reasonable accommodations to this dress code will be made for religious, cultural, or medical reasons.
o Staff who have questions about the dress code or require accommodation should speak with their supervisor.

Policy Enforcement: If attire does not meet these guidelines, staff may be asked to adjust their clothing to comply with the dress code. Repeated violations may require further discussion with the supervisor.

I have read and understand the above policy and agree to abide by its guidelines

Employee Signature Date
496

HUMAN WASTE REMOVAL POLICY

Dealing with human waste on your property requires strict hygiene protocols to ensure the safety of your staff. Here’s a general approach to training and procedures for handling this situation:

Key Steps for Handling Human Waste:

Personal Protective Equipment (PPE):

Staff involved in cleaning should wear appropriate PPE, including:

Disposable gloves (preferably nitrile or latex)
Face masks (to avoid inhaling particles)
Eye protection (goggles)
Disposable or washable aprons and/or coveralls
Ensure staff is trained on how to properly put on and take off PPE to avoid contamination.

Cleaning Supplies:

Use disinfectants that are EPA-approved for cleaning up biohazards, specifically those effective against fecal bacteria and viruses (e.g., bleach solution diluted at 1:10 or other biohazard-specific cleaning products).

Provide absorbent material for any liquid waste and tools like scrapers or shovels to handle solid waste without direct contact.

Cleaning and Disinfection Process:

1. Step 1: Remove the Waste: Use disposable tools or designated equipment to pick up solid waste. For liquid waste, apply absorbent material first.

2. Step 2: Disinfect the Area: After the waste is removed, thoroughly disinfect the area with an appropriate cleaning agent, following product instructions for kill time.

3. Step 3: Proper Disposal: Dispose of waste, PPE, and cleaning materials in double -bagged, sealed trash bags. Follow local regulations for disposal of biohazardous waste if necessary.

Handwashing and Hygiene:

After cleaning, staff should immediately wash hands with soap and water for at least 20 seconds, even if gloves were worn.

Provide alcohol -based hand sanitizer (60% alcohol) for use if soap and water are unavailable immediately but always encourage proper handwashing.

I have read and understand the above policy and agree to abide by its guidelines

Employee Signature Date
497

INTERNET AND EMAIL USE POLICY
Outreach Ministries International (OMI) recognizes that internet and email systems are essential tools for business communication and productivity. This Internet and Email Use Policy provides guidelines for the appropriate use of these tools to ensure their use aligns with OMI’s values and professionalism.

Policy

1. Acceptable Use: Internet and email systems are primarily for business use.

2. Inappropriate Use: The internet and email must not be used for transmitting offensive, discriminatory, or harassing content. The illegal download of copyrighted materials, the viewing of inappropriate or explicit content, and any activity that could harm OMI’s systems, such as downloading malware or using unsecured networks, is strictly prohibited.

3. Confidential Information: Never share confidential or proprietary information without appropriate authorization. This includes client data, employee information, or any other information that could harm the Foundation if disclosed.

Email Etiquette

1. Professionalism: Emails should be composed in a professional manner. Use proper grammar and spelling and avoid using slang or overly casual language.

2. Clear Subject Lines: Use clear and concise subject lines to help recipients understand the purpose of the email.

3. Attachments: Be cautious when sending attachments. Ensure the recipient is expecting the attachment and that it's a necessary part of your communication.

Monitoring
OMI reserves the right to monitor and access any information sent or received through its internet and email systems to ensure compliance with this policy. Employees should have no expectation of privacy when using OMI’s internet and email systems.

Consequences of Violations
Violations of this Internet and Email Use Policy may result in disciplinary action, up to and including termination of employment.

Policy Review and Updates
This policy will be reviewed periodically and may be updated at any time. Employees are responsible for understanding and complying with this policy as well as any updates that may be made. 498
At Outreach Ministries International, we count on our employees to use internet and email responsibly and professionally. If you have any questions about this Internet and Email Use Policy, please contact the Human Resources department.

Please note that this policy does not constitute a contract of employment or alter the at- will nature of any employee's employment in any way.

I have read and understand the above policy and agree to abide by its guidelines

Employee Signature Date
499

INTRODUCTORY PERIOD POLICY

The purpose of this policy is to notify employees of Outreach Ministries International’ s (OMI) introductory period and the “at-will” employment relationship between OMI and its employees.

Policy

New employees, whether part -time or full -time, have an introductory employment status for ninety (90) working days. During this period, you will have an opportunity to learn about your new position and see whether you are satisfied with your employment at OMI, and we will use the introductory period to see if you are able to perform the job duties required by the position.

Employment may be terminated without notice at any time during this period. Completion of this introductory period is also not a guarantee of continued employment. During the entire course of your employment, you are an "at -will" employee, so either you or OMI may terminate your employment with or without cause, and with or without notice, as long as it is consistent with any and all applicable laws.

The introductory period may be extended at the discretion of OMI, as it deems appropriate.

I have read and understand the above policy and agree to abide by its guidelines.

Employee Signature Date

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If you were not paid for the sick leave you took, you can file a wage claim.

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Contact the Labor
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It is illegal for your employer to fire you, reduce your hours or otherwise retaliate against you for asking to use paid sick leave. All workers qualify for paid sick leave, regardless of immigration status. For questions on paid sick leave, retaliation protections, filing a wage claim or retaliation complaint, call the Labor Commissioner’s Office 833-LCO-INFO (833-526-4636).

For more information, visit www.dir.ca.gov/PaidSickLeave Cities or regions in California may require employers to provide additional sick leave.

California Workers:

You have the right to Paid Sick Leave
For treatment, diagnosis or
preventative care for yourself or
a family member or a designated
person.

The employer must allow workers to
use 40 hours or 5 days, whichever
is more.

By notifying your employer as soon
as possible when you need to take
paid sick leave. A note from the
doctor is not required.

Example 1: An employee normally
works 10-hour days. They have the
right to 5 days, or 50 hours, of paid
sick leave.

For at least 40 hours or 5 days
per year, whichever is more.

Employers can provide additional
paid sick leave, but not less than
40 hours or 5 days per year.

Example 2: An employee
normally works 6-hour days. They
have the right to 40 hours of paid
sick leave.

At least 30 days
with the same
employer in the
current year.
90 days with the
same employer.

Full-time, part-
time or as a
temporary
worker.

Starting January 1, 2024: 40 hours or 5 days per year
Earning Paid Sick Leave: Employers can provide workers at least 1 hour of paid sick leave for every 30 hours worked, or they can provide all 5 days or 40 hours at the start of each year or 12 month period.
!
You qualify for paid sick leave from your employer if you worked:

You can use paid sick leave:

What is 40 hours or 5 days?
501

PAID SICK LEAVE POLICY AND ACKNOWLEDGEMENT

At Outreach Ministries International (OMI) , we understand that employees may need to take time off from work due to personal illness, injury, or to care for a sick family member. In accordance with California law, we have established the following Sick Leave Policy to ensure our employees have the time they need to rest and recover without worrying about loss of income.

Eligibility and Accrual
All employees who work in California for 30 or more days within a year from the commencement of their employment are entitled to paid sick leave. Paid Sick leave begins to accrue on the first day of employment. Employees will accrue paid sick leave at a rate of 40 hours or 5 days per year of employment. Unused Paid Sick Leave may not be carried over to the next year.

Usage
Employees may begin using accrued paid sick days on the 90th day of employment. After the 90th day of employment, employees may use sick leave as it is accrued.

Paid sick leave can be used for the employee’s own health care needs or for the health care needs of a family member including child, parent, spouse, registered domestic partner, grandparent, grandchild, and sibling.

Notice and Certification
If the need for paid sick leave is foreseeable, the employee should provide reasonable advance notice. If the need for paid sick leave is unforeseeable, the employee shall provide notice of the need for leave as soon as practicable.

OMI may require employees to provide reasonable documentation (like a note from a healthcare provider) for sick leaves of three days or more.

Payment
Employees will be compensated at their regular rate of pay during their sick leave.

No Retaliation
OMI will not retaliate against employees for requesting or using accrued sick leave.

I have read and understand the above policy and agree to abide by its guidelines

Employee Signature Date

502

PAYDAY POLICY

At Outreach Ministries International (OMI) , we value the hard work and dedication of our employees. In recognition of your efforts, we have established the following Payday Policy to ensure a clear and consistent understanding of our pay procedures.

Paydays

Employees will be paid on a bi -monthly basis. Paydays are scheduled for the 5th and 20th of each month. If these dates fall on a weekend or holiday, the payday will be the last business day prior to the regularly scheduled payday.

Pay Periods

Each paycheck will include earnings for all work performed through the end of the previous payroll period. Our pay periods are as follows:

1. The first pay period of the month covers the 1st through the 15th. Pay for this period will be issued on the 20th of the same month.

2. The second pay period of the month covers the 16th through the last day of the month. Pay for this period will be issued on the 5th of the following month.

Payroll Deductions

Standard payroll deductions include federal and state taxes, and Social Security and Medicare contributions. Any additional deductions, such as contributions to a retirement plan or health insurance premiums, will be itemized on your pay stub.

Direct Deposit

OMI offers direct deposit for all employee s . If you choose to participate, your net pay will be deposited directly into your bank account on payday. To enroll in direct deposit, please complete a Payroll Direct Deposit Form and return it to the Human Resources department.

Pay Stubs

Employees will receive a pay stub each payday. This pay stub will show gross pay, deductions, and net pay for the current pay period and the year-to-date totals. Pay stubs will be available through Quickbooks Workforce. Each employee will be given an invitation to access documentation from Workforce.
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Final Pay

Upon termination of employment, an employee's final paycheck will include pay for all hours worked up until the end of the employee 's final workday, including unused accrued vacation pay, if applicable. Final paychecks will be issued in accordance with California law.

Please direct any questions or concerns regarding payroll to the Human Resources department. We strive to ensure all employees are paid accurately and promptly for the work they perform on behalf of Outreach Ministries International .

Please note that this policy does not constitute a contract of employment or alter the at- will nature of any employee's employment in any way.

I have read and understand the above policy and agree to abide by its guidelines

Employee Signature Date
504

USE OF PERSONAL CELL PHONE AND/OR DEVICE POLICY

Outreach Ministries International (OMI) has established this policy to manage personal cell phone and/or device use by employees during work hours, ensuring productivity and professionalism while maintaining privacy and confidentiality in line with California Housing and Urban Development ( HUD) regulations. This policy applies to all employees during work hours, particularly in areas accessible to or occupied by clients.

Employees are to use the designated Lodi Access Center Cell Phone when making ALL work-related phone calls. Employees are not permitted to call other employees who are not on the clock working for work-related phone calls. All work-related phone calls, questions, and needs are to be directed first to Assistant Director Zac Edalgo and then Director Johnny Coughran.

Restricted Use During Work Hours: Personal cell phone use is prohibited during work hours except during breaks or for emergency calls, which should be taken away from work areas to ensure privacy and minimize disruptions.

OMI understands that employees may be unable to leave their station of designated work and may encounter longer lengths of t ime when no clients are present and work duties are completed . During this time, employees may ask permission from their supervisor to use their personal cell phone only while clients are not present and operations will not be disrupted.

Designated Areas and Times: Use personal cell phones in designated areas such as the break room or outside office premises during breaks.

Silent Mode Requirement: Cell phones must be set on silent or vibrate mode during work hours to avoid disturbances.

Emergency Usage: In emergencies requiring a personal call, employees should inform their supervisor, move to a private area away from client activity, and ensure coverage for their duties during the call.

HUD Compliance: Avoid phone or video chats with personal contacts within earshot or line of sight of clients. Such interactions could inadvertently expose protected client information or images, violating HUD regulations.

Compliance and Enforcement: Non-compliance with this policy can result in disciplinary actions.

Supervisors are responsible for enforcement and may grant exceptions under specific conditions.

I have read and understand the above policy and agree to abide by its guidelines

Employee Signature Date
505
SEXUAL

HARASSMENT

FACT SHEET

THE DEPARTMENT OF FAIR EMPLOYMENT AND HOUSING

THE MISSION OF THE DEPARTMENTOF FAIR EMPLOYMENT

AND HOUSING IS TO PROTECT THE PEOPLE OF CALIFORNIA

FROM UNLAWFUL DISCRIMINATION IN EMPLOYMENT,

HOUSING AND PUBLIC ACCOMMODATIONS, AND FROM

THE PERPETRATION OF ACTS OF HATE VIOLENCE AND
HUMAN TRAFFICKING.

Sexual harassment is a form of discrimination
based on sex/gender (including pregnancy,
childbirth, or related medical conditions), gender
identity, gender expression, or sexual orientation.

Individuals of any gender can be the target of sexual
harassment. Unlawful sexual harassment does
not have to be motivated by sexual desire. Sexual
harassment may involve harassment of a person
of the same gender as the harasser, regardless of
either person’s sexual orientation or gender identity.

THERE ARE TWO TYPES

OF SEXUAL HARASSMENT

1. “Quid pro quo” (Latin for “this for that”) sexual
harassment is when someone conditions a job,
promotion, or other work benefit on your submission
to sexual advances or other conduct based on sex.

2. “Hostile work environment” sexual harassment
occurs when unwelcome comments or conduct
based on sex unreasonably interferes with your work
performance or creates an intimidating, hostile, or
offensive work environment. You may experience
sexual harassment even if the offensive conduct was
not aimed directly at you.

The harassment must be severe or pervasive to
be unlawful. A single act of harassment may be
sufficiently severe to be unlawful
.

SEXUAL HARASSMENT INCLUDES MANY

FORMS OF OFFENSIVE BEHAVIORS
BEHAVIORS THAT MAY BE SEXUAL HARASSMENT:

1. Unwanted sexual advances

2. Offering employment benefits in exchange for
sexual favors

3. Leering; gestures; or displaying sexually
suggestive objects, pictures, cartoons, or posters

4. Derogatory comments, epithets, slurs, or jokes

5. Graphic comments, sexually degrading words, or
suggestive or obscene messages or invitations

6. Physical touching or assault, as well as impeding
or blocking movements
Actual or threatened retaliation for rejecting advances or co
mplaining about harassment is also unlawful.

Em
ployees or job applicants who believe that they have
been sexually harassed or retaliated against may file a complaint of discrimination with DFEH within three years of the last act of harassment or retaliation.

DFEH serves as a neutral fact-finder and attempts to
help the parties voluntarily resolve disputes. If DFEH
finds sufficient evidence to establish that discrimination o
ccurred and settlement efforts fail, the Department may file a civil complaint in state or federal court to address the causes of the discrimination and on behalf of the
co
mplaining party. DFEH may seek court orders changing
the employer’s policies and practices, punitive damage s, and attorney’s fees and costs if it prevails in litigation.

Em
ployees can also pur sue the matter through a private
lawsuit in civil court after a complaint has been filed with DFEH
and a Right-to-Sue Notice has been issued.

EMPLOYER RESPONSIBILITY & LIABILITY
All e
mployers, regardless of the number of e mploye es, are
covered by the harassme nt provisions of California law.

Em
ployers are liable for harassment by their supervisors
or agents. All harassers, including both supervisory and no
n-supervisory personnel, may be he ld personally liable for harassment or for aiding and abetting harassment.

The law requires employers to take reasonable steps
to prevent harassment.

If an employer fails to take
such steps, that employer can be held liable for the
harassment. In addition, an employer may be liable
f
or the harassment by a non-employee (f or example, a
client or customer) of an employee, applicant, or person pr
oviding services for the employer. An employer will
only be liable for this form of harassment if it knew or sho
uld have known of the harassment, and failed to take
immediate and appropriate corrective action.

Employers have an affirmative duty t o take reasonable steps to prevent and promptly correct discriminatory and har
assing conduct, and to create a workplace free of
harassment.

A program to eliminate sexual harassment from the
workplace is not only required by law, but it is the most practical way for an employer to avoid or limit liability if har
assment occurs.
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SEXUAL HARASSMENT

FACT SHEET

THE DEPARTMENT OF FAIR EMPLOYMENT AND HOUSING

THE MISSION OF THE DEPARTMENTOF FAIR EMPLOYMENT

AND HOUSING IS TO PROTECT THE PEOPLE OF CALIFORNIA

FROM UNLAWFUL DISCRIMINATION IN EMPLOYMENT,

HOUSING AND PUBLIC ACCOMMODATIONS, AND FROM

THE PERPETRATION OF ACTS OF HATE VIOLENCE AND
HUMAN TRAFFICKING.

CIVIL REMEDIES
• Damages for emotional distress from each
employer or person in violation of the law
• Hiring or reinstatement
• Back pay or promotion
• Changes in the policies or practices of the
employer

ALL EMPLOYERS MUST TAKE THE FOLLOWING

ACTIONS TO PREVENT HARASSMENT AND
CORRECT IT WHEN IT OCCURS:

1. Distribute copies of this brochure or an alternative writing that complies with Government Code 12950.

This pamphlet may be duplicated in any quantity.

2.Post a copy of the Department’s employment poster
entitled “California Law Prohibits Workplace Discrimination and Harassment.”

3.Develop a harassment, discrimination, and retaliation prevention policy in accordance with 2 CCR 11023. The
policy must:
• Be in writing.
• List all protected groups under the FEHA.
• Indicate that the law prohibits coworkers and third
parties, as well as supervisors and managers with
whom the employee comes into contact, from
engaging in prohibited harassment.
• Create a complaint process that ensures confidentiality to the extent possible; a timely response; an impartial and timely investigation by qualified personnel;
documentation and tracking for reason able progress;
appropriate options for remedial actions and
resolutions; and timely closures.
• Provide a complaint mechanism that does not
require an employee to complain directly to their
immediate supervisor. That complaint mechanism
must include, but is not limited to including: provisions for direct communication, either orally or in writing,
with a designated company representative; and/or a
complaint hotline; and/or access to an ombudsperson;
and/or identification of DFEH and the United States
Equal Employment Opportunity Commission as
additional avenues for employees to lodge complaints.
• Instruct supervisors to report any complaints of
misconduct to a designated company representative,
such as a human resources manager, so that the
company can try to resolve the claim internally.

Employers with 50 or more employees are required to
include this as a topic in mandated sexual harassment
prevention training (see 2 CCR 1
1024).
• Indicate that when the employer receives allegations of misconduct, it will conduct a fair, timely, and thorough investigation that provides all parties appropriate due process and reaches reasonable conclusions based on
the evidence collected.
• Make clear that employees shall not be retaliated
against as a result of making a complaint or
participating in an investigation.

4.Distribute its harassment, discrimination, and retaliation prevention policy by doing one or more of the following:
• Printing the policy and providing a copy to employees with an acknowledgement form for employees to sign
and return.
• Sending the policy via email with an acknowledgment
return form.
• Posting the current version of the policy on a company intranet with a tracking system to ensure all employees have read and acknowledged receipt of the policy.
• Discussing policies upon hire and/or during a new hire orientation session.
• Using any other method that ensures employees
received and understand the policy.

5.If the employer’s workforce at any facility or
establishment contains ten percent or more of persons
who speak a language other than English as their spoken language, that employer shall translate the harassment, discrimination, and retaliation policy into every language spoken by at least ten percent of the workforce.

6.In addition, employers who do business in California
and employ 5 or more part-time or full-time employees
must provide at least one hour of training regarding the prevention of sexual harassment, including harassment
based on gender identity, gender expression, and
sexual orientation, to each non-supervisory employee;
and two hours of such training to each supervisory
employee. Training must be provided within six months
of assumption of employment. Employees must be
trained during calendar year 2019, and, after January
1, 2020, training must be provided again every two
years. Please see Gov. Code 12950.1 and 2 CCR
11024 for further information.

TO FILE A COMPLAINT
Department of Fair Employment and Housing
dfeh.ca.gov
Toll Free: 800.884.1684
TTY: 800.700.2320
DFEH-185-ENG / April 2020
507

DE 185 Sexual Harassment Fact Sheet Acknowledgement

When possible, Outreach Ministries International (OMI) encourages individuals who believe they are being subjected to inappropriate conduct to promptly advise the offender that their behavior is unwelcome and request that it be discontinued. Often this action alone resolves the issue. OMI, however, recognizes that an individual may prefer to pursue the matter through the complaint process.

If you believe that you may have been unlawfully harassed, please submit a complaint to Human Resources as soon as possible after the incident. Your complaint should include details of the incident or incidents, names of the individuals involved, and the names of any witnesses. Supervisors will refer all harassment complaints to Human Resources. OMI will immediately undertake an effective, thorough and objective investigation of the harassment allegations.

If OMI determines that unlawful harassment has occurred, disciplinary action up to and including dismissal will be taken in accordance with the circumstances involved. A representative of OMI will advise all parties concerned of the result of the investigation pursuant to the law. OMI will not retaliate against you or any witnesses for filing a complaint and will not tolerate or permit retaliation by management, employees, coworkers or third parties.

You should also be aware that the Federal Equal Housing Employment Opportunity Commission (EEOC) and the California Department of Fair Employment and Housing (DFEH) investigate and prosecute complaints of prohibited harassment in employment. If you feel you have been subjected to harassment, you may contact the DFEH at https://www.dfeh.ca.gov/.

I hereby acknowledge that I have read and understand the information provided by the DE 185 Sexual Harassment Fact Sheet and agree to comply with all actions necessary to prevent harassment.

__________________________________________ _______________________________ Signature Date

Human Resources email: [email protected]
508

POLICY ON RECORDING CLIENTS

Purpose
To ensure compliance with California’s two-party consent law and to protect the privacy and trust of clients, this policy outlines the prohibition of recording conversations with clients without proper authorization.

Outreach Ministries International (OMI) is committed to upholding the privacy rights of clients and staff while adhering to all applicable laws. In accordance with California Penal Code Section 632, employees are prohibited from recording of any conversations with clients, whether in person, over the phone, or through other communication methods, without the explicit consent of all parties involved.

This policy applies to all employees, volunteers, contractors, and any individuals acting on behalf of Outreach Ministries International at the Lodi Access Center.

Guidelines

1. No Unauthorized Recording
Employees, volunteers, or any indivi duals may not use any device or software to record audio, video, or other forms of communication with clients without obtaining explicit written or verbal consent from all parties.

2. Client Consent
If recording is deemed necessary for a specific reason (e.g., training, quality assurance, or documentation), employees must first consult with their supervisor and explain the purpose of the recording. Written consent forms or a recorded verbal consent (with confirmation documented) must be obtained prior to initiating the recording.

3. Confidentiality Emphasis
Employees are encouraged to take notes during interactions with clients to document key details.

Written documentation must be kept confidential and comply with the OMI’s data protection and confidentiality policies.

4. Legal Exceptions
Any recording must comply with legal exceptions under California law. Employees must consult the Access Center Director before pursuing any exception.

Disciplinary Action
Unauthorized recording of client conversations is considered a serious violation of this policy.

Violations may result in disciplinary action, up to and including termination of employment.

509
Acknowledgment
All employees are required to sign below an acknowledgment confirming their understanding and compliance of this policy.

By adopting this policy, Outreach Ministries I nternational seeks to maintain trust and transparency while protecting the rights and dignity of all individuals involved.

I have read and understand the above policy and agree to abide by its guidelines

Employee Signature Date
510

REST AND MEAL BREAK POLICY

This will serve as Outreach Ministries International’s (OMI) policy regarding rest breaks and meal periods for employees. It is the policy of OMI to comply with state and federal laws regarding meals and breaks, and OMI recognizes the importance of such breaks.

Rest Breaks

All non-exempt (“hourly”) employees are entitled to periodic, uninterrupted duty-free rest breaks during their workday, and to be paid for all such rest breaks. Although you are not required to record your rest break on your timesheet, you are required to notify your supervisor when taking your break.

OMI provides all non-exempt employees one (1) ten (10) minute rest break for every four (4) hours worked or any major portion thereof as follows:

Duration of Shift in Hours

0 to < 3.5 = A non-exempt employee who does not work more than three and a half (3.5) hours in a workday is not entitled to a rest break. However, a rest break may be granted as schedule permits and at OMI’s discretion.

> 3.5 to < 6 = A non-exempt employee who works more than three and a half (3.5) hours in a workday, but not more than six (6) hours in a workday, is entitled to take one (1) ten (10) minute rest break.

> 6.0 to < 10.0 = A non-exempt employee who works more than six (6) hours in a workday, but not more than ten (10) hours in a workday, is entitled to take two (2) ten (10) minute rest breaks.

> 10.0 to < 14.0 = A non-exempt employee who works more than ten (10) hours in a workday, but not more than fourteen (14) hours in a workday, is entitled to take three (3) ten (10) minute rest breaks.

>14.0 = A non-exempt employee who works in excess of fourteen (14) hours in a workday, will continue to be entitled to additional ten (10) minute rest breaks for every four (4) hours worked, or major fraction thereof.

It is important that you do not perform any work during your rest breaks. To ensure proper shift coverage, it is critical that you work with your supervisor when scheduling all rest breaks.

Supervisors will note the time when non-exempt employees call in their break and the duration to ensure accuracy and that they are properly getting their rest break. Non-exempt employees will not need to note their rest break on their timesheets.

511

Meal Periods

OMI provides all non-exempt employees who work more than five (5) hours in a workday with an uninterrupted, duty-free meal period of at least thirty (30) minutes. This meal period is to begin no later than the end of the fifth (5th) hour of work. Meal Periods are not to exceed thirty (30) minutes. At the end of the thirty (30) minute meal period, employees are to clock in and resume the scheduled shift.

OMI also provides a second uninterrupted, duty-free meal period of at least thirty (30) minutes when an employee works more than ten (10) hours in a workday. This second meal period is to begin no later than the end of the tenth (10th) hour of work.

Non-exempt employees are entitled to meal periods as follows:

Duration of Shift in Hours

0 to < 5.0 = A non-exempt employee who does not work more than five (5) hours in a workday is not entitled to a meal period. However, a meal period may be granted as schedule permits and at OMI’s discretion.

> 5.0 to < 10.0 = A non-exempt employee who works more than five (5) hours in a workday, but not more than ten (10) hours in a workday, is entitled to an uninterrupted, duty-free meal period of at least thirty (30) minutes before the end of the fifth (5th) hour of work.

> 10.0 = A non-exempt employee who works more than ten (10) hours in a workday is entitled to a second uninterrupted, duty-free meal period of at least thirty (30) minutes, before the end of the tenth (10th) hour of work.

It is OMI’s policy to relieve all non-exempt employees of their duties during their meal period. As such, schedules and work assignments are created to include duty-free meal periods. All employees are expected to take such designated meal periods, must clock out/in for all meal breaks, and must not perform any work. As such, all non-exempt employees are required to record their meal period on their timesheet when they clocked out and clocked in from their meal period as they would for the beginning and end of their shift. All meal breaks must be accurately captured on employees’ timesheets.

Further, employees are not allowed to work “off-the clock.” Consequently, non-exempt employees should not perform any work after clocking out for their meal period and should not perform any work before clocking in from their meal period. If an employee is instructed to work “off-the-clock” or provide false information on their timesheet, please report it to any supervisor immediately. Anyone who violates this policy, including supervisors, will be subject to disciplinary action. Falsifying your actual time worked is grounds for separation.

512

Responsibilities

OMI does its best to create schedules to ensure employees have sufficient time to take all required rest and meal periods and to complete their work during their scheduled shift. Meal and rest periods cannot be combined and taken simultaneously. Employees may not use the meal or rest period to arrive at work late or leave work early.

Non-exempt employees are expected to take their meal periods and rest breaks in accordance with this Policy and applicable state and federal guidelines. Management is expected to make meal periods and rest breaks available to employees in accordance with this Policy. Supervisors can schedule meal periods and rest breaks for their employees, taking into account operational requirements and needs.

Any employee, supervisor, or manager who fails to observe meal period and rest break policies will be subject to discipline, up to and including termination of employment. Violations of this Policy should be reported to any supervisor. Every report will be fully investigated, and corrective action will be taken where appropriate.

As a reminder, employees are not to work overtime without permission from their supervisor. Should an employee work overtime without permission, they will be entitled to compensation for all hours worked but will be subject to discipline up to and including termination.

Acknowledgment

I acknowledge that I have been provided with and understand Outreach Ministries International’s Rest Break and Meal Period Policy and understand that it is effective immediately. I agree to comply with this policy. I understand that I may be subject to disciplinary action, up to and including termination of employment if I violate this policy.

I have read and understand the above policy and agree to abide by its guidelines.

______________________________ _ _________________________ Signature Date
513

WORKPLACE CONDUCT POLICY

Outreach Ministries International (OMI) endeavors to maintain a positive work environment, and every employee plays a role in fostering this environment. Accordingly, all employees are expected to abide by certain standards of conduct, based on honesty, common sense, and professionalism.

The rules set forth below are intended to establish standard expectations for employee conduct and performance but are not intended to be exhaustive. Employees should be aware that unacceptable or inappropriate conduct, even if not specifically listed below, may result in disciplinary action, up to and including termination, at OMI’s sole discretion.

Employees may be disciplined and/or terminated for unacceptable or inappropriate conduct, including but not limited to the following:

1. Obtaining employment on the basis of false or misleading information; falsifying employment documents or work records, including completing another employee’s time record

2. Theft or unauthorized taking or removal of OMI’s property or the property of another employee

3. Breach of confidence, including disclosure, misappropriation, or misuse of confidential information

4. Violation of safety rules and/or policies, including failure to report any unsafe condition, damage to equipment, or a job-related injury

5. Fighting, threatening, bullying, or disrupting the work of others

6. Insubordination or derogatory behavior toward supervisory or management personnel

7. Derogatory, aggressive, or malicious behavior toward any personnel

8. Poor work performance, exhibiting carelessness or negligence in the performance of your job

9. Violation of the OMI’s punctuality and attendance standards, including but not limited to irregular attendance, habitual lateness, or unexcused absences

10. Illegal gambling on OMI property

11. Willful destruction or careless usage or damage to OMI’s assets or to the equipment or possessions of another employee

12. Unauthorized use or wasting of OMI’s supplies, resources, and other work materials

13. Excessive use of work time to engage in conduct of a personal or social nature, or other conduct that detracts from the employee’s performance of their job duties

14. Carrying or possessing a weapon such as a gun, dangerous devices, or other weapons on or around OMI premises, including parking lots

15. Participation in a business in competition with the OMI, pursuant to applicable law

16. Use, possession, or sale of unlawful drugs, cannabis, or alcohol while on OMI premises, while on duty, or reporting to work under the influence of alcohol or any unlawful drugs

17. Sleeping or malingering on the job
514

18. Violation of a confidentiality agreement that exists between OMI and any employee

19. Violation of any OMI policy on harassment, discrimination, and/or retaliation

20. Any other violation of OMI’s policies, which are subject to change from time to time, at the OMI’s sole discretion

OMI reserves the right to impose whatever discipline it chooses, or none at all, if and when a violation of this policy occurs. OMI will deal with each situation individually and nothing in this policy shall be construed as a promise of specific treatment in a given situation.

Observance of these rules will help to ensure that our workplace remains a safe and desirable place to work, and all employees are expected to observe this policy as outlined above, at all times.

I acknowledge that I have received a copy of Outreach Ministries International’s Workplace Conduct Policy. I also acknowledge that I have read and understand the contents and agree to adhere to this policy.

I have read and understand the above policy and agree to abide by its guidelines.

Employee Signature Date

515
How to Claim State Plan Benefits

1. Use SDI Online to securely file for benefits
or request a paper claim form online.
• By Internet: www.edd.ca.gov/disability.
• By phone: 1-800-480-3287.
• By mail: EDD, Disability Insurance,
PO Box 989777, West Sacramento, CA
95798-9777.
• In person by visiting any of the DI offices
listed under “DI Office Locations.”
• California state government employees
covered by SDI should call 1-866-352-7675.

2. When filing using SDI Online, complete all
required fields. A receipt number will be
generated when your claim is submitted.

If using a paper Claim for Disability Insurance
(DI) Benefits (DE 2501) form, complete and
sign Part A-Claimant’s Statement. Print clearly,
and verify your answers are complete and
correct as errors delay payment.

3. Have your physician/practitioner complete
the Part B - Physician/Practitioner’s Certificate
online or use the paper claim form. If filing
online, your physician/practitioner will need
your receipt number to complete the Part B -
Physician/Practitioner’s Certificate.

Usually a claim cannot begin more than
seven days before you were examined by or
under the care of a physician/practitioner.

Certification may be made by a licensed
medical or osteopathic physician and
surgeon, nurse practitioner, physician
assistant, chiropractor, dentist, podiatrist,
optometrist, designated psychologist, or an
authorized medical officer of a United States
government facility. Certification may also
be made by a licensed nurse-midwife or
licensed midwife for disabilities related to
normal pregnancy or childbirth.

4. File online or submit your paper claim form
within 49 days from the date your disability
begins. If your claim is late, you may lose
benefits unless your explanation of the delay
is accepted as reasonable.

The EDD is an equal opportunity employer/program.

Auxiliary aids and services are available upon request to individuals with disabilities. Requests for services, aids, and/or alternate formats need to be made by calling DI at 1-866-490-8879 (voice), or through the California Relay Services at 711.

This pamphlet is for general information only,
and does not have the force and effect of the law,
rule or regulation.

Disability is an illness or injury, either physical
or mental, which prevents customary work.

Disability includes elective surgery, pregnancy,
childbirth, or related medical conditions.

Disability Insurance (DI) is a component of the
State Disability Insurance (SDI) program, designed
to partially replace wages lost due to a non-work-
related disability (see “Other Programs,” for job-
related disabilities).

SDI contributions are paid by California workers
covered by the SDI program. Contribution rates
may vary from year to year. For current rates, visit
the DI website at www.edd.ca.gov/disability,
or contact the Employment Development
Department (EDD) Disability Insurance customer
service at 1-800-480-3287 or EDD employment
tax customer service at 1-888-745-3886.

DI Plans
• State Plan. The DI state plan is covered in this
brochure.
• Voluntary Plan (VP). A private plan, approved
by the Director of the EDD, which may be
substituted for the State Plan. Voluntary Plans
may be established if the employer and
majority of employees agree to do so. VP
information and filing a claim may be done
through your employer. If you are covered by
a VP, the provisions of this brochure may not
apply to you. Obtain information about your
coverage and file a VP claim through your
employer.
• Elective Coverage (EC). Employers and self-
employed persons, including general partners,
may elect coverage. The method of computing
benefits for EC participants is not the same
as for mandatory rate payers. The cost of
participating, which is set annually, can be
obtained from your local EDD Employment
Tax Customer Service Office.

EC claims are filed in the same manner as
State Plan claims; however, there are some
differences in eligibility requirements from
those listed in this pamphlet.
• For additional information or to apply for
coverage, contact EDD DI customer service
at 1-800-480-3287, EDD employment tax
customer service at 1-888-745-3886, or visit
our website at www.edd.ca.gov/disability.

DISABILITY

INSURANCE

PROVISIONS
DE 2515 Rev. 66 (3-19) (INTERNET) P age 1 of 2 CU

STATE OF CALIFORNIA

LABOR AND WORKFORCE DEVELOPMENT AGENCY

EMPLOYMENT DEVELOPMENT DEPARTMENT
DI Office Locations and Mailing Addresses
Chico ..................................... 645 Salem Street (PO Box 8190, Chico, CA 95927-8190)
Chino Hills ...15315 Fairfield Ranch Road, Ste. 100
(PO Box 60006, City of Industry, CA 91716-0006)
Fresno ............................... 2555 S. Elm Avenue (PO Box 32, Fresno, CA 93707-0032)
Long Beach ... 4300 Long Beach Blvd., Ste. 600
(PO Box 469, Long Beach, CA 90801-0469)
Los Angeles ......888 S. Figueroa Street, Ste. 200
(PO Box 513096, Los Angeles, CA 90051-1096)
Oakland ............ 7677 Oakport Street, Ste. 325
(PO Box 1857, Oakland, CA 94606-1857)
Sacramento ..............................5009 Broadway
(PO Box 13140, Sacramento, CA 95813-3140)
San Bernardino ................. 371 West 3rd Street
(PO Box 781, San Bernardino, CA 92402-0781)
San Diego ...9246 Lightwave Avenue, Bldg. A, Ste. 300
(PO Box 120831, San Diego, CA 92112-0831)
San Francisco .......745 Franklin Street, Rm. 300
(PO Box 193534, San Francisco, CA 94119-3534)
San Jose ..................... 297 West Hedding Street
(PO Box 637, San Jose, CA 95106-0637)
Santa Ana ................... 2 MacArthur Place, Suite 400 (PO Box 1466, Santa Ana, CA 92702-1466)
Santa Barbara .................128 East Ortega Street
(PO Box 1529, Santa Barbara, CA 93102-1529)
Santa Rosa ................. 606 Healdsburg Avenue
(PO Box 700, Santa Rosa, CA 95402-0700)
Stockton ............. 3127 Transworld Dr., Ste. 150
(PO Box 201006, Stockton, CA 95201-9006)
California State Government Employees
(PO Box 2168, Stockton, CA 95201-2168)
Van Nuys ..........15400 Sherman Way, Rm. 500
(PO Box 10402, Van Nuys, CA 91410-0402)
516
How Benefits Are Paid
• You have an option on how you receive
benefit payments. If you are eligible to
receive benefits, the EDD issues benefit
payments by the EDD Debit Card
SM through
Bank of America or by check, mailed from
the EDD. You do not have to accept the EDD
Debit Card. Please allow 7 to 10 days for
delivery of checks in the mail.
• Most properly completed claims are
processed within 14 days.
• The first seven days of your DI claim are a
non-payable waiting period. If a claim is filed
for the same or related cause or condition
within 60 days of the initial claim, it will
be processed as a continuation of the initial
claim for which a waiting period was already
served. There will not be a new waiting
period in such cases.

Benefits are paid as quickly as possible after all
information to determine eligibility is received.

If you meet all eligibility requirements, benefits
will be authorized. If you are eligible for further
benefits, you will be authorized for additional
benefits electronically or sent a Claim For
Continued Disability Benefits
(DE 2500A)
certification form for you to complete for the
next benefit period. Usually these benefit
periods are for two-week intervals. However, DI
pays benefits based on daily eligibility within a
seven-day calendar week. Partial weeks are paid
at a daily rate. This rate is one-seventh of your
weekly benefit amount. Please allow 10 days
from the date you mail or electronically submit
a certification for receipt of payment.

How Your Benefit Rate is Determined
Benefit amounts are based on wages paid during
a specific 12-month base period, determined
by the date your claim begins. Consider when
to start your claim since this may affect your
weekly benefit rate, your maximum benefit
amount, and the period of your benefit eligibility.

Only base period wages subject to the SDI
contributions can be used in computing your
benefits. To qualify, you must have earned at
least $300 during your base period. The month
your claim begins determines which four
consecutive quarters are used.

If your claim begins in:
• January, February, or March, your base period
is the 12 months ending last September 30.
(Example: A claim beginning February 14, 2017,
uses a base period of October 1, 2015, through
September 30, 2016.)
• April, May, or June, your base period is the
12 months ending last December 31.
(Example: A claim beginning June 20, 2017,
uses a base period of January 1, 2016, through
December 31, 2016.)
• July, August, or September, your base period is
the 12 months ending last March 31.
(Example: A claim beginning September 27,
2017, uses a base period of April 1, 2016,
through March 31, 2017.)
• October, November, or December, your base
period is the 12 months ending
last June 30.
(Example: A claim beginning November 2,
2017, uses a base period of July 1, 2016,
through June 30, 2017.)
Exceptions: If your claim is determined to be
invalid, but you were unemployed and seeking
work for 60 days or more in any quarter of your
base period, you may be able to substitute wages
paid in prior quarters.

You may be entitled to substitute wages paid in
prior quarters to either validate your claim or
increase your benefit amount, if during your base
period you:
• Were in the military service.
• Received workers’ compensation benefits.
• Did not work because of a labor dispute.

If your situation fits any of the above, include a
letter and supporting documentation with your
claim form.

Wage Continuation. If your employer continues
to pay you wages during your DI claim, your DI
benefits may be affected. DI benefits plus wages
cannot exceed your regular weekly wage. DI
benefits are not affected by vacation pay you may
receive.

Maximum Benefits. The maximum benefit amount
is 52 times the weekly rate, but not more than
your total base period wages. Exception: For
employers and self-employed individuals who
elect SDI coverage, the maximum benefit amount
is 39 times the weekly rate.

Additionally, benefits are payable only for a
limited period to a resident in an alcoholic
recovery home or drug-free residential facility that
is both licensed and certified by the state in which
the facility is located. However, disabilities related
to or caused by acute or chronic alcoholism or
drug abuse, being medically treated, do not have
this limitation.

Pregnancy. As with any medical condition, your
disability period begins the first day you are unable
to do your regular or customary work. DI benefits
are based on the period of time your physician/
practitioner certifies you are unable to do your
regular or customary work. Do not send in your
claim for pregnancy-related DI benefits until the
date your physician/practitioner certifies you are
unable to work.

NOTE: For information on Paid Family Leave (PFL)
bonding benefits, see the “Other Programs”
section of this brochure.

You May Not be Eligible for Benefits
• If you are receiving Unemployment Insurance
or PFL benefits.
• If you are not working or looking for work at
the time your disability begins.
• If you are in custody due to conviction of a
crime.
• If your full wages are paid.
• If you are receiving workers’ compensation
at a weekly rate equal to or greater than the
DI rate. If workers’ compensation benefits are
paid at a lower rate than your DI rate, you may
be paid the difference.
• For the amount of time a claim is late (without
good cause).
• If you make a false statement or fail to report
a material fact. (A 30 percent penalty may be
assessed if benefits are overpaid because you
willfully withheld a material fact or made a false
statement.)
• If you fail to attend an independent medical
examination when requested. (Fees for such
examinations are paid by the EDD.)
The California Unemployment Insurance
Code provides for penalties consisting of fines,
imprisonment, and loss of benefit rights for fraud
against the SDI program.

Your Rights. You are entitled to:
• Know the reason and basis for any decision
that affects your benefits.
• Appeal any decision about your eligibility for
benefits. (Appeals must be sent to the DI office
in writing.)
• Request an appeal hearing before an
Administrative Law Judge (ALJ). You may
further appeal the ALJ’s decision to the
California Unemployment Insurance Appeals
Board and the courts.
• Privacy – all claim information will be
kept confidential except for the purposes
allowed by law.

Your Obligations. Your responsibilities:
• Complete your claim and other forms
correctly, completely, and truthfully.
• Submit your claim and other forms according
to time limits on forms. If your claim is
submitted late and you believe you have a
good reason for being late, you should include
a written explanation of the reason(s) with the
form.
• Contact DI if you do not understand a question
or how to answer it.
• Include your name and claim identification
number on letters to DI.

Contact DI
• By email at https://askedd.edd.ca.gov.
• By phone at:
• English 1-800-480-3287
• Spanish 1-866-658-8846
• By U.S. mail addressed to PO Box 13140,
Sacramento, CA 95813-3140. If you do not
have a current claim, you may write to any
DI office. Note: Do not mail claim forms to
this PO Box.
• By TTY (teletypewriter for deaf, hearing-
impaired, and speech-impaired persons only)
at 1-800-563-2441.
• In person by visiting any of the DI offices listed
under “DI Office Locations.”
Other Programs
If you are injured on the job or become ill as a
result of your occupation, notify your employer.

If you are able and available to work but
unemployed, contact the Unemployment
Insurance program of the EDD through the
website at www.edd.ca.gov/unemployment,
or by phone at 1-800-300-5616
(TTY 1-800-815-9387).

If you need help in finding work, job training,
retraining, or other services in order to return to
work, visit your local America’s Job Center of
California
SM formerly known as One-Stop Career
Centers listed at www.servicelocator.org, or in
the white pages of your phone directory.

If your disability is permanent or is expected to
continue for a year or more, contact the U.S.

Social Security Administration at www.ssa.gov,
or by phone at 1-800-772-1213
(TTY 1-800-325-0778).

If you take time off work to care for a family
member or if you take time off from work
to bond with a new child, including newly
adopted, newly placed foster children,
or those of your registered domestic
partner, contact the EDD PFL program at
www.edd.ca.gov/disability, or by phone at
1-877-238-4373, or through the California
Relay Service at 711.

Note: A PFL bonding claim form will be sent
automatically with the final benefit payment to
new mothers receiving DI benefits.

If you are a victim of a crime, contact the
California Victim Compensation program at
1-800-777-9229 (TTY 1-800-735-2929). You
may also contact your county Victim/Witness
Assistance Center.

Questions about spousal or parental support
obligations should be directed to the district
attorney’s office for the county that issued the
court order.

Questions about child support obligations
should be directed to the Department of Child
Support Services at 1-866-901-3212
(TTY 1-866-399-4096).

DE 2515 Rev. 66 (3-19) (INTERNET) P age 2 of 2 517

CALIFORNIA PAID FAMILY LEAVE
Helping
Californians
be present for
the moments
that matter.

About California
Paid Family Leave
For many working Californians, finding time to be
with a loved one when they need it most can be
difficult. California’s Paid Family Leave program was
created for those moments that matter –
when you are bonding with a new child or caring for
a seriously ill family member.

Fast Facts About
California Paid Family Leave
• Provides partial wage replacement benefits to
b
ond with a new child (either by birth, adoption,
or foster care placement) or to care for a seriously
ill family member (child, parent, parent-in-law,
grandparent, grandchild, sibling, spouse, or
registered domestic partner).
• Doesn’t have to be taken all at once.
• Provides approximately 60 to 70 percent of your
s
alary during your leave.
• Funded through your State Disability Insurance
t
ax withholding, so you are most likely eligible if
you’ve paid into State Disability Insurance (noted
as “CASDI” on paystubs) or a qualifying voluntary
p
lan in the past 5 to 18 months.
• To bond with a new child, leave can be taken
a
nytime within the first 12 months of a child
entering your family.
• Citizenship and immigration status do not affect
e
ligibility.

Paid Family Leave:

Giving Californians the benefits they need
to be there for the moments that matter.

English 1-877-238-4373
Spanish 1-877-379-3819
Cantonese 1-866-692-5595
Vietnamese 1-866-692-5596
Armenian 1-866-627-1567
Punjabi 1-866-627-1568
Tagalog 1-866-627-1569
TTY 1-800-445-1312
Individuals can also visit a Paid Family
Leave or Disability Insurance office to obtain
claim forms, receive information, or speak to
a representative.

Visit a State Disability Insurance office
(edd.ca.gov/Disability/Contact_SDI.htm)
near you.

For more information, visit:

CaliforniaPaidFamilyLeave.com
The EDD is an equal opportunity employer/program. Auxiliary aids and services are available upon request to individuals with disabilities. Requests for services, aids, and/or alternate formats need to be made by calling 1-866-490-8879 (voice).

TTY users, please call the California Relay Service at 711.

DE 2511 Rev. 18 (1-20) (INTERNET) Page 1 of 2 518
Do I Qualify For
California Paid Family Leave?
To qualify for Paid Family Leave benefits,
you must meet the following requirements:
• Need to take time off from work to care for
a s
eriously ill family member or to bond
with a new child.
• Be covered by State Disability Insurance
(
or a voluntary plan in lieu of State Disability
Insurance).
• Have earned at least $300 in the past
5 t
o 18 months.
• Submit your claim no later than 41 days after
y
ou begin your family leave. Do not file before
your first day of leave.

If required by your employer, you must use up
t
o two weeks of unused vacation leave or paid
time off. Check with your human resources
department to confirm your employer’s
requirements.

How Are Benefit
Amounts Calculated?
California Paid Family Leave provides
approximately 60 to 70 percent of your weekly
salary (from $50 up to $1,300 weekly).

The benefit amount is calculated from your
h
ighest quarterly earnings over the past 5 to
18 months, before the start of your claim. The
Employment Development Department (EDD)
has an online calculator that can help you
estimate your weekly benefit amount. Visit the
Disability Insurance and Paid Family Leave
C
alculator (edd.ca.gov/PFL_Calculator) to
e
stimate your benefit.

If you are found eligible to receive benefits, you
h
ave an option on how you receive your benefit
payments: by the EDD Debit CardSM through Bank
of America or by check, mailed from the EDD.

Does Paid Family Leave
Provide Job Protection?
California Paid Family Leave does not provide
job protection or a right to return to work.

However, job protection may be provided under
o
ther laws such as the federal Family and
Medical Leave Act, the California Family Rights
Act, or the New Parent Leave Act
(if you qualify).

Notify your employer of your plan to take leave
a
nd the reason for taking leave according to
your company’s policy.

How Do I Apply For Benefits?
Apply for Paid Family Leave benefits by visiting
SDI Online (edd.ca.gov/SDI_Online).

You may also apply using a paper form.

V
isit EDD Forms and Publications
(edd.ca.gov/Forms) to request a Claim for Paid
Family Leave (PFL) Benefits (DE 2501F) form.

For caregiving claims, you must provide medical
c
ertification showing that the care recipient has a
serious health condition and requires your care.

This needs to be completed by the care recipient’s
physician/practitioner. Information about the care
recipient and their signature are also required.

For bonding claims, you must provide documentation
s
howing proof of relationship between you and
the child (e.g., a copy of the child’s birth certificate, adoptive placement agreement, or foster care
placement record).

If you are currently receiving pregnancy-related
D
isability Insurance benefits, it is not necessary to
request a Paid Family Leave claim form. The form to
file for bonding will be sent through your SDI Online
ac
count or by mail when your pregnancy-related
disability claim ends.

If you are covered by a voluntary plan, contact your
e
mployer for information about your coverage and
instructions on how to apply for benefits.

If your claim is denied, you have the right to:
• Know the reason for denial.
• Appeal decisions about your eligibility for
b
enefits. Visit Appeals (edd.ca.gov/Disability/
A
ppeals.htm) for information.

All claim information is confidential except for
p
urposes allowed by law.

DE 2511 Rev. 18 (1-20) (INTERNET) Page 2 of 2 519

CALIFORNIA PROTECTS

THE CIVIL RIGHTS OF
LGBTQ+ PEOPLE

FACT SHEET

THE DEPARTMENT OF FAIR EMPLOYMENT AND HOUSING

THE MISSION OF THE DEPARTMENT OF FAIR EMPLOYMENT

AND HOUSING IS TO PROTECT THE PEOPLE OF CALIFORNIA

FROM UNLAWFUL DISCRIMINATION IN EMPLOYMENT,

HOUSING AND PUBLIC ACCOMMODATIONS, AND FROM

THE PERPETRATION OF ACTS OF HATE VIOLENCE AND
HUMAN TRAFFICKING.

In California, LGBTQ+ people have
equal civil rights, dignity, and worth.

The California Department of Fair
Employment and Housing (DFEH)
is here to help.

It is unlawful for employers, landlords,
businesses of all kinds, health care providers
and insurers, homeless shelters, state-
funded programs and services, and others
to discriminate against anyone or treat them
unequally because of their sexual orientation,
gender identity, gender expression, or sex.

Similarly, it is against the law to assault or
threaten anyone (or their property) with
violence because of these characteristics.

If you have experienced discrimination or
violence because you are, or are perceived
to be, or are a friend or family member of an

EXAMPLES OF UNLAWFUL

DISCRIMINATION/VIOLENCE
• Your co-workers harass you because you’re
gay or bisexual
• Your employer prohibits you from using the
restroom consistent with your gender identity
• A hotel or restaurant that regularly hosts
weddings refuses to host your wedding to
someone of the same sex
• A health care provider treats you unequally
because you’re lesbian or gender non-binary
• A state-funded youth program fails to stop
bullying of you because of how you express
your gender
• A landlord won’t rent to you because your
child appears to be LGBTQ+
• Staff at a homeless shelter treats you
unequally because they think you are LGBTQ+
• Your neighbor keys your car because he
doesn’t approve of your “lifestyle”
LGBTQ+ person (or any other sexual orientation
or gender identity), file a complaint with DFEH.

Likewise, if you have experienced discrimination
or violence because of how you express your
gender, such as the clothes you choose to
wear or how you do your hair, file a complaint
with DFEH.

And, don’t forget that California law protects
everyone (including LGBTQ+ people) from
discrimination and violence based on race,
national origin, disability, and other protected
characteristics.

ADDITIONAL EXAMPLES OF

UNLAWFUL DISCRIMINATION
• A state-funded program for small businesses
turns you away because of bias against
transgender and/or lesbian women of color
• A bank gives you less favorable loan terms or
denies you a loan because you have a same-sex
partner who doesn’t speak English and is an
immigrant
• A housing provider tries to evict you because
you have a Section 8 voucher and a pride flag
in your window
• An employer won’t even consider your
applcation for a job because you’re an older
LGBTQ+ person
If you have a disability that requires a reasonable
accommodation, DFEH can assist you b
y phone
or, for individuals who are Deaf or Hard of Hearing
or have speech disabilities, through the California
Relay Service (711), or you can contact us below.

TO FILE A COMPLAINT
Department of Fair Employment and Housing
dfeh.ca.gov
Toll Free: 800.884.1684
TTY: 800.700.2320
DFEH-A04P-ENG / June 2020
520

TRANSGENDER

RIGHTS IN THE

WORKPLACE

TRANSGENDER

RIGHTS IN THE

WORKPLACE
WHAT DOES “TRANSGENDER” MEAN?
Transgender is a term used to describe people whose
gender identity differs from the sex they were assigned at birth. Gender expression is defined by the law to mean a “person’s gender-related appearance and behavior
whether or not stereotypically associated with the
person’s assigned sex at birth.” Gender identity and
gender expression are protected characteristics under
the Fair Employment and Housing Act. That means that
employers may not discriminate against someone
because they identify as transgender or gender
non-conforming. This includes the perception that
someone is transgender or gender non-conforming.

WHAT IS A GENDER TRANSITION?

1.“Social transition” involves a process of socially
aligning one’s gender with the internal sense of self (e.g., changes in name and pronoun, bathroom facility usage,
participation in activities like sports teams).

2. “Physical transition” refers to medical treatments an individual may undergo to physically align their body with internal sense of self (e.g., hormone therapies or
surg
ical procedures).

A person does not need to complete any particular step
in a gender transition in order to be protected by the law. An employer may not condition its treatment or
accommodation of a transitioning employee upon
completion of a particular step in a gender transition.

FAQ FOR EMPLOYERS
• What is an employer allowed to ask?
Employers may ask about an employee’s employment
history, and may ask for personal references, in addition to other non-discriminatory questions. An interviewer
should not ask questions designed to detect a person’s
gender identity, including asking about their marital
status, spouse’s name, or relation of household
members to one another. Employers should not ask
questions about a person’s body or whether they plan to have surgery.
• How do employers implement dress codes
and grooming standards?
An employer who requires a dress code must enforce it in a non-discriminatory manner. This means that, unless an employer can demonstrate business necessity, each
employee must be allowed to dress in accordance with
their gender identity and gender expression.

Transgender or gender non-conforming employees may
not be held to any different standard of dress or
grooming than any other employee.
• What are the obligations of employers when it
comes to bathrooms, showers, and locker rooms?
All employees have a right to safe and appropriate restroom and locker room facilities. This includes the right to use a restroom or locker room that corresponds to the employee’s gender identity, regardless of the employee’s assigned sex at birth. In addition, where possible, an employer should provide an easily accessible unisex single stall bathroom for use by any employee who desires increased privacy,
regardless of the underlying reason. Use of a unisex single stall restroom should always be a matter of choice. No
employee should be forced to use one either as a matter of policy or due to harassment in a gender-appropriate facility.

Unless exempted by other provisions of state law, all
single-user toilet facilities in any business establishment, place of public accommodation, or state or local government agency must be identified as all-gender toilet facilities.

FILING A COMPLAINT
If you believe you are a victim of discrimination you may, within three years* of the discrimination, file a complaint of discrimination by contacting DFEH.

To schedule an appointment, contact the Communication
Center below.

If you have a disability that requires a reasonable
accommodation, the DFEH can assist you by scribing your intake by phone or, for individuals who are Deaf or Hard of Hearing or have speech disabilities, through the California Relay Service (711), or you can contact us below.

CONTACT US
Toll Free: (800) 884-1684
TTY: (800) 700-2320
[email protected]
www.dfeh.ca.gov
* Effective 1/1/2020. DFEH-E04P-ENG / December 2019
521
Emergency Evacuation Plan and Policy

This comprehensive evacuation plan provides essential procedures and protocols to ensure the safe and orderly evacuation of all clients, staƯ, and guests during emergency situations. The plan establishes clear roles and responsibilities, defines evacuation procedures for various scenarios, and ensures compliance with safety regulations while accommodating individuals with special needs.

This evacuation plan is designed to protect the lives and safety of all building occupants by providing clear procedures for emergency response and evacuation. The primary objectives include:
 Establishing eƯective emergency communication systems  Defining clear evacuation routes and procedures
 Ensuring accountability for all occupants during emergencies  Providing special assistance for persons with disabilities  Maintaining coordination with emergency responders

Emergency Contact Information
Emergency Services
 Fire Department: 911
 Police Department: 911
 Emergency Medical Services: 911
 Poison Control: 1-800-222-1222

Key Personnel
 Emergency Coordinator: Director and/or Assistant Director  Alternate Emergency Coordinator: Lead General Operations StaƯ  Floor Keepers: General Operations StaƯ
 Sweep Team Members: General Operations StaƯ

522
Organizational Structure and Roles

Emergency Response Team Structure

Emergency Coordinator
The Emergency Coordinator has overall responsibility for emergency response, including planning and preparation. This individual ensures doors are secured, conducts backup headcounts at safe locations, and coordinates with emergency responders.

Assistant Emergency Coordinator
The Assistant Coordinator uses mass alert systems to notify occupants, contacts emergency services, and gathers reports from floor keepers. If the organization uses an emergency communication system, this person should have administrative access.

Floor Keepers
Floor Keepers are responsible for specific areas or floors and work closely with the Emergency Coordinator to prepare for emergency evacuations. Each floor or area should have a designated Floor Keepers with an assistant or alternate assigned in case of absence.

Floor Keepers responsibilities include:
 Being familiar with emergency procedures and evacuation plans  Knowing locations of building exits, evacuation assembly points, and areas of refuge  Remove the lock from the rolling parking lot gate for primary point of exit  Encouraging occupants to move toward exits quickly during emergencies  Conducting area sweeps by walking, calling out, knocking on doors, and closing doors when exiting
 Reporting floor status and emergency information to the Emergency Coordinator  Assisting in identifying missing persons

Evacuation Team Members
The evacuation team should consist of Sweep Teams. Every Sweep Team should comprise two members using the "buddy system" for safety.
 Sweep Team Members: Conduct final sweeps of assigned areas to ensure all occupants have evacuated

523
Evacuation Procedures

Immediate Response Actions
Upon hearing an emergency alarm or receiving evacuation instructions:

1. Remain calm and cease all activities immediately

2. Leave personal belongings behind - do not return for coats, purses, or briefcases

3. Bring client list of names and sign in log binder for guests to assembly point

4. Follow designated evacuation routes to the nearest exit

5. Assist others who may need help, if safe to do so

6. Evacuate animals, if safe to do so

7. Proceed to the designated assembly area

8. DO NOT leave before meeting at assembly area and notifying Emergency Coordinator of your safe arrival

9. Conduct roll call of clients, guests, volunteers, and employees using list of names

Evacuation Routes and Exits
 Primary and secondary evacuation routes must be clearly marked and posted throughout the facility
 All evacuation routes and emergency exits must remain unobstructed at all times  Emergency lighting should be installed in case of power outages during evacuation  Route maps showing evacuation paths, emergency exits, fire extinguisher locations, and assembly points must be posted in each work area

Animal Evacuation Plan, if safe to do so
 Have a list of animals on-site, their locations, and keep leashes, cages, and emergency pet kits (food, water, medication) readily accessible.
 Quickly and calmly contain all animals in carriers for safe transport. If time does not permit, open kennel doors, and leave a marked exit open for pets to escape as a last resort.  StaƯ or assigned volunteers should know in advance who is responsible for each animal to prevent chaos and ensure no pet is left behind.

Assembly Areas and Accountability

Designated Assembly Points
Assembly areas should be located at least 500 feet away from the building and clearly identified. Each department should have both a main assembly area and an alternate assembly area in case the primary location cannot be used.

ASSEMBLY AREA: NORTH CORNER OF FORREST AVE & N. SACRAMENTO RD ALTERNATE ASSEMBLY AREA: SOUTH CORNER OF DAISY AVE & N. LOWER SACRAMENTO RD.

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Accountability Procedures
Once at the assembly area:

1. Floor Keepers report to the Emergency Coordinator with status of their assigned areas

2. Conduct headcounts using alphabetical lists with missing persons columns

3. Immediately report any missing persons to the Emergency Coordinator

4. Emergency Coordinator communicates with first responders and provides building status

5. No one may re-enter the building until the "all clear" signal is given by authorized personnel

Special Considerations for Persons with Disabilities

Planning Requirements
Organizations must provide equal access to emergency evacuation for persons with disabilities in compliance with ADA requirements. This includes developing Personal Emergency Evacuation Plans (PEEPs) for individuals with permanent or temporary disabilities.

Evacuation Options for Persons with Disabilities
Evacuation Assistance
For persons requiring assistance:
 Establish a buddy system with trained assistants
 Provide evacuation chairs in select locations for persons with mobility limitations  Ensure assistants know proper lifting and transfer techniques  Have written instructions for disability-related equipment readily available

Specific Disability Considerations
Mobility Impairments
 Persons requiring minor physical assistance may be helped by trained volunteers under evacuation manager guidance
 Those requiring major physical assistance should remain in areas of refuge until emergency personnel arrive
 Wheelchair users should have their chairs evacuated with them if possible, with power turned oƯ before lifting

Visual Impairments
Assistants should oƯer their elbow to guide individuals with visual impairments through evacuation routes, communicating as necessary to ensure safe evacuation.

Hearing Impairments
Visual notification systems and written instructions should supplement audio alarms to ensure persons with hearing impairments receive emergency notifications.

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Communication Procedures
Emergency Notification Systems

Multi-Channel Communication
Emergency notifications should be sent through multiple channels including:
 Handheld Radios
 SMS text messages
 Phone calls

Notification Priorities
Communication should be targeted and customized for diƯerent groups:

1. Immediate occupants: Location-specific evacuation instructions

2. Emergency response team: Detailed situation reports and coordination information

3. Senior management: Executive briefings and decision-support information

Information Management
Emergency Communication Templates (SCENARIOS ATTACHED TO THIS PLAN) Pre-written notification templates should be prepared for diƯerent emergency scenarios to speed response time. Templates should include:
 Nature of the emergency
 Required actions (evacuate, shelter-in-place, etc.)
 Evacuation routes and assembly points
 Special instructions for persons with disabilities
 Contact information for updates

Training and Drills

Training Requirements
All Personnel Training
All staƯ, clients, and regular guests should receive training on:
 Emergency evacuation procedures and routes
 Location of emergency equipment and alarm systems
 Assembly point locations and accountability procedures  Procedures for assisting persons with disabilities
 Communication systems and notification methods

Emergency Response Team Training
Emergency Coordinators and Floor Keepers must complete specialized training including:
 Emergency Evacuation Training (required certification)  Fire extinguisher training (optional)
 Proper lifting and transfer techniques for persons with disabilities  Two-way radio operation and communication protocols
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Evacuation Drills

Evacuation drills should be conducted at least annually, with more frequent drills recommended for high-risk facilities. Drill types should include:

1. Basic evacuation drills: Standard evacuation following normal procedures

2. Scenario-based drills: Simulating blocked exits, equipment failures, or other complications

3. Tabletop exercises: Discussion-based reviews of evacuation procedures

Drill Evaluation
After each drill, conduct a thorough evaluation including:
 Timing of evacuation process
 EƯectiveness of communication systems
 Identification of procedural problems or confusion
 Assessment of assistance provided to persons with disabilities  Recommendations for plan improvements

Plan Maintenance and Review
Regular Updates
This evacuation plan should be reviewed and updated annually or after any significant changes to:
 Building layout or occupancy
 Personnel assignments or contact information
 Emergency procedures or regulations
 Lessons learned from drills or actual emergencies

Maintain records of:
 Emergency team assignments and training completion
 Evacuation drill reports and improvement recommendations  Updates to emergency contact information
 Equipment inspections and maintenance
 Plan distribution and training documentation

External Coordination
Copies of this evacuation plan should be provided to:
 Local fire department
 Police department
 Emergency medical services
 Emergency management director
 Building management (if applicable)

Regular meetings should be held with local emergency responders to review procedures and ensure coordination during actual emergencies.
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Emergency Communication Templates
ACTIVE SHOOTER EVACUATION SCENARIO:
 Upon notification or detection of an active shooter on site, immediately determine the safest course of action for yourself and others: Run, Hide, or Fight.

Run (Evacuate if Possible)
 If there is a safe and accessible escape route, immediately leave the building using the closest exits shown on the map.
 Leave belongings behind and encourage others to evacuate, but do not stay behind if others refuse to run.
 Bring client list of names and sign in log binder for guests to assembly point if possible  Move quickly to the designated assembly areas well away from the shelter:
 Primary Assembly Area 1: Forrest Ave
 Alternate Assembly Area 2: Daisy Ave.
 Keep hands visible, follow law enforcement directions, and call 911 when safe.  At Assembly Area, conduct roll call of clients, guests, volunteers, and employees using list of names to ensure all are accounted for.
 Make a list of unaccounted for individuals or individuals that could not be evacuated and their last known location. Provide the list to Emergency Response Professionals.

Hide (Shelter in Place if Evacuating is Unsafe)
 If evacuation is not possible, find a secure room inside the building to hide.  Lock and block doors with furniture if possible, turn oƯ lights, silence phones, and stay out of sight.
 Stay silent and remain calm. Do not open the door until law enforcement announces an all- clear.
 StaƯ should assist persons with disabilities to reach secure hiding places.

Fight (Last Resort)
 If in imminent danger and unable to evacuate or hide, be prepared to disrupt or incapacitate the shooter by using any objects nearby as improvised weapons.  Act aggressively and decisively to stop the threat.

After Law Enforcement Arrives
 Keep hands visible, empty, and follow all instructions.  Expect law enforcement teams to prioritize stopping the shooter and may bypass injured persons; rescue teams will follow to assist victims.
 Remain at the assembly area until law enforcement authorizes leaving or returning to the building.

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EARTHQUAKE EVACUATION SCENARIO:

In the event of an earthquake at the shelter, follow these steps using the provided evacuation plan map to ensure everyone’s safety.
 When the earthquake starts, instruct everyone to Drop, Cover, and Hold On away from windows, heavy objects, or anything that could fall over.  After the shaking stops, quickly assess for injuries. Provide first aid if safe to do so, and assist anyone who needs extra help, especially those with limited mobility or injuries.

Evacuation Process
 Evacuate the building in an orderly manner using the nearest safe exit as shown on the map. Watch for hazards like broken glass or debris.
 Leave personal belongings behind - do not return for coats, purses, or briefcases  Bring client list of names and sign in log binder for guests to assembly point  Follow designated evacuation routes to the nearest exit  Guide all clients and staƯ toward the designated assembly areas listed on the map:
 Assembly Area 1: Forrest Ave
 Alternate Assembly Area 2: Daisy Ave
 DO NOT leave before meeting at assembly area and notifying Emergency Coordinator of your safe arrival
 Keep to clear pathways and avoid standing under or near damaged structures. Use both vehicular and walk-in gates as marked for safe exit.

Special Instructions
 Assign staƯ and/or clients to assist persons with disabilities, ensuring they have a support buddy or are given priority evacuation through the safest routes.  For those who cannot evacuate independently, employ the cradle lift or two-person carry as outlined in emergency training.
 Evacuate pets, if safe to do so, keeping animal control practices in place.  Avoid designated Smoking Area and dumpsters, as these could pose additional post- earthquake risks.

Final Steps
 At Assembly Area, conduct roll call of clients, guests, volunteers, and employees using list of names to ensure all are accounted for.
 Make a list of unaccounted for individuals or individuals that could not be evacuated and their last known location. Provide the list to Emergency Response Professionals.  Await further instructions from emergency services before leaving the assembly points or re-entering any buildings.
 Only designated trained personnel may re-enter to retrieve medical supplies or essential gear, and only if the area is deemed safe.

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EXPLOSION EVACUATION SCENARIO:
 If an explosion occurs, immediately instruct all shelter occupants to drop and cover their heads, taking shelter away from windows and unsecured items until the initial danger passes.
 As soon as it is safe, check for injuries and hazards such as fire, smoke, debris, or unstable structures before moving anyone.

Evacuation Process
 Evacuate the building in an orderly manner using the nearest safe exit as shown on the map. Watch for hazards like broken glass or debris.
 Leave personal belongings behind - do not return for coats, purses, or briefcases  Bring client list of names and sign in log binder for guests to assembly point  Follow designated evacuation routes to the nearest exit  Guide all clients and staƯ toward the designated assembly areas listed on the map:
 Assembly Area 1: Forrest Ave
 Alternate Assembly Area 2: Daisy Ave
 Direct evacuees upwind and at least 150 feet away from the site of the explosion to avoid toxic fumes and secondary blasts
 DO NOT leave before meeting at assembly area and notifying Emergency Coordinator of your safe arrival

Special Instructions
 Assign staƯ and/or clients to assist persons with disabilities, ensuring they have a support buddy or are given priority evacuation through the safest routes.  For those who cannot evacuate independently, employ the cradle lift or two-person carry as outlined in emergency training.
 Evacuate pets, if safe to do so, keeping animal control practices in place.

Final Steps
 At Assembly Area, conduct roll call of clients, guests, volunteers, and employees using list of names to ensure all are accounted for.
 Make a list of unaccounted for individuals or individuals that could not be evacuated and their last known location. Provide the list to Emergency Response Professionals.  Await further instructions from emergency services before leaving the assembly points or re-entering any buildings.
 Only designated trained personnel may re-enter to retrieve medical supplies or essential gear, and only if the area is deemed safe.
 Remain outside and upwind, away from the building, until emergency oƯicials provide the “all clear” signal.

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FIRE EVACUATION SCENARIO:

In the event of a fire at the shelter, follow these steps using the provided evacuation plan map to ensure everyone’s safety.
 When fire or smoke is detected, immediately activate the nearest fire alarm pull station and notify staƯ and residents with loud, clear instructions.  Instruct everyone to stop what they are doing and proceed to the nearest exit as shown on the evacuation map. Leave belongings behind if they could delay evacuation.

Evacuation Process
 Evacuate the building in an orderly manner using the nearest safe exit as shown on the map. Watch for hazards like broken glass or debris.
 Leave personal belongings behind - do not return for coats, purses, or briefcases  Bring client list of names and sign in log binder for guests to assembly point  Follow designated evacuation routes to the nearest exit  Guide all clients and staƯ toward the designated assembly areas listed on the map:
 Assembly Area 1: Forrest Ave
 Alternate Assembly Area 2: Daisy Ave
 DO NOT leave before meeting at assembly area and notifying Emergency Coordinator of your safe arrival
 Keep to clear pathways and avoid standing under or near damaged structures. Use both vehicular and walk-in gates as marked for safe exit.

Special Instructions
 Assign staƯ and/or clients to assist persons with disabilities, ensuring they have a support buddy or are given priority evacuation through the safest routes.  For those who cannot evacuate independently, employ the cradle lift or two-person carry as outlined in emergency training.
 Evacuate pets, if safe to do so, keeping animal control practices in place.

Final Steps
 At Assembly Area, conduct roll call of clients, guests, volunteers, and employees using list of names to ensure all are accounted for.
 Make a list of unaccounted for individuals or individuals that could not be evacuated and their last known location. Provide the list to Emergency Response Professionals.  Await further instructions from emergency services before leaving the assembly points or re-entering any buildings.
 Only designated trained personnel may re-enter to retrieve medical supplies or essential gear, and only if the area is deemed safe.
 Follow all directions from on-site emergency responders and keep all fire lanes, access points, and assembly areas clear for response operations.

531
TRAIN DERAILMENT EVACUATION SCENARIO:
 Upon notification or detection of a train derailment on the tracks behind the building, immediately notify emergency services (911) and activate the shelter’s emergency alert system to inform all clients and staƯ of the situation.  Assess the situation from a safe distance, staying upwind and uphill from the derailment to avoid exposure to potential hazardous materials or smoke.

Evacuation Process
 Evacuate the building in an orderly manner using the nearest safe exit as shown on the map. Watch for hazards like broken glass or debris.
 Leave personal belongings behind - do not return for coats, purses, or briefcases  Bring client list of names and sign in log binder for guests to assembly point  Follow designated evacuation routes to the nearest exit  Guide all clients and staƯ toward the designated assembly areas listed on the map:
 Assembly Area 1: Forrest Ave
 Alternate Assembly Area 2: Daisy Ave
 DO NOT leave before meeting at assembly area and notifying Emergency Coordinator of your safe arrival

Special Instructions
 Assign staƯ and/or clients to assist persons with disabilities, ensuring they have a support buddy or are given priority evacuation through the safest routes.  For those who cannot evacuate independently, employ the cradle lift or two-person carry as outlined in emergency training.
 Evacuate pets, if safe to do so, keeping animal control practices in place.  Do not attempt to approach the train or track area; wait for hazmat teams and emergency responders.

Communication and Coordination
 The Emergency Coordinator center should coordinate with emergency services, railroad authorities, and local hazmat teams to obtain details about the derailment, car contents, and risk areas.
 At Assembly Area, conduct roll call of clients, guests, volunteers, and employees using list of names to ensure all are accounted for.
 Make a list of unaccounted for individuals or individuals that could not be evacuated and their last known location. Provide the list to Emergency Response Professionals.  Await further instructions from emergency services before leaving the assembly points or re-entering any buildings.
 Only designated trained personnel may re-enter to retrieve medical supplies or essential gear, and only if the area is deemed safe.

532
Other types of evacuation scenarios that might occur at a homeless shelter include:
 Shelter-In-Place: When it is safer to remain indoors rather than evacuate, such as during violent threats outside, chemical spills nearby, or severe weather like tornadoes.

Occupants lock doors and windows, stay away from exterior walls and windows, and wait for all-clear.
 Bomb Threat: Partial or full evacuation due to a reported suspicious package or bomb threat. Special care to evacuate calmly and to designated safe assembly points well away from the building or threat area.
 Hazardous Materials Incident: Evacuate or shelter-in-place following accidents involving chemical, biological, or radiological substances either inside or near the shelter. May include evacuation to a diƯerent site or shelter-in-place with sealed rooms.  Severe Weather Evacuation: For flooding, wildfires, winter storms, or hurricanes requiring immediate shelter or removal from the premises to secure locations.  Utility Failure or Threat: Evacuation due to gas leaks, power outages, or structural damage that makes continuing to stay inside unsafe.
 Lockdown or Lockout: Lockdown is used to secure occupants inside the building when there is a threat inside, while lockout secures the building from external threats but allows normal internal operations.

These diƯerent scenarios require tailored responses including full or partial evacuation, sheltering in place, or lockdown, depending on the nature, location, and severity of the emergency.

533
MISSING PERSON’S LIST DATE:

NAME DESCRIPTION LAST KNOWN LOCATION

534
Emergency Evacuation Incident Report

Date of Incident Time of Incident:

Reported By: Position/Role:

Type of Emergency:

Active Shooter
Earthquake
Explosion
Fire
Train Derailment
Other (Specify):

Sequence of Events:
(Provide a clear and factual description of what happened, including the time key actions were taken)

535
Evacuation Details:

Step Yes / No Time Comments
Alarm activated and functioned
StaƯ responded
StaƯ verified emergency
StaƯ alerted all persons
Evacuation commenced
Persons with disabilities assisted
All persons evacuated
Assembly point reached
Roll call completed

Injuries and Medical Assistance:

Number of injuries:

Description of injuries and treatment provided:

Property Damage (if any):

Emergency Services Involved:
 Fire Department: [Yes/No]
 Police: [Yes/No]
 Ambulance/EMS: [Yes/No]
 Hazmat Team (if applicable): [Yes/No]
 Other (Specify): ___________________________
536
Witness Statements:
(Include names and contact information, summary of statements)

1. Name Contact
Summary:

2. Name Contact
Summary:

Follow-Up Actions Recommended:

Report Completed By:

Name: Date:

Signature: Title:

This structured report helps capture all vital information and ensures a full account of the evacuation incident for review, investigation, and future preparedness.

537
Anchor Space
T ent
Office
Emergency Evacuation Plan
Storage
HVAC
Day
Bins Entrance
Area
RestroomsSmoking Area
Storage
Vehicular Gate Walk-in
Gate
Pet
T ent
T ent
Dumpster
N
Exit
Exit
N Sacramento St.

Alternate Assembly
Area #2 (Daisy Ave)
Assembly Area #1
(Forrest Ave)
538

A Pathway to Stability and Hope

Located at 710 N. Sacramento St., the Lodi Access Center (LAC) stands as a beacon of hope and transformation for the city’s unsheltered community. Established in July 2022, the LAC was born from an urgent need to provide not only safe shelter, but a comprehensive, compassionate approach to addressing homelessness. Recognizing that the path from crisis to stability requires more than just a bed, the LAC was designed to provide the tools, services, and support systems that foster lasting change.

The LAC is a 46 -bed (formerly 49 bed), low -barrier shelter specifically designed to be accessible to the city’s unsheltered individuals, regardless of the obstacles they may face. By removing high -threshold entry requirements, the Access Center ensures tha t services are available to those most in need, whether they are grappling with mental health challenges, substance use, or other barriers that often prevent access to traditional shelters.

The vision of the LAC is simple yet powerful: to empower individuals to reclaim their lives through safety, stability, and supportive relationships that promote long-term self-sufficiency, sobriety, and hope.

Comprehensive Services that Go Beyond Shelter
The Lodi Access Center offers a robust, client-centered program that includes:
• Secure shelter: Safe, stable accommodations for up to 46 individuals. • Showers and laundry: Facilities to maintain hygiene and dignity. • Meals: Nutritious food provided daily to support health and well-being. • Charging stations: Access to power for essential devices, enabling connection to family, resources, and job opportunities.
• Case management and wrap -around services: Individualized support to address housing, employment, mental health, and substance use needs.
• Pathways to resources: Connections to community-based programs, benefits enrollment, medical care, employment, and more.

These integrated supports help address the complex realities of homelessness and aim to not only provide temporary relief, but to build a solid foundation for lasting change. 539

Strong Community Partnerships and Proven Results
Originally operated by Inner City Action, management was transferred in November 2024 to Outreach Ministries International (OMI). OMI is a respected local nonprofit organization with an established and engaged presence in the greater Lodi community for ove r 40 years. The organization’s reach includes several community-focused groups such as Gravity Church, Agape Love, and 2nd Step Housing, creating a far reaching and measurable impact.

The effectiveness of the Lodi Access Center has continued to provide measurable outcomes.

From November 1, 2024 to October 31, 2025, under OMI’s stewardship:
• 59 clients connected to supportive programs : These include substance use treatment, mental health services, and vocational training—critical resources that address root causes of homelessness and foster resilience.
• 115 clients transitioned into housing : By facilitating access to permanent and supportive housing, the LAC helps individuals move beyond the shelter system and toward independence. • 51 clients gained employment : Through job readiness training, career counseling, and employer partnerships, clients can develop the skills and confidence needed to re-enter the workforce.

The Lodi Access Center exemplifies what is possible when compassion, innovation, and community partnership converge. Through comprehensive services, committed leadership, and measurable outcomes, the LAC offers more than shelter, it offers a real chance at transformation.

A Vision for the Future
As the temporary emergency center continues its work, construction has begun for the 23,000 sq. ft facility on the same site. The expanded center will nearly double the existing bed count and is anticipated to provide enhanced services including mental health beds, mental health respite, and sobering beds.

This project reflects a forward -thinking collaboration between the City of Lodi, San Joaquin County, and the County Health Care Services Agency. The new facility will launch with a diverse mix of care-focused services and an initial bed count designed to meet immediate needs, with the flexibility to expand up to 208 beds as demand and resources allow. Plans include on -site clinical care, integrated behavioral health services, and housing navigation, enhancing support for both shelter residents and the wider community.

The future is bright at the Lodi Access Center. With compassionate leadership, dedicated partners, and a strong foundation of support, the LAC is not just providing shelter, it’s paving the way for sustainable transformation.

The future is bright at the Lodi Access Center!
For more information, please visit: www.lodiaccesscenter.com -or- www.lodi.gov/1232/Homelessness-Initiatives

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A ttachment 2
to Exhibit A
Enhanced Care Management (ECM) & Community Supports (CS) Reimbursement Scope O
utreach Ministries International will operate a 24/7 low-barrier Access Center contracted by the City of Lodi providing day services, intensive case management, housing navigation, and housing sustainability support. Our interest in ECM and Community Supports reimbursement is focused on strengthening and sustaining our housing-centered model; not duplicating clinical or specialty behavioral health services. An SJ Health Clinic and Behavioral Health Beds will be co- located, so we want to ensure no duplication occurs with clearly outline roles.

G
uiding Principles
Community Supports services will be delivered through a coordinated, multi-provider model that allows flexibility based on member need while maintaining clear service delineation and avoiding duplication.

Cle
ar Roles:

Each partner focuses on its core expertise; housing stabilization, medical care, or specialty behavioral health treatment.

S
ingle ECM Lead:

Only one entity will serve as the ECM lead for a member at a time, based on the primary driver of instability.

C
oordinated Care Planning:

Partners will collaborate through shared care planning and case conferencing when needed. 541
I
ntegrated but Distinct Services:

Although services are co-located at the Access Center, clinical care, behavioral health treatment, and housing stabilization remain operationally distinct.

C
ompliance and Documentation:

All partners will maintain clear documentation separating ECM activities, Community Supports services, and specialty behavioral health treatment.
1 . E
CM – Role Clarification & Population Alignment
We understand that only one entity may serve as the ECM lead per member at any given time.

We support a structured attribution model as follows:
• Non SMHS members (not placed in respite beds) automatically can get connected with CS services with shelter ECM provider or clinics if medically appropriate. • SMHS members placed in the Lodi Access Center should first be screened by BHS to determine if there is already housing support in place and if the member has already been slated to be placed in the BHS housing continuum. If not, BHS can refer the member to Lodi Housing Navigation for support if applicable. • Note: For members using SRO (single room occupancy) and BHS respite beds (established via BHBH grant funding), CVLICH (Central Valley Low Income Housing) is contracted to provide housing navigation for this population.

S
helter ECM Team (City of Lodi Access Center)
The City would serve as ECM lead for:
• Individuals Experiencing Homelessness (without dependent children) • Transition-Age Youth (18–25) experiencing homelessness • Adults transitioning from incarceration
• Adults at risk for avoidable ED utilization where housing instability is the primary driver • Individuals with mild-to-moderate behavioral health needs where stabilization is primarily housing-focused
In these cases, the dominant driver of instability is housing insecurity, and members would benefit most from:
• Intensive housing navigation
• Tenancy sustaining services
• Structured day-service engagement
• Benefits enrollment and system navigation
• Community-based engagement and follow-up
• Care plan development centered on stabilization
We do not employ clinical staff and would not provide therapy, diagnostic assessments, prescribing, or specialty behavioral health treatment.

C
linic ECM Team
We support the clinic serving as ECM lead for:
• Medically complex individuals
• Members with multiple chronic conditions
• High ED or inpatient utilizers
• Post-discharge instability where medical coordination is the dominant driver In these cases, medical complexity, not housing, drives the care plan.

SMI
Members
For members with significant Serious Mental Illness:
542
• Behavioral Health Services (BHS) remains central for specialty mental health treatment. • ECM lead assignment (clinic vs. shelter) should be determined based on whether housing instability or medical complexity is the dominant driver. • Should it be needed, case conferencing will be used for higher-acuity situations to ensure clarity of roles.

2. C
ommunity Supports
E
CM lead and Community Supports (CS) provider do not need to be the same entity, but duplication of billing for the same service in the same month must be avoided.

The C
ity of Lodi is interested in providing the following eligible Community Supports:

H
ousing Navigation & Tenancy Sustaining Services
Core components include:
• Landlord engagement
• Housing search and placement
• Lease-up support
• Crisis intervention to prevent eviction
• Ongoing tenancy stabilization
These services align directly with our existing Access Center operations.

S
ervice Delivery Model
The City supports a shared and flexible Community Supports model that aligns with CalAIM requirements while maintaining clear role delineation and avoiding duplication:
• The Access Center will serve as the primary provider of housing-related Community Supports, including housing navigation and tenancy sustaining services. • Community Supports assignment will remain flexible, based on:
o Member need
o Referral pathways
o Case conferencing and care coordination
• Clinics and Behavioral Health Services (BHS) may provide Community Supports where appropriate, particularly when services intersect with clinical care or treatment planning. • All partners will adhere to clear documentation standards and monthly reconciliation pr
ocesses to prevent duplication of services or billing.

D
ay Habilitation (Non-Clinical)
Our strong day-service capacity positions us well to deliver structured, non-clinical Day Habilitation for adults and Transition-Age Youth, including:
• Independent living skills
• Budgeting and financial literacy
• Employment readiness and vocational preparation
• Community reintegration
• Structured pro-social engagement
• Peer-based stabilization supports
These services would complement, not replace specialty behavioral health or clinical services.

We fully support clear service delineation and monthly reconciliation to prevent duplicate billing.

3. Operational Alignment & Compliance Structure
To ensure clean implementation, the City supports:

1. A shared ECM attribution process for new referrals.
o Example:
543

1. A
brief joint referral review (email or case conference)

2. A standardized intake checklist that identifies the “primary driver”

2. Monthly reconciliation of ECM enrollment to prevent dual enrollment.

3. Clear documentation standards distinguishing:
o ECM activities
o Community Supports services
o Specialty behavioral health treatment
The City operates under established public sector HIPAA, FWA, and IT security protocols and is prepared to align documentation and reporting systems with ECM requirements.

4. S
ummary of Reimbursement Request
The City of Lodi seeks reimbursement for:
• ECM services for adults and Transition-Age Youth experiencing homelessness where housing instability is the dominant driver of need.
• Housing Navigation and Tenancy Sustaining Services.
• Structured, non-clinical Day Habilitation services.

Our goal is to leverage Medi-Cal reimbursement to sustain and scale housing-centered stabilization services while maintaining a clean compliance structure and seamless member experience.
544
Exhibit B – Budget
545
C
ompensation under this Agreement shall not exceed One Million Six Hundred Twenty Thousand Dollars ($1,620,000) for the first year of the Agreement. For each subsequent year, the prior year’s not-to-exceed compensation amount shall serve as the basis for annual compensation and may be adjusted by up to seven percent (7%) to account for documented increases in inflation, employee salaries, employee benefits, medical-related expenses, materials, or other operational costs necessary to maintain the Scope of Services, subject to annual budget appropriation and available funding. Any annual adjustment shall be subject to City review and approval and supported by adequate documentation substantiating the requested increase.
546

EXHIBIT C

NOTE: The City of Lodi is now using the online insurance program PINS Advantage. Once you have been awarded a contract you will receive an email from the City’s online insurance program requesting you to forward the email to your insurance provider(s) to submit the required insurance documentation electronically

Insurance Requirements for Most Contracts
(Not construction or requiring professional liability)

Contractor shall procure and maintain for the duration of the contract insurance against claims for injuries to persons or damages to property which may arise from or in connection with the performance of the work hereunder and the results of that work by the Contractor, his agents, representatives, employees or subcontractors.

MINIMUM SCOPE AND LIMIT OF INSURANCE
Coverage shall be at least as broad as:

1. Commercial General Liability (CGL): Insurance Services Office Form CG 00 01 covering CGL on an “occurrence” basis, including products and completed operations, property damage, bodily injury and personal & advertising injury with limits no less than $2,000,000 per occurrence. If a g eneral aggregate limit applies, either the general aggregate limit shall apply separately to this project/location (ISO CG 25 03 or 25 04) or the general aggregate limit shall be twice the required occurrence limit.

2. Automobile Liability: ISO Form Number CA 00 01 covering any auto or if Contractor has no owned autos, then hired, and non- owned autos with limit no less than $1,000,000 per accident for bodily injury and property damage.

3. Workers’ Compensation: as required by the State of California, with Statutory Limits, and Employer’s Liability Insurance with limit of no less than $1,000,000 per accident for bodily injury or disease.

Other Insurance Provisions:

(a) Additional Named Insured Status
The City of Lodi, its elected and appointed boards, commissions, officers, agents, employees, and volunteers are to be covered as additional insureds on the CGL and auto policy with respect to liability arising out of work or operations performed by or on behalf of the Contractor including materials, parts, or equipment furnished in connection with such work or operations. General liability coverage can be provided in the form of an endorsement to the Contractor’s insurance (at least as broad as ISO Form CG 20 10 11 85 or if not available, through the addition of both CG 20 10, CG 20 26, CG 20 33, or CG 20 38; and CG 20 37 if a later edition is used

(b) Primary and Non-Contributory Insurance Endorsement
The limits of insurance coverage required may be satisfied by a combination of primary and umbrella or excess insurance. For any claims related to this contract, the Contractor’s insurance coverage shall be primary coverage at least as broad as ISO CG 20 01 04 13 as respects the Entity, its officers, officials, employees, and volunteers. Any insurance or self-insurance maintained by the Entity, its officers, officials, employees, or volunteers shall be excess of the Contractor’s insurance and shall not contribute with it.

(c) Waiver of Subrogation Contractor hereby grants to City of Lodi a waiver of any right to subrogation which any insurer of said Contractor may acquire against the City of Lodi by virtue of the payment of any loss under such insurance. Contractor agrees to obtain any endorsement that may be necessary to affect this waiver of subrogation, but this provision applies regardless of whether or not the City of Lodi has received a waiver of subrogation endorsement from the insurer

NOTE: (1) The street address of the CITY OF LODI must be shown along with (a) and (b) and (c) above: 221 West Pine Street, Lodi, California, 95240; (2) The insurance certificate must state, on its face or as an endorsement, a description of the project that it is insuring.

(d) Severability of Interest Clause
The term "insured" is used severally and not collectively, but the inclusion herein of more than one insured shall not operate to increase the limit of the company's liability under the Contractors commercial general liability and automobile liability policies.

(e) Notice of Cancellation or Change in Coverage Endorsement This policy may not be canceled nor the coverage reduced by the company without 30 days' prior written notice of such cancellation or reduction in coverage to the Risk Manager, City of Lodi, 221 West Pine St., Lodi, CA 95240.

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(f) Continuity of Coverage
All policies shall be in effect on or before the first day of the Term of this Agreement. At least thirty (30) days prior to the expiration of each insurance policy, Contractor shall furnish a certificate(s) showing that a new or extended policy has been obtained which meets the minimum requirements of this Agreement. Contractor shall provide proof of continuing insurance on at least an annual basis during the Term. If Contractor’s insurance lapses or is discontinued for any reason, Contractor shall immediately notify the City and immediately obtain replacement insurance. Contractor agrees and stipulates that any insurance coverage provided to the City of Lodi shall provide for a claims period following termination of coverage which is at least consistent with the claims period or statutes of limitations found in the California Tort Claims Act (California Government Code Section 810 et seq.).

(g) Failure to Comply
If Contractor fails or refuses to obtain and maintain the required insurance, or fails to provide proof of coverage, the City may obtain the insurance. Contractor shall reimburse the City for premiums paid, with interest on the premium paid by the City at the maximum allowable legal rate then in effect in California. The City shall notify Contractor of such payment of premiums within thirty (30) days of payment stating the amount paid, the name(s) of the insurer(s), and rate of interest. Contractor shall pay such reimbursement and interest on the first (1st) day of the month following the City’s notice. Notwithstanding any other provision of this Agreement, if Contractor fails or refuses to obtain or maintain insurance as required by this agreement, or fails to provide proof of insurance, the City may terminate this Agreement upon such breach. Upon such termination, Contractor shall immediately cease use of the Site or facilities and commence and diligently pursue the removal of any and all of its personal property from the site or facilities.

(h) Verification of Coverage
Consultant shall furnish the City with a copy of the policy declaration and endorsement page(s), original certificates and amendatory endorsements or copies of the applicable policy language effecting coverage required by this clause. All certificates and endorsements are to be received and approved by the City before work commences. However, failure to obtain the required documents prior to the work beginning shall not waive the Consultant’s obligation to provide them. The City reserves the right to require complete, certified copies of all required insurance policies, including endorsements required by these specifications, at any time. Failure to exercise this right shall not constitute a waiver of the City’s right to exercise after the effective date.

(i) Self-Insured Retentions
Self-insured retentions must be declared to and approved by the City. The City may require the Consultant to provide proof of ability to pay losses and related investigations, claim administration, and defense expenses within the retention. The policy language shall provide, or be endorsed to provide, that the self-insured retention may be satisfied by either the named insured or City. (j) Insurance Limits
The limits of insurance describe d herein shall not limit the liability of the Contractor and Contractor's officers, employees, agents, representatives or subcontractors. Contractor's obligation to defend, indemnify and hold the City and its officers, officials , employees, agents and volunteers harmless under the provisions of this paragraph is not limited to or restricted by any requirement in the Agreement for Contractor to procure and maintain a policy of insurance.

(k) Subcontractors
Consultant shall require and verify that all subcontractors maintain insurance meeting all the requirements stated herein, and Consultant shall ensure that City is an additional insured on insurance required from subcontractors

(l) Qualified Insurer(s)
All insurance required by the terms of this Agreement must be provided by insurers licensed to do business in the State of California which are rated at least “A-, VI” by the AM Best Ratings Guide, and which are acceptable to the City. Non-admitted surplus lines carriers may be accepted provided they are included on the most recent list of California eligible surplus lines insurers (LESLI list) and otherwise meet City requirements.

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RESOLUTION NO. 2026-____

A RESOLUTION OF THE LODI CITY COUNCIL AUTHORIZING THE INTERIM CITY MANAGER OR DESIGNEE TO EXECUTE A FIVE (5)-YEAR AGREEMENT, WITH AN OPTION TO EXTEND FOR AN ADDITIONAL FIVE (5) -YEAR TERM, WITH OUTREACH MINISTRIES INTERNATIONAL, INC. FOR OPERATION OF

THE LODI ACCESS CENTER AND EMERGENCY SHELTER
========================================================================

WHEREAS, the City of Lodi issued a Request for Proposals (RFP) for the operation of the permanent Lodi Access Center and Emergency Shelter, a 24/7 low -barrier facility intended to provide immediate access to shelter, navigation services, and connections to housing and supportive resources; and

WHEREAS, following a competitive evaluation process, the City Council previously selected Outreach Ministries International, Inc. (OMI) based on the ranking and recommendation of the Evaluation Committee and authorized staff to negotiate an agreement for opera tion of the Lodi Access Center and Emergency Shelter; and

WHEREAS, City staff has completed negotiations with Outreach Ministries International, Inc., including budget, operational expectations, performance measures, staffing, reporting requirements, fiscal considerations, and coordination with San Joaquin County Behavioral Health Services and San Joaquin Health related to CalAIM reimbursement opportunities and service delivery responsibilities; and

WHEREAS, the proposed agreement provides for a five (5) -year term with an option to extend for one (1) additional five (5)-year term, contingent upon the availability of funding, with a first-year City contribution of $1,620,000 supported through available grant resources and eligible funding sources; and

WHEREAS, the City Council has reviewed the proposed agreement and finds it in the best interest of the City to authorize execution of the agreement for operation of the Lodi Access Center and Emergency Shelter.

NOW, THEREFORE, BE IT RESOLVED that the Lodi City Council does hereby authorize the Interim City Manager or designee to execute a five (5) -year agreement, with an option to extend for one (1) additional five (5 )-year term, and any non -substantive administrative documents necessary to implement the agreement, with Outreach Ministries International, Inc. for operation of the Lodi Access Center and Emergency Shelter, in a form approved by the City Attorney; and

BE IT FURTHER RESOLVED, pursuant to Section 6.3q of the City Council Protocol Manual (adopted November 6, 2019, Resolution No. 2019 -223), the City Attorney is hereby authorized to make minor revisions to the above -referenced document(s) that do not alter the compensation or term, and to make clerical corrections as necessary.

Dated: June 17, 2026
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I hereby certi fy that Resolution No. 2026-____ was passed and adopted by the City Council of the City of Lodi in a regular meeting held June 17, 2026, by the following votes:

AYES: COUNCIL MEMBERS –

NOES: COUNCIL MEMBERS –

ABSENT: COUNCIL MEMBERS –

ABSTAIN: COUNCIL MEMBERS –

OLIVIA NASHED
City Clerk

2026-_____
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AGENDA ITEM G.2

COUNCIL COMMUNICATION
AGENDA TITLE:

Adopt a Resolution Approving Fiscal Year 2026/27 Financial Plan and Budget; Approving the Fiscal Year 2026/27 Appropriation Spending Limit; Approving new Job Classifications, and Reclass Studies for Requested Positions, Approving the Budget and Fiscal Policies, Approving the Investment Policy and Approving the Annual Gann Spending Limit (IS - BUD)
MEETING DATE:

June 17, 2026
PREPARED BY:

Jennelle Baker-Bechthold, Budget Manager
RECOMMENDED ACTION:

Adopt a Resolution approving Fiscal Year 2026/27 Financial Plan and Budget; approving the Fiscal Year 2026/27 appropriation spending limit; approving new Job Classifications, and Reclass Studies for requested positions, approving the Budget and Fiscal Policies, approving the Investment Policy, and approving the annual Gann Spending Limit.

BACKGROUND INFORMATION:

Staff presented information regarding the Fiscal Year (“FY”)2026/27 budget at Council meetings on May 6t, May 20, and June 3. The draft budget document was made available to Council and released online on May 20, 2026. The full proposed budget is available on the City’s webpage at: https://city-lodi-ca- cleardoc.cleargov.com/20014.

The General Fund for FY 2026/27 is proposed with revenues and expenditures of $96,208,300. The remaining fund expenditures are shown in Table 1, bringing the City’s total FY 2026/27 budget to $302,351,060.

Staffing Changes - The budget proposes 481 full time employees, a net increase of three from FY 2025/26 authorized positions. The recommended changes are shown in Table 2:

Table 2
Position Department +/-
Senior Storekeeper Wastewater/Water +1
Transportation Coordinator Transit +1
Administrative Assistant Community Development/Building +1 City of Lodi Printed on 6/12/2026Page 1 of 4
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Table 2
Position Department +/-
Senior Storekeeper Wastewater/Water +1
Transportation Coordinator Transit +1
Administrative Assistant Community Development/Building +1 · Add (1) Senior Storekeeper - The Water/Wastewater Division currently utilizes one Senior Storekeeper to manage and maintain inventory for both utility operations. As the City has grown and infrastructure demands have increased, the volume and complexity of inventory management responsibilities now exceed the capacity of a single position. To maintain service levels, support operational efficiency, and meet the needs of field staff, the Division is requesting the addition of one Senior Storekeeper. · Add (1) Transportation Coordinator - The Transportation Division continues to experience increasing federal and state reporting, compliance, grant administration, and program management requirements.

These expanding responsibilities have created a need for dedicated staff resources focused on both operational coordination and analytical support.

The Transportation Coordinator is responsible for coordinating and assisting with the day-to-day operations and activities of the City's transit system. Duties include supporting oversight of third-party transit service providers, including the transit operations contractor; performing a variety of administrative, technical, and analytical tasks; serving as a liaison and information resource to customers, community organizations, and the public; supporting management in ensuring compliance with federal and state regulations; evaluating transit services and recommending operational improvements; and performing other related duties as assigned. · Add (1) Administrative Assistant - The Building Division is experiencing increased workload and longer plan review turnaround times due to growing permit activity, expanding regulatory requirements, and heightened customer service demands. To maintain service levels, improve operational efficiency, and reduce delays in the permit intake and plan review process, the addition of a full-time Administrative Assistant is recommended.

The Administrative Assistant would provide critical administrative and customer service support, allowing Permit Technicians and Plans Examiners to focus on core responsibilities such as permit processing, project intake, and plan review activities. The position would assist with document management, customer inquiries, scheduling, records retention, data entry, and other administrative functions that currently consume staff time needed for technical review and permitting activities.

The budget also includes funding for three reclassifications. Human Resources will need time to conduct the reclassification studies and if a position change is warranted then the reclassification will be effective the first full pay period in July 2026. The proposed budget includes the small increases in salary and benefits that were requested by the departments until such time as Human Resources can conduct their study. If the recommendation is for a new classification and salary range, Human Resources will bring that back to Council for approval of the new classification and salary range. The recommended positions are shown in Table 3:

Table 3
Position Department +/-
Public Works Administrative Manager Public Works/General Fund +1 Public Works Analyst Wastewater/Water -1
Management Analyst Communicty Development +1
Administrative Analyst Communicty Development -1
Senior Engineering Technician Public Works/General Fund +1 Engineer Techninican II Public Works/General Fund -1City of Lodi Printed on 6/12/2026Page 2 of 4 powered by Legistar™
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Table 3
Position Department +/-
Public Works Administrative Manager Public Works/General Fund +1 Public Works Analyst Wastewater/Water -1
Management Analyst Communicty Development +1
Administrative Analyst Communicty Development -1
Senior Engineering Technician Public Works/General Fund +1 Engineer Techninican II Public Works/General Fund -1
Budget & Fiscal Policies - The City's Budget and Fiscal Policies provide a framework for responsible financial management and guide the development, adoption, and administration of the annual budget. These policies establish principles related to budgeting, reserves, debt management, capital planning, expenditure controls, and long-term financial sustainability.

The Budget and Fiscal Policies were comprehensively reviewed and updated as part of the FY 2025/26 Mid- Year Budget Review process and were subsequently adopted by the City Council. Since that adoption, staff has reviewed the policies and determined that no additional revisions are necessary at this time. The policies continue to reflect current best practices, organizational priorities, and the City's financial management objectives.

Given the recent comprehensive review and adoption of the policies, staff recommends extending the next formal review until the development of the FY 2028/29 Annual Budget. However, the policies may be brought back to the City Council for review and amendment at any time should operational, regulatory, or fiscal conditions warrant revisions, or at the direction of the City Council.

Investment Policy - California Government Code Section 53646 recommends that local agencies annually review their investment policies and submit them to the legislative body for consideration. Accordingly, the City of Lodi Investment Policy is presented to the City Council for review and approval.

Staff is not recommending any changes to the Investment Policy at this time. The policy remains consistent with the City's investment objectives of safety, liquidity, and yield, while providing internal control procedures designed to safeguard public funds from loss, misappropriation, speculation, and fraud.

As part of a recent account review conducted with Wells Fargo, the City's Investment Policy was evaluated for compliance with California Government Code Section 53601 and was found to be fully compliant. Government Code Section 53601 governs the investment of local agency funds and authorizes a variety of investment instruments intended to preserve principal, maintain adequate liquidity to meet operational needs, and provide a reasonable rate of return while safeguarding public resources. The City's investment portfolio is managed in accordance with the provisions of Government Code Section 53601 and the City's adopted Investment Policy.

Adoption of the Investment Policy will satisfy the annual review recommendation contained in Government Code Section 53646 and reaffirm the City's commitment to prudent and responsible investment management practices.

Appropriations Spending Limit - Article XIII B of the California Constitution, commonly referred to as the Gann Appropriations Limit, was approved by California voters through Proposition 4 in 1979. The Gann Limit establishes an annual appropriations limit on the proceeds of taxes that state and local governments may expend. The limit is adjusted each year based on changes in population and inflation and is intended to control the growth of government spending.

Local agencies are required to calculate and adopt their appropriations limit annually as part of the budget City of Lodi Printed on 6/12/2026Page 3 of 4
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Local agencies are required to calculate and adopt their appropriations limit annually as part of the budget process. The calculation does not restrict the City's ability to receive revenues; rather, it limits the amount of tax proceeds that may be appropriated for spending. Certain expenditures, including debt service, capital outlay projects, and expenditures funded by grants, user fees, and other non-tax revenue sources, are excluded from the calculation.

For Fiscal Year 2026-27, staff has calculated the City's Gann Appropriations Limit at $164,049,380, representing an increase of $7,518,297 from the prior year's limit. The increase is attributable to the annual adjustment factors for population growth and inflation as prescribed by State law.

The City's Fiscal Year 2026-27 appropriations subject to limitation remain well below the calculated appropriations limit. Therefore, adoption of the proposed Gann Appropriations Limit will ensure compliance with Article XIII B of the California Constitution and will not affect the City's ability to provide services or implement the adopted budget.

FISCAL IMPACT:

The Fiscal Year 2026/27 budget provides an expenditure plan for all funds. The All-Funds expenditure budget is projected to be $302,351,060. General Fund revenues and expenses are projected at $96,208,300.

FUNDING AVAILABLE:

Not applicable.

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ATTACHMENT A
AMOUNT
Last Year's Limit 156,531,082
Adjustment Factors
1 Population % 0.9986
2 Inflation % 1.0495
Total Adjustment % 1.0480
Annual Adjustment 7,518,297
Adjustments None
Total Adjustment 7,518,297
2026-27 APPROPRIATIONS SPENDING LIMIT 164,049,380
AMOUNT
Proceeds of Taxes 66,080,780
Exclusions -
Appropriations subject to limitations 66,080,780
Current Year Limit 164,049,380
OVER (UNDER) LIMIT (97,968,600)
2026-27 FINANCIAL PLAN AND BUDGET

APPROPRIATIONS SPENDING LIMIT
2026-27 APPROPRIATIONS SPENDING LIMIT
2026-27 Appropriations Subject to Limitation
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City of Lodi

Budget and Fiscal Policies

Adopted by the Lodi City Council
June 17, 2026
Resolution 2026-XXX

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2 City of Lodi Budget and Fiscal Polices
Table of Contents

1. Purpose ................................................................................................................................................ 3

2. Budget Development ........................................................................................................................... 3

3. Budget Administration and Adjustment .......................................................................................... 5

4. Appropriation Limit ........................................................................................................................... 7

5. Components of Fund Balance ............................................................................................................ 7

6. Fund Balance Policies ......................................................................................................................... 8

7. General Fund Reserves ...................................................................................................................... 8

8. Measure L Fund Reserves ................................................................................................................ 10

9. Special Revenue Fund Reserves ...................................................................................................... 10

10. Enterprise Fund Reserves ................................................................................................................ 13

11. Internal Service Fund Reserves ....................................................................................................... 13

12. Capital Improvement Plan ............................................................................................................... 14

13. Encumbrance Accounting ................................................................................................................ 16

14. Pension Stabilization Policy ............................................................................................................. 16

15. Review and Update ........................................................................................................................... 18

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3 1. Purpose
The City’s primary financial objective is to maintain the fiscal stability of the organization. The purpose of this policy is to establish guidelines for budget development, administration, and management as well as outline the City’s fiscal policies in regard to cost recovery of various programs, target reserve levels in all funds and funding mechanisms for various programs.

2. Budget Development
The budget will reflect the goals and priorities of the Council each year and make the best use of available funding within those goals and priorities. While goals and priorities may change from year to year, some basic tenets will apply to all budgets. Those tenets are reflected below.

A. The General Fund budget will be balanced each year, without the use of reserves.

Current year revenues will support current year expenditures.

B. One-time revenue will be used to fund one-time expenditures or be placed in reserves. One-time revenue will not be used to fund on-going operations.

C. Annual budgetary savings will be used to fund one-time expenditures or be placed in reserves.

D. Funding for the Vehicle Replacement Fund shall be based upon annual depreciation schedules for vehicles and amounts will be reflected in departmental budgets.

E. Funding for the Other Post-Employment Benefits (OPEB) Fund shall be no less than the Actuarial Required Contribution shown in the actuarial report and charged to each fund based upon ratio of current full-time positions. All reserves in the Benefits Fund category in excess of 25% of estimated annual costs for benefits in this fund shall be budgeted for investment in the City’s OPEB trust fund.

F. Funding for CalPERS pension costs are as follows. Current year Normal Cost will be budgeted in each fund based on the estimated cost for employees in that fund. Current year Unfunded Accrued Liability (UAL) payments will be budgeted within each fund based on each fund’s share of employees within each class (Safety or Miscellaneous). For purposes of allocating UAL, employees funded by Measure L will be allocated to the General Fund. The City will budget for the monthly payment of the UAL but will make the annual UAL payment to 558
4 recognize the approximately 3.6% savings offered by CalPERS on this option.

The City Manager will then use the UAL savings to make Additional Discretionary Payments (ADP) to CalPERS to further reduce the City’s UAL.

G. Funding for the Information Technology (IT) Replacement Fund shall be based upon the replacement cycle for equipment contained in the fund.

H. Budgetary allotments for OPEB, Pension Stabilization and IT Replacement shall be reflected in the Non-Departmental Organization Unit for all General Fund units.
a. Special Revenue, Enterprise and Internal Service funds will reflect budgetary allotments for these items within their respective funds.

I. Fixed Assets
a. Capital purchases of $10,000 or more, with a three-year or longer useful life, will be capitalized.
b. Infrastructure additions or new construction of $10,000 or more will be capitalized.
c. Vehicle purchases of any amount will be capitalized and useful lives will be determined based upon the Government Finance Officers Association Best Practices guidelines.
d. Straight-line depreciation will be used for all depreciable assets.

J. Library
a. The Library is primarily funded through a transfer from the General Fund.

Council will set the level of funding each year based upon available General Fund revenue.

K. Parks, Recreation and Cultural Services (PRCS)
a. Recreation and Community Center Programs
i. The goal is to recover, on average, 40% of program costs from participants. Individual programs may be fully self-supporting while other programs may have a nominal cost recovery ratio. b. General Fund Transfer
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5 i. The General Fund Transfer shall be determined by Council each year. The intent of the General Fund Transfer is to cover the costs associated with Parks Maintenance, PRCS administration, Debt Service and Hutchins Street Square Maintenance.

L. Community Development
a. The Community Development Department should primarily be self- supporting through fee revenue.
b. A General Fund Transfer, determined by Council each year, will be designed to support the value of the general information function that the department provides and support at least one-half of the costs associated with a Youth Outreach function designed to divert youth involvement in gang activities.

M. Enterprise Funds
a. Enterprise funds will set fees and rates at levels that meet operating, debt service, capital and reserve needs.

N. Internal Service Funds
a. Internal Service funds will set rates and charges at levels that will ensure full recovery of costs each year.

3. Budget Administration and Adjustment
The City Council is ultimately responsible to the public for the delivery and conduct of City services and facilities. Accordingly, the Council appropriates funds to ensure the delivery of services at the levels and in the priority established by Council. The legal level of budgetary control is at the fund level.

A. City Manager
The City Manager, as the chief administrative officer, provides staff with general direction in the development and formulation of the City Manager’s budget recommendations to Council. This includes: evaluating and assessing current and anticipated issues facing the City; determining the demand for services and facilities; identifying the concerns of the citizenry; assessing the current and projected financial condition of the City; and determining the final staffing recommendations.
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6 B. Administrative Services Director
The Administrative Services Director, as the chief financial officer, is responsible for budget development and day-to-day administration of adopted budgets. This includes: developing and issuing the budget instructions and calendar; advising the City Manager on budget policies and issues, including the recommended level of funding for each department within the General Fund; reviewing budget requests to ensure they are complete and accurate; preparing the preliminary budget recommendations for review by the City Manager; and publishing the approved budget, Capital Improvement Plan, and Budget in Brief documents.

C. Department Directors
Department directors are responsible for preparing their operating and capital budget requests in accordance with the City’s budget instructions and managing their respective departments within their approved budget allotments.

D. Failure to Adopt a Budget
If the City fails to adopt the budget by July 1, the City Council may elect one of the following courses of action until passage of a budget and appropriation of funds: (1) Provide the City Manager with Continuing Resolution Authority to allow continued services at expenditure levels not greater than those in the prior year budget; or (2) Require staff to obtain prior approval for any expenditure (payment) of City funds.

E. Public Record
The budget document will be available on-line at the City’s website (www.lodi.gov
). Hard copies will be available for public review at the Lodi Public Library, City Hall and the Carnegie Forum.

F. Budget Adjustments
a. City Council approval is required for any increase in total appropriations within any individual fund. All budget adjustments that increase one fund’s total appropriations, including net zero budget adjustments, must have City Council approval.
b. The City Manager has the authority to adjust appropriations within a fund, so long as total appropriations within the fund do not increase. This includes adjustments between departments within a fund.
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7 c. Department directors have the authority to adjust appropriations within their department, so long as total appropriations within the department within the fund do not increase.

4. Appropriation Limit
The Council will annually adopt a resolution establishing its appropriation limit calculated in accordance with Article XIIIB of the Constitution of the State of California, Section 7900 of the State of California Government Code, and any other voter-approved amendments or State legislation that affect the City’s appropriation limit.

5. Components of Fund Balance
A. Governmental Accounting Standards Board Statement Number 54 – Fund Balance Reporting and Governmental Fund Type Definitions outlines the requirements to report fund balance for governmental funds in specific classifications which create a hierarchy primarily based upon the extent to which a City is bound to constraints on the specific purposes for which the funds can be spent. Fund Balance consists of the following five categories:
i. Non-spendable fund balance: amounts that cannot be spent because they are either (a) not in a spendable form (e.g., inventories or pre-paid) or (b) legally or contractually required to be maintained intact (e.g., endowment).
ii. Restricted fund balance: amounts that can only be spent for the specific purposes stipulated by external resource providers either constitutionally or through enabling legislation (e.g., grants, gas tax, impact fees). iii. Committed fund balance: amounts that can be used for the specific purposes determined by formal action of the government’s highest level of decision-making authority. Committed fund balance can be changed only by the government taking the same formal action that initially created the commitment. (e.g., Council approved catastrophic or economic reserves). iv. Assigned fund balance: amounts that are intended to be used by the government for specific purposes. Intent can be established by either the governing body or delegated to a City official.
v. Unassigned fund balance: the remaining amount of fund balance after all other fund balance classifications are accounted for and can be either positive or negative. Positive unassigned fund balance is available for any purpose.
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8 6. Fund Balance Policies
A. Committing Fund Balance
i. The City Council is the City’s highest level of decision making authority and the formal action that is required to be taken to establish, modify, or rescind a fund balance commitment is a resolution or ordinance approved by the City Council at a City Council meeting. For reporting purposes, the resolution or ordinance approving, modifying or rescinding a fund balance commitment must be approved prior to the last day of the fiscal year for which the commitment is to be reported. The amount of the commitment may be determined in a subsequent period.

B. Assigning Fund Balance
i. The City Council retains the authority to assign fund balance.

C. Hierarchy of Fund Balance Use
i. When multiple categories of fund balance are available for expenditure, the City will spend the most restrictive funds first before moving down to the next category with available funds in the following order:

1. Restricted

2. Committed

3. Assigned

4. Unassigned.

7. General Fund Reserves
Maintaining reserves in the General Fund is critical to the successful and stable short- and long-term operations of the City. Adequate reserves in the General Fund ensure that the City is able to respond to emergencies and continue providing services to the citizens of Lodi. Adequate reserves also ensure that the City will have sufficient funds available to meet its operating, capital and debt service obligations.

A. Catastrophic Reserve
i. A Catastrophic Reserve is established within the General Fund. This reserve is established to maintain the ability of the City to meet operational expenses during times of declared emergency or major catastrophe.
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9 1. It is recognized that during a time of emergency, the City will need to expend more resources than normal operations dictate to meet the community’s need. In addition to an increased level of expenditure, the tax base of the City may be impaired after a major catastrophic event.
ii. The amount of the Catastrophic Reserve shall be a minimum of 8% of annual General Fund revenues, including Operating Transfers. iii. The Catastrophic Reserve shall be exclusive of all other reserve amounts. iv. Council may draw on the Catastrophic Reserve only upon declaration of an emergency pursuant to the Lodi Municipal Code.
v. If the Catastrophic Reserve falls below 8% of annual General Fund revenue, including Operating Transfers, the City Manager shall prepare a plan within three months of Council approval of the Annual Comprehensive Financial Report (ACFR) to restore the reserve balance to the 8% level within 12 months.
vi. The Catastrophic Reserve is not intended for normal unanticipated expenditures and shall be funded before all other committed General Fund reserves.

B. Economic Reserve
i. An Economic Reserve is established within the General Fund. This reserve is established to maintain the City’s economic viability and to meet seasonal cash flow needs.

1. It is recognized that economic cycles can cause significant fluctuations in the revenue streams of the City and the recovery from down cycles can be prolonged and affect service levels to the community dramatically. The Economic Reserve is intended to assist the City in maintaining service levels while revenues recover from a down economic cycle.
ii. The amount of the Economic Reserve shall be a minimum of 8% of annual General Fund revenues, including Operating Transfers.
iii. The Economic Reserve shall be exclusive of all other reserve amounts. iv. Council may draw on the Economic Reserve only upon adoption of a resolution of the City Council.
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10 v. If the Economic Reserve falls below 8% of annual General Fund revenue, including Operating Transfers, the City Manager shall prepare a plan within three months of Council approval of the Annual Comprehensive Financial Report (ACFR) to restore the reserve balance to the 8% level within 12 months.
vi. The Economic Reserve is not intended to be used to encourage development through the expansion of infrastructure to undeveloped areas of the City and shall be funded once the General Fund Catastrophic Reserve is fully funded.

C. Should there be a lower fund balance presented in the proposed Budget, the City Manager shall first recommend use of Pension Stabilization Funds to offset Unfunded Accrued Liability (UAL) costs in the Fiscal year. The Administrative Services Director shall first pay all UAL costs with current year resources and shall only draw on the PSF in the final month of the Fiscal Year if in his/her opinion it is still estimated a draw is needed to meet the 16% total fund balance requirement.

8. Measure L Fund Reserves
As a general-purpose revenue, maintaining healthy reserves in the Measure L fund is critical for the same reasons as in the General Fund. Adequate reserves ensure that the City will continue to be able to provide Lodi citizens the services funded by Measure L in the long term. The Measure L Fund shall maintain the same 8% Catastrophic and 8% Economic Reserves as outlined under Section 7 A. and Section 7 B. above. Measure L Funds shall not be subject to the City’s Pension Stabilization Policy. By allocating UAL in the method described in Section 1 F. above, the General Fund will cover any UAL costs attributable to the employees funded by Measure L.

9. Special Revenue Fund Reserves
Maintaining reserves in the City’s Special Revenue Funds is also critical to the successful and stable short- and long-term operations of the City. Adequate reserves in the Special Revenue Funds, where appropriate, ensure that the City is able to carry out the purpose of the special revenue fund and ensure compliance with underlying laws and contractual provisions associated with the funds. Additionally, bond rating agencies often evaluate a City’s General Fund financial resilience by looking at reserves that may be drawn from Special Revenue funds to help support General Fund activities. 565
11 A. Library
i. Since the Library is primarily funded by a General Fund transfer, there is no need to duplicate reserves associated with the transfer amount within the Library Fund.
ii. Reserves within the Library Fund should be maintained at a minimum level of 16% of annual Non-General Fund Transfer revenue.

B. Parks, Recreation and Cultural Services (PRCS)
i. Since a significant portion of PRCS revenue comes from a General Fund transfer, there is no need to duplicate reserves associated with the transfer amount within the PRCS fund.
ii. Reserves within the PRCS Fund should be maintained at a minimum level of 16% of annual Non-General Fund Transfer revenue.

C. Community Development
i. The Community Development Fund is primarily self-supporting from fee revenue associated with development activities. The activities and financing of this fund are subject to wide fluctuations based upon the state of the development economy. Many of the fees assessed are collected ahead of services being provided. In the event of an economic downturn, the fund will have collected fees for services that have not yet been provided. As such, it is prudent to carry a large reserve to recognize that the reserve represents services that have not yet been provided. ii. Reserves within the Community Development Fund should be maintained at a minimum level of 50% of annual operating expenses, including transfers.

D. Vehicle Replacement
i. It is the City Council’s goal to maintain reserves in the Vehicle Replacement equal to the accumulated depreciation of the vehicles in the fund.

1. The City Manager’s proposed budget will recommend fully funding vehicle replacement funds equal to the annual straight-line depreciation of all vehicles in the fund.
566
12 2. Should Council elect not to fund the straight-line annual depreciation in the budget, the Administrative Services Director will report on the short fall in the fund within the budget document.

3. It is recognized that a shortfall currently exists and fully funding only one year of straight-line depreciation will result in a continued under-funding of vehicle replacements until the current vehicle stock is replaced.

E. Information Technology Replacement
i. It is the City Council’s goal to maintain reserves in the Information Technology Replacement fund equal to the accumulated depreciation of the equipment in the fund.

1. The City Manager’s proposed budget will recommend fully funding the Information Technology Replacement fund equal to the annual straight-line depreciation of all equipment in the fund.

2. Should Council elect not to fund the straight-line annual depreciation in the budget, the Administrative Services Director will report on the shortfall in the fund within the budget document.

3. It is recognized that a shortfall currently exists and fully funding only one year of straight-line depreciation will result in a continued under funding of Information Technology Equipment replacements until the current equipment stock is replaced.

F. Other Special Revenue Funds
i. All reserve balances in the following fund categories are restricted by the terms of the individual funds within the fund category:

1. Streets

2. Transportation Development Act

3. Community Development Block Grant

4. Debt Service

5. Public Safety Special Revenue

6. General Fund Capital Outlay
567
13 7. Parks Capital Outlay

8. Vehicle and Equipment Replacement

10. Enterprise Fund Reserves
Maintaining reserves in the City’s Enterprise Funds is also critical to the successful and stable short- and long-term operations of the City. Adequate reserves in the Enterprise Funds ensures that the City is able to carry out the purpose of the fund and ensures compliance with underlying laws and contractual provisions associated with the funds.

Among other metrics, bond rating agencies review compliance with reserve policies in determining credit ratings.

A. Electric Utility
i. The City Council separately adopts a reserve policy for the Electric Utility and reviews the components of the policy every three years. As part of the annual budget process, Council is apprised of the level of reserves desired under that policy.

B. Water Utility
i. The City Council has adopted a financial model for the Water Enterprise that incorporates a reserve target of 25% of Operating Expenses. ii. Additionally, all funds collected in relation to PCE/TCE rates or settlements are restricted to use solely for the mitigation and remediation of those pollutants.

C. Wastewater Utility
i. The City Council has adopted a financial model for the Wastewater Enterprise that incorporates a reserve target of 25% of Operating Expenses.

D. Transit
i. All reserve funds in the Transit Enterprise are restricted as to use solely for transit purposes.

11. Internal Service Fund Reserves
Maintaining reserves in the City’s Internal Service Funds demonstrates fiscal accountability and financial prudence. Adequate reserves in the Internal Service Funds ensure that the City has set aside sufficient funds to meet the future obligations it has 568
14 committed to provide to its employees. Additionally, bond rating agencies review these funds and look favorably upon entities that are funding the long-term liabilities represented in the City’s Internal Service Funds.

A. Benefits Fund
i. Reserves equal to 25% of the estimated annual cost of all benefits paid for by this fund.
ii. The Treasurer will invest all reserves in the fund, as reported in the prior fiscal year’s Annual Comprehensive Financial Report (ACFR), in excess of 25% of the estimated annual cost of all benefits paid in a current fiscal year upon completion of the prior fiscal year’s ACFR.

B. General Liability Insurance and Worker’s Compensation Funds i. Reserves, at a minimum, equal to the 90% confidence level shown in the annual actuarial report, should be held locally and invested along with the City’s pooled cash portfolio.
ii. Funding at the 90% confidence level will be recommended in each annual budget.
iii. The Administrative Services Director will review the status of the funds as of December 31 each year. If it is estimated that the full budget transfer is not needed to maintain the 90% confidence level in that year, he/she may reduce the budgeted transfer for that Fiscal Year for each fund prorated to each fund’s budgeted contribution.

C. Fleet Maintenance Fund
i. Reserves equal to a minimum of 16% of Operating Expenses shall be held in the Fleet Maintenance Fund.

12. Capital Improvement Plan
The City is committed to ensuring that all of its assets are operated, maintained and replaced in a manner that is the most prudent method of maintaining the public stewardship of those assets. To that end, the City will prepare and update annually a Capital Improvement Plan (CIP) that encompasses those assets and looks out over a five- year lifespan. The first year of the five-year plan will be the current budget year. The 569
15 Internal Services Department will be responsible for gathering the data for inclusion in the plan.

A. CIP Projects
i. Construction projects that are expected to cost $25,000 or more should be included in the CIP. Projects will be a combination of projects that repair, replace or enhance existing facilities and infrastructure and projects that expand or add to the City’s existing fixed assets. Vehicles and equipment (rolling stock) are not to be included in the CIP.

B. CIP Appropriations
i. Approval of the CIP estimates beyond the current year budget do not constitute appropriation of the funds necessary or designation of the funds necessary to complete the project. Unspent current year budget allocations will automatically carryforward until project completion with the exception of unencumbered budgets in annual maintenance programs within the CIP. Upon completion of a project, unspent budget is returned to the fund until appropriated by future City Council action. Employee labor costs do not carry forward.

C. Level of Budget Control
i. Budget control for CIP projects will be at both the general ledger account level and the CIP project level. Budget allocated to one CIP project cannot be moved to another project within the CIP or to a non-CIP use without Council approval. Department Directors may transfer budget between line items within a project and fund as long as the total expenditure for the project or for the amount of the funding source specific to that project does not increase.

D. Elements of the CIP
i. Each project listed in the CIP will address the following items:
• project description
• project timeline
• anticipated funding sources
• estimated expenditures
• revenues and expenditures will be reflected by fiscal year over the five-year timespan of the CIP
570
16 • estimated annual ongoing operating and maintenance costs

13. Encumbrance Accounting
Encumbrances represent commitments to contracts not yet performed and orders not yet filled. They are used to control expenditure commitments for the year and to enhance cash management. Encumbrances do not represent expenditures for a period, only a commitment to expend resources. As a contract is completed, the budgetary encumbrance control accounts are liquidated or reduced and the actual expenditure is recorded.

A. Lapsing Appropriations
i. All unencumbered funds lapse at the end of the Fiscal Year with the exception of Capital Projects funds. Funds encumbered on contracts will roll into the next year. The Administrative Services Director shall review all contracts to determine what encumbered funds shall lapse due to contract completion.
ii. Capital Projects – appropriated funds in the current fiscal year do not lapse until project completion or abandonment, whether encumbered or unencumbered.

14. Pension Stabilization Policy

This section replaces the policy adopted by Resolution 2026-015 and amends language and form for consistency with this policy. The policy is also updated and amended to factor in UAL funding for UAL costs attributable to positions funded by Measure L.

A. Pension Stabilization Funding
i. The Treasurer is authorized to invest all fund balance in excess of 16% in the General Fund (Pension Stabilization Resources, or PSR), based on the City’s Annual Comprehensive Financial Report (ACFR) from the previous year in the City’s Internal Revenue Code Section 115 Trust account with Public Agency Retirement Solutions (PARS); and with Council consent use PARS trust funds to make:
a. ADP to the Safety Plan of the City of Lodi held by CalPERS; or b. ADP to the Miscellaneous Plan of the City of Lodi held by CalPERS;
until such time that the comb ined Market Value of Assets at the two CalPERS Plans plus the Market Value of Assets in the PARS fund exceed 571
17 70% of the combined “Entry Age Normal Accrued Liability” for both Safety and Miscellaneous or its most proximate equivalent as calculated by CalPERS in the annual Actuarial Reports.

B. Allocation of Pension Stabilization Reserve Funding
i. PSR investments made under this policy shall be accounted for by source fund and be made from all source funds in equal proportions to the actual allocation of CalPERS combined normal cost plus UAL cost within the Fiscal Year of the most recently approved CAFR.

1. The Measure L Fund shall not contribute to the Pension Stabilization Fund.
ii. The base fund for determining the amount of proportional PSR for other funds shall be the City’s General Fund (Fund 100).

1. If PSR for a particular fund is not adequate to cover the proportional requirement for that fund, the Treasurer shall prepare a report and recommendations to City Council to seek direction on PSR for that Fiscal Year.
iii. Nothing in this policy shall allow the Treasurer to make PSR investments of any fund to have a projected year end fund balance below thresholds established in Section 7, 8, 9, 10, or 11 of this policy.

1. If proportional PSR investments would cause the projected year end fund balance of any fund to fall below thresholds established in the Fiscal Policies, the Treasurer shall prepare a report and recommendations to City Council within the scope of this policy.

C. Budget Adjustments
i. The City Manager is authorized to make any necessary budget adjustments to execute this policy in each Fiscal Year based on the calculated PSR.

D. Pension Stabilization Reporting & Distributions
i. The Treasurer shall prepare and present the funded statuses of the City’s combined pension plans in the Annual Budget and the Mid-Year Budget report. If the value of Assets in the PARS fund exceed 70% of the combined liability, the City Manager may include a recommendation for disbursements from the PARS fund to offset qualified pension expenses as 572
18 part of the Annual or Mid-Year Budget reports. No disbursements will be made without City Council approval.

15. Review and Update
These policies will be in place for the 2026/27 and 2027/28 fiscal years beginning with the FY 2026/27 budget. These policies will be reviewed and updated every two years in odd numbered years in conjunction with the approval of the annual budget. The next review cycle will be in conjunction with the FY 2028/29 budget.

573
Project Title:

District Nos: Citywide Project Length Priority
Expenditure Prior Years FY 25/26
Estimate
FY 26/27
Budget
FY 27/28 FY 28/29 FY 29/30 FY 30/31 FY 31/32 Future Yrs Total Contracts -$ 235,000$ 235,000$
Total Capital Costs -$ -$ 235,000$ -$ -$ -$ -$ -$ -$ 235,000$ Funding Source(s) Prior Years FY 25/26
Estimate
FY 26/27
Budget
FY 27/28 FY 28/29 FY 29/30 FY 30/31 FY 31/32 Future Yrs Total 350 - Commmunity Develop Block Grant-HUD -$ 235,000$ 235,000$ Total Project Financing -$ -$ 235,000$ -$ -$ -$ -$ -$ -$ 235,000$ Section II: Estimated Project Costs
Section III: Funding Sources/Methods of Financing
Capital Improvement Plan
FY 2026-2027
Additional Information
Council annually approves the CDBG program through the Annual Action Plan Justification/factor driving project
Improve Alleyways that suffer from damaged pavement and poor drainage by removing existing pavement, installing drainage systems, and repaving each alleyway for the betterment of the community.; (Estimated Project funding Breakdown $205,000 to Public Works, $30,000 in Activity Delivery Costs to Neighborhood Services) CDBG-Alley Improvem CDBG-27001Munis Project Code:

Section I: Description 6/30/2027
574
Project Title: CIP List Proj #
Section I: Description District Nos: Citywide Project Length Priority High Section II: Estimated Project Costs
Expenditure Prior Years FY 24/25
Estimate
FY 25/26
Budget
FY 26/27 FY 27/28 FY 28/29 FY 29/30 Future Yrs Total
Contracts -$ 1,300,000$ 200,000$ 1,500,000$ -$ -$
-$ -$
-$ -$
-$ -$
Total Capital Costs -$ -$ 1,300,000$ 200,000$ -$ -$ -$ -$ 1,500,000$ Section III: Funding Sources/Methods of Financing
Funding Source(s) Prior Years FY 24/25
Estimate
FY 25/26
Budget
FY 25/26 FY 26/27 FY 27/28 FY 29/30 Future Yrs Total
601 - Transit - Capital -$ 1,300,000$ 200,000$ 1,500,000$ -$ -$
-$ -$
-$ -$
Total Project Financing -$ -$ 1,300,000$ 200,000$ -$ -$ -$ -$ 1,500,000$ Capital Improvement Plan
FY 2025-2026
Project will be paid for with Federal FTA 5307 and Transportation Development Act (TDA) funds.

Additional Information
The compressed natural gas (CNG) fueling station located at the Municipal Services Center (MSC) is over twenty (20) years old and past its useful life. The station frequently breaks down, resulting in costly repairs and downtime for the City's transit fleet. An upgrade to the CNG station dispenser and compressor is critical for continued operation of the City's CNG fleet.

Justification/factor driving project
Design and installation of a new compressed natural gas (CNG) compressor and dispenser at the Lodi Municipal Service Center (MSC).

CNG Compressor Upgrade Munis Project Code:
575
CiP List Proj #337
District Nos: 3 Project Length Priority
Section II
Expenditure Prior Years FY 25/26
Estimate
FY 26/27
Budget
FY 27/28 FY 28/29 FY 29/30 FY 30/31 FY 31/32 Future Yrs Total Contracts -$ 25,000$ 100,000$ N/A 125,000$ Total Capital Costs -$ 25,000$ 100,000$ -$ -$ -$ N/A 125,000$ Section III
Funding Source(s) Prior Years FY 25/26
Estimate
FY 26/27
Budget
FY 27/28 FY 28/29 FY 29/30 FY 30/31 FY 31/32 Future Yrs Total 431 - Capital Outlay/General Fund -$ 25,000$ 100,000$ N/A 125,000$ Total Project Financing -$ 25,000$ 100,000$ -$ -$ -$ N/A 125,000$ Funding Sources/Methods of Financing
Estimated Project Costs
Section I:Description
Capital Improvement Program - Maintenance
Add additional $100K to replace additional compressors.

Additional Information
The Civic Center HVAC system contains 6 compressors. 4 compressors are needed for the unit to function and there are currently only 4 working units. This will replace 1 of the 2 compressors not working.

Justification/factor driving project
Replace one HVAC compressor that serves City Hall, Carnegie and the Annex Munis Project Code
FY 2026-2027
Maintenance Project Title: Civic Center Compressor GFCP-26003 576
#5
District Nos: Citywide Project Length Priority High
Section II
Expenditure Prior Years FY 25/26
Estimate
FY 26/27
Budget
FY 27/28 FY 28/29 FY 29/30 FY 30/31 Future Yrs Total
Contracts 976,232$ 200,000$ 100,000$ 100,000$ 100,000$ 100,000$ 1,376,232$ Total Capital Costs 976,232$ 200,000$ 100,000$ 100,000$ 100,000$ 100,000$ -$ -$ 1,376,232$ Section III
Funding Source(s) Prior Years FY 25/26
Estimate
FY 26/27
Budget
FY 27/28 FY 28/29 FY 29/30 FY 30/31 Future Yrs Total
103 - Measure L 257,082$ 257,082$
432 - Parks&Rec Capital 719,150$ 200,000$ 100,000$ 1,019,150$ Total Project Financing 976,232$ 200,000$ 100,000$ -$ -$ -$ -$ -$ 1,276,232$ Funding Sources/Methods of Financing
Estimated Project Costs
Section I:Description
Capital Improvement Program - Maintenance
Additional Information
Reduces city liability for claims due to tree damage or injury, reduces cost of emergency tree work, reduces damage to park property from falling limbs/trees, interference with park activities.

Justification/factor driving project
Trim/remove diseased, dead, hazardous trees in various City parks.

Munis Project Code:

FY 2026-2027
Maintenance Project Title: k tree trimm PKCP-20002
577
Project Title: #29
District Nos: Project Length Priority
Expenditure Prior Years FY 24/25
Estimate
FY 25/26
Budget
FY 26/27 FY 27/28 FY 28/29 FY 29/30 Future Yrs Total
Internal Staff 58,668$ 25,000$ 25,000$ 25,000$ 25,000$ 158,668$ Total Capital Costs 58,668$ 25,000$ 25,000$ 25,000$ 25,000$ -$ -$ -$ 158,668$ Funding Source(s) Prior Years FY 24/25
Estimate
FY 25/26
Budget
FY 26/27 FY 27/28 FY 28/29 FY 29/30 Future Yrs Total
303 - Measure K Fund 58,668$ 25,000$ 25,000$ 25,000$ 25,000$ 158,668$ Total Project Financing 58,668$ 25,000$ 25,000$ 25,000$ 25,000$ -$ -$ -$ 158,668$ Section II: Estimated Project Costs
Section III: Funding Sources/Methods of Financing
Capital Improvement Plan
FY 2025-26
Additional Information
Justification/factor driving project
Staff time associated with project planning and oversight on projects that may arise that are not included in the budgeted CIP.

Streets Project Planning PWST-20001Munis Project Code:

Section I: Description
578
#32
District Nos: Citywide Project Length Priority Normal
Section II
Expenditure Prior Years FY 25/26
Estimate
FY 26/27
Budget
FY 27/28 FY 28/29 FY 29/30 FY 30/31 FY 31/32 Future Yrs Total Contracts 250,715$ 80,000$ 80,000$ 330,715$ Internal Staff 13,230$ 13,230$
Miscellaneous 662$ 662$
Total Capital Costs 264,607$ -$ 80,000$ -$ 80,000$ -$ -$ -$ -$ 344,607$ Section III
Funding Source(s) Prior Years FY 25/26
Estimate
FY 26/27
Budget
FY 27/28 FY 28/29 FY 29/30 FY 30/31 FY 31/32 Future Yrs Total 302 - Gas Tax 2103 229,607$ 80,000$ 80,000$ 309,607$ 300 - Street Fund 30,000$ 30,000$
Total Project Financing 259,607$ -$ 80,000$ -$ 80,000$ -$ -$ -$ -$ 339,607$ Funding Sources/Methods of Financing
Estimated Project Costs
Section I:Description
Capital Improvement Program - Maintenance
Additional Information
Refreshing the faded pavement striping and markings will improve traffic safety for the City.

Justification/factor driving project
Refresh pavement striping and markings on various streets in the City.

Munis Project Code:

FY 2026-2027
Maintenance Project Title: ual Street St PWST-0020
579
#36
District Nos: Citywide Project Length Priority Normal
Section II
Expenditure Prior Years FY 25/26
Estimate
FY 26/27
Budget
FY 27/28 FY 28/29 FY 29/30 FY 30/31 FY 31/32 FY 32/33 Future Yrs Total Contracts 412,024$ 160,000$ 170,000$ 170,000$ 912,024$ Total Capital Costs 412,024$ 160,000$ 170,000$ 170,000$ -$ -$ -$ -$ -$ -$ 912,024$ Section III
Funding Source(s) Prior Years FY 25/26
Estimate
FY 26/27
Budget
FY 27/28 FY 28/29 FY 29/30 FY 30/31 FY 31/32 FY 32/33 Future Yrs Total 303 - Measure K Fund 356,996$ 356,996$
302 - Gas Tax 2103 55,028$ 160,000$ 170,000$ 170,000$ 555,028$ Total Project Financing 412,024$ 160,000$ 170,000$ 170,000$ -$ -$ -$ -$ -$ 912,024$ Funding Sources/Methods of Financing
Estimated Project Costs
Section I:Description
Capital Improvement Program - Maintenance
Of the FY19/20 total, $47,790 (Const.ExtLabor) was carried forward, $81,000(contracts) and $9,000(Const.IntLabor) were FY 19/20 budgeted.

Additional Information
The traffic signals need to be maintained to be operational for traffic and pedestrian safety.

Justification/factor driving project
Provide traffic maintenance services including detector loop replacement, traffic signal cabinet and equipment repair/replacement, signal pole and signal head repair/replacement, and other related items of work.

Munis Project Code:

FY 2026-2027
Maintenance Proje Preventative PWST-0025
580
#40
District Nos: Citywide Project Length Priority Normal
Section II
Expenditure Prior Years FY 25/26
Estimate
FY 26/27
Budget
FY 27/28 FY 28/29 FY 29/30 FY 30/31 FY 31/32 FY 32/33 Future Yrs Total Contracts 320,080$ 75,000$ 75,000$ 75,000$ 545,080$ Internal Staff 682$ 682$
Miscellaneous 662$ 662$
Total Capital Costs 321,423$ 75,000$ 75,000$ 75,000$ -$ -$ -$ -$ -$ -$ 546,423$ Section III
Funding Source(s) Prior Years FY 25/26
Estimate
FY 26/27
Budget
FY 27/28 FY 28/29 FY 29/30 FY 30/31 FY 31/32 FY 32/33 Future Yrs Total 302 - Gas Tax 2103 198,849$ 75,000$ 75,000$ 75,000$ 423,849$ 305 - TDA - Streets 122,574$ 122,574$
Total Project Financing 321,423$ 75,000$ 75,000$ 75,000$ -$ -$ -$ -$ -$ -$ 546,423$ Funding Sources/Methods of Financing
Estimated Project Costs
Section I:Description
Capital Improvement Program - Maintenance
This is an annual contract. FY23/24 add $15K, 11-1-23 council Council action 11/1/23, add $15,000, Reso 2023-239
Additional Information
This project is to perform pavement crack seals on various streets in the City.

Justification/factor driving project
This project is to perform pavement crack seals on various streets in the City.

Munis Project Code:

FY 2026-2027
Maintenance Proje Annual Pav PWST-0018
581
#42
District Nos: 3 Project Length Priority Normal
Section II
Expenditure Prior Years FY 25/26
Estimate
FY 26/27
Budget
FY 27/28 FY 28/29 FY 29/30 FY 30/31 FY 31/32 Future Yrs Total Contracts 115,336$ 30,000$ 30,000$ 30,000$ 30,000$ 30,000$ 265,336$ Internal Staff 695$ 695$
Total Capital Costs 116,030$ 30,000$ 30,000$ 30,000$ 30,000$ 30,000$ -$ -$ -$ 266,030$ Section III
Funding Source(s) Prior Years FY 25/26
Estimate
FY 26/27
Budget
FY 27/28 FY 28/29 FY 29/30 FY 30/31 FY 31/32 Future Yrs Total 300 - Street Fund 86,030$ 86,030$
300 - Street Fund 30,000$ 30,000$ 30,000$ 30,000$ 30,000$ 30,000$ 180,000$ Total Project Financing 116,030$ 30,000$ 30,000$ 30,000$ 30,000$ 30,000$ -$ -$ -$ 266,030$ Funding Sources/Methods of Financing
Estimated Project Costs
Section I:Description
Capital Improvement Program - Maintenance
02/22/24 - prior history on PWST-0044, wich was closed to clean-up project history in Munis. FY 24/25 New FY's funded by $100K through Waste Management contract for downtown maintenance
Additional Information
To maintain a clean and inviting downtown atmosphere and to address increased cleaning needs resulting from the homeless population.

Justification/factor driving project
Cleaning of the downtown business area sidewalks.

Munis Project Code:

FY 2026-2027
Maintenance Proje wn Concrete PWST-24005
582
#43
District Nos: Citywide Project Length Ongoing Priority High Section II
Expenditure Prior Years FY 25/26
Estimate
FY 26/27
Budget
FY 27/28 FY 28/29 FY 29/30 FY 30/31 FY 31/32 Future Yrs Total Internal Staff 4,799,975$ 610,000$ 610,000$ 610,000$ 610,000$ 610,000$ 610,000$ 610,000$ 9,069,975$ Miscellaneous 817,413$ 230,000$ 247,000$ 230,000$ 230,000$ 230,000$ 230,000$ 230,000$ 2,444,413$ Contracts 314,332$ 30,000$ 68,000$ 30,000$ 30,000$ 30,000$ 30,000$ 30,000$ 562,332$ Total Capital Costs 5,931,720$ 870,000$ 925,000$ 870,000$ 870,000$ 870,000$ 870,000$ 870,000$ -$ 12,076,720$ Section III
Funding Source(s) Prior Years FY 25/26
Estimate
FY 26/27
Budget
FY 27/28 FY 28/29 FY 29/30 FY 30/31 FY 31/32 Future Yrs Total 501 - EU Outlay Capital Reserve Fund 5,931,720$ 870,000$ 925,000$ 870,000$ 870,000$ 870,000$ 870,000$ 870,000$ -$ 12,076,720$ Total Project Financing 5,931,720$ 870,000$ 925,000$ 870,000$ 870,000$ 870,000$ 870,000$ 870,000$ -$ 12,076,720$ Funding Sources/Methods of Financing
Estimated Project Costs
Section I:Description
Capital Improvement Program - Maintenance
Outside contracting for equipment such as a crane may be needed and is included in estimates below. FY 27 includes addition of $55K for dynamic line rating pilot project as well as ongoing funding for capacitor bank repair and replacement.

Additional Information
While historical efforts have focused on replacement of annealed copper conductors with aluminum conductor steel reinforced (ACSR), continuing efforts will focus on inspection of overhead infrastructure as well as replacement of poles, transformers, switches, and/or capacitor banks as needed.

Justification/factor driving project
Maintenance and improvements associated with the 12 kV overhead distribution system including but not limited to required inspections and pole replacements.Repairs and replacements to poles jointly owned by power and telecommunications are reimbursed in accordance with pole ownership shares and Northern California Joint Pole Association rules and guidelines.

Munis Project Code:

FY 2026-2027
Maintenance Project Title: kV Overhead Maintena EUCP-21002 583
#44
District Nos: Citywide Project Length Ongoing Ongoing Priority High Section II
Expenditure Prior Years FY 25/26
Estimate
FY 26/27
Budget
FY 27/28 FY 28/29 FY 29/30 FY 30/31 FY 31/32 Future Yrs Total Internal Staff 1,534,400$ 105,000$ 105,000$ 105,000$ 105,000$ 105,000$ 105,000$ 105,000$ 2,269,400$ Miscellaneous 1,195,998$ 160,000$ 160,000$ 160,000$ 160,000$ 160,000$ 160,000$ 160,000$ 2,315,998$ Contracts 398,765$ 100,000$ 100,000$ 100,000$ 100,000$ 100,000$ 100,000$ 100,000$ 1,098,765$ Total Capital Costs 3,129,162$ 365,000$ 365,000$ 365,000$ 365,000$ 365,000$ 365,000$ 365,000$ -$ 5,684,162$ Section III
Funding Source(s) Prior Years FY 25/26
Estimate
FY 26/27
Budget
FY 27/28 FY 28/29 FY 29/30 FY 30/31 FY 31/32 Future Yrs Total 501 - EU Outlay Capital Reserve Fund 3,129,162$ 365,000$ 365,000$ 365,000$ 365,000$ 365,000$ 365,000$ 365,000$ -$ 5,684,162$ Total Project Financing 3,129,162$ 365,000$ 365,000$ 365,000$ 365,000$ 365,000$ 365,000$ 365,000$ -$ 5,684,162$ 47212
Estimated Project Costs
Section I:Description
Capital Improvement Program - Maintenance
These ongoing maintenance efforts are necessary to increase operability and reliability and other underground electric infrastructure maintenance as needed.

Additional Information
These ongoing maintenance efforts include, but are not limited to, replacement of failed/end-of-life cable; replacement of cable due to engineering study of predictive failure; and installation/replacement of subsurface equipment with pad-mounted equipment.

Justification/factor driving project
Inspection and replacement of 12 kV underground infrastructure and other underground electric infrastructure maintenance as needed.

Munis Project Code:

FY 2026-2027
Maintenance Project Title: 12 kV Underground M EUCP-21006 584
#45
District Nos: Citywide Project Length Ongoing Priority Normal Section II
Expenditure Prior Years FY 25/26
Estimate
FY 26/27
Budget
FY 27/28 FY 28/29 FY 29/30 FY 30/31 FY 31/32 Future Yrs Total Internal Staff 134,861$ 25,000$ 25,000$ 25,000$ 25,000$ 25,000$ 25,000$ 25,000$ 309,861$ Miscellaneous 155,729$ 75,000$ 75,000$ 75,000$ 75,000$ 75,000$ 75,000$ 75,000$ 680,729$ Total Capital Costs 290,590$ 100,000$ 100,000$ 100,000$ 100,000$ 100,000$ 100,000$ 100,000$ -$ 990,590$ Section III
Funding Source(s) Prior Years FY 25/26
Estimate
FY 26/27
Budget
FY 27/28 FY 28/29 FY 29/30 FY 30/31 FY 31/32 Future Yrs Total 501 - EU Outlay Capital Reserve Fund 290,590$ 100,000$ 100,000$ 100,000$ 100,000$ 100,000$ 100,000$ 100,000$ -$ 990,590$ Total Project Financing 290,590$ 100,000$ 100,000$ 100,000$ 100,000$ 100,000$ 100,000$ 100,000$ -$ 990,590$ Funding Sources/Methods of Financing
Section I:Description
Capital Improvement Program - Maintenance
Additional Information
Ensuring streetlights are in working order by means of regular and ongoing maintenance is in the best interest of public safety.

Justification/factor driving project
Ongoing maintenance and repair of City streetlights, including but not limited to, repairs associated with theft and/or vandalism.

Munis Project Code:

FY 2025-2026
Maintenance Project Title:treetlight Maintenanc EUCP-21001 585
#46
District Nos: Citywide Project Length Ongoing Priority Normal Section II
Expenditure Prior Years FY 25/26
Estimate
FY 26/27
Budget
FY 27/28 FY 28/29 FY 29/30 FY 30/31 FY 31/32 Future Yrs Total Internal Staff 1,917,077$ 375,000$ 375,000$ 375,000$ 375,000$ 375,000$ 375,000$ 375,000$ 375,000$ 4,917,077$ Miscellaneous 2,115,438$ 375,000$ 375,000$ 375,000$ 375,000$ 375,000$ 375,000$ 375,000$ 375,000$ 5,115,438$ Total Capital Costs 4,032,515$ 750,000$ 750,000$ 750,000$ 750,000$ 750,000$ 750,000$ 750,000$ 750,000$ 10,032,515$ Section III
Funding Source(s) Prior Years FY 25/26
Estimate
FY 26/27
Budget
FY 27/28 FY 28/29 FY 29/30 FY 30/31 FY 31/32 Future Yrs Total 501 - EU Outlay Capital Reserve Fund 4,032,515$ 750,000$ 750,000$ 750,000$ 750,000$ 750,000$ 750,000$ 750,000$ 750,000$ 10,032,515$ Total Project Financing 4,032,515$ 750,000$ 750,000$ 750,000$ 750,000$ 750,000$ 750,000$ 750,000$ 750,000$ 10,032,515$ Funding Sources/Methods of Financing
Estimated Project Costs
Section I:Description
Capital Improvement Program - Maintenance
Additional Information
This work is invoiced and paid for by the requesting party with revenues returned to the Electric Utility operating fund.

Justification/factor driving project
Installation and/or expansion of electrical service infrastructure for new development and/or existing customers.

Munis Project Code:

FY 2026-2027
Maintenance Project Title: rk for Others - Reimbur EUCP-15004 586
Project Title: #47
District Nos: 4 Project Length Priority High
Expenditure Prior Years FY 25/26 Estimate FY 26/27
Budget
FY 27/28 FY 28/29 FY 29/30 FY 30/31 FY 31/32 Future Yrs Total Contracts 351,175$ 148,825$ 1,000,000$ 3,300,000$ 6,150,000$ 9,000,000$ 9,975,000$ 1,825,000$ 19,000,000$ 50,750,000$ Internal Staff -$ -$ -$ 300,000$ -$ -$ 125,000$ 25,000$ 1,200,000$ Miscellaneous -$ 1,500,000$ 1,500,000$ 1,700,000$ 6,000,000$ 4,500,000$ 8,400,000$ 13,710,000$ 300,000$ 37,610,000$ Total Capital Costs 351,175$ 1,648,825$ 2,500,000$ 5,300,000$ 12,150,000$ 13,500,000$ 18,500,000$ 15,560,000$ 20,500,000$ 88,360,000$ Funding Source(s) Prior Years FY 25/26 Estimate FY 26/27 Budget
FY 27/28 FY 28/29 FY 29/30 FY 30/31 FY 31/32 Future Yrs Total 501 - EU Outlay Capital Reserve Fund 351,175$ 1,648,825$ 2,500,000$ 5,300,000$ 12,150,000$ 13,500,000$ 18,500,000$ 15,560,000$ 20,500,000$ 90,010,000$ Total Project Financing 351,175$ 1,648,825$ 2,500,000$ 5,300,000$ 12,150,000$ 13,500,000$ 18,500,000$ 15,560,000$ 20,500,000$ 90,010,000$ Section II: Estimated Project Costs
Section III: Funding Sources/Methods of Financing
Capital Improvement Plan
FY 2026-2027
Phase I project costs are included and estimated through FY 2031. For FY 27, unused funds will roll from FY 26 and an additional appropriation of $2.5M will be needed to cover long lead time items; funded with reserves to be reimbursed from future financing efforts. Phase II will include approximately $21M post-2030 for a west side substation and 60 kV double circuit line. While the project will be budgeted for in the 501 Fund, once the Impact Fee St d is re ised an appropriate share ill be allocated to ne de elopment and paid b de elopment impact fees Additional Information
This project will provide additional transmission interconnection capacity and additional distribution facilities to serve Lodi's future load growth and will reduce transmission access charges by eliminating low voltage transmission charges paid by the utility each year. Once in service, the utility will reduce its low voltage transmission costs - the savings of which will be used to pay the annual debt service associated with the financing of this project.

Justification/factor driving project
Lodi's 230/60kV Substation Project consists of two 230/60kV transformers along with site improvements, facilities and equipment required for the interconnection to PG&E's new 230kV switching station and to Lodi's existing 60/12kV Industrial Substation. The project also includes modifications to Industrial Substation and 230kV additions to PG&E's switching station to complete the interconnection. The new substation will be located on undeveloped land adjacent to Industrial Substation with space allocated for the addition of a third transformer. This project will also include additional 60 kV distribution lines and 3 new substations to support future development. 230 kV Interconnection and 60 kV Distribution Additions EUCP-21010Munis Project Code:

Section I: Description Phase I Through 2030/Phase II Through 2034 587
Project Title: #123
District Nos: Citywide Project Length 6/30/2030 Priority Normal Expenditure Prior Years FY 25/26
Estimate
FY 26/27
Budget
FY 27/28 FY 28/29 FY 29/30 FY 30/31 FY 31/32 Future Yrs Total Internal Staff 5,000$ 120,000$ 120,000$ 120,000$ 120,000$ 60,000$ 545,000$ Contracts -$ -$ -$ -$ -$ Miscellaneous 11,151$ 30,000$ 30,000$ 30,000$ 30,000$ 15,000$ 146,151$ Total Capital Costs -$ 16,151$ 150,000$ 150,000$ 150,000$ 150,000$ -$ -$ 75,000$ 691,151$ Funding Source(s) Prior Years FY 25/26
Estimate
FY 26/27
Budget
FY 27/28 FY 28/29 FY 29/30 FY 30/31 FY 31/32 Future Yrs Total 501 - EU Outlay Capital Reserve Fund 16,151$ 150,000$ 150,000$ 150,000$ 150,000$ 75,000$ 691,151$ Total Project Financing -$ 16,151$ 150,000$ 150,000$ 150,000$ 150,000$ -$ -$ 75,000$ 691,151$ Section II: Estimated Project Costs
Section III: Funding Sources/Methods of Financing
Capital Improvement Plan
FY 2026-2027
Load Tap Changers are the non-static devices connected to the station transformers that keep the voltage steady as the system load increases and decreases. Transformer bushings connect conductors to lower voltage to system levels. Professional oversight services will perform all major repairs and replacements with internal staff assistance. Efforts on this project have been pushed out a year to focus on higher priority substation related efforts. FY 27 includes funding to increase to $150K/year to reduce project time by half (4 years vs. 8 years).

Additional Information
Load Tap Changers coming to end of lifetime operations. Refurbishing them will extend the life of station transformers and possibly avoid catastrophic equipment failures. Phase I of this project will postpone the need to replace the Killelea Bank 2 Power Transformer previously planned for FY 21. For Phase II, 2 Load Tap Changers are leaking oil, one into the transformer and one from the gearbox - requiring maintenance and remediation. Transformer bushings have also been found to be in need of replacement.

Justification/factor driving project
Phase I of this project includes refurbishing 3 Load Tap Changers - Henning Substation - (2) - UZD Style, Killelea Substation - (1) - UTT Style; Phase II includes refurbishing 2 Load Tap Changers and oil leaks as well as replacing vacuum bottles at Industrial Substation Bank #3 and McLane Substation Bank 1 in addition to replacing 1 set of transformer bushings at Henning Substation Bank #2.

Phase III includes upgrading all eight (8) LTC controllers and installing tap position sensors to provide greater monitoring and operability of all substation LTC's. This controller will match our current standard of equipment going forward.

Substation Load Tap Chg EUCP-21009Munis Project Code:

Section I: Description
588
Project Title: #196
Section I: Description District Nos: Citywide Project Length Through 6/30/2029 Priority High Section II: Estimated Project Costs
Expenditure Prior Years FY 25/26
Estimate
FY 26/27
Budget
FY 27/28 FY 28/29 FY 29/30 FY 29/30 FY 30/31 Future Yrs Total Internal Staff 208,338$ 349,854$ 95,000$ 70,000$ 70,000$ 793,192$ Contracts 514,734$ 385,571$ 40,000$ 30,000$ 30,000$ 1,000,305$ Miscellaneous 93,147$ 268,308$ 115,000$ 100,000$ 100,000$ 676,455$ Total Capital Costs 816,219$ 1,003,733$ 250,000$ 200,000$ 200,000$ -$ -$ -$ -$ 2,469,952$ Section III: Funding Sources/Methods of
Funding Source(s) Prior Years FY 25/26
Estimate
FY 26/27
Budget
FY 27/28 FY 28/29 FY 29/30 FY 29/30 FY 30/31 Future Yrs Total 501 - EU Outlay Capital Reserve Fund 816,219$ 1,003,733$ 250,000$ 200,000$ 200,000$ 2,469,952$ Total Project Financing 816,219$ 1,003,733$ 250,000$ 200,000$ 200,000$ -$ -$ -$ -$ 2,469,952$ Capital Improvement Plan
FY 2026-2027
Funding added for FY 27 to include $50K for Henning Breaker Replacement Bus PT Upgrades Additional Information
Per Pacific Gas and Electric (PG&E), the City's incoming relay protection within Industrial Substation has significant coordination (device-to-device safety) issues that results in slower clearing times and reduced reliability for all of Lodi Electric Utility's (LEU) power supply. In addition, incoming power supply protection is outdated at multiple sites. Substation modernization and standardization will upgrade and standardize all remaining protection and control devices, remote terminal units, and accompanied SCADA screens. Modernizing and standardizing substation equipment will not only increase asset reliability and protection, but will also allow for greater field worker safety due to the increased protection capabilities built into the equipment, proven at McLane Substation. The standardization process will eliminate the need to stock multiple vendor equipment types, while also increasing LEU Technician understanding and familiarity of single-vendor equipment throughout all substations.

Henning Substation requires the immediate replacement of its 60 kV relays and communication infrastructure, as well as the scheduled replacement of each 12 kV Westinghouse breaker. Each breaker, when replaced, will also require a new, standardized, protection relay. These efforts work in tandem. Additional funds have also been added to complete the Killelea upgrade work.

Justification/factor driving project
The purpose of ths multi-year project is to upgrade and modernize three of the four total substations with modern protection devices to replace outdated and end-of-life equipment. The modernization will allow for greater protection and visibility of highly valuable substation equipment as well as the coordination of protection and power supply between Pacific Gas and Electric and Lodi Electric Utility.

Substation Relay Modern EUCP-22005Munis Project Code:
589
#245
District Nos: Citywide Project Length Ongoing Priority Normal Section II
Expenditure Prior Years FY 25/26
Estimate
FY 26/27
Budget
FY 27/28 FY 28/29 FY 29/30 FY 30/31 FY 31/32 Future Yrs Total Internal Staff 4,047$ 135,000$ 110,000$ 100,000$ 100,000$ 100,000$ 100,000$ 100,000$ 749,047$ Miscellaneous 395,414$ 130,000$ 125,000$ 100,000$ 100,000$ 100,000$ 100,000$ 100,000$ 1,150,414$ Contracts 90,429$ 75,000$ 155,000$ 75,000$ 75,000$ 75,000$ 75,000$ 75,000$ 470,429$ Total Capital Costs 489,890$ 340,000$ 390,000$ 275,000$ 275,000$ 275,000$ 275,000$ 275,000$ -$ 2,369,890$ Section III
Funding Source(s) Prior Years FY 25/26
Estimate
FY 26/27
Budget
FY 27/28 FY 28/29 FY 29/30 FY 30/31 FY 31/32 Future Yrs Total 501 - EU Outlay Capital Reserve Fund 489,890$ 340,000$ 390,000$ 275,000$ 275,000$ 275,000$ 275,000$ 275,000$ 2,594,890$ Total Project Financing 489,890$ 340,000$ 390,000$ 275,000$ 275,000$ 275,000$ 275,000$ 275,000$ -$ 2,594,890$ Funding Sources/Methods of Financing
Estimated Project Costs
Section I:Description
Capital Improvement Program - Maintenance
Improves substation facility safety and security by adding concrete walkways, switch grounding pads, security cameras, lighting, and replacing old fixtures inside control room and perimeter lighting.

Additional annual items, specific to substations include annual SF6 gas leak detection, annual SF6 gas testing and training, online DGA oil and gas analysis and further understanding to determine equipment health as well as SF6 gas removal, handling and disposal if necessary. FY 27 includes addition of $50K for fencing repairs/replacement at Industrial Substation as well as $50K for Industrial and McLane ground grid testing and $15K for McLane battery bank.

Additional Information
Provides more accurate tracking and record keeping for annual reports and maintenance records. Will provide critical information on transformer condition and lifespan for furure replacement planning.

Provides for a LTC inspections and addresses miscellaneous facility improvements.

Justification/factor driving project
Substation maintenance including but not limited to: substation power transformer testing; DGA oil testing for power transformers and load tap changers (LTCs) and materials/equipment not covered or tracked as part of a specific project. Also provides for LTC testing in year five (5) of the cycle and other miscellaneous substation maintenance and improvement projects to address access, safety and security.

Munis Project Code:

FY 2026-2027
Maintenance Project Title: Substation Intrusive M EUCP-23001 590
Project Title: #296
Section I: Description District Nos: Citywide Project Length 2024-2025 Through 6/30/2027 Priority High Section II: Estimated Project Costs
Expenditure Prior Years FY 25/26
Estimate
FY 26/27
Budget
FY 27/28 FY 28/29 FY 29/30 FY 30/31 FY 31/32 Future Yrs Total Internal Staff 120,327$ 26,603$ 26,000$ 172,930$ Miscellaneous 323,966$ 10,000$ 333,966$
Contracts 42,057$ 100,000$ 142,057$
Total Capital Costs 486,350$ 26,603$ 136,000$ -$ -$ -$ -$ -$ -$ 648,953$ Section III: Funding Sources/Methods of Financing
Funding Source(s) Prior Years FY 25/26
Estimate
FY 27/28
Budget
FY 28/29 FY 29/30 FY 30/31 FY 31/32 FY 32/33 Future Yrs Total 501 - EU Outlay Capital Reserve Fund 486,350$ 26,603$ 136,000$ -$ -$ 648,953$ Total Project Financing 486,350$ 26,603$ 136,000$ -$ -$ -$ -$ -$ -$ 648,953$ Capital Improvement Plan
FY 2026-2027
Additional funding of $136K added for FY 27 for Henning breaker replacement. Savings will be realized if repair can be completed.

Additional Information
Replacements/upgrades are needed for preventative maintenance and reliability improvement, as well to avoid greenhouse gas releases, aligning with California Air Resources Board (CARB) regulations. Amid scheduled maintenance, a combination of SF6 and oil breakers have had parts replaced with identified wear that will eventually cause equipment failure and non-operation.

Justification/factor driving project
Replacement of SF6 and oil breakers at various substation locations, as needed. 60 kV Breaker Upgrades and Rep EUCP-24001Munis Project Code:
591
Project Title: CIP List Proj #334
Section I: Description District Nos: Citywide Project Length Priority High Section II: Estimated Project Costs
Expenditure Prior Years FY 25/26
Estimate
FY 26/27
Budget
FY 27/28 FY 28/29 FY 29/30 FY 30/31 FY 31/32 Future Yrs Total Contracts -$ 35,000$ 50,000$ 50,000$ 50,000$ 185,000$ Total Capital Costs -$ 35,000$ 50,000$ 50,000$ 50,000$ -$ -$ -$ -$ 185,000$ Section III: Funding Sources/Methods of Financing
Funding Source(s) Prior Years FY 25/26
Estimate
FY 26/27
Budget
FY 27/28 FY 28/29 FY 29/30 FY 30/31 FY 31/32 Future Yrs Total 501 - EU Outlay Capital Reserve Fund -$ 35,000$ 50,000$ 50,000$ 50,000$ 185,000$ Total Project Financing -$ 35,000$ 50,000$ 50,000$ 50,000$ -$ -$ -$ -$ 185,000$ Capital Improvement Plan
FY 2026-2027
FY 27 - FY 29 costs include implementation of recommendations from the initial assessment.

Additional Information
The electric grid is a critical system requiring safe, reliable, and an expected uptime near 100% for all customers. With the increased deployment of microprocessor relays and remote terminal units, cyber attacks become greater threats to substation and line equipment and operating workstations within the SCADA network. This phased cybersecurity process will work to create a system risk assessment, and the meaningful steps to ensuring processes are laid out to determine required hardware and software components to adequately monitor the SCADA/OT network separate that of the IT network, eventual emergency preparedness and plans, and future planning.

Utilizing LEU's consulting cybersecurity team, LEU can work with existing hardware and software suppliers to ensure a comprehensive approach beyond the implementation of basic equipment. Costs for future phases will be better defined following completion of the risk assessment
Justification/factor driving project
Enhancement of the SCADA and substation relay network utilizing a phased-approach. Initial phase will be centered around system assessment and risk and in determining where the network can improve both physically and network- focused. LEU has begun the process of improving cybersecurity by replacing all non-managed and vintage fiber switches to software defined fiber switches that are both managed and deny-by-default.

Performing an assessment will continue to allow for a systematic approach on improving the system while also laying out the steps of system restoration in emergency scenarios, understanding intrusion points or areas of concern, and providing a path to have step-by-step processes in place.

Electric Utility Cyber Security EUCP-26002Munis Project Code:
07/2025-06/2029
592
#69
District Nos: All Project Length Priority Normal
Section II
Expenditure Prior Years FY 25/26
Estimate
FY 26/27
Budget
FY 27/28 FY 28/29 FY 29/30 FY 30/31 FY 31/32 Future Yrs Total Contracts 444,227$ 125,000$ 125,000$ 125,000$ 125,000$ 944,227$ Internal Staff 2,427$ 2,427$
Total Capital Costs 446,654$ 125,000$ 125,000$ 125,000$ 125,000$ -$ -$ -$ -$ 946,654$ Section III
Funding Source(s) Prior Years FY 25/26
Estimate
FY 26/27
Budget
FY 27/28 FY 28/29 FY 29/30 FY 30/31 FY 31/32 Future Yrs Total 561 - Water Capital Outlay 446,654$ 125,000$ 125,000$ 125,000$ 125,000$ 946,654$ Total Project Financing 446,654$ 125,000$ 125,000$ 125,000$ 125,000$ -$ -$ -$ -$ 946,654$ Funding Sources/Methods of Financing
Estimated Project Costs
Section I:Description
Capital Improvement Program - Maintenance
Additional Information
Improvements are required to ensure that the water system functions as designed; preventing water loss; adequate fire protection; and maintaining water quality.

Justification/factor driving project
Repair and upgrade various components of existing water system including water taps (individual customer service) and water mains. These would be new improvements that would not be previously included in the City's Water Master Plan (2012). Locations to be determined once additional analysis is performed.

Munis Project Code:

FY 2026-2027
Maintenance Proje Water Tap PWWA-0007
593
#76
District Nos: All Project Length Priority
Section II
Expenditure Prior Years FY 25/26
Estimate
FY 26/27
Budget
FY 27/28 FY 28/29 FY 29/30 FY 30/31 FY 31/32 Future Yrs Total Internal Staff 82,405$ 5,000$ 5,000$ 92,405$ Contracts 197,158$ 210,000$ 120,000$ 527,158$ Miscellaneous 65,814$ -$ -$ 65,814$ Total Capital Costs 345,377$ 215,000$ 125,000$ -$ -$ -$ -$ -$ -$ 685,377$ Section III
Funding Source(s) Prior Years FY 25/26
Estimate
FY 26/27
Budget
FY 27/28 FY 28/29 FY 29/30 FY 30/31 FY 31/32 Future Yrs Total 565 - PCE Rate Abatement 305,377$ 215,000$ 85,000$ 605,377$ 590 - Central Plume 10,000$ -$ 10,000$ 20,000$ 591 - Southern Plums 10,000$ -$ 10,000$ 20,000$ 593 - Northern Plume 10,000$ -$ 10,000$ 20,000$ 594 - South Central Western Plume 10,000$ -$ 10,000$ 20,000$ Total Project Financing 345,377$ 215,000$ 125,000$ -$ -$ -$ -$ -$ -$ 685,377$ Funding Sources/Methods of Financing
Estimated Project Costs
Section I:Description
Capital Improvement Program - Maintenance
Additional Information
Justification/factor driving project
PCE/TCE plume management, Regional Water Quality Control Board (RWQCB) and City staff oversight costs.

Munis Project Code:

FY 2026-2027
Maintenance Project Title PCE/TCE Oversight PWWA-0052
594
Project Title: #146
District Nos: Project Length Priority
Expenditure Prior Years FY 25/26
Estimate
FY 26/27
Budget
FY 27/28 FY 28/29 FY 29/30 FY 30/31 FY 31/32 Future Yrs Total Internal Staff 28,309$ 25,000$ 25,000$ 25,000$ 103,309$ Total Capital Costs 28,309$ 25,000$ 25,000$ 25,000$ -$ -$ -$ -$ -$ 103,309$ Funding Source(s) Prior Years FY 25/26
Estimate
FY 26/27
Budget
FY 27/28 FY 28/29 FY 29/30 FY 30/31 FY 31/32 Future Yrs Total 531 - Wastewater Capital Outlay 28,309$ 25,000$ 25,000$ 25,000$ 103,309$ Total Project Financing 28,309$ 25,000$ 25,000$ 25,000$ -$ -$ -$ -$ -$ 103,309$ Section II: Estimated Project Costs
Section III: Funding Sources/Methods of Financing
Capital Improvement Plan
FY 2026-2027
Additional Information
Justification/factor driving project
Staff time associated with project planning and oversight on projects that may arise that are not included in the budgeted CIP. water Project P PWWW-21002Munis Project Code:

Section I: Description
595
Project Title: #160
District Nos: All Project Length Priority
Expenditure Prior Years FY 25/26
Estimate
FY 26/27
Budget
FY 27/28 FY 28/29 FY 29/30 FY 30/31 FY 31/32 Future Yrs Total Internal Staff 94,798$ 25,000$ 25,000$ 25,000$ 25,000$ 194,798$ Miscellaneous 5,323$ 5,323$
Total Capital Costs 100,121$ 25,000$ 25,000$ 25,000$ 25,000$ -$ -$ -$ -$ 200,121$ Funding Source(s) Prior Years FY 25/26
Estimate
FY 26/27
Budget
FY 27/28 FY 28/29 FY 29/30 FY 30/31 FY 31/32 Future Yrs Total 561 - Water Capital Outlay 100,121$ 25,000$ 25,000$ 25,000$ 25,000$ 200,121$ Total Project Financing 100,121$ 25,000$ 25,000$ 25,000$ 25,000$ -$ -$ -$ -$ 200,121$ Section II: Estimated Project Costs
Section III: Funding Sources/Methods of Financing
Capital Improvement Plan
FY 2026-2027
Additional Information
Justification/factor driving project
Staff time associated with project planning and oversight on projects that may arise that are not included in the budgeted CIP. r Project Pla PWWA-21001Munis Project Code:

Section I: Description
596
#177
District Nos: Citywide Project Length Priority Normal
Section II
Expenditure Prior Years FY 25/26
Estimate
FY 26/27
Budget
FY 27/28 FY 28/29 FY 29/30 FY 30/31 FY 31/32 Future Yrs Total Contracts 184,484$ 50,000$ 50,000$ 50,000$ 50,000$ 50,000$ 334,484$ Total Capital Costs 184,484$ 50,000$ 50,000$ 50,000$ 50,000$ 50,000$ -$ -$ -$ 334,484$ Section III
Funding Source(s) Prior Years FY 25/26
Estimate
FY 26/27
Budget
FY 27/28 FY 28/29 FY 29/30 FY 30/31 FY 31/32 Future Yrs Total 302 - Gas Tax 2103 94,041$ 50,000$ 50,000$ 50,000$ 50,000$ 50,000$ 244,041$ 305 - TDA - Streets 90,443$ -$ -$ -$ -$ -$ 90,443$ Total Project Financing 184,484$ 50,000$ 50,000$ 50,000$ 50,000$ 50,000$ -$ -$ -$ 334,484$ Funding Sources/Methods of Financing
Estimated Project Costs
Section I:Description
Capital Improvement Program - Maintenance
New CIP submittal, prior contract was under PWST-0022
Additional Information
This is an annual asphalt concrete material purchase program for PW staff to repair minor defects in street pavement Justification/factor driving project
This project is to purchase asphalt concrete materials for street pavement maintenance Munis Project Code:

FY 2026-2027
Maintenance Proje Annual Pav PWST-22003
597
Project Title: #285
Section I: Description District Nos: Citywide Project Length Priority Section II: Estimated Project Costs
Expenditure Prior Years FY 25/26
Estimate
FY 26/27
Budget
FY 27/28 FY 28/29 FY 29/30 FY 30/31 FY 31/32 Future Yrs Total Contracts 100,000$ 50,000$ 50,000$ 50,000$ 250,000$ Total Capital Costs 100,000$ 50,000$ 50,000$ 50,000$ -$ -$ -$ -$ -$ 250,000$ Section III: Funding Sources/Methods of Financing
Funding Source(s) Prior Years FY 25/26
Estimate
FY 26/27
Budget
FY 27/28 FY 28/29 FY 29/30 FY 30/31 FY 31/32 Future Yrs Total 302 - Gas Tax 2103 100,000$ 50,000$ 50,000$ 50,000$ 250,000$ Total Project Financing 100,000$ 50,000$ 50,000$ 50,000$ -$ -$ -$ -$ -$ 250,000$ Capital Improvement Plan
FY 2026-2027
Additional Information
This project will increase safety for pedestrian crossing street especically in high traffic area and school zone.

Justification/factor driving project
This project will install rectanglar rapid flashing beacons (RRFBs) at certain pedestrian crossing locations especially around school site.

Rapid Flashing Beacon PWST-24002Munis Project Code:
598
Project Title: CIP List Proj #331
Section I: Description District Nos: 2 Project Length Priority Section II: Estimated Project Costs
Expenditure Prior Years FY 25/26
Estimate
FY 26/27
Budget
FY 27/28 FY 28/29 FY 29/30 FY 30/31 FY 31/32 Future Yrs Total Contracts -$ -$ 35,000$ 290,000$ 325,000$ Internal Staff -$ -$ 5,000$ 5,000$ Total Capital Costs -$ -$ 40,000$ 290,000$ -$ -$ -$ -$ -$ 330,000$ Section III: Funding Sources/Methods of Financing
Funding Source(s) Prior Years FY 25/26
Estimate
FY 26/27
Budget
FY 27/28 FY 28/29 FY 29/30 FY 30/31 FY 31/32 Future Yrs Total 302 - Gas Tax 2103 -$ -$ 40,000$ 290,000$ 330,000$ Total Project Financing -$ -$ 40,000$ 290,000$ -$ -$ -$ -$ -$ 330,000$ Capital Improvement Plan
FY 2026-2027
Additional Information
Justification/factor driving project
Provide protected left turn for north and southbound
Ham/Turner Signal Improvements PWST-26003Munis Project Code:
599
CiP List Proj #344
District Nos: All Project Length Priority
Section II
Expenditure Prior Years FY 24/25
Estimate
FY 25/26
Budget
FY 26/27 FY 27/28 FY 28/29 FY 29/30 Future Yrs Total
Contracts -$ 225,000$ 150,000$ N/A 375,000$ -$ N/A -$
-$ N/A -$
-$ N/A -$
Total Capital Costs -$ -$ 225,000$ 150,000$ -$ -$ -$ N/A 375,000$ Section III
Funding Source(s) Prior Years FY 24/25
Estimate
FY 25/26
Budget
FY 26/27 FY 27/28 FY 28/29 FY 29/30 Future Yrs Total
303 - Measure K Fund -$ 100,000$ 100,000$ N/A 200,000$ 331 - LTF-Pedestrian/Bike -$ 125,000$ 50,000$ N/A 175,000$ -$ N/A -$
-$ N/A -$
Total Project Financing -$ -$ 225,000$ 150,000$ -$ -$ -$ N/A 375,000$ Funding Sources/Methods of Financing
Estimated Project Costs
Section I:Description
Capital Improvement Program - Maintenance
Additional Information
Justification/factor driving project
Annual contract for sidewalk and miscellaneous concrete repairs in the City.

Munis Project Code:

FY 2025-2026
Maintenance Proje Sidewalk Repairs PWST-26001
600
Project Title: CIP List Proj #
Section I: Description District Nos: All Project Length Priority Section II: Estimated Proje
Expenditure Prior Years FY 25/26
Estimate
FY 26/27
Budget
FY 27/28 FY 28/29 FY 29/30 FY 30/31 FY 31/32 FY 32/33 Future Yrs Total Contracts -$ -$ 750,000$ 750,000$ Total Capital Costs -$ -$ 750,000$ -$ -$ -$ -$ -$ -$ -$ 750,000$ Section III: Funding Source
Funding Source(s) Prior Years FY 25/26
Estimate
FY 26/27
Budget
FY 27/28 FY 28/29 FY 29/30 FY 30/31 FY 31/32 FY 32/33 Future Yrs Total 531 - Wastewater Capital Out -$ -$ 750,000$ 750,000$ Total Project Financing -$ -$ 750,000$ -$ -$ -$ -$ -$ -$ -$ 750,000$ Capital Improvement Plan
FY 2026-2027
Additional Information
The blower system was evaluated to determine a more economical feasible option for meeting the aeration needs. The evaluation determined that four options would present a significant energy savings over the existing blowers.

Justification/factor driving project
Upgrade the blowers at White Slough Water Pollution Control Facility to decrease inefficiencies and significant wasted energy Upgrade Blowers Munis Project Code:
601
Project Title: CIP List Proj #
Section I: Description District Nos: 3 Project Length Priority Section II: Estimated Project Costs
Expenditure Prior Years FY 24/25
Estimate
FY 25/26
Budget
FY 26/27 FY 27/28 FY 28/29 FY 29/30 Future Yrs Total
-$ 80,000$ 10,000$ 90,000$ -$ -$
-$ -$
-$ -$
-$ -$
Total Capital Costs -$ -$ 80,000$ 10,000$ -$ -$ -$ -$ 90,000$ Section III: Funding Sources/Methods of Financing
Funding Source(s) Prior Years FY 24/25
Estimate
FY 25/26
Budget
FY 25/26 FY 26/27 FY 27/28 FY 29/30 Future Yrs Total
601 - Transit - Capital -$ 80,000$ 10,000$ 90,000$ -$ -$
-$ -$
-$ -$
Total Project Financing -$ -$ 80,000$ 10,000$ -$ -$ -$ -$ 90,000$ Capital Improvement Plan
FY 2025-2026
Project will be funded with TDA and State of Good Repair (SGR) funds.

Additional Information
The Transit Station Parking Structure roof has not been replaced since the structure was built over 20 years ago. The roof and elevators are in need of resealing, and the Pine Street stairs are in need of concrete epoxy to minimize water intrusion to the quipment room below.

Justification/factor driving project
Replacement of Parking Structure roof and stairwell repair.

Parking Structure Roof & Stairwell Repair Munis Project Code:
602
Project Title: CIP List Proj #
Section I: Description District Nos: Project Length Priority Section II: Estimated Project Costs
Expenditure Prior Years FY 25/26
Estimate
FY 26/27
Budget
FY 27/28 FY 28/29 FY 29/30 FY 30/31 FY 31/32 Future Yrs Total Contracts -$ 6,000$ 6,000$
-$ -$
Total Capital Costs -$ -$ 6,000$ -$ -$ -$ -$ -$ -$ 6,000$ Section III: Funding Sources/Methods of Financing
Funding Source(s) Prior Years FY 25/26
Estimate
FY 26/27
Budget
FY 27/28 FY 28/29 FY 29/30 FY 30/31 FY 31/32 Future Yrs Total 434- Art in Public Places-IMF -$ 6,000$ 6,000$ -$ -$
Total Project Financing -$ -$ 6,000$ -$ -$ -$ -$ -$ -$ 6,000$ Capital Improvement Plan
FY 2026-2027
Additional Information
Justification/factor driving project
The goal of this project is to place decorated pianos in public spaces throughout the City of Lodi, allowing community members to interact with art in a hands-on and musical way.The project will consist of Five (5) pianos @ $600 each, and paying each artist $600 to paint, totalling $1200 per piano. 5 Pianos @ $1200 each will total $6000 Painted Piano Project Munis Project Code:
603
Project Title: CIP List Proj #
Section I: Description District Nos: Project Length Priority High Section II: Estimated Proje
Expenditure Prior Years FY 23/24
Estimate
FY 24/25
Budget
FY 25/26 FY 26/27 FY 27/28 FY 28/29 Future Yrs Total
Contracts -$ 35,000$ 300,000$ 335,000$ Internal Staff -$ 5,000$ 5,000$ -$ -$
-$ -$
-$ -$
Total Capital Costs -$ -$ -$ 40,000$ 300,000$ -$ -$ -$ 340,000$ Section III: Funding Source
Funding Source(s) Prior Years FY 23/24
Estimate
FY 24/25
Budget
FY 25/26 FY 26/27 FY 27/28 FY 28/29 Future Yrs Total
432 - Parks&Rec Capital -$ 40,000$ 300,000$ 340,000$ -$ -$
-$ -$
-$ -$
Total Project Financing -$ -$ -$ 40,000$ 300,000$ -$ -$ -$ 340,000$ Capital Improvement Plan
FY 2025-2026
Investigations by Siegfried Engineering, Inc. (SEI) and Pacific Coast Leak Detection (PCL), identified active seepage through the deep-end concrete shell. Technical assessments revealed:  Sub-Structural Fractures: Multiple stress fractures exist within the gunite substrate, likely obscured by the existing fiberglass overlay. Permeation Pathways: Hydrostatic pressure is forcing water through compromised pipe penetrations or voids, leading to localized spalling and oxidation of the reinforcing steel (rebar). Acoustic Analysis: Hydrophone testing by PCL confirmed that while the structural fractures are significant enough for water migration, they remain subsurface and require targeted injection rather than simple topical sealing. This project’s proposed remediation serves as a medium-term structural solution (estimated 5-year service life) until a comprehensive remodel and plaster resurfacing can be phased into the Capital Improvement Plan.

Additional Information
Following draining and refilling of the pool for maintenance purposes, multiple cracks in the structural concrete pool shell were leaking water into the storage/equipment room below.

The pool has been closed since February 2026.

Justification/factor driving project
The first phase of this project will provide specialized structural concrete remediation at the Hutchins Street Square Pool (Pool), utilizing pressure epoxy injection to restore the monolithic integrity of the concrete shell and mitigate hydrostatic leakage.

HSS Pool Repair Munis Project Code:
604
Project Title:

District Nos: Citywide Project Length Priority
Expenditure Prior Years FY 25/26
Estimate
FY 26/27
Budget
FY 27/28 FY 28/29 FY 29/30 FY 30/31 FY 31/32 Future Yrs Total Contracts -$ 78,000$ 78,000$
Total Capital Costs -$ -$ 78,000$ -$ -$ -$ -$ -$ -$ 78,000$ Funding Source(s) Prior Years FY 25/26
Estimate
FY 26/27
Budget
FY 27/28 FY 28/29 FY 29/30 FY 30/31 FY 31/32 Future Yrs Total 355 - Community Grants -$ 78,000$ 78,000$ Total Project Financing -$ -$ 78,000$ -$ -$ -$ -$ -$ -$ 78,000$ Section II: Estimated Project Costs
Section III: Funding Sources/Methods of Financing
Capital Improvement Plan
FY 2026-2027
Main Street/BHS - $3,000 x 12months =$36,000, Access Center/SJ Health - $3,500 x 12 months = 42,000. Agreements will be for 20 years, but will add funds annually.

Additional Information
Funding is received through annual lease payments from Behavioral Health Services and San Joaquin Health for Main Street and Access Center Programs. As funding may be used flexibly, as appropriate, to support costs associated with facility use, deferred maintenance, and operating expenses aligned with the capital purpose of the project.Requesting one central location for those lease payments for ease of use on an as needed basis for Community Development facilities instead of keeping the other CIP projects open long term after the construction/rehabilitation is complete.

Justification/factor driving project
Funding received supports ongoing maintenance costs including deferred maintenance and capital renewal activities to support facility use, including operating expenses consistent with the capital purpose of the project.

CDD-NS CIP Munis Project Code:

Section I: Description 6/30/2027
605
Project Title: CIP List Proj #
Section I: Description District Nos: Citywide Project Length Priority High Section II: Estimated Project Costs
Expenditure Prior Years FY 25/26
Estimate
FY 26/27
Budget
FY 27/28 FY 28/29 FY 29/30 FY 30/31 Future Yrs Total
Contracts -$ 300,000$ 300,000$
-$ -$
-$ -$
-$ -$
-$ -$
Total Capital Costs -$ -$ 300,000$ -$ -$ -$ -$ -$ 300,000$ Section III: Funding Sources/Methods of Financing
Funding Source(s) Prior Years FY 25/26
Estimate
FY 26/27
Budget
FY 26/27 FY 27/28 FY 29/30 FY 30/31 Future Yrs Total
601 - Transit - Capital -$ 300,000$ 300,000$ -$ -$
-$ -$
-$ -$
Total Project Financing -$ -$ 300,000$ -$ -$ -$ -$ -$ 300,000$ Capital Improvement Plan
FY 2026-2027
Project will be paid for with Federal FTA 5307 and Transportation Development Act (TDA) funds.

Additional Information
The City's bus stops are in need of significant repairs due to vandalism, wear-and-tear and age. City Facilities staff and facility contractors have worked to fix broken/stolen lighting equipment, broken mesh panels on bus shelters, etc, but an overall clean-up of the whole system, including fixing outdated signage, vandal-proofing lighting and trash receptacles, as well as improving ADA accessibility and path of travel, are important to ensure safe and reliable transit services and amenities. This project will also tie in bus stop modifications as recommended in the Short Range Transit Plan update.

Justification/factor driving project
Repair of existing bus stop signage, shelters, lighting and amenities, as well as improved ADA path of travel to bus stops.

Bus Stop Improvement Project Munis Project Code:
606
Project Title: CIP List Proj #
Section I: Description District Nos: 3 Project Length Priority Section II: Estimated Project Costs
Expenditure Prior Years FY 25/26
Estimate
FY 26/27
Budget
FY 27/28 FY 28/29 FY 29/30 FY 30/31 Future Yrs Total
Contracts -$ 60,000$ 60,000$
-$ -$
-$ -$
-$ -$
-$ -$
Total Capital Costs -$ -$ 60,000$ -$ -$ -$ -$ -$ 60,000$ Section III: Funding Sources/Methods of Financing
Funding Source(s) Prior Years FY 25/26
Estimate
FY 26/27
Budget
FY 26/27 FY 27/28 FY 29/30 FY 30/31 Future Yrs Total
431 - Capital Outlay/General Fund -$ 60,000$ 60,000$ -$ -$
-$ -$
-$ -$
Total Project Financing -$ -$ 60,000$ -$ -$ -$ -$ -$ 60,000$ Capital Improvement Plan
FY 2026-2027
Additional Information
Justification/factor driving project
The Carnegie sewer pumps have passed their useful life and replacement parts are no longer available. This project will replace the pumps that serve all of the bathrooms and sinks in the Carnegie Forum.

Carnegie Sewer Pumps Munis Project Code:
607
Project Title: CIP List Proj #
Section I: Description District Nos: 3 Project Length Priority Section II: Estimated Project Costs
Expenditure Prior Years FY 25/26
Estimate
FY 26/27
Budget
FY 27/28 FY 28/29 FY 29/30 FY 30/31 Future Yrs Total
Contracts -$ 40,000$ 40,000$
-$ -$
-$ -$
-$ -$
-$ -$
Total Capital Costs -$ -$ 40,000$ -$ -$ -$ -$ -$ 40,000$ Section III: Funding Sources/Methods of Financing
Funding Source(s) Prior Years FY 25/26
Estimate
FY 26/27
Budget
FY 26/27 FY 27/28 FY 29/30 FY 30/31 Future Yrs Total
431 - Capital Outlay/General Fund -$ 40,000$ 40,000$ -$ -$
-$ -$
-$ -$
Total Project Financing -$ -$ 40,000$ -$ -$ -$ -$ -$ 40,000$ Capital Improvement Plan
FY 2026-2027
Additional Information
Justification/factor driving project
The City Hall boiler has a large exhaust vent that runs from the basement to the roof. This vent is leaking, causing the water to flood the mechanical room in the basement and causing damage to other items in the area. This project will repair/replace the exhaust vent.

City Hall Boiler Exhause Repair Munis Project Code:
608
Project Title: CIP List Proj #
Section I: Description District Nos: 3 Project Length Priority Section II: Estimated Project Costs
Expenditure Prior Years FY 25/26
Estimate
FY 26/27
Budget
FY 27/28 FY 28/29 FY 29/30 FY 30/31 Future Yrs Total
Contracts -$ 300,000$ 300,000$
-$ -$
-$ -$
-$ -$
-$ -$
Total Capital Costs -$ -$ 300,000$ -$ -$ -$ -$ -$ 300,000$ Section III: Funding Sources/Methods of Financing
Funding Source(s) Prior Years FY 25/26
Estimate
FY 26/27
Budget
FY 26/27 FY 27/28 FY 29/30 FY 30/31 Future Yrs Total
431 - Capital Outlay/General Fund -$ 300,000$ 300,000$ -$ -$
-$ -$
-$ -$
Total Project Financing -$ -$ 300,000$ -$ -$ -$ -$ -$ 300,000$ Capital Improvement Plan
FY 2026-2027
Additional Information
Justification/factor driving project
Roof repairs on City Hall and Cargegie
Civic Center Roof Repairs Munis Project Code:
609
Project Title: CIP List Proj #
Section I: Description District Nos: 2,3 Project Length Priority High Section II: Estimated Project Costs
Expenditure Prior Years FY 25/26
Estimate
FY 26/27
Budget
FY 27/28 FY 28/29 FY 29/30 FY 30/31 Future Yrs Total
Contracts -$ 100,000$ 2,000,000$ 2,100,000$ -$ -$
-$ -$
-$ -$
-$ -$
Total Capital Costs -$ -$ 100,000$ 2,000,000$ -$ -$ -$ -$ 2,100,000$ Section III: Funding Sources/Methods of Financing
Funding Source(s) Prior Years FY 25/26
Estimate
FY 26/27
Budget
FY 26/27 FY 27/28 FY 29/30 FY 30/31 Future Yrs Total
431 - Capital Outlay/General Fund -$ 100,000$ 2,000,000$ 2,100,000$ -$ -$
-$ -$
-$ -$
Total Project Financing -$ -$ 100,000$ 2,000,000$ -$ -$ -$ -$ 2,100,000$ Capital Improvement Plan
FY 2026-2027
Additional Information
Justification/factor driving project
Remodel of Fire Station 1 & 3 to accommodate co-ed living. FY 26/27 budget of $100K for design and $2M in FY 27/28 for construction.

Fire Station 1 & 3 Remodel Munis Project Code:
610
Project Title: CIP List Proj #
Section I: Description District Nos: Project Length Priority Section II: Estimated Project Costs
Expenditure Prior Years FY 25/26
Estimate
FY 26/27 Budget FY 27/28 FY 28/29 FY 29/30 FY 30/31 Future Yrs Total Contracts -$ 650,000$ 650,000$ -$ -$
-$ -$
-$ -$
-$ -$
Total Capital Costs -$ -$ 650,000$ -$ -$ -$ -$ -$ 650,000$ Section III: Funding Sources/Methods of Financing
Funding Source(s) Prior Years FY 25/26
Estimate
FY 26/27 Budget FY 26/27 FY 27/28 FY 29/30 FY 30/31 Future Yrs Total 531 - Wastewater Capital Outlay -$ 650,000$ 650,000$ -$ -$
-$ -$
-$ -$
Total Project Financing -$ -$ 650,000$ -$ -$ -$ -$ -$ 650,000$ Capital Improvement Plan
FY 2026-2027
The project will focus only on currently paved areas. Work will be phased as needed to maintain continuous plant operations. Coordination with plant staff will be required to minimize disruptions. Environmental and regulatory compliance will be maintained during construction.

Additional Information
The existing pavement has deteriorated due to age, heavy operational traffic, and exposure to wastewater treatment conditions. Distresses include cracking, rutting, potholes, and localized base failures. These conditions create safety hazards, increase maintenance costs, and hinder efficient plant operations. Rehabilitation is necessary to maintain reliable access for operations, maintenance, and emergency response vehicles, and to prevent more costly full reconstruction in the future.

Justification/factor driving project
This project will rehabilitate existing asphalt pavement within the wastewater treatment plant, including internal access roads, parking areas, and operational work surfaces. Improvements will consist of asphalt milling and overlay, full-depth pavement repairs in failed areas, base stabilization where needed, and restriping. The project will enhance site accessibility, improve safety for staff and equipment, and protect underlying infrastructure from further deterioration.

Wastewater Treatment Plant Pavem Munis Project Code:
611
Project Title: CIP List Proj #
Section I: Description District Nos: Project Length Priority Section II: Estimated Projec
Expenditure Prior Years FY 24/25
Estimate
FY 25/26
Budget
FY 26/27 FY 27/28 FY 28/29 FY 29/30 Future Yrs Total
Internal Staff -$ 35,000$ 25,000$ 25,000$ 25,000$ 25,000$ 135,000$ Miscellaneous -$ 14,000$ 14,000$
Total Capital Costs -$ 49,000$ 25,000$ 25,000$ 25,000$ 25,000$ -$ -$ 149,000$ Section III: Funding Source
Funding Source(s) Prior Years FY 24/25
Estimate
FY 25/26
Budget
FY 26/27 FY 27/28 FY 28/29 FY 29/30 Future Yrs Total
303 - Measure K Fund -$ 25,000$ 25,000$ 25,000$ 25,000$ 25,000$ 125,000$ 300 - Street Fund -$ 24,000$ 24,000$ Total Project Financing -$ 49,000$ 25,000$ 25,000$ 25,000$ 25,000$ -$ -$ 149,000$ Capital Improvement Plan
FY 2025-26
Additional Information
Justification/factor driving project
Staff time and misc supplie/services associated with project planning and oversight on projects that may arise that are not included in the budgeted CIP.

Streets Project Planning PWST-25002Munis Project Code:
612

CITY OF LODI

INVESTMENT POLICY
Fiscal Year 2026/27
Resolution 2026 - XXX
613

TABLE OF CONTENTS

1.1 PURPOSE ............................................................................................................................................ 1

1.2 POLICY ................................................................................................................................................. 1

1.3 SCOPE ................................................................................................................................................. 1

1.4 PRUDENT INVESTOR STANDARD .................................................................................................... 1

1.5 PUBLIC TRUST .................................................................................................................................... 2

1.6 ETHICS AND CONFLICTS OF INTEREST ......................................................................................... 2

1.7 OBJECTIVES ....................................................................................................................................... 3

1.8 LIMITING MARKET VALUE EROSION ............................................................................................... 4

1.9 STATEMENT OF INVESTMENT POLICY ........................................................................................... 4

1.10 DELEGATION OF AUTHORITY......................................................................................................... 4

1.11 MONITORING AND ADJUSTING THE PORTFOLIO ........................................................................ 5

1.12 INTERNAL CONTROL ....................................................................................................................... 5

1.13 REPORTING ...................................................................................................................................... 5

1.14 AUTHORIZED INVESTMENTS.......................................................................................................... 6

1.15 BANKS AND QUALIFIED BROKER/DEALERS ................................................................................. 7

1.16 PURCHASE OF CDs FROM LOCAL INSTITUTIONS ....................................................................... 8

1.17 SAFEKEEPING AND COLLATERILIZATION ................................................................................... 8

1.18 ADMINISTRATION ............................................................................................................................ 9

2.1 INTERNAL CONTROLS - GENERAL .............................................................................................. 10

2.2 INTERNAL CONTROL PROCEDURES ........................................................................................... 11

2.3 TREASURY FUNCTION RESPONSIBILITIES ............................................................................... 12

2.4 BROKER/DEALER QUESTIONNAIRE ........................................................................................... 13

2.5 BROKER DEALER CERTIFICATION ............................................................................................. 15 GLOSSARY.………………………………………………………………………………..……………………..16
614

CITY OF LODI

INVESTMENT POLICY
1 1.1 PURPOSE
The purpose of this policy is to state the City’s policies for the investment of surplus funds in the City treasury in a prudent and systematic manner conforming to all state and local statutes governing the investment of public funds. Safety of principal is given the highes t priority. In addition, this statement is intended to formalize investment -related activities to provide the highest investment return with maximum security while meeting daily cash flow demands. The ultimate goal is to protect the City’s pooled investment cash while enhancing the City’s economic status.

1.2 POLICY

It is the policy of the City of Lodi to invest public funds in a manner which will provide a sound investment return with maximum security while meeting the daily cash flow demands of the entity and conforming to all state and local statues governing the investment of public funds.

The City of Lodi’s investment policy has three objectives: (1) protect principal, (2) provide for liquidity needs, and (3) obtain the most reasonable rate of return possible within the first two objectives. The overarching theme of this policy is to utilize the “prudent investor” standard (see discussion below). This affords a broad range of investment opportunities so long as the investment is prudent and permissible under current state and local law.

1.3 SCOPE

The investment policy applies to all funds under the direct authority of the City Treasurer of the City of Lodi, including but not limited to the General Fund, Special Revenue Fun ds, Capital Project Funds, Enterprise Funds, Internal Service Funds and Trust and Agency Funds. All funds are accounted for in the City’s Comprehensive Annual Financial Report. Investments of debt proceeds held by bond trustee are governed by the provisi ons of the debt agreements.

Proceeds of bonds will be invested in accordance with the ordinance, resolution, indenture or other agreement governing the issuance of the bonds.

1.4 PRUDENT INVESTOR STANDARD

The prudent investor standard requires all those invo lved in the investment process to act as if the assets in the portfolio are their own. By the prudent investor standard, the rules outlined in this policy, and other applicable state and local laws and regulation, are binding constraints to be considered in taking any action.

The City Council, Treasurer and all persons authorized to make investment decisions on behalf of the City are trustees and therefor fiduciaries subject to the prudent investor standard. The “prudent investor” standard, is in accordance with Government Code Section 615

CITY OF LODI

INVESTMENT POLICY
2 53600.3 which states “…all governing bodies of local agencies or persons authorized to make investment decisions on behalf of those local agencies investing public funds pursuant to this chapter are trustees and therefore fiduciaries subject to the prudent investor standard. When investing, reinvesting, purchasing, acquiring, exchanging, selling, or managing public funds, a trustee shall act with care, skill, prudence, and diligence under the circumstances then prevailing, including, but not limited to, the general economic conditions and the anticipated needs of the agency, that a prudent person acting in a like capacity and familiarity with those matters would use in the conduct of funds of a like character and with like aims, to safeguard the principal and maintain the liquidity needs of the agency. Within the limitations of this section and considering individual investments as part of an overall strategy, investments may be acquired as authorized by law.”
It is the City’s full intent, at the time of purchase, to hold all investments until maturity to ensure the return of all invested principal dollars. However, it is realized that market prices of securities will vary depending on economic and interest rate co nditions at any point in time. It is further recognized, that in a well -diversified investment portfolio, occasional measured losses are inevitable due to economic, bond market or individual security credit analysis. These occasional losses must be consi dered within the context of the overall investment program objectives and the resultant long tem rate of return.

The City Treasurer and other individuals assigned to manage the investment portfolio, acting within the intent and scope of the investment pol icy and other written procedures and exercising due diligence, shall be relieved of personal responsibility and liability for an individual security’s credit risk or market price changes, provided deviations from expectations are reported in a timely manner, appropriate action is taken to control adverse developments, and the relieved parties acted at all times in a fashion that met their fiduciary obligation to the City of Lodi.

1.5 PUBLIC TRUST

All participants in the investment process shall act as fiduciaries and custodians of public funds.

Investment officials shall recognize the portfolio is subject to public review and evaluation. The overall program shall be designed and managed with a degree of professionalism that is worthy of the public trust.

1.6 ETHICS AND CONFLICTS OF INTEREST

As a minimum standard, t he City Treasurer and all other person nel authorized to make investment decisions are governed by The Political Reform Act of 1974 regarding disclosure of 616

CITY OF LODI

INVESTMENT POLICY
3 material financial interests as well as Government Code Section 87103. The City Treasurer and all other personnel authorized to make investment decisions shall refrain from personal business activity that could conflict with proper execution of the invest ment program or which could impair the ability to make impartial investment decisions. The Treasurer is required to make known to the City Manager and City Council any conflicts of interest that may arise immediately upon becoming aware of a potential conflict. The Treasurer and other key finance personnel are required to annually file applicable financial disclosures as required by the Fair Political Practices Commission (FPCC).

1.7 OBJECTIVES

Funds of the City will be invested with the following objectives in priority order:

Safety:

Safety of principal is the foremost objective of the investment program. Investments of the City of Lodi shall be undertaken in a manner that seeks to ensure the preservation of capital in the overall portfolio. To attain this objective, diversification is required in order that potential losses on individual securities do not exceed the income generated from the remainder of the portfolio.

The City of Lodi will diversify its investments by security type and institution. Financial institutions and broke r/dealers will be prequalified and monitored as well as investment instruments they propose.

The City shall seek to preserve principal by mitigating two types of risk:

Credit Risk – Defined as the risk of loss due to failure of the issuer of a security. Credit risk shall be mitigated by investing in investment grade securities and by diversifying the investment portfolio so that the failure of any one issuer does not unduly harm the City’s cash flow.

Market Risk – Defined as the market value fluctuations due to overall changes in the general level of interest rates. Market risk shall be mitigated by limiting the weighted average maturity of the City of Lodi s investment portfolio to three and one -half years, the maximum maturity of any one security to f ive years, and structuring the portfolio based on historic and current cash flow analysis, thereby eliminating the need to sell securities prior to maturity.

Liquidity:

The investment portfolio will remain sufficiently liquid to enable the City to meet all operating requirements which might be reasonably anticipated. This will be accomplished through

617

CITY OF LODI

INVESTMENT POLICY
4 maturity diversification in accordance with California Government Code 53635 and the State Local Agency Investment Fund with immediate withdrawal provision.

Yield:

The City’s investment portfolio shall be designed with the objective of attaining a sound yield (rate of return) through budgetary and economic cycles, commensurate with the City’s investment risk constraints and the cash flow characteristics of the portfolio. The City will attempt to obtain the most reasonable yield possible when selecting an investment, provided the criteria for safety and liquidity of the total portfolio are met.

1.8 LIMITING MARKET VALUE EROSION

It is the general policy of the City to limit the potential effects from erosion in market values by adhering to the following guidelines:

• All immediate and anticipated liquidity requirements shall be addressed prior to purchasing investments.
• Maturity dates for investments shall coinc ide with significant cash flow requirements, where possible, to assist with cash requirements at maturity. • All securities shall be purchased with the intent to hold all investments to maturity.

However, economic or market conditions may change, making it in the City’s best interest to sell or trade a security prior to maturity.

1.9 STATEMENT OF INVESTMENT POLICY

The City of Lodi’s Investment Policy shall be adopted by Resolution of the City Council. This investment policy shall be reviewed at least annually to ensure its consistency with the overall objectives of preservation of principal, liquidly and yield, and its relevance to current law and financial and economic needs. Any amendments to the policy shall be forwarded to the City Council for approval.

1.10 DELEGATION OF AUTHORITY

The Treasurer is designated by the authority of the legislative body as the investment officer of the City as provided for in Government Code Section 53607 and is responsible for the investment decisions and activities of the City. The Treasurer will develop and maintain written administrative procedures for the operation of the investment program, consistent with this investment policy. The Treasurer may delegate certain day to day functions as necessary to execute this policy and manage the portfolio in the most efficient and effective manner.

618

CITY OF LODI

INVESTMENT POLICY
5 The Treasurer shall hereafter assume full responsibility for such transactions until such time as the delegation of authority is revoked, and shall make a quarterly report of such transactions to the legislative body.

1.11 MONITORING AND ADJUSTING THE PORTFOLIO
The Treasurer will routinely monitor the contents of the portfolio, the available markets and the relative values of competing instruments, and will adjust the portfolio accordingly. It is the City’s full intent, at the time of purchase, to hold all investments until maturity to ensure the return of all invested principal dollars.

1.12 INTERNAL CONTROL
The Treasurer will establish a system of written internal controls, which will be reviewed annually by the City’s independent audit firm. The controls will be designed to prevent loss of public funds due to fraud, error, misrepresentation, unanticipated market changes or imprudent actions.

1.13 REPORTING
The Treasurer will submit a quarterly investment report to the City Council, in accordance with Government Code Section 53646, to disclose the following information:
• A listing of individual securities held at the end of the reporting period by authorized investment category.
• Notation of Securities purchased within the reporting period. • Percentage of the portfolio represented by each investment category. • Institution.
• Average life and final maturity of all investments listed. • Coupon, discount or earnings rate.
• Par value or cost of the security
• Current market value of securities with maturity in excess of 12 months and the source of this valuation.
• Ability of the city to meet its expenditure requirements for the next six months or provide an explanation of why sufficient funds will not be availa ble as required by Gov. Code 53646 (b)(3).

The quarterly investment report to the Lodi City Council, acting legislative authority, as endorsed by Government Code Section 53646, will be in addition to the Treasurer’s monthly report and accounting of all receipts, disbursements and fund balances. 619

CITY OF LODI

INVESTMENT POLICY
6 1.14 AUTHORIZED INVESTMENTS

The City will invest surplus funds not required to finance the immediate needs of the City as provided in California Government Code Sections 16429.1, 53601, 53601.6, 53601.8, 53635, 53635.2, 53638 and 53684. In selecting authorized investments consideration must be given to credit ratings , maturities, current makeup of the City’s portfolio and collateralization of applicable instruments. A list of eligible instruments is provided below.

Permitted Investments Maturity Maximum %
of Portfolio
Minimum Quality
Requirements
U.S. Treasury Obligations (Bills, notes and
bonds)
5 years 100% None
US Government Agency Securities and
Instrumentalities
5 years 100% None
Bankers Acceptances 180 days 40% None
Certificates of Deposit 5 years 100% None
Negotiable Certificates of Deposit 5 years 30% None
Commercial Paper 270 days 30% Credit Rating of P1/A1
or A1+/F1 or F1+ by
Moody’s, S&P or Fitch
California State Local Agency Investment
Fund
Indefinite 100% None
Passbook Deposits Indefinite 100% None
Mutual Funds and Money Market Mutual
Funds
N/A 20% Multiple Requirements
per Gov’t Code
Medium Term Corporation Notes 5 years 30% A-/A3/A- by Moody’s, S&P, or Fitch
Joint Powers Authority Pool Indefinite 30%
(Funds held at
NCPA shall not
count to this
limit)
Multiple Requirements
per Gov’t Code
Certificate of Deposit Account Registry
Service (CDARS)
Indefinite 30% None
Supranational Obligations 5 years 30% AA-/Aa3/AA- by
Moody’s, S&P, or
Fitch
Municipal Securities (50 States or
California Local Agencies)
5 years 100% None

620

CITY OF LODI

INVESTMENT POLICY
7 Investments not listed in this section , including those otherwise authorized by California Government Code are ineligible investments for the City of Lodi. Ineligible investments include, but are not limited to, common stocks, long term (over five years in maturity) notes and bonds, swaps, options, derivatives, repurchase and reverse repurchase agreements and swap agreements.

Pooled funds invested for the City by entities such as California State Local Agency Investment Fund, CalTRUST, NCPA, or other Joint Powers Authority Pools may invest in swaps, options, derivatives or repurchase and reverse repurchase agreements as permitted by California Government Code and the respective policy guidelines of the investing agency.

1.15 BANKS AND QUALIFIED BROKER/DEALERS

The Treasurer will consider the credit worthiness of institutions in selecting financial institutions for the deposit or investment of City funds. These institutions will be monitored to ensure their continued stability and credit worthiness.

The City shall conduct investment transactions only with qualified banks, savings and loans, and broker/dealers. The Treasurer shall investigate dealers who wish to do business with the City to determine that they are adequately capitalized, have no pending legal action against the firm or the individual broker and that they participate in markets appropriate to the City’s needs. Third parties in this category will be required to provide their most recent Consolidated Report of Condition (“call report”) prior to transacting business with the City and at the request of the Treasurer during the course of conducting business.

The Treasurer will maintain a list of financi al institutions authorized to provide investment services. In addition, a list will be maintained of approved security brokers/dealers selected for credit worthiness. The City shall send a copy of the current investment policy to all broker/dealers approved to do business with the City. Written and signed c onfirmation, on company letterhead, of receipt of this policy shall be considered evidence that the dealer understands the City’s investment policies and intends to sell the City only appropriate investments authorized by this policy and all applicable state and federal laws and regulations.

In addition, all financial institutions and broker/dealers who desire to become qualified bidders for investment transactions must supply the Treasurer with the following:
• Audited financial statements
• Proof of Financial Industry Regulatory Authority registration. • Trading Resolution
• Proof of State Registration
• Certification of having read the City of Lodi’s investment policy and depository contracts.

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8 An annual rev iew of the financial condition and registration of qualified bidders will be conducted by the Treasurer.

The City will not normally use more than three qualified dealer/brokers to obtain bids.

1.16 PURCHASE OF CDs FROM LOCAL INSTITUTIONS

To the extent reasonable and within the limits specified above, the Treasurer may purchase a Certificate of Deposit, up to the amount fully insured by the Federal Deposit Insurance Corporation (FDIC), from each bank and savings and loan institution located within the corporate limits of the City to promote economic development and as a statement of support for those institutions maintaining an office in Lodi. These investments are limited to those institutions which offer Certificates of Deposit insured by the Federal D eposit Insurance Act and have a Community Reinvestment Act Rating of satisfactory or above.

To aid in the diversification of the portfolio, additional Certificates of Deposit in amounts up to fully insured FDIC limits, may be purchased from local institutions provided the investment has the safety, liquidity and a rate of return comparable to that offered from LAIF at the time the original investment is made.

Additional Certificates of Deposit may be purchased from a single institution so long as the amounts are fully collateralized as described in Section 1.17.

1.17 SAFEKEEPING AND COLLATERILIZATION

All investment securities purchased by the City will be held in third -party safekeeping by an institution designated as primary agent. The custodian will hold these securities in a manner that establishes the City’s right of ownership. The primary agent will issue a safekeeping receipt to the City listing the specific instruments, rate, maturity and other pertinent information.

Deposit type securities (i.e., certificates of deposit) will be collateralized.

Collateral for time deposits in savings and loans will be held by the Federal Home Loan Bank or an approved Agent of Depository. If collateral is government securities, 110% of market value to the face amount of the deposit is required. Promissory notes secured by first

mortgages and first trust deeds used as collateral require 150% of market value to the face amount of the deposit. An irrevocable letter of credit issued by the Federal Home Loan Bank of San Francisco requires 105% of market value to the face amount of the public deposit.

The collateral for time deposits in banks should be held in the City’s name in the bank’s Trust Department, or alternately, in the Federal Reserve Bank. The City may waive collateral requirements for deposits which are fully insured up to limits prescribed by the FDIC. 622

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9 The amount of securities placed with an agent of depository will at all times be maintained in accordance with California Government Code 53652.

1.18 ADMINISTRATION
The following administrative policies will be strictly observed:

Payment:

All transactions will be executed on a delivery versus payment basis which should be done by the City’s safekeeping agent.

Bid:

A competitive bid process in which no less than three competitive bids are obtained, when practical, will be used to pl ace all investment purchases. Typically, when soliciting bids, the Treasurer or Designee will specify through email with a blind copy to qualified brokers the following: maturity date, credit quality, eligible investment category, amount available to invest and security names the City will not consider due to overconcentration. The open window for providing offers shall be a minimum of one hour and the City’s review period shall be no more than one hour in order to minimize the risk of market price fluctuations between security offer and the City’s decision to purchase. Securities not matching the requirements for the portfolio will not be considered in that solicitation. The Treasurer has the right to refuse all bids and reissue a solicitation. If less than three qualifying responses are received, the Treasurer may choose to select from the responses received or to reissue the solicitation.

Wire Transfers:

All wire transfers will be initiated by the Accounting Manager or Designee and approved by the Treasurer or Designee. Wires cannot be approved by the initiator. The City’s utilizes electronic dual controls on all wire transfers requiring that approvers cannot be initiators and vice versa.

Pre-formatted wire transfers will be used to restrict the transfer of funds with preauthorized accounts only.

Confirmations:

Receipts for confirmation of a purchase of authorized securities should include the following information: trade date; par value; maturity; rate; price; yield; settlement date; description of securities purchased; net amount due; third -party custodial information. Confirmations of all investment transactions are to be received by the Treasurer not later than the business day immediately following the trade. Same day confirmations are preferred.

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10 Pooled Cash:

The City will consolidate into one bank account and invest on a pooled concept basis. Interest earnings will be allocated monthly based on current cash balances.

Bond Proceeds:

The City will comply with applicable federal tax law and regulations in connection with the investment of bond proceeds.

2.1 INTERNAL CONTROLS - GENERAL
Through this system of internal control, the City is adopting procedures and establishing safeguards to prevent or limit the loss of funds invested or held for investment due to errors, losses, misjudgments and improper acts. I nternal control procedures are not intended to address every possible situation but are intended to provide a reasonable and prudent level of protection for the City’s funds.

Objectives:

These procedures and policies are established to ensure:

• the orderly and efficient conduct of investment practices, including adherence to investment policies
• the safeguarding of surplus cash
• the prevention or detection of errors and fraud
• the accuracy and completeness of investment records
• the timely preparation of reliable investment reports

General Control Policies:

The following policies are to be used to safeguard investments:
• Organization
A description of responsibilities and procedures for the investment of City funds, lines of authority and reporting requirement will be maintained. • Personnel
Only qualified and assigned personnel will be authorized to approve investment transactions; make and liquidate investments; maintain investment records; and maintain custody of negotiable instruments. Personnel assigned responsibility for the investment of City surplus funds will maintain their professional qualifications by continued education and membership in professional associations.
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11 • Segregation of functions
No one having general ledger functions will have responsibility for the investment of City funds.
• Safekeeping
All securities are to be held in the name of the City of Lodi. The City will contract with a third party, usually a bank, to provide custodial services and securities safekeeping.

Although a cost is involved, the risk of losing physical securities outweighs the fees involved. Preference should be given to custodial services which include reporting services as part of their service, including marking the portfolio to market value, performance evaluation and internal reporting.
• Reconciliation of records
Regular and timely reconciliation will be made of detailed securities records with the general ledger control account.
• Performance evaluation
Performance statistics will be maintained and reported monthly as provided in the Investment Policies.

2.2 INTERNAL CONTROL PROCEDURES

Assigned Responsibilities:

a. City Council responsibilities:
• Adoption of City’s investment policies by Resolution
• Review and evaluation of investment performance.

b. Treasurer duties and responsibilities:
• Formulating, recommending and implementing the City’s investment policies • Approves all investment transactions prior to execution of any transaction • Approves broker/dealer arrangements.

c. Budget Manager duties and responsibilities:
• Recommends broker/dealer arrangements
• Recommends investments
• Executes investment transactions
• Maintains records of all investment transactions
• Prepares quarterly investment report for City Council review • Prepare fiscal year end investment reports for City’s independent audit firm review • Review’s financial condition of the City’s depositories (banks) at least annually for compliance with collateralization requirements under government code and financial condition and reports results to City Treasurer.

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12 d. Accounting Manager duties and responsibilities:
• Maintains general ledger control account and duplicate records of investment transactions
• Verifies investment records and reconciles detailed securities records with general ledger control accounts.

e. City’s independent audit firm:
• Will review the City’s investment policies and procedures and make appropriate recommendations and findings as to compliance a nd steps to be taken to improve internal controls.

2.3 TREASURY FUNCTION RESPONSIBILITIES

FUNCTION RESPONSIBILITIES

1. Recommendations:
• Recommends broker/dealer arrangements Treasurer/Budget Manager • Recommends investments Treasurer/Budget Manager

2. Authorization of Investment Transactions
• Formal investment policy prepared by Treasurer
• Formal investment policy approved by City Council
• Investment transactions approved by Treasurer
• Broker/deal arrangements approved by Treasurer

3. Execution of Investment Transactions Treasurer/Budget Manager

4. Recording of Investment Transactions
• Recording of transactions in Treasurer’s records Budget Manager • Recording of transactions in Accounting records Accounting Manager

5. Safeguarding of assets and records
• Maintenance of Treasurer’s records Budget Manager

• Reconciliation of Treasurer’s records to
accounting records
Accounting Manager

• Review of (a) financial institution’s financial
condition, (b) safety, liquidity, and potential
yields of investment instruments, and (c)
reputation and financial condition of investment brokers Treasurer/Budget Manager
• Periodic reviews of collateral Budget Manager
• Review and evaluation of performance City Council

6. Preparation of reports Budget Manager

7. Annual review of investment portfolio for conformance to City’s investment policy
City's Audit Firm

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13 2.4 BROKER/DEALER QUESTIONNAIRE

BROKER/DEALER QUESTIONNAIRE
CITY OF LODI TREASURER’S OFFICE
P. O. Box 3006
Lodi, California 95241

1. Name:

2. Branch Address:

3. Telephone No.:

4. Primary Account Representative:

Name:

Title:

Telephone No.:

5. Is your firm a primary dealer in US Government Securities? Y/N

6. Identify the personnel who will be trading with or quoting securities to our agencies employees:

Name Title Telephone No.

7. National Headquarters Address:

Corporate Contract:

Telephone No.:

Compliance Officer (Name, Address, Telephone):

8. What was your firm’s total volume in US Government and Agency securities trading last calendar year?

9. Which securities are offered by your firm?
( ) US Treasury ( ) Commercial Paper
( ) US Treasury Notes ( ) BAs Domestic
( ) US Treasury Bonds ( ) BAs Foreign
( ) Agencies (specify) ( ) Repurchase Agreements
( ) Negotiable CD’s ( ) Reverse Repurchase Agreements

10. List your personnel who have read the City of Lodi Treasurer’s Investment Policy.

11. Please identify your public-sector clients in our geographical area who are most comparable to our government with which you currently do business.

12. Have any of your clients ever sustained a loss on a securities transaction arising from misunderstanding or misrepresentation of the risk characteristics of the instrument? If so, please expl ain.

13. Have any of your public-sector clients ever reported to your firm, is officers or employees, orally or in writing, that they sustained a loss exceeding 10% of the original purchase price in a single year on any individual security purchased thorough your firm? Explain.

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14 14. Has your firm ever been subject to a regulatory or state/federal agency investigation for alleged improper, fraudulent, disreputable or unfair activities related to the sale of securities? Have any of your employees ever been so investigated? Explain.

15. Has a public sector client ever claimed in writing that your firm or members of your firm were responsible for investment losses?

16. Please include samples of research reports that your firm regularly provides to public -sector clients.

17. Please explain your normal delivery process. Who audits these fiduciary systems?

18. Please provide certified financial statements and other indicators regarding your firm’s capitalization.

19. Describe the capital line and trading limits that support/limit the office that would conduct business with our government.

20. What training would you provide to our employees and investment officers?

21. Has your firm consistently complied with the Federal Reserve Bank’s capital adequacy guidelines? As of this date, does your firm comply with the guidelines? Has your capital position every fallen short? By what factor (1.5x, 2x, etc.). Does your firm presently exceed the capital adequacy guidelines, measure of risk? Include certified documentation of your capital adequacy as measured by the Federal Reserve standards.

22. Do you participate in the Securities Investor Protection Corporation (SIPC) insurance program? If not, why?

23. What portfolio information do you require from your clients?

24. What reports, confirmations and paper trail will we receive?

25. Enclose a complete schedule of fees and charges for various transactions.

26. How many and what percentage of your transactions failed last month? Last year?

27. Describe the precautions taken by your firm to protect the interest of the public when dealing with governmental agencies as investors.

28. Is your firm licensed by the State of California as a broker/dealer? Y/N ________

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15 2.5 BROKER/DEALER CERTIFICATION

CERTIFICATION ATTACHED CERTIFICATION

I hereby certify that I have personally read the latest adopted resolution of investment policies and objectives of the City of Lodi Treasurer and the California Government Codes pertaining to the investments of the City of Lodi, and have implemented reasonable procedures and a system of controls designed to preclude imprudent investment activities arising out to transaction conducted between our firm and the City of Lodi. All sales personnel will be routinely informed of the City of Lodi’s investment objectives, horizon, outlook, strategies and risk constraints whenever we are so advised. We pledge to exercise due diligence in informing the City of Lodi of all foreseeable risks associated with financial transactions conducted with our firm. I attest to the accur acy of our responses to your questionnaire.

SIGNED TITLE DATE

COUNTERSIGNED DATE
(Person in charge of government securities operations)

NOTE: Completion of Questionnaire is only part of the City of Lodi’s Certification process and DOES NOT guarantee that the applicant will be approved to do business with the City of Lodi.

On this ____________ day of ______________ 20_____ before me the undersigned Notary Public personally appeared
( ) personally known to me
( ) proved to me on the basis of satisfactory evidence to be the person(s) whose name(s) subscribed to the within instrument and acknowledged that executed it.

State of

County of

WITNESS my hand and official seal.

Notary’s Signature

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16 GLOSSARY

AGENT: an agent is a firm or individual which executes orders for others or acts on behalf of others (the principal). The agent is subject to the control of the principal and does not have title to the principal’s property. The agent may charge a fee or commission for this service.

AGENCIES: federal agency securities and/or Government-sponsored enterprises.

AGREEMENT: an agreement is an arrangement or understanding between individual traders to honor market quotes within predetermined limits on dollar amount and size.

AMORTIZATION: straight-line reduction of debt by means of periodic payments sufficient to meet current interest charges and to pay off the debt at maturity.

ARBITRAGE: a technique used to take advantage of price differences in separat e markets.

This is accomplished by purchasing securities, negotiable instruments or currencies in one market for immediate sale in another market at a better price.

ASKED: the price at which securities are offered.

AT THE MARKET: a trading term for the buying or selling of securities at the current market price rather than at a predetermined price.

BANKERS ACCEPTANCE (BA): a bearer time draft for a specified amount payable on a specified date. An individual or business seeking to finance domestic or in ternational trade draws it on a bank. Commodity products collateralize the BA. Sale of goods is usually the source of the borrower’s repayment to the bank. The bank finances the borrower’s transaction and then often sells the BA on a discount basis to an investor. At maturity, the bank is repaid and the investor holding the BA receives par value from the bank.

BASIS PRICE: price expressed in yield -to-maturity or the annual rate of return on the investment.

BEAR MARKET: a period of generally pessimisti c attitudes and declining market prices. (Compare: Bull market)

BELOW THE MARKET: a price below the current market price for a particular security.

BID AND ASKED OR BID AND OFFER: the price at which an owner offers to sell (asked or offer) and the price at which a prospective buyer offers to buy (bid). It is often referred to as a quotation or a quote. The difference between the two is called the spread.

BOND: an interest -bearing security issued by a corporation, government, governmental agency or other body, which can be executed through a bank or trust company. A bond is a 630

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17 form of debt with an interest rate, maturity, and face value, and is usually secured by specific assets. Most bonds have a maturity of greater than one year, and generally pay in terest semiannually.

BOND ANTICIPATION NOTE (BAN): short-term notes sold by states and municipalities to obtain interim financing for projects which will eventually be financed by the sale of bonds.

BOND DISCOUNT: the difference between a bond’s face val ue and a selling price, when the selling price is lower than the face value.

BOND RATING the classification of a bond’s investment quality. (See: Rating).

BOND RESOLUTION: a legal order or contract by a governmental unit to authorize a bond issue. A bon d resolution carefully details the rights of the bondholders and the obligation of the issuer.

BOOK VALUE: the amount at which a security is carried on the books of the holder or issuer.

The book value is often the cost, plus or minus amortization, and may differ significantly from the market value.

BROKER: a middleman who brings buyers and sellers together and handles their orders, generally charging a commission for this service. In contrast to a principal or a dealer, the broker does not own or take a position in securities.

BULL MARKET: a period of generally optimistic attitudes and increasing market prices. (Compare: Bear Market).

BUYERS MARKET: a market where supply is greater than demand, giving buyers an advantage in purchase price and terms.

CALL: an option to buy a specific asset at a certain price within a particular period.

CALLABLE: a feature which states a bond or preferred stock may be redeemed by the issuer prior to maturity under terms designated prior to issuance.

CALL DATE: the date on which a bond may be redeemed before maturity at the option of the issuer.

CALLED BONDS: bonds redeemed before maturity.

CALL PREMIUM: the excess paid for a bond or security over its face value.

CALL PRICE: the price paid for a security when it is called. The call price is equal to the face value of the security, plus the call premium.

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18 CALL PROVISION: the call provision describes the details by which a bond may be redeemed by the issuer, in whole or in part, prior to maturity. A Security with such a provision will usually have a higher interest rate than comparable, but noncallable securities.

CAPITAL GAIN OR LOSS: the amount that is made or lost, depending upon the difference between the sale price and the purchase price of any capital asset or security.

CAPITAL MARKET: the market in which buyers and sellers, including institutions, banks, governments, corporations and individuals, trade debt and equity securities.

CASH SALE: a transaction calling for the delivery and payment of the securities on the same day that the transaction takes place.

CERTIFICATE OF DEPOSIT (CD): debt instrument issued by a bank that usually pays interest.

Institutional CD’s are issued in denominations of $100,000 or more. Maturities range from a few weeks to several years. Competitive forces in the marketplace set interest rates.

CERTIFICATE OF DEPOSIT ACCOUNT REGISTRY SERVICE (CDARS): deposits made with a “selected” depository institution, in acco rdance with California Government Code Section 53601.8, that uses a private entity to assist in the placement of certificates of deposit. Such deposits shall at all times be insured by the Federal Deposit Insurance Corporation or the National Credit Union Administration. The selected depository institution shall serve as custodian for each certificate of deposit that is issued with placement service for the City of Lodi’s account.

COLLATERAL: securities or other property, which a borrower pledges for the repayment of a loan. Also refers to securities pledged by a bank to secure deposits of public monies.

COLLATERAL NOTE: a promissory note, which specifically mentions the collateral, pledged by the borrower for the repayment of an obligation.

COMMERCIAL PAPER: short-term obligations with maturities ranging from 2 to 270 days issued by banks, corporations, and other borrowers to investors with temporarily idle cash.

Such instruments are unsecured and usually discounted, although some are interest-bearing.

COMMISSION: the brokers or agent’s fee for purchasing or selling securities for a client.

COUPON: the annual rate of interest that a bond’s issuer promises to pay the bondholder on the bond’s face value.

COVENANT: a pledge in the bond resolution or indenture of the issuing government to perform in a way that may benefit the bondholders, or to refrain from doing something that might be disadvantageous to them.

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19 COVER: the spread between the winning bid (or offer) and the next highest bid (or the next lowest offer). It is useful as a basis for evaluation of the bids.

COVERAGE RATIO: the ratio of income available to pay a specific obligation versus the total amount obligated. This is a measure of financial stability.

CREDIT ANALYSIS: a critical review and appraisal of the economic and financial condition of a government agency or corporation. The credit analysis evaluates the issuing entity’s ability to meet its debt obligations, and the suitability of such obligations for underwriting or investment.

CURRENT MATURITY: amount of time left to the maturity of an obligation.

DEBENTURE: a bond secured by the general credit of the issuer rather than being backed by a specific lien on property as in mortgage bonds.

DEBT COVERAGE: this term is normally us ed in connection with revenue and corporate bonds. It indicates the margin of safety for payment of debt, reflecting the number of times by which earnings for a certain period of time exceed debt payable during the same period.

DEBT LIMIT (OR CEILING): the maximum amount of debt that can legally be acquired under the debt-incurring power of a state or municipality.

DEBT SERVICE: interest and principal obligation on an outstanding debt. This is usually for a one-year period.

DEFAULT: failure to pay principal or interest promptly when due.

DELIVERY VERSUS PAYMENT: securities industry procedure, common with institutional accounts, whereby delivery of securities sold is made to the buying customer’s bank in exchange for payment, usually in the form of cash. (Institutions are required by law to require “assets of equal value” in exchange for delivery.) Also called Cash on Delivery.

DERIVATIVE: contracts written between a City and a counter party such as a bank, insurance company or brokerage firms. Their value is derived from the value of some underlying assets such as Treasury Bonds or a market index such as LIBOR. Derivatives are used to create financial instruments to meet special market needs. Two contrasting reasons for the use of derivatives are: 1) to limit risk or transfer it to those willing to bear it; and, 2) to speculate about future interest rates and leverage in hope of increasing returns.

DISCOUNT: the difference between the cost price of a security and its maturity when quoted at lower than face value. A security selling below original offering price shortly after a sale also is considered to be at a discount.

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20 DIVERSIFICATION: dividing investment funds among a variety of securities offering independent returns.

DUE DILIGENCE: exercising of due professional care in the performance of duties.

FACE VALUE: the principal amount owed on a debt instrument. It is the amount on which interest is computed and represents the amount that the issuer promises to pay at maturity.

FANNIE MAE: trade name for the Federal National Mortgage Association.

FEDERAL DEPOSIT INSURANCE CORPORATION (FDIC): federal agency established in 1933 that guarantees (within limits) funds on deposit in member banks and performs other functions such as making loans to or buying assets from members banks to facilitate mergers or prevent failures.

FEDERAL FUNDS RATE: the rate of interest at which Fed funds are traded. This rate is currently pegged by the Federal Reserve through open-market operations.

FEDERAL HOME LOAN BANKS (FHLB): government sponsored wholesale banks (currently 12 regional banks) which lend funds and provide correspondent banking services to member commercial banks, credit unions and insurance companies. The mission of the FHLBs is to liquefy the housing related assets of its members who must purchase stock in their district Bank.

FEDERAL NATIONA L MORTGAGE ASSOCIATION (FNMA): FNMA like GNMA was chartered under the Federal National Mortgage Association Act in 1938. FNMA is a federal corporation working under the auspices of the Department of Housing and Urban Development (HUD). It is the largest single provider of residential mortgage funds in the United States.

Fannie Mae, as the corporation is called, is a private stockholder -owned corporation. The corporation’s purchases include a variety of adjustable mortgages and second loans, in addition to fixed -rate mortgages. FNMA’s securities are also highly liquid and are widely accepted. FNMA assumes and guarantees that all security holders will receive timely payment of principal and interest.

FEDERAL OPEN MARKET COMMITTEE (FOMC): consists of seven members of the Federal Reserve Board and five of the twelve Federal Reserve Bank Presidents. The President of the New York Federal Reserve Bank is a permanent member, while the other Presidents serve on a rotating basis. The Committee periodically meets to set Federal Reserve guidelines regarding purchases and sales of Government Securities in the open market as a means of influencing the volume of bank credit and money.

FEDERAL RESERVE SYSTEM: the central bank of the United States created by Congress and consisting of a seven member Board of Governors in Washington, D.C., 12 regional banks and about 5,700 commercial banks that are members of the system.

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21 FIDUCIARY: an individual or group, such as a bank or trust company, which acts for the benefit of another party or to which certain property is given to hold in trust, according the trust agreement.

FISCAL YEAR: an accounting or tax per iod comprising any twelve-month period. The City’s fiscal year starts July 1.

FREDDIE MAC: trade name for the Federal Home Loan Mortgage Corporation.

FULL FAITH AND CREDIT: the unconditional guarantee of the United States government backing a debt for repayment.

GENERAL OBLIGATION BONDS (GO’s): bonds secured by the pledge of the municipal issuer’s full faith and credit, usually including unlimited taxing power.

GINNIE MAE: trade name for the Government National Mortgage Association.

GOVERNMENT NATIONAL MORTGAGE ASSOCIATION (GNMA or Ginnie Mae): securities influencing the volume of bank credit guaranteed by GNMA and issued by mortgage bankers, commercial banks, savings and loan associations, and other institutions. Security holder is protected by full faith and credit of the U.S. Government. Ginnie Mae securities are backed by the FHA, VA or FmHA mortgages. The term “pass -through” is often used to describe Ginnie Maes.

HOLDER: the person or entity which is in possession of a negotiable instrument.

INDEBTEDNESS: the obligation assumed by a borrower, guarantor, endorser, etc. to repay funds which have been or will be paid out on the borrower’s behalf.

INDENTURE: a written agreement used in connection with a security issue. The docum ent sets the maturity date, interest rate, security and other terms for both the issue holder, issuer and, when appropriate, the trustee.

INTEREST RATE: the interest payable each year on borrowed funds expressed as a percentage of the principal.

INVESTMENT: use of capital to create more money, either through income-producing vehicles or through more risk-oriented ventures designed to result in capital gains.

INVESTMENT PORTFOLIO: a collection of securities held by a bank, individual, institution, or government agency for investment purposes.

IRREVOCABLE LETTER OF CREDIT: instrument or document issued by a bank guaranteeing the payment of a customer’s drafts up to a stated amount for a specified period. It substitutes

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22 the bank’s credit for the buyer’s and eliminates the seller’s risk. This arrangement cannot be changed or terminated by the one who created it without the agreement of the beneficiary.

ISSUE PRICE: the price at which a new issue of securities is put on the market.

ISSUER: any corp oration or governmental unit, which borrows money through the sale of securities.

JOINT AND SEVERAL OBLIGATION: a guarantee to the holder in which the liability for a bond or note issue may be enforced against all parties jointly or any one of them individually so that one, several or all may be held responsible for its payment.

LAIF: trade name for California State Local Agency Investment Fund.

LEGAL INVESTMENT: a list of securities in which certain institutions and fiduciaries may invest as determined by regulatory agencies.

LEGAL OPINION: an opinion concerning the legality of a bond issue, usually written by a recognized law firm specializing in the approval of public borrowings.

LIQUIDITY: a liquid asset is one that can be converted easily and rapidly into cash without a substantial loss of value. In the money market, a security is said to be liquid if the spread between bid and asked prices is narrow and reasonable size can be done at those quotes.

MARKETABILITY: the measure of ease with whi ch a security can be sold in the secondary market.

MARKET ORDER: an order to buy or sell securities at the prevailing bid or ask price on the market.

MARKET VALUE: the price at which a security is trading and could presumably be purchased or sold.

MARKET VS. QUOTE: quote designates the current bid and ask on a security, as opposed to the price at which the last security order was sold.

MASTER REPURCHASE AGREEMENT: a written contract covering all future transactions between the parties to repurchase —reverse repurchase agreements that establishes each party’s rights in the transactions. A master agreement will often specify, among other things, the right of the buyer-lender to liquidate the underlying securities in the event of default by the seller-borrower.

MATURITY: the date that the principal or stated value of debt instrument becomes due and payable. It is also used as the length of time between the issue date and the due date.

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23 MONEY MARKET: the market in which short-term debt instruments (bills, commercial paper, bankers’ acceptances, etc.) are issued and traded.

MORTGAGE BOND: a bond secured by a mortgage on property. The value of the property used as collateral usually exceeds that of the mortgage bond issued against it.

NEGOTIABLE: a term used to designate a security, the title to which is transferable by delivery.

Also used to refer to the ability to exchange securities for cash or near-cash instruments.

NO PAR VALUE: a security issued with no face or par value.

NON-NEGOTIABLE: a security whose title or ownership is not transferable through a simple delivery or endorsement. (See: Negotiable.)

OBLIGATION: a responsibility for paying back a debt.

OFFER: the price of a security at which a person is willing to sell.

OFFERING: placing securities for sale to buyers. The offering usually states the price and terms.

OPEN MARKET OPERATIONS: purchases and sales of government and certain other securities in the open market by the New York Federal Reserve Bank as directed by the FOMC in order to influence the volume of money and credit in the economy. Purchases inject reserves into the bank system and stimulate growth of money and credit; sales have the opposite effect.

Open market operations are the Federal Reserve’s most important and most flexible monetary policy tool.

PAR VALUE: the stated or face value of a security expressed as a specific dollar amount marked on the face of the security; the amount of money due at maturity. Par value should not be confused with market value.

PAYING AGENT: the agency, usually a commercial bank, which dispenses the principal and interest payable on a maturing issue.

PORTFOLIO: the collection of securities held by an individual or institution.

PREMIUM: the amount by which the price paid for a security exceeds the par value. Also, the amount that must be paid over the par value to call an issue before maturity.

PRIMARY DEALER: a group of government securities dealers who submit daily reports of market activity and positions and monthly financial statements to the Federal Reserve Bank of New York and are subject to its informal oversight. Primary dealers include Securities and Exchange Commission (SEC) -registered securities broker -dealers, banks, and a few unregulated firms.

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INVESTMENT POLICY
24 PRINCIPAL: the face or par value of an instrument. It does not include accrued interest.

PRUDENT INVESTOR RULE: an investment standard adopted by the State of California in 1995. It states that a trustee shall consider the entire investment portfolio when determining the prudence of an individual investment; diversification is explicitly required within a portfolio; suitability of an investment is a primary determinant; and delegation of investment management is acceptable.

PRUDENT MAN RULE: an investment standard established in 1630. It states that a trustee who is investing for another should behave in the same way as a prudent individual of discretion and intelligence who is seeking a reasonable income and preservation of capital.

QUOTATION (QUOTE): the highest bid to buy or the lowest offer to sell a security in any market at a particular time.

RATE OF RETURN: 1) the yield which attainable on a security based on its purchase price or its current market price. 2) This may be the amortized yield to maturity on a bond the cu rrent income returns.

RATING: the designation used by investors’ services to rate the quality of a security’s creditworthiness. Moody’s ratings range from the highest Aaa, down through Aa, A, Baa, Ba, B, etc., while Standard and Poor’s ratings range from the highest AAA, down through AA, A, BBB, BB, B, etc.

REFINANCING: rolling over the principal on securities that have reached maturity or replacing them with the sale of new issues. The object may be to save interest costs or to extend the maturity of the loan.

REGISTERED BOND: a bond whose principal and/or interest is payable only to that person or organization which is registered with the issuer. This form is not negotiable and it can be transferred only when endorsed by the registered owner.

REPURCHASE AGREEMENT (REPO): agreement between a seller and a buyer, usually of U.S. Government securities, whereby the seller agrees to repurchase the securities at an agreed upon price and, usually, at a stated time. The attraction of repos is the flexibility of maturities that makes them an ideal place to “park” funds on a very temporary basis. Dealers also arrange reverse repurchase agreements, whereby they agree to buy the securities and the investor agrees to repurchase them at a later date.

REVENUE ANTICIPATION NOTES (RAN): short -term notes sold in anticipation of receiving future revenues. The notes are to be paid from the proceeds of those revenues.

REVENUE BOND: a state or local bond secured by revenues derived from the operations of specific public enterprises, such as utilities. Such bonds are not generally backed by the taxation power of the issuer unless otherwise specified in the bond indenture.

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25 SAFEKEEPING: a service banks offer to customers for a fee, where securities are held in the bank’s vaults for protection.

SECURED DEPOSIT: bank deposits of state or local government funds which, under the laws of certain jurisdictions, must be secured by the pledge of acceptable securities.

SECONDARY MARKET: a market made for the purchase and sale of outstanding issues following the initial distribution.

SECURED DEPOSIT: bank deposits of state or local government funds which, under the laws of certain jurisdictions, must be secured by the pledge of acceptable securities.

SECURITIES: investment instru ments such as bonds, stocks and other instruments of indebtedness or equity.

SECURITIES & EXCHANGE COMMISSION: agency created by Congress to protect investors in securities transactions by administering securities legislation.

SERIAL BOND: bonds of the same issue, which have different maturities, coming due over a number of years rather than all at once. This allows the issuer to retire the issue in small amounts over a long period of time.

SETTLEMENT DATE: date by which an executed order must be settled, either by buyer paying for the securities with cash or by a seller delivering the securities and receiving the proceeds of the sale for them.

SINKING FUND: a reserve fund set aside over a period of time for the purpose of liquidating or retiring an obligation, such as a bond issue, at maturity.

SPECIAL ASSESSMENT BONDS: bonds that are paid back from taxes on the property that is benefiting from the improvement being financed. The issuing governmental entity agrees to make the assessments and earmark the tax proceeds to repay the debt on these bonds.

SPREAD: the difference between two figures or percentages. For example, it may be the difference between the bid and asked prices of a quote, or between the amount paid when bought and the amount received when sold.

SUPRANATIONAL OBLIGATIONS: United States dollar denominated senior unsecured unsubordinated obligations issued or unconditionally guaranteed by the International Bank for Reconstruction and Development; International Finance Corporation, or In ter-American Development Bank.

TAX ANTICIPATION NOTES (TAN): short-term notes issued by states or municipalities to finance current operations in anticipation of future tax collections which would be used to repay the debt.

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26 TAX-EXEMPT BONDS: interest pa id on municipal bonds issued by state and local governments or agencies is usually exempt from federal taxes, and in some cases, the state and/or local taxes. The interest rate paid on these bonds is generally lower than rates on non- exempt securities.

TERMS: the conditions of the sale or purchase of a security.

TREASURY BILL (T -BILL): a non -interest bearing discount security issued by the U.S.

Treasury to finance the national debt. Most bills are issued to mature in three months, six months, or one year.

TREASURY BONDS AND NOTES: obligations of the U. S. government which bear interest.

Notes have maturities of one to seven years, while bonds have longer maturities.

TREASURY BONDS: long -term coupon bearing U.S. Treasury securities issued as direct obligations of the U.S. Government and having initial maturities of more than 10 years.

TREASURY NOTES: medium-term coupon-bearing U.S. Treasury securities issued as direct obligations of the U.S. Government and having initial maturities from two to 10 years.

TRUSTEE: a bank designated as the custodian of funds and the official representative for bondholders.

UNDERWRITER: a dealer bank or other financial institution, which arranges for the sale and distribution of a large batch of securities and assume s the responsibility for paying the net purchase price.

UNIFORM NET CAPITAL RULE: Securities and Exchange Commission requirement that member firms as well as nonmember broker-dealers in securities maintain a maximum ratio of indebtedness to liquid capit al of 15 to 1; also called net capital rule and net capital ratio.

Indebtedness covers all money owed to a firm, including margin loans and commitments to purchase securities, one -reason new public issues are spread among members of underwriting syndicates. Liquid capital includes cash and assets easily converted into cash.

YIELD: the annual rate of return on an investment, expressed as a percentage of the investment.

YIELD CURVE: graph showing the term structure of interest rates by plotting the yields of all bonds of the same quality with maturities ranging from the shortest to the longest available.

The resulting curve shows if short-term interest rates are higher or lower than long-term rates.

For the most part, the yield curve is positive (short -term rates are lower), since investors who are willing to tie up their money for a longer period of time usually are compensated for the extra risk they are taking by receiving a higher yield. 640
Fiscal Year 2026/27
Budget Adoption
June 17, 2026
641
FISCAL YEAR 2026/27 – OVERVIEW
 Additional Requested Information
 Proposed Budget Updates
 Position Requests
 Capital Improvement Plan
 All Funds Expenditures
 Appropriations Spending Limit
 Policy Updates
 Recommended Action
 Prior Special Meetings Information (If Needed)