Agenda packet — San Rafael City Council, January 18, 2022 (part 1 of 2)

AGENDA
SAN RAFAEL CITY COUNCIL –TUESDAY, JANUARY 18, 2022
REGULAR MEETING AT 7:00 P.M.

Watch on Webinar: https://tinyurl.com/cc-2022-01-18
Watch on YouTube: www.youtube.com/cityofsanrafael
Listen by phone: (669) 900-9128
ID: 899-2635-9885#
One Tap Mobile: US: +16699009128,,89926359885#
CORONAVIRUS (COVID-19) ADVISORY NOTICE
In response to Assembly Bill 361, the City of San Rafael is offering teleconference without complying with the procedural requirements of Government Code section 54953(b)(3). This meeting will be held virtually using Zoom and is being streamed to YouTube at www.youtube.com/cityofsanrafael.

How to participate in the meeting:
• Submit public comment in writing before 4:00 p.m. the day of the meeting to [email protected].
• Join the Zoom webinar and use the 'raise hand' feature to provide verbal public comment. • Dial-in to Zoom's telephone number using the meeting ID and provide verbal public comment.

Any member of the public who needs accommodations should contact the City Clerk (email [email protected] or phone at 415-485-3066) who will use their best efforts to provide reasonable accommodations to provide as much accessibility as possible while also maintaining public safety in accordance with the City procedure for resolving reasonable accommodation requests.

OPEN SESSION

1. None.

CLOSED SESSION

2. Closed Session: - None.

OPEN TIME FOR PUBLIC EXPRESSION
The public is welcome to address the City Council at this time on matters not on the agenda that are within its jurisdiction. Please be advised that pursuant to Government Code Section 54954.2, the City Council is not permitted to discuss or take action on any matter not on the agenda unless it determines that an emergency exists, or that there is a need to take immediate action which arose following posting of the agenda. Comments may be no longer than two minutes and should be respectful to the community.

CITY MANAGER’S REPORT:

3. City Manager’s Report:

COUNCILMEMBER REPORTS:
(including AB 1234 Reports on Meetings and Conferences Attended at City Expense)

4. Councilmember Reports:
2 CONSENT CALENDAR:

The opportunity for public comment on consent calendar items will occur prior to the City Council’s vote on the Consent Calendar. The City Council may approve the entire consent calendar with one action. In the alternative, items on the Consent Calendar may be removed by any City Council or staff member, for separate discussion and vote.

5. Consent Calendar Items:
a. Approval of Minutes
Approve Minutes of City Council / Successor Agency Regular Meeting of Monday, December 20, 2022 (CC)
Recommended Action – Approve minutes as submitted
b. Use of Teleconferencing for Public Meetings During State of Emergency Resolution Pursuant to Assembly Bill 361 Making Findings and Confirming the Need for Continued Use of Teleconferencing to Hold Public Meetings of the San Rafael City Council and City Boards and Commissions During the Continuing State of Emergency Relating to the COVID-19 Pandemic (CA)
Recommended Action – Adopt Resolution
c. Vacancies on San Rafael Boards and Commissions
Announcement of Vacancies on the Cannabis Industry Tax Oversight Committee and the Fire Commission (CC)
Recommended Action – Receive and file
d. Pickleweed Advisory Committee Appointment
Approve Appointment of Miguel Hau-Gutierrez to the Pickleweed Advisory Committee as a Youth Member to the End of December 2024 (CC)
Recommended Action – Approve appointment
e. Residential Building Resale (RBR) Report
Resolution Adopting an Extension of Temporary Measures for Administering the Residential Building Record Program (“RBR Program”) Set Forth in San Rafael Municipal Code Title 12 (Building Regulations), Chapter 12.36 (Report of Residential Building Record) During the High Demand Real Estate Market and COVID-19 Pandemic (CD) Recommended Action – Adopt Resolution
f. City Quarterly Investment Report
Acceptance of City of San Rafael Quarterly Investment Report for the Quarter Ending December 31, 2021 (Fin)
Recommended Action – Accept report
g. Fire Mid-Management Personnel Changes
Resolution Approving the Reclassification of One Fire Department Battalion Chief Position to a Deputy Fire Chief and Add a Deputy Director of Emergency Management Position (HR) Recommended Action – Adopt Resolution
3 h. Revised Salary and Benefit Plan for Temporary Employees Resolution Rescinding Resolution 14268 and Adopting a Revised Temporary, Seasonal, Retiree, and Fixed-Term Employees Salary and Benefit Plan and Salary Schedule (HR) Recommended Action – Adopt Resolution
i. California State Preschool Program Continued Funding Application Resolution Authorizing the Senior Recreation Supervisor-Child Care to Submit an Application to the California Department of Education for a Grant to Provide Child Care and Development Services for Fiscal Year 2022-2023, and if Granted, to Sign all Necessary Grant Documents (LR)
Recommended Action – Adopt Resolution
j. Albert Park Fencing and Netting
Albert Park Fencing and Netting Project, City Project No. 11372 Bid Rejection (PW) Recommended Action – Reject bid and direct staff to develop design alternatives k. Caltrans Local Procedures
Resolution Adopting Chapter 10 of the Caltrans Local Assistance Procedures Manual Entitled “Consultant Selection”, as well as All Future Updates, as the Process by which the City Procures Architectural and Engineering Consultant Services Related to Federal and State Funded Transportation Projects (PW)
Recommended Action – Adopt Resolution
PUBLIC HEARING AT 7:30 PM:

6. Public Hearing:
a. 2021-2022 City Council Redistricting Process
Second Public Hearing on Existing Council District Lines and Possible Changes (CA) Recommended Action – Accept report
OTHER AGENDA ITEMS:

7. Other Agenda Items:
a. San Quentin Pump Station
Informational Report regarding the San Quentin Pump Station Reconstruction Project and Funding (PW)
Recommended Action – Accept report
SAN RAFAEL SUCCESSOR AGENCY:

1. Consent Calendar:
a. Recognized Obligation Payment Schedule (ROPS) for Fiscal Year 2022-23 Acceptance of ROPS Report and Authorization to Submit to the Marin County Successor Agency Oversight Board and the State Department of Finance (Fin) Recommended Action – Accept report
b. Successor Agency Quarterly Investment Report
Acceptance of Successor Agency Quarterly Investment Report for the Quarter Ending December 31, 2021 (Fin)
Recommended Action – Accept report
4 ADJOURNMENT:

Any records relating to an agenda item, received by a majority or more of the Council less than 72 hours before the meeting, shall be available for inspection online. Sign Language interpreters may be requested by calling (415) 485-3066 (voice), emailing [email protected] or using the California Telecommunications Relay Service by dialing “711”, at least 72 hours in advance of the meeting. Copies of documents are available in accessible formats upon request.

Minutes subject to approval at the meeting of January 18, 2022

MINUTES
SAN RAFAEL CITY COUNCIL – MONDAY, DECEMBER 20, 2021
REGULAR MEETING AT 7:00 P.M.

Watch on Webinar: https://tinyurl.com/cc-2021-12-20
Watch on YouTube: www.youtube.com/cityofsanrafael
Listen by phone: (669) 900-9128
ID: 899-2635-9885#
One Tap Mobile: US: +16699009128,,89926359885#
CORONAVIRUS (COVID-19) ADVISORY NOTICE
In response to Assembly Bill 361, the City of San Rafael is offering teleconference without complying with the procedural requirements of Government Code section 54953(b)(3). This meeting will be held virtually using Zoom and is being streamed to YouTube at www.youtube.com/cityofsanrafael.

Present: Mayor Kate
Vice Mayor Bushey
Councilmember Kertz

Absent: Councilmember Hill
Councilmember Llorens Gulati
Also Present: City Manager Jim Schutz
City Attorney Robert Epstein
City Clerk Lindsay Lara

OPEN SESSION

1. None.

CLOSED SESSION

2. Closed Session: - None.

Mayor Kate called the meeting to order at 7:01 p.m. and invited City Clerk Lindsay Lara to call the roll. All members of the City Council were present, except for Councilmembers Hill and Llorens Gulati.

Mayor Kate provided opening remarks, which included an announcement of tonight’s last legislative meeting for the Council in 2021; gratitude for the resilience of the community throughout the year, to those who continue to follow COVID safe protocols, to the Board and Commission volunteers, to City Staff, and to residents; and a land acknowledgment. 2 City Clerk Lindsay Lara informed the community that the meeting would be recorded and streamed live to YouTube and through Zoom and members of the public would provide public comment either on the telephone or through Zoom. She explained the process for community participation on the telephone or through Zoom.

OPEN TIME FOR PUBLIC EXPRESSION
• Amy Likover addressed the Council expressing gratitude to City for making C and D Streets two-way and spoke about a recent city ride-along tour with a new City staff member. • Eva Chrysanthe addressed the Council regarding the recent death of a woman at the Service Support Area.
• Kristen Vandivier, Meditation Without Borders, addressed the Council regarding meditation classes and other services at the Service Support Area. • Name withheld addressed the Council regarding services at the Service Support Area.

CITY MANAGER’S REPORT:

3. City Manager’s Report:

City Manager Jim Schutz announced:
• His gratitude to the City Council, all City staff and the entire extended community for everything that was done to make San Rafael a better place in 2021 • City Administrative Offices will be closed the last week of December. Fire, paramedic and police services will be staffed 24-7. Public Works and Sanitation District crews will be staffed and monitoring emergency maintenance requests, as well. • Tuesday, January 18th will be the first City Council meeting of 2022, as the January 3rd meeting is cancelled
• Update on in-person meetings
• Planning Commission vacancy
• Bicycle & Pedestrian Advisory Committee youth member vacancy • Nominations are due for the Citizen of the Year Award Mayor Kate invited public comment.

Speakers: Grace Geraghty, Eva Chrysanthe
Jim Schutz, City Manager provided comments.

COUNCILMEMBER REPORTS:
(including AB 1234 Reports on Meetings and Conferences Attended at City Expense)

4. Councilmember Reports:
• Councilmember Bushey reported on MCCMC Water Committee, San Rafael Sanitation Board and Central Marin Sanitation Agency meetings, as well as, the Lighted Boat Parade.
• Councilmember Kertz reported on the Lighted Boat Parade, as well as, Marin Wildfire Prevention Authority (MWPA) and Age-Friendly San Rafael meetings. • Mayor Kate reported on the Lighted Boat Parade, a Transportation Authority of Marin meeting, a Community Circle and the Boards & Commissions Volunteer Appreciation Party.

Mayor Kate invited public comment; however, there was none. 3 CONSENT CALENDAR:

Mayor Kate invited public comment; however, there was none.

Councilmember Bushey moved and Councilmember Kertz seconded to approve the Consent Calendar.

5. Consent Calendar Items:
a. Approval of Minutes
Approve Minutes of City Council / Successor Agency Special and Regular Meetings of Monday, November 15, 2021 and Regular Meeting of Monday, December 6, 2021 (CC) Approved minutes as submitted
b. Use of Teleconferencing for Public Meetings During State of Emergency Resolution Pursuant to Assembly Bill 361 Making Findings and Confirming the Need for Continued Use of Teleconferencing to Hold Public Meetings of the San Rafael City Council and City Boards and Commissions During the Continuing State of Emergency Relating to the COVID-19 Pandemic (CA)
Resolution 15012 - Resolution Pursuant to Assembly Bill 361 Making Findings and Confirming the Need for Continued Use of Teleconferencing to Hold Public Meetings of the San Rafael City Council and City Boards and Commissions During the Continuing State of Emergency Relating to the COVID-19 Pandemic
c. Vacancies on San Rafael Boards and Commissions
Announcement of Vacancies on the Planning Commission and the Bicycle and Pedestrian Advisory Committee (Youth Member) (CC)
Received and filed
d. Cannabis Industry Tax Oversight Committee Appointment Approve Appointment of Charles Friede to the Cannabis Industry Tax Oversight Committee to the End of February 2024 Due to the Resignation of Drew Bulfer (CC) Approved appointment
e. Revised City Manager Employment Agreement
Resolution Approving and Authorizing the Mayor to Execute a Revised Employment Agreement Between the City and City Manager James M. Schutz (CM) Resolution 15013 - Resolution Approving and Authorizing the Mayor to Execute a Revised Employment Agreement Between the City and City Manager James M. Schutz f. Annual Measure E TUT Oversight Committee Report
Measure E Transactions and Use Tax Oversight Committee Report for Fiscal Year 2020- 2021 (Fin)
Accepted report
g. Library Parcel Tax Annual Report
Special Library Parcel Tax Oversight Committee’s Annual Measure D Report (L/R) Accepted report
h. Fire Station 54 & 55 – Materials Testing and Special Inspection, and Geotechnical Testing and Inspection Services
4 Resolution Authorizing the City Manager to Execute a Professional Services Agreement with BSK Associates for Materials Testing and Special Inspection Services and Geotechnical Testing and Inspection Related to Phase 2 Essential Facilities Projects - Fire Station 54 and 55 In the Amount of $145,744 (PW)
Resolution 15014 - Resolution Authorizing the City Manager to Execute a Professional Services Agreement with BSK Associates for Materials Testing and Special Inspection Services and Geotechnical Testing and Inspection Related to Phase 2 Essential Facilities Projects - Fire Station 54 and 55 In the Amount of $145,744
AYES: Councilmembers: Bushey, Kertz & Mayor Kate
NOES: Councilmembers: None
ABSENT: Councilmembers: Hill & Llorens Gulati

OTHER AGENDA ITEMS

6. Other Agenda Items:
a. Homelessness Update
Informational Report on Status of Homelessness in San Rafael (CM) David Spiller, Police Chief and Marc Sabin, Homeless Program Manager presented the Staff Report.

Councilmembers provided comments.

Staff responded to questions from Councilmembers.

Ken Shapiro, County of Marin and Gary Naja-Riese, County of Marin provided comments.

Mayor Kate invited public comment.

Speakers: Jason Sarris, Damian Edwards, Downtown Streets Team, Kristen Vandivier, Meditation Without Borders, Nick Morris, The Street Chaplaincy, Karen Strolia, Downtown Streets Team, Eva Chrysanthe, Name Withheld
Ken Shapiro, County of Marin provided comments.

Councilmember Bushey moved and Councilmember Kertz seconded to accept the report.

AYES: Councilmembers: Bushey, Kertz & Mayor Kate
NOES: Councilmembers: None
ABSENT: Councilmembers: Hill & Llorens Gulati
Accepted Report
b. Ministerial Review of Two-Unit Residential Developments and Urban Lot Splits Pursuant to Senate Bill 9 (SB 9)
Resolution Directing Staff to Prepare an Interim Guidance Document Establishing Standards and Review Procedures for Ministerial Review of Two-Unit Residential Developments and Urban Lot Splits to Implement SB 9 - The California Home Act; And Directing the Preparation of an SB 9 Implementing Ordinance (CD) 5 Alicia Giudice, Community Development Director introduced Jeff Ballantine, Senior Planner who presented the Staff Report.

Staff responded to questions from Councilmembers.

Mayor Kate invited public comment.

Speakers: John Reynolds, David Smith, Responsible Growth Marin, Shirley Fischer Staff responded to public comment.

Councilmember Kertz moved and Councilmember Bushey seconded to adopt the resolution.

AYES: Councilmembers: Bushey, Kertz & Mayor Kate
NOES: Councilmembers: None
ABSENT: Councilmembers: Hill & Llorens Gulati
Resolution 15015 - Resolution Directing Staff to Prepare an Interim Guidance Document Establishing Standards and Review Procedures for Ministerial Review of Two-Unit Residential Developments and Urban Lot Splits to Implement SB 9 - The California Home Act; And Directing the Preparation of an SB 9 Implementing Ordinance
c. Emergency Vehicle Preemption of Traffic Signals – Public Safety Initiative Resolution Approving and Authorizing the City Manager to Execute a Master Sale of Goods and Services Agreement with Global Traffic Technologies to Provide Preemption Services for Police and Fire Vehicles at Signalized Intersections (PW) Bill Guerin, Public Works Director introduced Rafat Raie, Deputy Public Works Director who presented the Staff Report.

Staff responded to questions from Councilmembers.

Mayor Kate invited public comment.

Speakers: Lori Shifrin, Grace Geraghty, Eva Chrysanthe
Councilmember Kertz moved and Councilmember Bushey seconded to adopt the resolution.

AYES: Councilmembers: Bushey, Kertz & Mayor Kate
NOES: Councilmembers: None
ABSENT: Councilmembers: Hill & Llorens Gulati
Resolution 15016 - Resolution Approving and Authorizing the City Manager to Execute a Master Sale of Goods and Services Agreement with Global Traffic Technologies to Provide Preemption Services for Police and Fire Vehicles at Signalized Intersections d. 2022 Vice-Mayor
Select Vice-Mayor for the City of San Rafael 2022 (CC)
Mayor Kate introduced this item.
6 Mayor Kate invited public comment; however, there was none.

Councilmembers provided comments.

Councilmember Bushey moved and Councilmember Kertz seconded to nominate Rachel Kertz to be the Vice-Mayor for 2022.

AYES: Councilmembers: Bushey, Kertz & Mayor Kate
NOES: Councilmembers: None
ABSENT: Councilmembers: Hill & Llorens Gulati
Selected Rachel Kertz as Vice-Mayor for 2022
e. City Council Appointments to Committees
Approve City Council Appointments to Committees 2022 (CC) Mayor Kate introduced this item.

Mayor Kate invited public comment; however, there was none.

Councilmember Bushey moved and Councilmember Kertz seconded to adopt the City Council appointments to committees as presented.

AYES: Councilmembers: Bushey, Kertz & Mayor Kate
NOES: Councilmembers: None
ABSENT: Councilmembers: Hill & Llorens Gulati
Approved Appointments
SAN RAFAEL SUCCESSOR AGENCY:

1. Consent Calendar: - None.

ADJOURNMENT:

Mayor Kate adjourned the meeting at 9:29 p.m.
___________________________
LINDSAY LARA, City Clerk
APPROVED THIS _____DAY OF____________, 2022
_____________________________________
KATE COLIN, Mayor
____________________________________________________________________________________

FOR CITY CLERK ONLY
Council Meeting:

Disposition:

Agenda Item No: 5.b
Meeting Date: January 18, 2022

SAN RAFAEL CITY COUNCIL AGENDA REPORT
Department: City Attorney
Prepared by: Lisa Goldfien,
Assistant City Attorney
City Manager Approval: ______________
TOPIC: USE OF TELECONFERENCING FOR PUBLIC MEETINGS DURING STATE OF

EMERGENCY
SUBJECT: RESOLUTION PURSUANT TO ASSEMBLY BILL 361 MAKING FINDINGS AND

CONFIRMING THE NEED FOR CONTINUED USE OF TELECONFERENCING TO

HOLD PUBLIC MEETINGS OF THE SAN RAFAEL CITY COUNCIL AND CITY BOARDS

AND COMMISSIONS DURING THE CONTINUING STATE OF EMERGENCY RELATING TO THE COVID-19 PANDEMIC
RECOMMENDATION:

Adopt the resolution pursuant to Assembly Bill 361 making findings and confirming the need for continued use of teleconferencing to hold public meetings of the San Rafael City Council and City boards and commissions during the continuing state of emergency relating to the COVID-19 pandemic BACKGROUND:

The Ralph M. Brown Act (“Brown Act”) requires that except as specifically provided, “meetings of the legislative body of a local agency shall be open and public, and all persons shall be permitted to attend any meeting of the legislative body”. (Gov. Code §54953(a).) For many years, the Brown Act has authorized members of a local agency’s legislative body to attend a public meeting by teleconference in compliance with strict procedural requirements. Under Government Code section 54953(b)(3), to use teleconferencing, at least a quorum of the legislative body must participate from locations within agency’s boundaries, and the agency must give notice of each teleconference location, post an agenda at each teleconference location, provide for public access to each teleconference location, and allow members of the public to address the Council at each teleconference location.

On March 4, 2020, Governor Newsom declared a statewide state of emergency in connection with the COVID-19 pandemic. Subsequently, on March 18, 2020, the Governor issued Executive Order No. N29-20 suspending the Brown Act’s requirements for in-person meetings and facilitating the use of teleconferencing for public meetings during the state of emergency. The Executive Order authorized public meetings to be held by teleconference only, provided that notice and accessibility requirements are met, members of the public are allowed to observe and address the legislative body at the meeting, and there is a procedure for receiving and swiftly resolving requests for reasonable accommodation for individuals with disabilities. This order has allowed the City Council and the City’s other formal boards SAN RAFAEL CITY COUNCIL AGENDA REPORT / Page: 2
and commissions to hold their public meetings using teleconferencing technologies, with the requisite notice and public participation; however, the order was due to expire on September 30, 2021, and without legislative action, in-person meetings and the strict teleconferencing procedures of the Brown Act would again be required.

Because the statewide state of emergency continues and the COVID-19 pandemic still poses a health risk for public meetings, on September 16, 2021, Governor Newsom signed into law as an urgency measure Assembly Bill (AB) 361. AB 361 amends the Brown Act provisions governing the use of teleconferencing for public meetings of a local agency’s legislative bodies, allowing more liberal teleconferencing requirements to continue during the current and future state-declared emergencies.

ANALYSIS:

Executive Order N-29-20 has now expired, but AB 361 is now in effect, and its amendments to the Brown Act will allow the City to continue to hold its meetings using teleconferencing technology after September

30. Government Code section 54953, as amended by AB 361, now provides in new subsection (e)(1), that during the current and any future state-declared state of emergency, the legislative body of a local agency may use teleconferencing without complying with the procedural requirements of Government Code section 54953(b)(3) in any of three circumstances:
(A) The legislative body holds a meeting during a proclaimed state of emergency, and state or local officials have imposed or recommended measures to promote social distancing. (B) The legislative body holds a meeting during a proclaimed state of emergency for the purpose of determining, by majority vote, whether as a result of the emergency, meeting in person would present imminent risks to the health or safety of attendees. (C) The legislative body holds a meeting during a proclaimed state of emergency and has determined, by majority vote, pursuant to subparagraph (B), that, as a result of the emergency, meeting in person would present imminent risks to the health or safety of attendees.

Certain additional requirements would apply under the new law, however, including specific requirements as to how public comment must be allowed and heard, with which the City already complies. In addition:
• In the event of a disruption which prevents the City from broadcasting the meeting to members of the public using the call-in option or internet-based service option, or in the event of a disruption within the City’s control which prevents members of the public from offering public comments using the call-in option or internet-based service option, the legislative body shall take no further action on items appearing on the meeting agenda until public access to the meeting via the callin option or internet-based service option is restored. Actions taken on agenda items during a disruption which prevents the public agency from broadcasting the meeting may be challenged pursuant to Section 54960.1.
• If a state of emergency remains active, or state or local officials have imposed or recommended measures to promote social distancing, in order to continue to teleconference without compliance with paragraph (3) of subdivision (b), the legislative body shall, not later than 30 days after teleconferencing for the first time pursuant to subparagraph (A), (B), or (C) of paragraph (1), and every 30 days thereafter, make the following findings by majority vote:
o The legislative body has reconsidered the circumstances of the state of emergency. o Any of the following circumstances exist:

SAN RAFAEL CITY COUNCIL AGENDA REPORT / Page: 3
 (i) The state of emergency continues to directly impact the ability of the members to meet safely in person.
 (ii) State or local officials continue to impose or recommend measures to promote social distancing.

The resolution before the City Council is intended to comply with the requirement to make specified findings every 30 days. The resolution finds that the state of emergency continues in effect, that measures to promote social distancing are still being imposed by the state and county, and that the state of emergency directly impacts the ability of the public and the members of the City’s Council, boards, and commissions to meet safely in person. The proposed resolution confirms the City Council’s determination that all public meetings of the City’s legislative bodies (the Council and all formal boards and commissions) should continue to be held using only teleconferencing technology.

Staff plans to agendize the same type of resolution at each regular City Council meeting during the pendency of the statewide state of emergency, so that the Council may continue to reconsider these findings at least every 30 days.

The Brown Act amendments adopted by AB 361 will be operative until January 1, 2024, and will then expire unless extended by new legislation.

FISCAL IMPACT:

There is no fiscal impact associated with the adoption of the attached resolution.

OPTIONS:

The City Council has the following options to consider on this matter:

1. Adopt the resolution as proposed.

2. Adopt a modified resolution.

3. Direct staff to return with more information.

4. Take no action.

RECOMMENDED ACTION:

ATTACHMENTS:

1. Resolution
1 RESOLUTION NO.

RESOLUTION OF THE SAN RAFAEL CITY COUNCIL PURSUANT TO ASSEMBLY BILL 361

MAKING FINDINGS AND CONFIRMING THE NEED FOR CONTINUED USE OF

TELECONFERENCING TO HOLD PUBLIC MEETINGS OF THE SAN RAFAEL CITY COUNCIL

AND CITY BOARDS AND COMMISSIONS DURING THE CONTINUING STATE OF EMERGENCY RELATING TO THE COVID-19 PANDEMIC
WHEREAS, on March 4, 2020 Governor Newsom issued a proclamation pursuant to Government Code Section 8625 declaring a state of emergency in California due to the COVID19 pandemic; and WHEREAS, the Ralph M. Brown Act (Gov. Code §§ 54950 et seq.) (hereafter, the “Brown Act”) provides in Government Code section 54953 that “all meetings of the legislative body of a local agency shall be open and public, and all persons shall be permitted to attend any meeting of the legislative body of a local agency, except as otherwise provided by this chapter”; and WHEREAS, Government Code section 54953(b)(3) permits the legislative body of a local agency to use teleconferencing for the benefit of the public and the legislative body in connection with any meeting or proceeding authorized by law, subject to specified procedural requirements including, but not limited to, the posting of agendas at all teleconference locations, the opportunity for members of the public to address the legislative body directly at each teleconference location, and that at least a quorum of the members of the legislative body participate from locations within the boundaries of the territory over which the legislative body exercises jurisdiction; and WHEREAS, Government Code section 54953(e), added by Assembly Bill 361 effective September 16, 2021, provides, in section 54953(e)(1), that during a state of emergency proclaimed pursuant to Government Code section 8625, the legislative body of a local agency may hold a meeting using teleconferencing without complying with the procedural requirements of section 54953(b)(3), provided that the legislative body complies with the requirements of section 54953(e)(2); and
WHEREAS, pursuant to Government Code section 54953(e)(3), if a state of emergency remains active, or state or local officials have imposed or recommended measures to promote social distancing, then in order to continue to teleconference without compliance with the requirements of section 54953(b)(3), the legislative body shall make specified findings at least every 30 days; and
WHEREAS, the City Council has reconsidered the circumstances of the proclaimed COVID-19-related state of emergency and finds that it remains active; and WHEREAS, the City Council finds that state and/or local officials continue to impose or recommend measures to promote social distancing, as follows:
a. The July 28, 2021 California Department of Public Health Guidance for the Use of Face Coverings recommending universal masking indoors statewide to promote social distancing is still in effect; and
2 b. The August 2, 2021 Marin County Department of Public Health order requiring all people to wear masks in public indoor settings to promote social distancing is still in effect; and
WHEREAS, the City Council finds that the state of emergency continues to directly impact the ability of the members of the City Council and other City boards and commissions to meet safely in person;
NOW, THEREFORE, BE IT RESOLVED by the City Council of the City of San Rafael that in order to protect the safety of the members of the public, the City Council and all City boards and commissions, for the 30 days following adoption of this resolution, public meetings of the City’s legislative bodies shall continue to be held using teleconferencing technology in compliance with the requirements of Government Code section 54953(e)(2) and all other applicable laws.

I, Lindsay Lara, Clerk of the City of San Rafael, hereby certify that the foregoing Resolution was duly and regularly introduced and adopted at a regular meeting of the City Council of the City of San Rafael, held on Tuesday, the 18th day of January 2022, by the following vote, to wit:

AYES: Councilmembers:

NOES: Councilmembers:

ABSENT: Councilmembers:

___________________
Lindsay Lara, City Clerk
____________________________________________________________________________________

FOR CITY CLERK ONLY
Council Meeting: _______________________
Disposition: ___________________________
Agenda Item No: 5.c
Meeting Date: January 18, 2022

SAN RAFAEL CITY COUNCIL AGENDA REPORT
Department: City Clerk’s Office
Prepared by: Lindsay Lara, City Clerk City Manager Approval: ______________ TOPIC: VACANCIES ON SAN RAFAEL BOARDS AND COMMISSIONS
SUBJECT: ANNOUNCEMENT OF VACANCIES ON THE CANNABIS INDUSTRY TAX

OVERSIGHT COMMITTEE AND THE FIRE COMMISSION
RECOMMENDATION:

Receive and file the announcement of upcoming vacancies on San Rafael’s Boards and Commissions.

BACKGROUND:

The City Clerk’s office is currently recruiting to fill upcoming vacancies on our boards and commissions.

Community members can apply online to serve on our boards and commissions, and more information and eligibility requirements are as follows:

Cannabis Industry Tax Oversight Committee
Board Description: The Cannabis Industry Tax Oversight Committee’s purpose is to ensure that all revenues received from the voter approved Cannabis Industry Tax (Measure G) are spent on uses outlined in San Rafael Ordinance 1961.

Term: Three Appointments through February 2026
2022 Meeting Schedule: December or January (date to be determined) Eligibility Requirements: Members of the Committee shall be at least 18 years of age and reside within the City limits. The Committee may not include any employee or official of the City, or any vendor, contractor or consultant doing business with the City.

Application Deadline (subject to extension): January 27, 2022.

Fire Commission
Board Description: The Fire Commission consists of five members and two alternate members who advise and support the goals and objectives of the San Rafael Fire Department. In concert with the Fire Chief, Fire Commission Members contribute their experience and expertise with department-related initiatives, such as Public Education and Information, Emergency SAN RAFAEL CITY COUNCIL AGENDA REPORT / Page: 2
Preparedness, support of the San Rafael Fire Foundation, Essential Facilities Project, Photography and documenting Fire Service History.

Term: One appointment through March 2026
One Alternate Member appointment through March 2026
2022 Meeting Schedule: Second Wednesday of each month at 4:00 p.m. (currently virtual) Eligibility Requirements: Must be a San Rafael resident.

Application Deadline (subject to extension): January 27, 2022 COMMUNITY OUTREACH:

The recruitment for applications is being advertised through mass email notification, the City’s website, Nextdoor, and Facebook social media platforms.

FISCAL IMPACT:

There is no fiscal impact associated with this report.

RECOMMENDED ACTION:

Receive and file the announcement of upcoming vacancies on San Rafael’s Boards and Commissions. ____________________________________________________________________________________

FOR CITY CLERK ONLY
Council Meeting:

Disposition:

Agenda Item No: 5.d
Meeting Date: January 18, 2022

SAN RAFAEL CITY COUNCIL AGENDA REPORT
Department: City Clerk
Prepared by: Lindsay Lara, City Clerk City Manager Approval: _______ TOPIC: PICKLEWEED ADVISORY COMMITTEE APPOINTMENT
SUBJECT: APPROVE APPOINTMENT OF MIGUEL HAU-GUTIERREZ TO THE

PICKLEWEED ADVISORY COMMITTEE AS A YOUTH MEMBER TO THE END OF DECEMBER 2024
RECOMMENDED ACTION:

Approve appointment of Miguel Hau-Gutierrez to the Pickleweed Advisory Committee as a youth member to the end of December 2024.

BACKGROUND:

In June 2021, the San Rafael City Clerk’s Office called for applications to fill one unexpired fouryear term on the Pickleweed Advisory Committee. The recruitment was for one member who resides in the Canal neighborhood and the City Council expressed a desire to have it filled by a youth member. The deadline for applications was left open until filled, and the City Clerk’s office received one application.

The Pickleweed Advisory Committee provides valuable input in representing and advocating for the Canal area resident’s needs and wishes for programs and services; and is a primary public networking resource between the Canal residents, representatives from governmental and nonprofit agencies, and others. The Pickleweed Advisory Committee works in conjunction with the City of San Rafael. Meetings are held on the first Wednesday of the month at the Albert J. Boro Community Center in Meeting Room 3; however, due to COVID-19 the Pickleweed Advisory Committee is meeting virtually until meetings will resume in-person.

ANALYSIS:

On January 10, 2022, Mayor Kate, Councilmember Llorens Gulati and Pickleweed Advisory Committee staff liaison Steve Mason conducted an interview of Miguel Hau-Gutierrez and recommended his appointment be approved by the City Council.

FISCAL IMPACT: There is no fiscal impact associated with this action.

RECOMMENDATION:

Approve appointment of Miguel Hau-Gutierrez to the Pickleweed Advisory Committee as a youth member to the end of December 2024.

ATTACHMENT:

1. Application
Boards and Commissions Application
1 / 3
Q1
Contact Information
First and Last Name Miguel Hau-Gutierrez
Address
Address 2
City/Town San Rafael
State/Province CA
ZIP/Postal Code 94901
Email Address
Phone Number
Q2
What Board would you like to apply to?
Pickleweed Advisory Committee
Q6
How long have you lived in San Rafael?
15 years
Q7
Business Information
Respondent skipped this question
Q8
How did you hear about this vacant position?
Social Media
#8

COMPLETE
Collector: Web Link 1 (Web Link)
Started: Friday, October 08, 2021 12:08:10 AM
Last Modified: Friday, October 08, 2021 12:44:47 AM
Time Spent: 00:36:36
IP Address: 107.77.212.173

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Boards and Commissions Application
2 / 3
Q9
Do you participate in any civic activities? If so, what are they? Summer 2021, I volunteered for DoveTail Learning in the We Are Resilient Teen Internship. This internship focuses on youth helping adapt highly regarded adult mental health materials to be more accessible and engaging for my teen peers as a way to help them manage stress and anxiety. This materials are free for any individual or high school classroom online.

Q10
List any civic organizations of which you are a member:

Non-profit DoveTail Learning
Q11
Education:

Terra Linda High School in San Rafael City Schools
Q12
Why are you interested in serving on a board or commission? I want to give back to my community. My parents immigrated to this country 30 years ago and have lived in the Canal for 25 years. I am the youngest in my family and my 3 older siblings all grew up in the Canal. I have heard about their experience living on different streets in the Canal, attending schools here and participating in programs at pickleweed park. I also have learned what a community of different generations of people of color love the most about the Canal and what they wish could be better. Summer 2020, my dad passed away from Covid-19. I have seen how the pandemic has hurt my family, friends and neighbors in the Canal. My parents have told me the importance of helping your community and I think representing my community and youth like me is a good way to help. I am working hard in high school to go to a good college and come back to keep helping my community after.

Q13
Describe possible areas in which you may have a conflict of interest with the City:

N/A
Q14
Upload your resume.

Respondent skipped this question
Q15
Ethnicity

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Boards and Commissions Application
3 / 3
Q16
To which gender do you most identify?
Q17
How old are you?
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____________________________________________________________________________________

FOR CITY CLERK ONLY
Council Meeting:

Disposition: Resolution
Agenda Item No: 5.e
Meeting Date: January 18, 2022

SAN RAFAEL CITY COUNCIL AGENDA REPORT
Department: COMMUNITY DEVELOPMENT
Prepared by: Alicia Giudice, Director
Don Jeppson, Chief Building Official
City Manager Approval: ______________
TOPIC: RESIDENTIAL BUILDING RESALE (RBR) REPORT
SUBJECT: RESOLUTION ADOPTING AN EXTENSION OF TEMPORARY MEASURES FOR ADMINISTERING THE RESIDENTIAL BUILDING RECORD PROGRAM (“RBR PROGRAM”) SET FORTH IN SAN RAFAEL MUNICIPAL CODE TITLE 12 (BUILDING REGULATIONS), CHAPTER 12.36 (REPORT OF RESIDENTIAL BUILDING RECORD) DURING THE HIGH DEMAND REAL ESTATE MARKET AND COVID-19 PANDEMIC RECOMMENDATION:

Adopt resolution to extend temporary measures for administering the RBR Program.

BACKGROUND:

The City’s Residential Building Inspection Program (RBR), established in 1973 by Ordinance No. 1128, requires property owners to obtain a “report of residential building record” (resale report) prior to the sale or exchange of any residential building. The program includes a City inspection for which the findings are incorporated in the resale report. This program was updated in December 2016 by Ordinance No. 1945 and City Council Resolution No. 14243 which set forth the adopted policies, practices, and procedures for administering and enforcing the RBR Program; and b) Resolution No. 14244, which updated the RBR Program fee schedule.

In November 2020, the City Council adopted Resolution No. 14870 which temporarily adjusted RBR fees and temporarily ceased the City’s inspection portion of the RBR Program for six months. The resolution allowed for a temporary modification to the RBR program due to the COVID-19 pandemic, an influx of building permit inspection requests and the reduction of staff due to retirements. In May 2021, the City Council adopted Resolution No. 14912 which extended these temporary measures to the end of December 2021. That extension has expired and the City continues to experience a steady volume of building inspection requests. We are close to but not at full inspector staffing, and new COVID-19 cases are once again surging, which has an impact on in-person inspections and also the ability to fill an inspector vacancy. For these reasons, staff is recommending an additional extension of the temporary measures through July 2022.

SAN RAFAEL CITY COUNCIL AGENDA REPORT / Page: 2
ANALYSIS:

The following tables provide Building-Related Permit activity for the past two years and RBR statistics for the past four years:

Building-Related Permits Year 2021 Year 2020
(comparison)
New Building Permit Applications Received
(Total Valuation)
3,273
($156 million)
3,025
($116 million)
Building Permits Issued
(Fees Collected)
3,417
($4.4 million)
2,940
($7.2 million)
Projects and Permits Completed through Final Inspection 984 781 Residential Building Resale Inspection Reports Issued 737 638 Reporting Year Total RBRs
Issued
Total Monthly
Average
Total Refunds
Issued
2017 634 50 15
2018 635 49 23
2019 592 45 19
2020 638 53 38
2021 737 61 None
2022 (to date) 19 N/A None
High Demand Real Estate Market & COVID 19 Pandemic
As recently reported in Bay Area news, San Francisco and the South Bay are experiencing an exodus of City residents that are moving outward to the suburbs. A combination of factors is causing this exodus including: 1) a permanent and sustained shift in the workforce to working from home which started during the COVID-19 Shelter-in-Place Order; 2) high rents in San Francisco; and 3) low interest rates for real estate loans. Local realtors have reported record numbers of new clients seeking housing in Marin.

Further, the available real estate inventory is low, so property that is placed on the market sells quickly, resulting in shorter transaction periods.

RBR applications remain at high levels and in 2021 showed an increase of over 15% from the prior year.

One Building Inspector has been dedicated to administering the inspections and resale reports. Other staff in the Building Division have had to step in to assist during periods of heavy application/inspection activity. Because of reduced staffing resulting from the COVID-19 pandemic and increased demand for building permits, the Building Division experienced delays in processing, inspecting, and issuing the resale reports before the temporary measures were adopted. As the sellers, buyers and realtors rely on the information from the RBR in the property sale process, these issuance delays of the resale reports cause significant challenges for our customers.

Temporary RBR Program Measures
Staff has continued close collaboration with the Marin Association of Realtors to meet the current high demand for real estate and there is an interest in continuing the temporary measures which include the following:

1. Continue to temporarily cease the City inspection part of the process.

2. Prepare and issue a resale report that provides property information and the permit history on file with the City.

3. Continue temporarily reduced RBR fees. The recommended fee reduction is discussed in the Fiscal Impact section of this report.

4. Apply these interim measures through July 31, 2022.

SAN RAFAEL CITY COUNCIL AGENDA REPORT / Page: 3
Staff finds that the extension of temporary measures will assist in reducing turnaround time for issuance of a resale report and allow the City’s RBR inspector to be deployed to separate, needed inspection services. Further, the issuance of an RBR report that only provides the property permit history would be modeled after similar resale programs in Marin where no inspection is completed (e.g., Town of Corte Madera).

An additional advantage of the extended temporary measures is the safety provided to the customer and the Building Inspector. With the current high demand real estate market where the available inventory is selling quickly, a great number of sellers are remaining in their homes during the property listing and sale process. As a result, there is a greater number of person-to-person encounters during the RBR inspection process, which the temporary measures would curtail as a safety measure to combat the spread of COVID-19.

There are two downsides to these interim measures. First, without a City inspection, unpermitted work would not be identified and cited for correction. Second, if unpermitted work is not cited, there would be a temporary reduction in projected revenue (discussed below in Fiscal Impact section) that is generated from the issuance of retroactive permits with fines/penalties.

FISCAL IMPACT:

The administration of the RBR Program is funded by fees. As noted above, on December 5, 2016 the City Council adopted an update of the RBR Program fee schedule. The adopted RBR fees are presented in the table below. The fees are based on a 2016 cost study that was prepared by staff, which represents staff time to complete the service, including a minor amount of overhead. Completing the field inspection and reporting the inspection findings represents approximately 50% of the service time and cost represented in the adopted fees. Therefore, staff is recommending that during this interim period, the RBR fees be temporarily reduced as presented in the table below (right column).

RBR Service Currently Adopted
Report Fees
Temporary Fee Reduction
(Recommended)
Resale Report- Single-Family Residential
Resale Report - Duplex
Resale Report- Multiple-Family/Apartments First Unit.

Each additional Multiple-Family Dwelling/Apt. Unit
$290.00
$290.00/unit
$270.00
$30.00
$145.00
$145.00/unit
$135.00
$15.00
Resale Report- Condominiums $255.00 $128.00
Appeal $100.00 NA
Please note two factors. First, a “not applicable” entry has been placed in this table for appeals. An appeal is offered to the customer that challenges the field inspection findings that are reported in the RBR. If, during this interim period no field inspections are conducted, there would be no appeals. Second, during this interim period, the fee would not be refundable. The current refund that is offered is for a “clean” resale report that is issued based on the findings of the field inspection, which would not be conducted during this interim period.

As noted, retroactive permits and penalties for unpermitted work that is disclosed as part of the RBR inspection process leads to revenue collection. If the recommended resolution is adopted and inspections are waived to the end of July, it is estimated that $80,000-100,000 in projected revenue from retroactive building permit and penalties (investigation fees) may not be realized.

OPTIONS:

The City Council has the following options to consider on this matter:

1. Adopt the resolution as proposed by staff.

SAN RAFAEL CITY COUNCIL AGENDA REPORT / Page: 4

2. Adopt the resolution with modifications.

3. Direct staff to return with more information.

4. Take no action.

RECOMMENDED ACTION:

Adopt resolution.

ATTACHMENTS:

1. Resolution
1-1
RESOLUTION NO.

RESOLUTION OF THE SAN RAFAEL CITY COUNCIL ADOPTING AN EXTENSION

OF TEMPORARY MEASURES FOR ADMINISTERING THE RESIDENTIAL BUILDING RECORD PROGRAM (“RBR PROGRAM”) SET FORTH IN SAN RAFAEL MUNICIPAL CODE TITLE 12 (BUILDING REGULATIONS), CHAPTER 12.36 (REPORT OF

RESIDENTIAL BUILDING RECORD) DURING THE HIGH DEMAND REAL ESTATE MARKET AND COVID-19 PANDEMIC
WHEREAS, on December 16, 2016, the City Council adopted Ordinance No. 1945 amending San Rafael Municipal Code Title 12, Chapter 12.36 (Report of Residential Building Record), which set forth the general administration and enforcement of what is known as the RBR Program. The RBR Program requires that upon resale of any residential property within the City, the property seller shall obtain from the City a report (resale report) of the City permit records and City inspection of the property. The resale report provides an added level of disclosure to the purchaser of the property; and WHEREAS, in tandem with the adoption of Ordinance No. 1945, on December 16, 2016 the City Council adopted: a) Resolution No. 14243 which sets forth the specific policies, practices, and procedures for administering the RBR Program; and b) Resolution No. 14244 which amended the City’s Master Fee Schedule to update fees specific to the RBR Program; and
WHEREAS, Resolution No. 14243 includes, among others the specific process steps for and required information to be included in a resale report. The resale report must include a complete history of the property permit records (Building and Planning Division permits) and code enforcement cases on file with the City. Further, a property inspection must be conducted by a City inspector and the resale report shall include the findings of the inspection and shall cite violations and/or unpermitted construction that must be corrected or remedied. This resolution also includes a commitment that within seven (7) business days following City receipt of the RBR application, City staff is to contact the property owner/seller or their representative to schedule a date and time for City inspection of the property; and
WHEREAS, on November 16, 2020, the City Council adopted Resolution No. 14757 which temporarily adjusted RBR fees and temporarily ceased the City’s inspection portion of the RBR Program for six months. The resolution allowed, with an assessment from Community Development Department staff on the status of the real estate market and the COVID-19 pandemic, an extension of temporary measures with approval of the City Council.

WHEREAS, on May 17, 2021, the City Council adopted Resolution No. 14912 which continued temporarily adjusted RBR fees and temporarily ceased the City’s inspection portion of the RBR Program to the end of December 2021.

WHEREAS, San Francisco and the South Bay continue experiencing an exodus of residents moving outward to the suburbs. A combination of factors is causing this exodus including: 1) a permanent and sustained shift in the workforce to working from home which started during the COVID 19 Shelter-in-Place Order; 2) high rents in the San Francisco and South Bay; and 3) the low interest mortgage loan rates. The high 1-2
demand real estate market has resulted in a low inventory and shorter property sale transaction periods; and
WHEREAS, during the COVID-19 pandemic building permits and RBRs have increased while there have been significant budget cuts and staffing reductions resulting in slower processing times and inspection scheduling for resale reports; and WHEREAS, the Community Development Department staff has continued to collaborate with Marin Association of Realtors on the extension of temporary, interim measures for administering the RBR Program during the pandemic and this high demand real estate market. The interim measures include temporarily ceasing the City inspection portion of the RBR Program through July 31, 2022; NOW, THEREFORE, BE IT RESOLVED, that the City Council hereby adopts the following temporary measures for administering the RBR Program:

1. The temporary measures authorized by this Resolution shall be in place and in effect through July 31, 2022.

2. The City inspection, reporting of the inspection results, and the citing of violations and unpermitted improvements outlined in and required by City Council Resolution No. 14243 shall cease during this temporary period. All other RBR Program tasks and actions outlined in Resolution No. 14243 shall continue to be administered by the City.

3. During this temporary period, the contents of the resale reports shall follow the requirements set forth in San Rafael Municipal Code Chapter 12.36 (Report of Residential Building Record), Section 12.36.060 (contents of report) except that the report will not include City site inspection findings.

4. The RBR application and related fees shall temporarily be adjusted as follows:

RBR Service Temporary Fee Reduction
Resale Report- Single-Family Residential
Resale Report - Duplex
Resale Report- Multiple-Family/Apartments First Unit.

Each additional Multiple-Family Dwelling/Apt. Unit
$145.00
$145.00/unit
$135.00
$15.00
Resale Report- Condominiums $128.00
Appeal NA
During this temporary period, no refunds will be issued.

5. During this temporary period, issued resale reports shall continue to be valid for a period of six (6) months with the ability for a one-time extension of up to an additional 90 days.

6. Following the sunset date or further extension of these temporary regulations, enforcement of the RBR Program shall resume consistent with the adopted policies, practices and procedures set forth in City Council Resolution No. 14243.

Further, at that time, the RBR fees shall return to the full application fee amounts set forth in the City of San Rafael Master Fee Schedule. 1-3
I, Lindsay Lara, Clerk of the City of San Rafael, hereby certify that the foregoing Resolution was duly and regularly introduced and adopted at a regular meeting of the City Council of San Rafael, held on Tuesday, the 18th day of January 2022, by the following vote, to wit:

AYES: COUNCILMEMBERS:

NOES: COUNCILMEMBERS:

ABSENT: COUNCILMEMBERS:
______________________
LINDSAY LARA, City Clerk
____________________________________________________________________________________

FOR CITY CLERK ONLY
Council Meeting:

Disposition:

Agenda Item No: 5.f
Meeting Date: January 18, 2022

SAN RAFAEL CITY COUNCIL AGENDA REPORT
Department: Finance
Prepared by: Nadine Atieh Hade,
Finance Director
City Manager Approval: ______________
TOPIC: CITY QUARTERLY INVESTMENT REPORT
SUBJECT: ACCEPTANCE OF CITY OF SAN RAFAEL QUARTERLY INVESTMENT REPORT FOR THE QUARTER ENDING DECEMBER 31, 2021
RECOMMENDATION: Accept investment report for the quarter ending December 31, 2021, as presented.

BACKGROUND: Pursuant to the State of California Government Code Section 53601 and the City’s investment policy, last approved by the City Council on June 7, 2021, staff provides the City Council a quarterly report on the City's investment activities and liquidity. Included in the report are the cost of each investment, the interest rates (yield), maturity dates, and market value. Separate reports are prepared for the City and the Successor Agency to San Rafael Redevelopment Agency.

The City invests a portion of its pooled funds in the Local Agency Investment Fund (LAIF), a State-run investment pool. Beginning in March 2014, the City incorporated an investment strategy that added purchases of securities outside of LAIF with the assistance of its investment advisor, Insight Investment.

ANALYSIS: As of December 31, 2021, the primary LAIF account had a balance of $36,503,021. Portfolio returns on LAIF deposits were 0.21% for the quarter ending December 31, 2021. The remaining investment assets include the $1,159,300 balance of Pt. San Pedro Assessment District bonds, and $44,493,526 in government agency securities and corporate bonds (including American Express, JP Morgan Chase, Walmart Inc., Apple Inc., American Honda Finance, Procter Gamble Co., Toyota, Caterpillar, Bank of America, John Deere, Citibank, PNC Financial Services, US Bancorp, IBM Corp, 3M Company, and PepsiCo). The overall total portfolio returns for the quarter ended December 31, 2021, were 0.55%.

The City’s Westamerica general operating bank account had a balance of $12,029,881 at quarter end.

Exhibit A is composed of three parts: (1) Quarterly Investment Portfolio Report; (2) Historical Activity by Quarter summarizing the City’s investments; and (3) the three monthly investment reports from Insight Investment for the quarter.

SAN RAFAEL CITY COUNCIL AGENDA REPORT / Page: 2
FISCAL IMPACT: No financial impact occurs by adopting the report. The City continues to meet the priority principles of investing - safety, liquidity and yield in respective order. The portfolio remains conservatively invested. Sufficient liquidity exists to meet daily operating and capital project requirements for the next six months. Operating funds, as defined for this report, exclude cash held with fiscal agents for the payment of bond principal and interest.

RECOMMENDATION: Accept investment report for the quarter ending December 31, 2021, as presented.

ATTACHMENTS:

Exhibit A:

1. Quarterly Investment Portfolio Report

2. Historical Activity by Quarter Report

3. Insight Investment Statements, October through December 2021 SAN RAFAEL CITY COUNCIL AGENDA REPORT / Page: 3
I CERTIFY THAT ALL INVESTMENTS MADE ARE IN CONFORMANCE WITH THE CITY’S APPROVED INVESTMENT POLICY AND STATE INVESTMENT REGULATIONS. THE CITY HAS SUFFICIENT

LIQUIDITY TO MEET ALL OF THE OBLIGATIONS REQUIRED DURING THE NEXT SIX-MONTH PERIOD.

NADINE ATIEH HADE

FINANCE DIRECTOR
% Return
LAIF 36,503,021 $       97.5% 0.21%
LAIF ‐ RDA 155,163 $             0.4% 0.21%
LAIF ‐ RDA 02 TARB 769,920 $             2.1% 0.21%
Total Internally Managed 37,428,104 $       45.0%
Weighted Average Yield 0.21%
Days
Effective Average Duration ‐ Internal 1
Weighted Average Maturity ‐ Internal 1
% Return
Cash $            160,462 0.4% 0.02%
Treasury Securities 17,936,293 $       39.2% 0.51%
Instrumentality Securities 12,774,395 $       27.9% 1.09% Corporate Notes 13,782,838 $       30.1% 0.65%
Municipal 1,159,300 $          2.5% 5.25%
Total Externally Managed 45,813,288 $       55.0%
Weighted Average Yield 0.83%
Years
Effective Average Duration ‐ External 1.68
Weighted Average Maturity ‐ External 1.87
Total Portfolio Assets % Return
LAIF 37,428,104 $       45.0% 0.21%
Cash 160,462 $             0.2% 0.02%
Treasury Securities 17,936,293 $       21.5% 0.51%
Instrumentality Securities 12,774,395 $       15.3% 1.09% Corporate Notes 13,782,838 $       16.6% 0.65%
Municipal 1,159,300 $          1.4% 5.25%
Total Portfolio Assets 83,241,391 $
Weighted Average Yield 0.55%
Years
Effective Average Duration ‐ Total 0.93
Weighted Average Maturity ‐ Total 1.03
Based on Market Values
December 31, 2021
City of Rafael
Quarterly Investment Portfolio Report
Externally Managed Assets
Internally Managed Assets
LAIF, 97.5%
LAIF ‐ RDA, 0.4%
LAIF ‐ RDA 02
TARB, 2.1%
Cash , 0.4%
Treasury
Securities,

39.2%
Instrumentality
Securities,

27.9%
Corporate
Notes, 30.1% Municipal, 2.5%
LAIF
45%
Cash
0%
Treasury
Securities
22%
Instrumentality
Securities
15%
Corporate Notes
17% Municipal
1%
Exhibit A
Internally Managed Assets % Return % Return % Return % Return % Return % Return LAIF 37,272,941 $ 99.6% 0.21% 40,246,878 $ 99.6% 0.21% 45,213,641 $ 99.7% 0.26% 40,171,329 $ 99.6% 0.36% 35,129,481 $ 99.6% 0.54% 23,075,641 $ 99.3% 0.68%LAIF ‐ Housing 155,163 $ 0.4% 0.21% 155,068 $ 0.4% 0.21% 154,942 $ 0.3% 0.26% 154,773 $ 0.4% 0.36% 154,528 $ 0.4% 0.54% 154,201 $ 0.7% 0.68% Total Internally Managed 37,428,104 $ 45.0% $ 40,401,946 54.7% $ 45,368,583 57.5% $ 40,326,102 65.2% $ 35,284,009 61.5% $ 23,229,842 51.3% Weighted Average Yield 0.21% 0.21% 0.26% 0.36% 0.54% 0.68% Externally Managed Assets % Return % Return % Return % Return % Return % Return Cash $ 160,462 0.4% 0.02% 106,899 $ 9.2% 0.02% 56,088 $ 0.2% 0.01% 260,338 $ 21.0% 0.01% 278,791 $ 22.5% 0.01% 387,991 $ 31.3% 0.00%Treasury Securities 17,936,293 $ 39.2% 0.51% 6,202,242 $ 18.5% 0.69% 4,439,182 $ 13.3% 0.70% 1,455,053 $ 6.8% 1.54% 1,464,113 $ 6.6% 1.54% 1,470,457 $ 6.7% 1.54% Instrumentality Securities 12,774,395 $ 27.9% 1.09% 12,058,266 $ 36.1% 1.23% 13,695,843 $ 40.9% 1.21% 11,757,213 $ 54.6% 1.54% 12,320,155 $ 55.9% 1.58% 12,173,214 $ 55.3% 1.70% Corporate Notes 13,782,838 $ 30.1% 0.65% 13,918,907 $ 41.6% 0.66% 14,048,276 $ 42.0% 0.68% 6,830,936 $ 31.7% 1.40% 6,747,102 $ 30.6% 2.02% 6,751,751 $ 30.7% 2.06%Municipal/Assessment District 1,159,300 $ 2.5% 5.25% 1,159,300 $ 3.5% 5.25% 1,239,200 $ 3.7% 5.25% 1,239,200 $ 5.8% 5.25% 1,239,200 $ 5.6% 5.25% 1,239,200 $ 5.6% 5.25% Total Externally Managed 45,813,288 $ 55.0% $ 33,445,614 45.3% $ 33,478,588 42.5% $ 21,542,739 34.8% $ 22,049,361 38.5% $ 22,022,613 48.7% Weighted Average Yield 0.83% 1.03% 1.07% 1.69% 1.90% 1.97% Years Years Years Years Years Years
Effective Average Duration ‐ External 1.68 1.91 2.02 1.90 1.91 1.91 Weighted Average Maturity ‐ External 1.87 2.26 2.39 2.32 2.22 2.22 Total Portfolio Assets % Return % Return % Return % Return % Return % Return LAIF 37,428,104 $ 45.0% 0.21% 40,401,946 $ 54.7% 0.21% 45,368,583 $ 57.5% 0.26% 40,326,102 $ 65.2% 0.36% 35,284,009 $ 61.5% 0.54% 23,229,842 $ 51.3% 0.68%Cash 160,462 $ 0.2% 0.02% 106,899 $ 0.1% 0.02% 56,088 $ 0.1% 0.01% 260,338 $ 0.4% 0.01% 278,791 $ 0.5% 0.01% 387,991 $ 0.9% 0.00% Treasury Securities 17,936,293 $ 21.5% 0.51% 6,202,242 $ 8.4% 0.69% 4,439,182 $ 5.6% 0.70% 1,455,053 $ 2.4% 1.54% 1,464,113 $ 2.6% 1.54% 1,470,457 $ 3.2% 1.54% Instrumentality Securities 12,774,395 $ 15.3% 1.09% 12,058,266 $ 16.3% 1.23% 13,695,843 $ 17.4% 1.21% 11,757,213 $ 19.0% 1.54% 12,320,155 $ 21.5% 1.58% 12,173,214 $ 26.9% 1.70% Corporate Notes 13,782,838 $ 16.6% 0.65% 13,918,907 $ 18.8% 0.66% 14,048,276 $ 17.8% 0.68% 6,830,936 $ 11.0% 1.40% 6,747,102 $ 11.8% 2.02% 6,751,751 $ 14.9% 2.06% Municipal/Assessment District 1,159,300 $ 1.4% 5.25% 1,159,300 $ 1.6% 5.25% 1,239,200 $ 1.6% 5.25% 1,239,200 $ 2.0% 5.25% 1,239,200 $ 2.2% 5.25% 1,239,200 $ 2.7% 5.25% $ 83,241,391 $ 73,847,559 $ 78,847,170 $ 61,868,840 $ 57,333,369 $ 45,252,454 Total Portfolio Assets
Weighted Average Yield 0.55% 0.58% 0.60% 0.82% 1.06% 1.31% Years Years Years Years Years Years
Effective Average Duration ‐ Total 0.93 0.87 0.86 0.66 0.74 0.93 Weighted Average Maturity ‐ Total 1.03 1.03 1.02 0.81 0.86 1.08 Performance Recap‐The weighted average quarterly portfolio yield decreased from 0.58% to 0.55% during the past quarter. The yield has decreased over the past year, from 1.06% in the quarter ended December 31, 2020 to 0.55% in the most recent quarter. This trend is reflective of the general decrease in interest rates during the period. ‐The effective average duration increased, from 0.87 to 0.93 years since last quarter. ‐The total portfolio assets decreased by approximately $9.5 million during the quarter. This is due to the receipt of property tax in December and subsequent transfer to investment accounts December 31, 2021 September 30, 2021 June 30, 2021
City of San Rafael
Historical Activity‐By Quarter
March 31, 2021 December 31, 2020 September 30, 2020
W:\Accounting and Budgeting\Finance\Bank Reconciliations\Statements\21‐22\06 ‐ December 2021\Insight‐Quarterly Report combined 12‐31‐21

FOR PROFESSIONAL CLIENTS ONLY
NOT TO BE REPRODUCED WITHOUT PRIOR WRITTEN APPROVALPLEASE REFER TO ALL RISK DISCLOSURES AT THE BACK OF THIS DOCUMENTSAN RAFAELOctober 2021 Contents
Fixed income market review 3Activity and performance summary 4Recap of securities held 6Maturity distribution of securities held 7Securities held 8GASB 40 - Deposit and investment risk disclosure 12Securities purchased 16Securities sold and matured 17Detail of return and interest received 18Transaction report 21Additional information 22

FIXED INCOME MARKET REVIEW
As of October 31, 2021

SAN RAFAEL
Chart 1: Fixed income market volatility rises partly on inflation concernsSource: Bloomberg, October 31, 2021Chart 2: Yields rise from 1-year to 10-year maturitiesSource: Bloomberg, October 31, 2021 Economic Indicators and Monetary PolicyVolatility increased in fixed income markets (Chart 1) as short-dated Treasury yieldsrose (Chart 2), partly given inflation concerns, although volatility within riskier assetsremained relatively muted.The minutes from the September 22 FOMC meeting revealed officials discussed an“illustrative tapering pathinvolving tapering Treasury purchases $10bn per month and MBS purchases by $5bn per month, meaning tapering would end after eightmonths. This continued to leave the market anticipating a taper announcement at theNovember meeting.Headline CPI came in slightly higher than expected at 5.4% (versus 5.3%), while coreinflation was in line at 4%. This essentially displayed a stabilization of CPI, butstubbornly at an elevated level with monthly inflation relatively muted and in line withthe pre-pandemic trend. Notably, there was a slight pick-up in shelter inflation, withowners’ equivalent rent at 0.4%, opening up the possibility of more sustained inflationtrends.The September jobs report revealed that payrolls grew by 194,000, significantlyweaker than the expected 500,000. However, the previous two months were revisedup by 169,000, offsetting a large proportion of the miss.Meanwhile, the unemployment rate continued to fall, dropping from 5.2% to 4.8%,beating expectations of 5.1% because of falling participation and strongeremployment. Wage growth was stronger than expected up 0.6%, but this was offsetby a downward revision to the prior month. Leisure and hospitality wages were up0.5% and are now up 10.8% pa.Democratic and Republican Senators agreed to pass legislation to raise the ceiling byenough to get to early December ($480bn) in a 50-48 vote.Interest Rate Summary Yields rose sharply at shorter maturities, although longer-dated yields remainedanchored. At the end of October, the 3-month US Treasury bill yielded 0.06%, the 6-month US Treasury bill yielded 0.06%, the 2-year US Treasury note yielded 0.50%, the5-year US Treasury note yielded 1.19% and the 10-year US Treasury note yielded1.56%. 3 80 75 70
65 v 60 a:;
55 -0 50
45 40
35 30
Nov-20 Jan-21 Mar-21 May-21 Jul-21 Sep-21
--MOVE Index (Treasury bond volatility)

1.8% 1.6% 1.4%

1.2% 1.0%

0.8% 0.6%

0.4% 0.2%

0.0%
3M 6M lY 2Y 3Y SY 7Y l0Y
--Oct-21 --Sep-21

ACTIVITY AND PERFORMANCE SUMMARY
For the period October 1, 2021 - October 31, 2021

SAN RAFAEL
Amortized Cost Basis Activity Summary
Opening balance 33,288,214.73
Income received 43,715.26
Total receipts 43,715.26
Expenses paid (201.79)
Total disbursements (201.79)
Interportfolio transfers 0.00
Total Interportfolio transfers 0.00
Realized gain (loss) 0.00Change in accruals from security movement 0.00 Total amortization expense (29,013.41)Total OID/MKT accretion income 303.12 Return of capital 0.00
Closing balance 33,303,017.91Ending fair value 33,330,003.08 Unrealized gain (loss) 26,985.17
Comparative Rates of Return (%)
* Twelve
month trailing
* Six
month trailing
* One month
Fed Funds 0.08 0.04 0.01Overnight Repo 0.05 0.02 0.00Merrill Lynch 3m US Treas Bill 0.03 0.01 0.00Merrill Lynch 6m US Treas Bill 0.04 0.02 0.00ML 1 Year US Treasury Note 0.08 0.04 0.01ML 2 Year US Treasury Note 0.19 0.12 0.03ML 5 Year US Treasury Note 0.72 0.43 0.09 * rates reflected are cumulative
Summary of Amortized Cost Basis Return for the Period
Total portfolio
Interest earned 58,150.15Accretion (amortization) (28,710.29)Realized gain (loss) on sales 0.00Total income on portfolio 29,439.86Average daily amortized cost 33,301,898.44Period return (%)Weighted average final maturity in days 815YTD return (%) Detail of Amortized Cost Basis Return
Interest
earned
Realized
gain (loss)
Accretion
(amortization)
Total
income
Cash and Cash Equivalents 1.47 0.00 1.47 0.00Corporate Bonds 31,737.71 (22,875.15) 8,862.56 0.00Government Agencies 15,192.39 (3,448.63) 11,743.76 0.00Government Bonds 5,977.58 (2,386.51) 3,591.07 0.00Municipal/Provincial Bonds 5,241.00 0.00 5,241.00 0.00Total 58,150.15 (28,710.29) 0.00 29,439.86

0.091.18
4 ACTIVITY AND PERFORMANCE SUMMARY
For the period October 1, 2021 - October 31, 2021

SAN RAFAEL
Fair Value Basis Activity Summary
Opening balance 33,445,614.36
Income received 43,715.26
Total receipts 43,715.26
Expenses paid (201.79)
Total disbursements (201.79)
Interportfolio transfers 0.00
Total Interportfolio transfers 0.00
Unrealized gain (loss) on security movements 0.00Change in accruals from security movement 0.00Return of capital 0.00Change in fair value for the period (159,124.75) Ending fair value 33,330,003.08
Comparative Rates of Return (%)
* Twelve
month trailing
* Six
month trailing
* One month
Fed Funds 0.08 0.04 0.01Overnight Repo 0.05 0.02 0.00ICE Bofa 3 Months US T-BILL 0.06 0.01 0.00ICE Bofa 6m US Treas Bill 0.11 0.03 0.00ICE Bofa 1 Yr US Treasury Note 0.13 (0.02) (0.03)ICE BofA US Treasury 1-3 (0.23) (0.33) (0.30)ICE BofA US Treasury 1-5 (0.73) (0.52) (0.46) * rates reflected are cumulative
Detail of Fair Value Basis Return
Interest
earned
Change in
fair value
Total
income
Cash and Cash Equivalents 1.47 0.00 1.47Corporate Bonds 31,737.71 (77,476.67) (45,738.96)Government Agencies 15,192.39 (41,845.22) (26,652.83)Government Bonds 5,977.58 (39,802.86) (33,825.28)Municipal/Provincial Bonds 5,241.00 0.00 5,241.00Total 58,150.15 (159,124.75) (100,974.60) Summary of Fair Value Basis Return for the Period
Total portfolio
Interest earned 58,150.15Total income on portfolio (100,974.60)Average daily total value * 33,545,111.83Period return (%) (0.30)Weighted average final maturity in days 815Change in fair value (159,124.75)YTD return (%) (0.11)* Total value equals market value and accrued interest 5 RECAP OF SECURITIES HELD
As of October 31, 2021

SAN RAFAEL
Weighted
average
final
maturity (days)
Weighted
average
effective
duration (years)
Percent
of
portfolio
Amortized
cost
Historical
cost
Fair value Unrealized
gain (loss)
Cash and Cash Equivalents 55,845.63 55,845.63 55,845.63 0.00 1 0.17 0.00Corporate Bonds 14,040,447.40 13,866,659.83 13,841,430.35 (25,229.48) 701 41.81 1.67Government Agencies 10,937,863.07 10,847,215.48 10,916,421.26 69,205.78 610 32.57 1.39Government Bonds 7,391,032.27 7,373,996.97 7,357,005.84 (16,991.13) 845 22.01 2.28Municipal/Provincial Bonds 1,159,300.00 1,159,300.00 1,159,300.00 0.00 3,961 3.45 8.37Total 33,584,488.37 33,303,017.91 33,330,003.08 26,985.17 815 100.00 1.94 Cash and Cash EquivalentsCorporate BondsGovernment AgenciesGovernment BondsMunicipal/Provincial Bonds Portfolio diversification (%)
Cash and Cash Equivalents 0.17Corporate Bonds 41.81Government Agencies 32.57Government Bonds 22.01Municipal/Provincial Bonds 3.45 Portfolio diversification (%)
6 Total 100.00

MATURITY DISTRIBUTION OF SECURITIES HELD
As of October 31, 2021

SAN RAFAEL
Maturity Historic cost PercentUnder 90 days 2,236,094.93 6.6690 to 179 days 2,346,137.00 6.99180 days to 1 year 601,716.00 1.791 to 2 years 7,188,930.05 21.412 to 3 years 19,329,421.33 57.563 to 4 years 722,889.06 2.154 to 5 years 0.00 0.00Over 5 years 1,159,300.00 3.45 33,584,488.37 100.00
Maturity distribution

0.005.00

10.0015.0020.00
Historical cost (mm)
Under 90 days
90 to 179 days
180 days to 1 year
1 to 2 years
2 to 3 years
3 to 4 years
4 to 5 years
Over 5 years
7 SECURITIES HELD
As of October 31, 2021

SAN RAFAEL
Amortized cost Fair value Unrealized
gain
(loss)
Coupon Maturity/
Call date
Cusip Historical cost Total
accrued
interest
%
Portcost
Par value or
shares
Description
Cash and Cash Equivalents
Cash and Cash Equivalents 0.000 55,845.63 55,845.63 55,845.63 0.00 0.00 0.17 55,845.63 Total Cash and Cash Equivalents 55,845.63 55,845.63 55,845.63 55,845.63 0.00 0.17 0.00Corporate Bonds717081DZ3 PFIZER INC 2.2% 15DEC2021 2.200 12/15/2021 503,615.00 500,226.25 952.88 4,155.56 1. 500,000.00 501,179.13 500258M0EG0 2.700 03/03/2022 714,231.00 704,269.30 (158.90) 3,045.00 01/31/2022
AMERICAN EXPRESS CREDIT 2.7% 03MAR2022 700,000.00 704,110.40 2.13(CALLABLE 31JAN22) 46647PBB1 3.207 04/01/2023 615,576.00 607,148.86 (537.32) 1,603.50 04/01/2022
JPMORGAN CHASE & CO 3.207% 01APR2023 (CALLABLE 600,000.00 606,611.54 1.8301APR22) 931142DH3 2.550 04/11/2023 509,155.00 503,301.93 9,957.59 708.33 01/11/2023
WALMART INC 2.55% 11APR2023 (CALLABLE 11JAN23) 500,000.00 513,259.52 1.52 037833AK6 APPLE INC 2.4% 03MAY2023 2.400 05/03/2023 506,880.00 502,858.33 11,166.46 5,933.3 500,000.00 514,024.79 3 1.51 02665WDH1 AMERICAN HONDA FINANCE 1.95% 10MAY2023 1.950 05/10/2023 1,031,510.00 1,023,805.63 (3,259.19) 9, 1,000,000.00 1,020,546.44 262.50 3.07 89236THA6 TOYOTA MOTOR CREDIT CORP 1.35% 25AUG2023 1.350 08/25/2023 714,959.00 711,595.44 (2,472.12) 1,732. 700,000.00 709,123.32 50 2.13 14912L5X5 CATERPILLAR FINANCIAL SE 3.75% 24NOV2023 3.750 11/24/2023 1,086,390.00 1,069,711.67 (5,477.28) 16 1,000,000.00 1,064,234.39 ,354.17 3.23 06051GHC6 3.004 12/20/2023 525,795.00 513,455.41 (366.24) 5,465.61 12/20/2022
BANK OF AMERICA CORP 3.004% 20DEC2023 500,000.00 513,089.17 1.57(CALLABLE 20DEC22) 89236THU2 TOYOTA MOTOR CREDIT CORP 0.45% 11JAN2024 0.450 01/11/2024 479,342.40 479,372.54 (2,980.45) 660.00 480,000.00 476,392.09 1.43 8 SECURITIES HELD
As of October 31, 2021

SAN RAFAEL
Amortized cost Fair value Unrealized
gain
(loss)
Coupon Maturity/
Call date
Cusip Historical cost Total
accrued
interest
%
Portcost
Par value or
shares
Description
Corporate Bonds24422EVN6 JOHN DEERE CAPITAL CORP 0.45% 17JAN2024 0.450 01/17/2024 1,001,230.00 1,001,005.45 (6,355.03) 1, 1,000,000.00 994,650.42 300.00 2.98 17325FAS7 3.650 01/23/2024 541,470.00 534,211.64 (4,523.57) 4,968.06 12/23/2023
CITIBANK NA 3.65% 23JAN2024 (CALLABLE 23DEC23) 500,000.00 529,688.07 1.61 693475AV7 3.500 01/23/2024 957,939.00 939,446.45 10,678.38 8,575.00 12/24/2023
PNC FINANCIAL SERVICES 3.5% 23JAN2024 (CALLABLE 900,000.00 950,124.83 2.8523DEC23) 91159HHV5 3.375 02/05/2024 1,079,130.00 1,064,385.28 (9,221.24) 8,062.50 01/05/2024
US BANCORP 3.375% 05FEB2024 (CALLABLE 05JAN24) 1,000,000.00 1,055,164.04 3.21 459200HU8 IBM CORP 3.625% 12FEB2024 3.625 02/12/2024 1,086,900.00 1,071,431.80 (9,737.05) 7, 1,000,000.00 1,061,694.75 954.86 3.2488579YBB6 3.250 02/14/2024 541,935.00 531,620.50 (4,893.75) 3,475.69 01/14/2024
3M COMPANY 3.25% 14FEB2024 (CALLABLE 14JAN24) 500,000.00 526,726.75 1.61 713448CM8 3.600 03/01/2024 537,465.00 531,936.68 (2,407.24) 3,000.00 12/01/2023
PEPSICO INC 3.6% 01MAR2024 (CALLABLE 01DEC23) 500,000.00 529,529.44 1.60 06051GHF9 3.550 03/05/2024 535,525.00 518,155.56 438.52 2,761.11 03/05/2023
BANK OF AMERICA CORP 3.55% 05MAR2024 (CALLABLE 500,000.00 518,594.08 1.5905MAR23) 46647PAP1 3.559 04/23/2024 534,240.00 523,042.83 (2,655.06) 395.44 04/23/2023
JPMORGAN CHASE & CO 3.559% 23APR2024 (CALLABLE 500,000.00 520,387.77 1.5923APR23) 717081DM2 PFIZER INC 3.4% 15MAY2024 3.400 05/15/2024 537,160.00 535,678.28 (3,378.87) 7,838. 500,000.00 532,299.41 89 1.60 Total Corporate Bonds 13,380,000.00 14,040,447.40 13,866,659.83 13,841,430.35 (25,229.48) 4 97,252.05 1.81Government Agencies3137EADB2 FREDDIE MAC 2.375% 13JAN2022 2.375 01/13/2022 1,676,634.30 1,652,391.92 4,924.84 11,7 1,650,000.00 1,657,316.76 56.25 4.99 9 SECURITIES HELD
As of October 31, 2021

SAN RAFAEL
Amortized cost Fair value Unrealized
gain
(loss)
Coupon Maturity/
Call date
Cusip Historical cost Total
accrued
interest
%
Portcost
Par value or
shares
Description
Government Agencies313378WG2 FEDERAL HOME LOAN BANK 2.5% 11MAR2022 2.500 03/11/2022 1,016,330.00 1,002,163.02 6,486.73 3,47 1,000,000.00 1,008,649.75 2.22 3.03 3135G0T78 FANNIE MAE 2% 05OCT2022 2.000 10/05/2022 601,716.00 600,492.60 9,680.21 866.67 1. 600,000.00 610,172.81 79 3130A3KM5 FEDERAL HOME LOAN BANK 2.5% 09DEC2022 2.500 12/09/2022 1,021,240.00 1,006,840.00 18,588.94 9,8 1,000,000.00 1,025,428.94 61.11 3.04 3135G0U43 FANNIE MAE 2.875% 12SEP2023 2.875 09/12/2023 1,047,553.22 1,022,362.33 21,488.54 3,9 1,000,000.00 1,043,850.87 13.19 3.12 3135G0V34 FANNIE MAE 2.5% 05FEB2024 2.500 02/05/2024 621,262.80 611,216.30 14,629.78 3,583.3 600,000.00 625,846.08 3 1.85 3133EMWV0 FEDERAL FARM CREDIT BANK 0.35% 22APR2024 0.350 04/22/2024 1,000,000.00 1,000,000.00 (8,282.87) 87 1,000,000.00 991,717.13 .50 2.98 3130AMQQ8 0.350 04/23/2024 1,000,000.00 1,000,000.00 (4,742.28) 1,244.44 12/23/2021
FEDERAL HOME LOAN BANK 0.35% 23APR2024 1,000,000.00 995,257.72 2.98(CALLABLE 23DEC21) 3136G46B4 0.350 04/26/2024 1,199,700.00 1,199,785.92 (7,938.76) 58.33 01/26/2022
FANNIE MAE 0.35% 26APR2024 (CALLABLE 26JAN22) 1,200,000.00 1,191,847.16 3.57 3133EMYR7 0.375 05/06/2024 1,000,000.00 1,000,000.00 (4,558.58) 1,822.92 05/06/2022
FEDERAL FARM CREDIT BANK 0.375% 06MAY2024 1,000,000.00 995,441.42 2.98(CALLABLE 06MAY22) 3135G0V75 FANNIE MAE 1.75% 02JUL2024 1.750 07/02/2024 753,426.75 751,963.39 18,929.23 4,338.5 750,000.00 770,892.62 4 2.24 Total Government Agencies 10,800,000.00 10,937,863.07 10,847,215.48 10,916,421.26 69,205.78 32. 41,004.50 57Government Bonds912828M80 USA TREASURY 2% 30NOV2022 2.000 11/30/2022 762,072.83 754,594.19 10,200.73 6,270.4 750,000.00 764,794.92 9 2.27 10 SECURITIES HELD
As of October 31, 2021

SAN RAFAEL
Amortized cost Fair value Unrealized
gain
(loss)
Coupon Maturity/
Call date
Cusip Historical cost Total
accrued
interest
%
Portcost
Par value or
shares
Description
Government Bonds91282CAW1 USA TREASURY 0.25% 15NOV2023 0.250 11/15/2023 1,000,120.54 1,000,096.67 (5,565.42) 1, 1,000,000.00 994,531.25 148.10 2.98 912828U57 USA TREASURY 2.125% 30NOV2023 2.125 11/30/2023 661,529.52 655,865.08 15,513.82 5,774.0 650,000.00 671,378.90 8 1.97 91282CBA8 USA TREASURY 0.125% 15DEC2023 0.125 12/15/2023 1,194,566.52 1,194,742.89 (5,524.15) 56 1,200,000.00 1,189,218.74 5.57 3.56 91282CBV2 USA TREASURY 0.375% 15APR2024 0.375 04/15/2024 1,001,175.22 1,000,975.18 (7,811.12) 16 1,000,000.00 993,164.06 4.84 2.9891282CCC3 USA TREASURY 0.25% 15MAY2024 0.250 05/15/2024 996,878.35 997,366.91 (7,874.72) 1,148. 1,000,000.00 989,492.19 10 2.979128282Y5 USA TREASURY 2.125% 30SEP2024 2.125 09/30/2024 1,051,800.23 1,048,477.37 (9,063.31) 1, 1,000,000.00 1,039,414.06 809.75 3.13912828YV6 USA TREASURY 1.5% 30NOV2024 1.500 11/30/2024 722,889.06 721,878.68 (6,866.96) 4,389. 700,000.00 715,011.72 34 2.15 Total Government Bonds 7,300,000.00 7,391,032.27 7,373,996.97 7,357,005.84 (16,991.13) 22.0 21,270.27 1Municipal/Provincial Bonds888599LS4 PT. SAN ASSESS DISTRICT 5.25% 144A 02SEP2032 5.250 09/02/2032 1,159,300.00 1,159,300.00 0.00 9,974.81 1,159,300.00 1,159,300.00 3.45 SANRAF$01
Total Municipal/Provincial Bonds 1,159,300.00 1,159,300.00 1,159,300.00 1,159,300.00 0.00 3.45 9,974.81Grand total 32,695,145.63 33,584,488.37 33,303,017.91 26,985.17 33,330,003.08 169,501.63 100.00 11 GASB 40 - DEPOSIT AND INVESTMENT RISK DISCLOSURE
As of October 31, 2021

SAN RAFAEL
Cusip S&P
rating
Moody
rating
Historical
cost
% Portfolio
hist cost
Market
value
% Portfolio
mkt value
Effective
dur (yrs)
Description Coupon Maturity
date
Call date Par value or
shares
United States Treasury Note/Bond912828M80 USA TREASURY 2% 2.000 11/30/2022 AA+ Aaa 750,000.00 762,072.83 2.27 764,794.92 2.29 1.0691282CAW1 USA TREASURY 0.25% 0.250 11/15/2023 AA+ Aaa 1,000,000.00 1,000,120.54 2.98 994,531.25 2.98 2.03912828U57 USA TREASURY 2.125% 2.125 11/30/2023 AA+ Aaa 650,000.00 661,529.52 1.97 671,378.90 2.01 2.0391282CBA8 USA TREASURY 0.125% 0.125 12/15/2023 AA+ Aaa 1,200,000.00 1,194,566.52 3.56 1,189,218.74 3.57 2.1291282CBV2 USA TREASURY 0.375% 0.375 04/15/2024 AA+ Aaa 1,000,000.00 1,001,175.22 2.98 993,164.06 2.98 2.4491282CCC3 USA TREASURY 0.25% 0.250 05/15/2024 AA+ Aaa 1,000,000.00 996,878.35 2.97 989,492.19 2.97 2.539128282Y5 USA TREASURY 2.125% 2.125 09/30/2024 AA+ Aaa 1,000,000.00 1,051,800.23 3.13 1,039,414.06 3.12 2.84912828YV6 USA TREASURY 1.5% 1.500 11/30/2024 AA+ Aaa 700,000.00 722,889.06 2.15 715,011.72 2.15 3.00Issuer total 7,300,000.00 7,391,032.27 22.01 7,357,005.84 22.07 2.28Federal National Mortgage Association3135G0T78 FANNIE MAE 2% 2.000 10/05/2022 AA+ Aaa 600,000.00 601,716.00 1.79 610,172.81 1.83 0.933135G0U43 FANNIE MAE 2.875% 2.875 09/12/2023 AA+ Aaa 1,000,000.00 1,047,553.22 3.12 1,043,850.87 3.13 1.823135G0V34 FANNIE MAE 2.5% 2.500 02/05/2024 AA+ Aaa 600,000.00 621,262.80 1.85 625,846.08 1.88 2.203136G46B4 FANNIE MAE 0.35% 0.350 04/26/2024 01/26/2022 AA+ Aaa 1,200,000.00 1,199,700.00 3.57 1,191,847.16 3.58 1.663135G0V75 FANNIE MAE 1.75% 1.750 07/02/2024 AA+ Aaa 750,000.00 753,426.75 2.24 770,892.62 2.31 2.60Issuer total 4,150,000.00 4,223,658.77 12.58 4,242,609.54 12.73 1.84Federal Home Loan Banks313378WG2 FEDERAL HOME LOAN 2.500 03/11/2022 AA+ Aaa 1,000,000.00 1,016,330.00 3.03 1,008,649.75 3.03 0.363130A3KM5 FEDERAL HOME LOAN 2.500 12/09/2022 AA+ Aaa 1,000,000.00 1,021,240.00 3.04 1,025,428.94 3.08 1.093130AMQQ FEDERAL HOME LOAN 0.350 04/23/2024 12/23/2021 AA+ Aaa 1,000,000.00 1,000,000.00 2.98 995,257.72 2.99 1.48Issuer total 3,000,000.00 3,037,570.00 9.04 3,029,336.41 9.09 0.97Federal Farm Credit Banks Funding Corp3133EMWV FEDERAL FARM CREDIT 0.350 04/22/2024 AA+ Aaa 1,000,000.00 1,000,000.00 2.98 991,717.13 2.98 2.46 12 GASB 40 - DEPOSIT AND INVESTMENT RISK DISCLOSURE
As of October 31, 2021

SAN RAFAEL
Cusip S&P
rating
Moody
rating
Historical
cost
% Portfolio
hist cost
Market
value
% Portfolio
mkt value
Effective
dur (yrs)
Description Coupon Maturity
date
Call date Par value or
shares
Federal Farm Credit Banks Funding Corp3133EMYR7 FEDERAL FARM CREDIT 0.375 05/06/2024 05/06/2022 AA+ Aaa 1,000,000.00 1,000,000.00 2.98 995,441.42 2.99 1.67Issuer total 2,000,000.00 2,000,000.00 5.96 1,987,158.55 5.96 2.07Federal Home Loan Mortgage Corp3137EADB2 FREDDIE MAC 2.375% 2.375 01/13/2022 AA+ Aaa 1,650,000.00 1,676,634.30 4.99 1,657,316.76 4.97 0.21 Issuer total 1,650,000.00 1,676,634.30 4.99 1,657,316.76 4.97 0.21 Toyota Motor Credit Corp89236THA6 TOYOTA MOTOR CREDIT 1.350 08/25/2023 A+ A1 700,000.00 714,959.00 2.13 709,123.32 2.13 1.7989236THU2 TOYOTA MOTOR CREDIT 0.450 01/11/2024 A+ A1 480,000.00 479,342.40 1.43 476,392.09 1.43 2.18 Issuer total 1,180,000.00 1,194,301.40 3.56 1,185,515.41 3.56 1.95 PT. SAN ASSESS DISTRICT888599LS4 PT. SAN ASSESS 5.250 09/02/2032 NR NR 1,159,300.00 1,159,300.00 3.45 1,159,300.00 3.48 8.37 Issuer total 1,159,300.00 1,159,300.00 3.45 1,159,300.00 3.48 8.37 JPMorgan Chase & Co46647PBB1 JPMORGAN CHASE & CO 3.207 04/01/2023 04/01/2022 A- A2 600,000.00 615,576.00 1.83 606,611.54 1.82 0.4246647PAP1 JPMORGAN CHASE & CO 3.559 04/23/2024 04/23/2023 A- A2 500,000.00 534,240.00 1.59 520,387.77 1.56 1.45 Issuer total 1,100,000.00 1,149,816.00 3.42 1,126,999.31 3.38 0.90 Caterpillar Financial Services Corp14912L5X5 CATERPILLAR FINANCIAL 3.750 11/24/2023 A A2 1,000,000.00 1,086,390.00 3.23 1,064,234.39 3.19 1.97 Issuer total 1,000,000.00 1,086,390.00 3.23 1,064,234.39 3.19 1.97 International Business Machines Corp459200HU8 IBM CORP 3.625% 3.625 02/12/2024 A- A3 1,000,000.00 1,086,900.00 3.24 1,061,694.75 3.19 2.19 Issuer total 1,000,000.00 1,086,900.00 3.24 1,061,694.75 3.19 2.19 13 GASB 40 - DEPOSIT AND INVESTMENT RISK DISCLOSURE
As of October 31, 2021

SAN RAFAEL
Cusip S&P
rating
Moody
rating
Historical
cost
% Portfolio
hist cost
Market
value
% Portfolio
mkt value
Effective
dur (yrs)
Description Coupon Maturity
date
Call date Par value or
shares
US Bancorp91159HHV5 US BANCORP 3.375% 3.375 02/05/2024 01/05/2024 A+ A2 1,000,000.00 1,079,130.00 3.21 1,055,164.04 3.17 2.12 Issuer total 1,000,000.00 1,079,130.00 3.21 1,055,164.04 3.17 2.12 Pfizer Inc717081DZ3 PFIZER INC 2.2% 2.200 12/15/2021 A+ A2 500,000.00 503,615.00 1.50 501,179.13 1.50 0.13717081DM2 PFIZER INC 3.4% 3.400 05/15/2024 A+ A2 500,000.00 537,160.00 1.60 532,299.41 1.60 2.42 Issuer total 1,000,000.00 1,040,775.00 3.10 1,033,478.54 3.10 1.31 Bank of America Corp06051GHC6 BANK OF AMERICA CORP 3.004 12/20/2023 12/20/2022 A- A2 500,000.00 525,795.00 1.57 513,089.17 1.54 1.1106051GHF9 BANK OF AMERICA CORP 3.550 03/05/2024 03/05/2023 A- A2 500,000.00 535,525.00 1.59 518,594.08 1.56 1.31 Issuer total 1,000,000.00 1,061,320.00 3.16 1,031,683.25 3.10 1.21 American Honda Finance Corp02665WDH1 AMERICAN HONDA 1.950 05/10/2023 A- A3 1,000,000.00 1,031,510.00 3.07 1,020,546.44 3.06 1.49 Issuer total 1,000,000.00 1,031,510.00 3.07 1,020,546.44 3.06 1.49 John Deere Capital Corp24422EVN6 JOHN DEERE CAPITAL 0.450 01/17/2024 A A2 1,000,000.00 1,001,230.00 2.98 994,650.42 2.98 2.20 Issuer total 1,000,000.00 1,001,230.00 2.98 994,650.42 2.98 2.20 PNC Financial Services Group Inc/The693475AV7 PNC FINANCIAL 3.500 01/23/2024 12/24/2023 A- A3 900,000.00 957,939.00 2.85 950,124.83 2.85 2.08 Issuer total 900,000.00 957,939.00 2.85 950,124.83 2.85 2.08 American Express Credit Corp0258M0EG0 AMERICAN EXPRESS 2.700 03/03/2022 01/31/2022 A- A2 700,000.00 714,231.00 2.13 704,110.40 2.11 0.26 Issuer total 700,000.00 714,231.00 2.13 704,110.40 2.11 0.26 14 GASB 40 - DEPOSIT AND INVESTMENT RISK DISCLOSURE
As of October 31, 2021

SAN RAFAEL
Cusip S&P
rating
Moody
rating
Historical
cost
% Portfolio
hist cost
Market
value
% Portfolio
mkt value
Effective
dur (yrs)
Description Coupon Maturity
date
Call date Par value or
shares
Citibank NA17325FAS7 CITIBANK NA 3.65% 3.650 01/23/2024 12/23/2023 A+ Aa3 500,000.00 541,470.00 1.61 529,688.07 1.59 2.07 Issuer total 500,000.00 541,470.00 1.61 529,688.07 1.59 2.07 PepsiCo Inc713448CM8 PEPSICO INC 3.6% 3.600 03/01/2024 12/01/2023 A+ A1 500,000.00 537,465.00 1.60 529,529.44 1.59 2.04 Issuer total 500,000.00 537,465.00 1.60 529,529.44 1.59 2.04 3M Co88579YBB6 3M COMPANY 3.25% 3.250 02/14/2024 01/14/2024 A+ A1 500,000.00 541,935.00 1.61 526,726.75 1.58 2.14 Issuer total 500,000.00 541,935.00 1.61 526,726.75 1.58 2.14 Apple Inc037833AK6 APPLE INC 2.4% 2.400 05/03/2023 AA+ Aa1 500,000.00 506,880.00 1.51 514,024.79 1.54 1.47 Issuer total 500,000.00 506,880.00 1.51 514,024.79 1.54 1.47 Walmart Inc931142DH3 WALMART INC 2.55% 2.550 04/11/2023 01/11/2023 AA Aa2 500,000.00 509,155.00 1.52 513,259.52 1.54 1.20 Issuer total 500,000.00 509,155.00 1.52 513,259.52 1.54 1.20 Cash and Cash Equivalents
INVESTED CASH 0.000 55,845.63 55,845.63 0.00 55,845.63 0.17 0.00 Issuer total 55,845.63 55,845.63 0.00 55,845.63 0.17 0.00 Grand total 32,695,145.63 33,584,488.37 100.00 33,330,003.08 100.00 1.94 15 SECURITIES PURCHASED
For the period October 1, 2021 - October 31, 2021

SAN RAFAEL
Par value or
shares
Unit cost Accrued
interest
Trade date
Settle date
Coupon Maturity/
Call date
Principal
cost
Cusip Description / Broker
Government Bonds91282CBA8 10/05/2021 12/15/2023 1,200,000.00 99.55 (1,194,566.52) 0.125 (467.21) 10/07/2021
USA TREASURY 0.125% 15DEC2023J.P. MORGAN SECURITIES LLC Total Government Bonds 1,200,000.00 (1,194,566.52) (467.21) Grand total Grand total 1,200,000.00 (1,194,566.52) (467.21) 16 SECURITIES SOLD AND MATURED
For the period October 1, 2021 - October 31, 2021

SAN RAFAEL
Historical cost Amortized cost
at sale or
maturity
Fair value at
sale or
maturity
Realized
gain
(loss)
Trade date Coupon Price
Settle date
Maturity/
Call date
Par value or
shares
Cusip Accrued
interest
sold
Description / Broker
Government Agencies3135G0Q89 10/07/2021 (1,100,000.00) 1,099,318.00 1,100,000.00 0.0 1.375 0 1,100,000.00 0.00 0.00 10/07/2021
FNMA FANNIE MAE 1.375% DUE10-07-2021 REG 1.375 10-07-2021 Total (Government Agencies) (1,100,000.00) 1,099,318.00 1,100,000.00 1,100,000.00 0.00 0.00 Grand total (1,100,000.00) 1,099,318.00 1,100,000.00 1,100,000.00 0.00 0.00 17 DETAIL OF RETURN AND INTEREST RECEIVED
For the period October 1, 2021 - October 31, 2021

SAN RAFAEL
Description Accretion Interest earned
(amortization)
Realized gain
(loss)
Change in fair
value
Cusip Interest received
Cash
Cash and Cash Equivalents 0.00 0.00 0.00 1.47 1.47
Total Cash 0.00 0.00 0.00 1.47 1.47Corporate Bonds
88579YBB6 3M COMPANY 3.25% 14FEB2024 (CALLABLE 14JAN24) (1,194.73) 0.00 (4,034.86) 1,399.30 0.00 0258M0EG0 AMERICAN EXPRESS CREDIT 2.7% 03MAR2022 (CALLABLE 31JAN22) (1,375.66) 0.00 (1,581.30) 1,627.50 0.00 02665WDH1 AMERICAN HONDA FINANCE 1.95% 10MAY2023 (1,298.49) 0.00 (3,591.38) 1,679.17 0.00 037833AK6 APPLE INC 2.4% 03MAY2023 (157.92) 0.00 (2,163.90) 1,033.33 0.00 06051GHC6 BANK OF AMERICA CORP 3.004% 20DEC2023 (CALLABLE 20DEC22) (984.54) 0.00 (2,195.83) 1,293.39 0.00 06051GHF9 BANK OF AMERICA CORP 3.55% 05MAR2024 (CALLABLE 05MAR23) (1,123.02) 0.00 (2,627.57) 1,528.47 0.00 14912L5X5 CATERPILLAR FINANCIAL SE 3.75% 24NOV2023 (2,810.95) 0.00 (8,219.57) 3,229.17 0.00 17325FAS7 CITIBANK NA 3.65% 23JAN2024 (CALLABLE 23DEC23) (1,327.75) 0.00 (4,274.96) 1,571.53 0.00 459200HU8 IBM CORP 3.625% 12FEB2024 (2,607.00) 0.00 (7,906.55) 3,121.53 0.00 24422EVN6 JOHN DEERE CAPITAL CORP 0.45% 17JAN2024 (37.84) 0.00 (5,276.44) 387.50 0.00 46647PBB1 JPMORGAN CHASE & CO 3.207% 01APR2023 (CALLABLE 01APR22) (1,420.31) 0.00 (1,776.10) 1,656.95 9,621.00 46647PAP1 JPMORGAN CHASE & CO 3.559% 23APR2024 (CALLABLE 23APR23) (1,296.97) 0.00 (3,058.56) 1,532.34 8,897.50 713448CM8 PEPSICO INC 3.6% 01MAR2024 (CALLABLE 01DEC23) (1,275.77) 0.00 (3,775.59) 1,550.00 0.00 717081DZ3 PFIZER INC 2.2% 15DEC2021 (150.84) 0.00 (844.29) 947.23 0.00 717081DM2 PFIZER INC 3.4% 15MAY2024 (1,169.78) 0.00 (4,111.04) 1,463.89 0.00 693475AV7 PNC FINANCIAL SERVICES 3.5% 23JAN2024 (CALLABLE 23DEC23) (1,530.91) 0.00 (6,716.54) 2,712.50 0.00 89236THU2 TOYOTA MOTOR CREDIT CORP 0.45% 11JAN2024 23.79 0.00 (2,484.17) 186.00 0.00 18 DETAIL OF RETURN AND INTEREST RECEIVED
For the period October 1, 2021 - October 31, 2021

SAN RAFAEL
Description Accretion Interest earned
(amortization)
Realized gain
(loss)
Change in fair
value
Cusip Interest received
Corporate Bonds
89236THA6 TOYOTA MOTOR CREDIT CORP 1.35% 25AUG2023 (531.09) 0.00 (3,797.39) 813.75 0.00 91159HHV5 US BANCORP 3.375% 05FEB2024 (CALLABLE 05JAN24) (2,375.54) 0.00 (7,798.05) 2,906.25 0.00 931142DH3 WALMART INC 2.55% 11APR2023 (CALLABLE 11JAN23) (229.83) 0.00 (1,242.58) 1,097.91 6,375.00 94988J5R4 WELLS FARGO BANK NA 3.55% 14AUG2023 CALLABLE 0.00 0.00 0.00 0.00 0.00 Total Corporate Bonds (22,875.15) (77,476.67) 24,893.50 0.00 31,737.71Government Agencies 3136G46B4 FANNIE MAE 0.35% 26APR2024 (CALLABLE 26JAN22) 6.92 0.00 (4,659.33) 361.66 2,100.00 3135G0V75 FANNIE MAE 1.75% 02JUL2024 (61.23) 0.00 (5,392.96) 1,130.21 0.00 3135G0T78 FANNIE MAE 2% 05OCT2022 (44.11) 0.00 (1,405.39) 1,033.34 6,000.00 3135G0V34 FANNIE MAE 2.5% 05FEB2024 (412.87) 0.00 (4,324.29) 1,291.66 0.00 3135G0U43 FANNIE MAE 2.875% 12SEP2023 (998.31) 0.00 (6,857.69) 2,475.69 0.00 3133EMWV0 FEDERAL FARM CREDIT BANK 0.35% 22APR2024 0.00 0.00 (5,221.65) 301.39 1,750.00 3133EMYR7 FEDERAL FARM CREDIT BANK 0.375% 06MAY2024 (CALLABLE 06MAY22) 0.00 0.00 (2,572.81) 322.92 0.00 3130AMQQ8 FEDERAL HOME LOAN BANK 0.35% 23APR2024 (CALLABLE 23DEC21) 0.00 0.00 (3,404.33) 301.38 0.00 3130A3KM5 FEDERAL HOME LOAN BANK 2.5% 09DEC2022 (514.29) 0.00 (2,021.36) 2,152.78 0.00 313378WG2 FEDERAL HOME LOAN BANK 2.5% 11MAR2022 (495.35) 0.00 (2,266.50) 2,152.78 0.00 3135G0Q89 FNMA FANNIE MAE 1.375% DUE 10-07-2021 REG 1.375 10-07-2021 7.98 0.00 (244.67) 294.10 7,562.50 3137EADB2 FREDDIE MAC 2.375% 13JAN2022 (937.37) 0.00 (3,474.24) 3,374.48 0.00 Total Government Agencies (3,448.63) (41,845.22) 17,412.50 0.00 15,192.39 19 DETAIL OF RETURN AND INTEREST RECEIVED
For the period October 1, 2021 - October 31, 2021

SAN RAFAEL
Description Accretion Interest earned
(amortization)
Realized gain
(loss)
Change in fair
value
Cusip Interest received
Government Bonds
91282CBA8 USA TREASURY 0.125% 15DEC2023 176.37 0.00 (5,347.78) 98.36 0.00 91282CCC3 USA TREASURY 0.25% 15MAY2024 88.06 0.00 (5,703.12) 210.60 0.00 91282CAW1 USA TREASURY 0.25% 15NOV2023 (4.02) 0.00 (4,062.50) 210.60 0.00 91282CBV2 USA TREASURY 0.375% 15APR2024 (33.70) 0.00 (5,703.13) 318.53 1,875.00 912828YV6 USA TREASURY 1.5% 30NOV2024 (602.34) 0.00 (5,468.75) 889.34 0.00 912828M80 USA TREASURY 2% 30NOV2022 (360.56) 0.00 (1,494.14) 1,270.49 0.00 912828U57 USA TREASURY 2.125% 30NOV2023 (239.24) 0.00 (3,859.38) 1,169.91 0.00 9128282Y5 USA TREASURY 2.125% 30SEP2024 (1,411.08) 0.00 (8,164.06) 1,809.75 0.00 Total Government Bonds (2,386.51) (39,802.86) 1,875.00 0.00 5,977.58Municipal/Provincial Bonds 888599LS4 PT. SAN ASSESS DISTRICT 5.25% 144A 02SEP2032 SANRAF$01 0.00 0.00 0.00 5,241.00 0.00 Total Municipal/Provincial Bonds 0.00 0.00 0.00 5,241.00 0.00Grand total (28,710.29) (159,124.75) 44,182.47 0.00 58,150.15 20 TRANSACTION REPORT
For the period October 1, 2021 - October 31, 2021

SAN RAFAEL
Maturity Par value or
shares
Trade date Cusip Sec type Description Transaction Principal Interest Transaction totalSettle date Realized
gain(loss)
09/21/2021 0.0009/21/2021
94988J5R4 Corporate Bonds WELLS FARGO BANK NA 3.55% 08 Capital Change /14/2023 1,000,000.00 (1,057,861.80) (1,057,861.80) 156.97 09/21/2021 0.0009/21/2021
94988J5R4 Corporate Bonds WELLS FARGO BANK NA 3.55% 08 Capital Change /14/2023 (1,000,000.00) 1,057,861.80 1,057,861.80 (156.97) 10/01/2021 9,621.0010/01/2021
46647PBB1 Corporate Bonds JPMORGAN CHASE & CO 04/01/20 Income 23 600,000.00 0.00 9,621.00 0.00 10/05/2021 6,000.0010/05/2021
3135G0T78 Government Agencies FANNIE MAE 2% 05OCT2022 Income 10/05/2022 600,000.00 0.00 6,000.00 0.00 10/05/2021 (467.21)10/07/2021
91282CBA8 Government Bonds USA TREASURY 0.125% 12/15/2 Bought 023 1,200,000.00 (1,194,566.52) (1,195,033.73) 0.00 10/07/2021 7,562.5010/07/2021
3135G0Q89 Government Agencies FNMA FANNIE MAE 1.375% Income DUE 10/07/2021 1,100,000.00 0.00 7,562.50 0.00 10/07/2021 0.0010/07/2021
3135G0Q89 Government Agencies FNMA FANNIE MAE 1.375% Capital Change DUE 10/07/2021 (1,100,000.00) 1,100,000.00 1,100,000.00 0.00 10/11/2021 6,375.0010/11/2021
931142DH3 Corporate Bonds WALMART INC 2.55% 04/11/2023 Income 500,000.00 0.00 6,375.00 0.00 10/15/2021 1,875.0010/15/2021
91282CBV2 Government Bonds USA TREASURY 0.375% 04/15/2 Income 024 1,000,000.00 0.00 1,875.00 0.00 10/22/2021 1,750.0010/22/2021
3133EMWV0 Government Agencies FEDERAL FARM CREDIT BAN Income K 04/22/2024 1,000,000.00 0.00 1,750.00 0.00 10/23/2021 8,897.5010/23/2021
46647PAP1 Corporate Bonds JPMORGAN CHASE & CO 04/23/20 Income 24 500,000.00 0.00 8,897.50 0.00 10/26/2021 2,100.0010/26/2021
3136G46B4 Government Agencies FANNIE MAE 0.35% 26APR2 Income 024 04/26/2024 1,200,000.00 0.00 2,100.00 0.00 10/31/2021 Income Cash and Cash Equivalents Cash 0.00 0.00 0.00 1.47 1.47 21 ADDITIONAL INFORMATION
As of October 31, 2021

SAN RAFAEL
Past performance is not a guide to future performance. The value of investments and any income from them will fluctuate and is not guaranteed (this may partly be due to exchange rate changes) and investors may not get back the amount invested. Transactions in foreign securities may be executed and settled in local markets. Performance comparisons will be affected by changes in interest rates. Investment returns fluctuate due to changesin market conditions. Investment involves risk, including the possible loss of principal. No assurance can be given that the performance objectives of a given strategy will be achieved. The information contained herein is for your reference only and is being provided in response to your specific request and has been obtained from sources believed to be reliable; however, no representation is made regarding its accuracy or completeness. Thisdocument must not be used for the purpose of an offer or solicitation in any jurisdiction or in any circumstances in which such offer or solicitation is unlawful or otherwise not permitted. This document should not be duplicated, amended, or forwarded to a third party without consent from Insight. This is a marketing document intended for professional clients only and should not be made available to or relied upon by retail clients Investment advisory services in North America are provided through two different SEC-registered investment advisers using the brand Insight Investment: Insight North America LLC (INA) and Insight Investment InternationalLimited (IIIL). The North American investment advisers are associated with a broader group of global investment managers that also (individually and collectively) use the corporate brand Insight Investment and may be referred to as Insight, Insight Group or Insight Investment.INA is an investment adviser registered with the Securities and Exchange Commission (SEC), under the Investment Advisers Act of 1940, as amended. Registration with the SEC does not imply a certain level of skill or training.

You may request, without charge, additional information about Insight. Moreover, specific information relating to Insights strategies, including investment advisory fees, may be obtained from INA's Form ADV Part 2A, which isavailable without charge upon request.Where indicated, performance numbers used in the analysis are gross returns. The performance reflects the reinvestment of all dividends and income. INA charges management fees on all portfolios managed and these feeswill reduce the returns on the portfolios. For example, assume that $30 million is invested in an account with INA, and this account achieves a 5.0% annual return compounded monthly, gross of fees, for a period of five years.

At the end of five years that account would have grown to $38,500,760 before the deduction of management fees. Assuming management fees of 0.25% per year are deducted monthly from the account, the value at the end of the five year period would be $38,022,447. Actual fees for new accounts are dependent on size and subject to negotiation. INA's investment advisory fees are discussed in Part 2A of its Form ADV.

Unless otherwise stated, the source of information is Insight. Any forecasts or opinions are Insight’s own at the date of this document (or as otherwise specified) and may change. Material in this publication is for general information only and is not advice, investment advice, or the recommendation of any purchase or sale of any security. Insight makes no implied or expressed recommendations concerning the manner in which an account should or would be handled, as appropriate investment strategies depend upon specific investment guidelines and objectives and should not be construed to be an assurance that any particular security in a strategy will remain in any fund, account, or strategy, or that a previously held security will not be repurchased. It should not be assumed that any of the security transactions or holdings referenced herein have been or will prove to be profitable or that future investment decisions will be profitable or will equal or exceed the past investment performance of the securities listed.Please compare the information provided in this statement to the information provided in the statement received from your Custodian.

For trading activity the Clearing broker will be reflected. In certain cases the Clearing broker will differ from the Executing broker.In calculating ratings distributions and weighted average portfolio quality, Insight assigns U.S Treasury and U.S agency securities a quality rating based on the methodology used within the respective benchmark index. WhenMoody’s, S&P and Fitch rate a security, Bank of America and Merrill Lynch indexes assign a simple weighted average statistic while Barclays indexes assign the median statistic. Insight assigns all other securities the lower of Moody’s and S&P ratings.Information about the indices shown here is provided to allow for comparison of the performance of the strategy to that of certain well-known and widely recognized indices. There is no representation that such index is anappropriate benchmark for such comparison. You cannot invest directly in an index and the indices represented do not take into account trading commissions and/or other brokerage or custodial costs. The volatility of theindices may be materially different from that of the strategy. In addition, the strategy’s holdings may differ substantially from the securities that comprise the indices shown.

The ICE BofA 3 Month US T-Bill index is an unmanaged market index of U.S. Treasury securities maturing in 90 days that assumes reinvestment of all income. The ICE BofA 6 Month US T-Bill index measures the performance of Treasury bills with time to maturity of less than 6 months.

The ICE BofA 1-Year US Treasury Index is a one-security index comprised of the most recently issued 1-year US Treasury note. The index is rebalanced monthly. In order to qualify for inclusion, a 1-year note must be auctionedon or before the third business day before the last business day of the month.The ICE BofA 3-Year US Treasury Index is a one-security index comprised of the most recently issued 3-year US Treasury note. The index is rebalanced monthly. In order to qualify for inclusion, a 3-year note must be auctionedon or before the third business day before the last business day of the month.The ICE BofA 5-Year US Treasury Index is a one-security index comprised of the most recently issued 5-year US Treasury note. The index is rebalanced monthly. In order to qualify for inclusion, a 5-year note must be auctionedon or before the third business day before the last business day of the month.The ICE BofA 1-3 US Year Treasury Index is an unmanaged index that tracks the performance of the direct sovereign debt of the U.S. Government having a maturity of at least one year and less than three years.

The ICE BofA 1-5 US Year Treasury Index is an unmanaged index that tracks the performance of the direct sovereign debt of the U.S. Government having a maturity of at least one year and less than five years. 22 ADDITIONAL INFORMATION
As of October 31, 2021

SAN RAFAEL
Insight does not provide tax or legal advice to its clients and all investors are strongly urged to consult their tax and legal advisors regarding any potential strategy or investment.

Insight is a group of wholly owned subsidiaries of The Bank of New York Mellon Corporation. BNY Mellon is the corporate brand of The Bank of New York Mellon Corporation and may also be used as a generic term to reference the Corporation as a whole or its various subsidiaries generally. Products and services may be provided under various brand names and in various countries by subsidiaries, affiliates and joint ventures of The Bank of New York Mellon Corporation where authorized and regulated as required within each jurisdiction. Unless you are notified to the contrary, the products and services mentioned are not insured by the FDIC (or by any governmental entity)and are not guaranteed by or obligations of The Bank of New York Mellon Corporation or any of its affiliates. The Bank of New York Corporation assumes no responsibility for the accuracy or completeness of the above data and disclaims all expressed or implied warranties in connection therewith.© 2021 Insight Investment. All rights reserved. 23 FOR PROFESSIONAL CLIENTS ONLY
NOT TO BE REPRODUCED WITHOUT PRIOR WRITTEN APPROVALPLEASE REFER TO ALL RISK DISCLOSURES AT THE BACK OF THIS DOCUMENTSAN RAFAELNovember 2021 Contents
Fixed income market review 3Activity and performance summary 4Recap of securities held 6Maturity distribution of securities held 7Securities held 8GASB 40 - Deposit and investment risk disclosure 12Detail of return and interest received 16Transaction report 19Additional information 20

FIXED INCOME MARKET REVIEW
As of November 30, 2021

SAN RAFAEL
Chart 1: The Fed’s balance sheet is set to stop expandingSource: Bloomberg, November 30, 2021Chart 2: CPI reaches the highest levels since the early ninetiesSource: Bloomberg, November 30, 2021 Economic Indicators and Monetary PolicyThe Fed announced it will reduce its monthly purchases by $15bn a month in total($10bn of which will be reduced Treasury purchases and the other $5bn in agencymortgage-backed securities). This puts it on schedule to finish tapering and ceaseexpanding its balance sheet in June 2022 (Chart 1). This timeline will be subject tochange ‘as conditions warrant’. President Biden announced Chair Powell’s renomination, amid speculation that Governor Lael Brainard (considered relativelydovish) would be picked.The CPI report was another upside surprise, with headline at 6.2% and core of 4.6%,both at their highest levels since the early nineties. Energy prices rose 4.8%, largelydriven by natural gas and oil shortages in Europe, which is pushing up global demand.Supply chain issues are now showing some signs of easing in some of the mostimpacted consumer sectors. For example, appliance prices fell 0.1%, and furnitureprices rose only a modest 0.3%. Rents and owners’ equivalent rents both rose 0.4% inOctober, or 2.7% and 3.1% respectively year-on-year.The US economy added 531,000 jobs in October, slightly stronger than the 450,000expected. The prior two months were revised up by 235,000. Government education jobs disappointed (on a seasonally-adjusted basis) as private payrolls rose 604,000.

The unemployment rate fell from 4.76% to 4.59%, below consensus for 4.7%.President Biden signed into law a bipartisan infrastructure bill which provides for$1.2trn of spending over the next five years.Towards, the end of the month, market volatility increased following the spread of anew Covid-19 variant with potentially greater transmissibility than previous variants. Anumber of countries enacted precautionary travel bans as a result.Interest Rate SummaryYields rose sharply at shorter maturities, although longer-dated yields remainedanchored. At the end of November, the 3-month US Treasury bill yielded 0.05%, the 6-month US Treasury bill yielded 0.10%, the 2-year US Treasury note yielded 0.52%, the5-year US Treasury note yielded 1.15% and the 10-year US Treasury note yielded1.45%. 3 $10
$9 $8
$7
$6 $5 $4 $3
$2 $1
$-
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C C C C C C C C C C C C C C
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M N rtl
N N N
C: C: C:
- Federal Reserve Total Asets(LHS) ----- Projected
- Fed Assets as a Share of GDP (RHS) ----- Projected
0 7 6
5 4
3 2
1 0
-1
-2 -3
1990 1993 1996 1999 2002 2005 2008 2011 2014 2017 2020
--CPI
40%
35% 30%
25%
20%
15%
10%
5% 0%

ACTIVITY AND PERFORMANCE SUMMARY
For the period November 1, 2021 - November 30, 2021

SAN RAFAEL
Amortized Cost Basis Activity Summary
Opening balance 33,303,017.91
Income received 67,031.64
Total receipts 67,031.64
Expenses paid (201.07)
Total disbursements (201.07)
Interportfolio transfers 0.00
Total Interportfolio transfers 0.00
Realized gain (loss) 0.00Change in accruals from security movement 0.00 Total amortization expense (29,251.27)Total OID/MKT accretion income 319.91 Return of capital 0.00
Closing balance 33,340,917.12Ending fair value 33,309,481.21 Unrealized gain (loss) (31,435.91)
Comparative Rates of Return (%)
* Twelve
month trailing
* Six
month trailing
* One month
Fed Funds 0.08 0.04 0.01Overnight Repo 0.05 0.02 0.00Merrill Lynch 3m US Treas Bill 0.03 0.02 0.00Merrill Lynch 6m US Treas Bill 0.04 0.02 0.00ML 1 Year US Treasury Note 0.09 0.05 0.01ML 2 Year US Treasury Note 0.22 0.15 0.04ML 5 Year US Treasury Note 0.79 0.46 0.10 * rates reflected are cumulative
Summary of Amortized Cost Basis Return for the Period
Total portfolio
Interest earned 54,347.23Accretion (amortization) (28,931.36)Realized gain (loss) on sales 0.00Total income on portfolio 25,415.87Average daily amortized cost 33,313,088.46Period return (%)Weighted average final maturity in days 781YTD return (%) Detail of Amortized Cost Basis Return
Interest
earned
Realized
gain (loss)
Accretion
(amortization)
Total
income
Cash and Cash Equivalents 0.39 0.00 0.39 0.00Corporate Bonds 29,690.12 (23,133.84) 6,556.28 0.00Government Agencies 13,937.13 (3,520.80) 10,416.33 0.00Government Bonds 5,816.72 (2,276.72) 3,540.00 0.00Municipal/Provincial Bonds 4,902.87 0.00 4,902.87 0.00Total 54,347.23 (28,931.36) 0.00 25,415.87

0.081.25
4 ACTIVITY AND PERFORMANCE SUMMARY
For the period November 1, 2021 - November 30, 2021

SAN RAFAEL
Fair Value Basis Activity Summary
Opening balance 33,330,003.08
Income received 67,031.64
Total receipts 67,031.64
Expenses paid (201.07)
Total disbursements (201.07)
Interportfolio transfers 0.00
Total Interportfolio transfers 0.00
Unrealized gain (loss) on security movements 0.00Change in accruals from security movement 0.00Return of capital 0.00Change in fair value for the period (87,352.44) Ending fair value 33,309,481.21
Comparative Rates of Return (%)
* Twelve
month trailing
* Six
month trailing
* One month
Fed Funds 0.08 0.04 0.01Overnight Repo 0.05 0.02 0.00ICE Bofa 3 Months US T-BILL 0.05 0.01 0.01ICE Bofa 6m US Treas Bill 0.09 0.02 0.00ICE Bofa 1 Yr US Treasury Note 0.04 (0.07) (0.05)ICE BofA US Treasury 1-3 (0.26) (0.38) 0.02ICE BofA US Treasury 1-5 (0.75) (0.63) 0.05 * rates reflected are cumulative
Detail of Fair Value Basis Return
Interest
earned
Change in
fair value
Total
income
Cash and Cash Equivalents 0.39 0.00 0.39Corporate Bonds 29,690.12 (55,710.28) (26,020.16)Government Agencies 13,937.13 (23,325.78) (9,388.65)Government Bonds 5,816.72 (8,316.38) (2,499.66)Municipal/Provincial Bonds 4,902.87 0.00 4,902.87Total 54,347.23 (87,352.44) (33,005.21) Summary of Fair Value Basis Return for the Period
Total portfolio
Interest earned 54,347.23Total income on portfolio (33,005.21)Average daily total value * 33,485,117.86Period return (%) (0.10)Weighted average final maturity in days 781Change in fair value (87,352.44)YTD return (%) (0.21)* Total value equals market value and accrued interest 5 RECAP OF SECURITIES HELD
As of November 30, 2021

SAN RAFAEL
Weighted
average
final
maturity (days)
Weighted
average
effective
duration (years)
Percent
of
portfolio
Amortized
cost
Historical
cost
Fair value Unrealized
gain (loss)
Cash and Cash Equivalents 122,676.20 122,676.20 122,676.20 0.00 1 0.36 0.00Corporate Bonds 14,040,447.40 13,843,525.99 13,785,720.07 (57,805.92) 669 41.72 1.59Government Agencies 10,937,863.07 10,843,694.68 10,893,095.48 49,400.80 578 32.50 1.37Government Bonds 7,391,032.27 7,371,720.25 7,348,689.46 (23,030.79) 813 21.96 2.20Municipal/Provincial Bonds 1,159,300.00 1,159,300.00 1,159,300.00 0.00 3,929 3.45 8.27Total 33,651,318.94 33,340,917.12 33,309,481.21 (31,435.91) 781 100.00 1.88 Cash and Cash EquivalentsCorporate BondsGovernment AgenciesGovernment BondsMunicipal/Provincial Bonds Portfolio diversification (%)
Cash and Cash Equivalents 0.36Corporate Bonds 41.72Government Agencies 32.50Government Bonds 21.96Municipal/Provincial Bonds 3.45 Portfolio diversification (%)
6 Total 100.00

MATURITY DISTRIBUTION OF SECURITIES HELD
As of November 30, 2021

SAN RAFAEL
Maturity Historic cost PercentUnder 90 days 3,017,156.50 8.9790 to 179 days 1,631,906.00 4.85180 days to 1 year 601,716.00 1.791 to 2 years 9,275,440.59 27.562 to 3 years 17,242,910.79 51.243 to 4 years 722,889.06 2.154 to 5 years 0.00 0.00Over 5 years 1,159,300.00 3.45 33,651,318.94 100.00
Maturity distribution

0.005.00

10.0015.0020.00
Historical cost (mm)
Under 90 days
90 to 179 days
180 days to 1 year
1 to 2 years
2 to 3 years
3 to 4 years
4 to 5 years
Over 5 years
7 SECURITIES HELD
As of November 30, 2021

SAN RAFAEL
Amortized cost Fair value Unrealized
gain
(loss)
Coupon Maturity/
Call date
Cusip Historical cost Total
accrued
interest
%
Portcost
Par value or
shares
Description
Cash and Cash Equivalents
Cash and Cash Equivalents 0.000 122,676.20 122,676.20 122,676.20 0.00 0.00 0.36 122,676.20 Total Cash and Cash Equivalents 122,676.20 122,676.20 122,676.20 122,676.20 0.00 0.36 0.00Corporate Bonds717081DZ3 PFIZER INC 2.2% 15DEC2021 2.200 12/15/2021 503,615.00 500,075.42 266.74 5,041.67 1. 500,000.00 500,342.16 500258M0EG0 2.700 03/03/2022 714,231.00 702,798.76 (138.42) 4,567.50 01/31/2022
AMERICAN EXPRESS CREDIT 2.7% 03MAR2022 700,000.00 702,660.34 2.12(CALLABLE 31JAN22) 46647PBB1 3.207 04/01/2023 615,576.00 605,728.56 (554.70) 3,153.55 04/01/2022
JPMORGAN CHASE & CO 3.207% 01APR2023 (CALLABLE 600,000.00 605,173.86 1.8301APR22) 931142DH3 2.550 04/11/2023 509,155.00 503,072.10 7,818.35 1,735.42 01/11/2023
WALMART INC 2.55% 11APR2023 (CALLABLE 11JAN23) 500,000.00 510,890.45 1.51 037833AK6 APPLE INC 2.4% 03MAY2023 2.400 05/03/2023 506,880.00 502,700.41 9,324.97 900.00 1. 500,000.00 512,025.38 5102665WDH1 AMERICAN HONDA FINANCE 1.95% 10MAY2023 1.950 05/10/2023 1,031,510.00 1,022,507.14 (5,930.48) 1, 1,000,000.00 1,016,576.66 083.33 3.07 89236THA6 TOYOTA MOTOR CREDIT CORP 1.35% 25AUG2023 1.350 08/25/2023 714,959.00 711,064.35 (4,174.24) 2,493. 700,000.00 706,890.11 75 2.12 14912L5X5 CATERPILLAR FINANCIAL SE 3.75% 24NOV2023 3.750 11/24/2023 1,086,390.00 1,066,900.72 (10,988.90) 6 1,000,000.00 1,055,911.82 25.00 3.23 06051GHC6 3.004 12/20/2023 525,795.00 512,470.87 (1,205.91) 6,675.56 12/20/2022
BANK OF AMERICA CORP 3.004% 20DEC2023 500,000.00 511,264.96 1.56(CALLABLE 20DEC22) 89236THU2 TOYOTA MOTOR CREDIT CORP 0.45% 11JAN2024 0.450 01/11/2024 479,342.40 479,396.34 (4,147.65) 834.00 480,000.00 475,248.69 1.42 8 SECURITIES HELD
As of November 30, 2021

SAN RAFAEL
Amortized cost Fair value Unrealized
gain
(loss)
Coupon Maturity/
Call date
Cusip Historical cost Total
accrued
interest
%
Portcost
Par value or
shares
Description
Corporate Bonds24422EVN6 JOHN DEERE CAPITAL CORP 0.45% 17JAN2024 0.450 01/17/2024 1,001,230.00 1,000,967.60 (9,442.67) 1, 1,000,000.00 991,524.93 662.50 2.98 17325FAS7 3.650 01/23/2024 541,470.00 532,883.90 (5,115.85) 6,438.19 12/23/2023
CITIBANK NA 3.65% 23JAN2024 (CALLABLE 23DEC23) 500,000.00 527,768.05 1.61 693475AV7 3.500 01/23/2024 957,939.00 937,915.54 7,360.00 11,112.50 12/24/2023
PNC FINANCIAL SERVICES 3.5% 23JAN2024 (CALLABLE 900,000.00 945,275.54 2.8523DEC23) 91159HHV5 3.375 02/05/2024 1,079,130.00 1,061,845.91 (11,485.59) 10,781.25 01/05/2024
US BANCORP 3.375% 05FEB2024 (CALLABLE 05JAN24) 1,000,000.00 1,050,360.32 3.21 459200HU8 IBM CORP 3.625% 12FEB2024 3.625 02/12/2024 1,086,900.00 1,068,824.80 (11,798.67) 1 1,000,000.00 1,057,026.13 0,875.00 3.2388579YBB6 3.250 02/14/2024 541,935.00 530,425.77 (5,539.62) 4,784.72 01/14/2024
3M COMPANY 3.25% 14FEB2024 (CALLABLE 14JAN24) 500,000.00 524,886.15 1.61 713448CM8 3.600 03/01/2024 537,465.00 530,660.91 (2,889.57) 4,450.00 12/01/2023
PEPSICO INC 3.6% 01MAR2024 (CALLABLE 01DEC23) 500,000.00 527,771.34 1.60 06051GHF9 3.550 03/05/2024 535,525.00 517,032.53 (629.83) 4,190.97 03/05/2023
BANK OF AMERICA CORP 3.55% 05MAR2024 (CALLABLE 500,000.00 516,402.70 1.5905MAR23) 46647PAP1 3.559 04/23/2024 534,240.00 521,745.86 (3,339.84) 1,828.93 04/23/2023
JPMORGAN CHASE & CO 3.559% 23APR2024 (CALLABLE 500,000.00 518,406.02 1.5923APR23) 717081DM2 PFIZER INC 3.4% 15MAY2024 3.400 05/15/2024 537,160.00 534,508.50 (5,194.04) 708.33 500,000.00 529,314.46 1.60 Total Corporate Bonds 13,380,000.00 14,040,447.40 13,843,525.99 13,785,720.07 (57,805.92) 4 83,942.17 1.72Government Agencies3137EADB2 FREDDIE MAC 2.375% 13JAN2022 2.375 01/13/2022 1,676,634.30 1,651,389.90 3,023.21 14,9 1,650,000.00 1,654,413.11 13.02 4.98 9 SECURITIES HELD
As of November 30, 2021

SAN RAFAEL
Amortized cost Fair value Unrealized
gain
(loss)
Coupon Maturity/
Call date
Cusip Historical cost Total
accrued
interest
%
Portcost
Par value or
shares
Description
Government Agencies313378WG2 FEDERAL HOME LOAN BANK 2.5% 11MAR2022 2.500 03/11/2022 1,016,330.00 1,001,667.67 5,161.37 5,48 1,000,000.00 1,006,829.04 6.11 3.02 3135G0T78 FANNIE MAE 2% 05OCT2022 2.000 10/05/2022 601,716.00 600,448.48 8,426.23 1,833.33 600,000.00 608,874.71 1.79 3130A3KM5 FEDERAL HOME LOAN BANK 2.5% 09DEC2022 2.500 12/09/2022 1,021,240.00 1,006,325.71 15,903.26 11, 1,000,000.00 1,022,228.97 875.00 3.03 3135G0U43 FANNIE MAE 2.875% 12SEP2023 2.875 09/12/2023 1,047,553.22 1,021,364.01 20,331.02 6,2 1,000,000.00 1,041,695.03 29.17 3.11 3135G0V34 FANNIE MAE 2.5% 05FEB2024 2.500 02/05/2024 621,262.80 610,803.43 13,797.25 4,791.6 600,000.00 624,600.68 7 1.85 3133EMWV0 FEDERAL FARM CREDIT BANK 0.35% 22APR2024 0.350 04/22/2024 1,000,000.00 1,000,000.00 (9,604.97) 36 1,000,000.00 990,395.03 9.44 2.97 3130AMQQ8 0.350 04/23/2024 1,000,000.00 1,000,000.00 (5,928.46) 1,526.39 12/23/2021
FEDERAL HOME LOAN BANK 0.35% 23APR2024 1,000,000.00 994,071.54 2.97(CALLABLE 23DEC21) 3136G46B4 0.350 04/26/2024 1,199,700.00 1,199,793.32 (9,379.11) 396.67 01/26/2022
FANNIE MAE 0.35% 26APR2024 (CALLABLE 26JAN22) 1,200,000.00 1,190,414.21 3.57 3133EMYR7 0.375 05/06/2024 1,000,000.00 1,000,000.00 (9,298.49) 250.00 05/06/2022
FEDERAL FARM CREDIT BANK 0.375% 06MAY2024 1,000,000.00 990,701.51 2.97(CALLABLE 06MAY22) 3135G0V75 FANNIE MAE 1.75% 02JUL2024 1.750 07/02/2024 753,426.75 751,902.16 16,969.49 5,395.8 750,000.00 768,871.65 3 2.24 Total Government Agencies 10,800,000.00 10,937,863.07 10,843,694.68 10,893,095.48 49,400.80 32. 53,066.63 50Government Bonds912828M80 USA TREASURY 2% 30NOV2022 2.000 11/30/2022 762,072.83 754,245.26 8,703.96 0.00 2.26 750,000.00 762,949.22 10 SECURITIES HELD
As of November 30, 2021

SAN RAFAEL
Amortized cost Fair value Unrealized
gain
(loss)
Coupon Maturity/
Call date
Cusip Historical cost Total
accrued
interest
%
Portcost
Par value or
shares
Description
Government Bonds91282CAW1 USA TREASURY 0.25% 15NOV2023 0.250 11/15/2023 1,000,120.54 1,000,092.77 (5,952.15) 10 1,000,000.00 994,140.62 3.59 2.97 912828U57 USA TREASURY 2.125% 30NOV2023 2.125 11/30/2023 661,529.52 655,633.57 14,602.76 0.00 1.9 650,000.00 670,236.33 7 91282CBA8 USA TREASURY 0.125% 15DEC2023 0.125 12/15/2023 1,194,566.52 1,194,946.39 (6,055.76) 68 1,200,000.00 1,188,890.63 8.53 3.55 91282CBV2 USA TREASURY 0.375% 15APR2024 0.375 04/15/2024 1,001,175.22 1,000,942.57 (8,169.13) 47 1,000,000.00 992,773.44 3.90 2.9891282CCC3 USA TREASURY 0.25% 15MAY2024 0.250 05/15/2024 996,878.35 997,452.12 (8,584.93) 103.59 1,000,000.00 988,867.19 2.969128282Y5 USA TREASURY 2.125% 30SEP2024 2.125 09/30/2024 1,051,800.23 1,047,111.81 (9,924.31) 3, 1,000,000.00 1,037,187.50 561.13 3.13912828YV6 USA TREASURY 1.5% 30NOV2024 1.500 11/30/2024 722,889.06 721,295.76 (7,651.23) 0.00 2. 700,000.00 713,644.53 15 Total Government Bonds 7,300,000.00 7,391,032.27 7,371,720.25 7,348,689.46 (23,030.79) 21.9 4,930.74 6Municipal/Provincial Bonds888599LS4 PT. SAN ASSESS DISTRICT 5.25% 144A 02SEP2032 5.250 09/02/2032 1,159,300.00 1,159,300.00 0.00 14,877.6 1,159,300.00 1,159,300.00 8 3.45 SANRAF$01
Total Municipal/Provincial Bonds 1,159,300.00 1,159,300.00 1,159,300.00 1,159,300.00 0.00 3.45 14,877.68Grand total 32,761,976.20 33,651,318.94 33,340,917.12 (31,435.91) 33,309,481.21 156,817.22 100.00 11 GASB 40 - DEPOSIT AND INVESTMENT RISK DISCLOSURE
As of November 30, 2021

SAN RAFAEL
Cusip S&P
rating
Moody
rating
Historical
cost
% Portfolio
hist cost
Market
value
% Portfolio
mkt value
Effective
dur (yrs)
Description Coupon Maturity
date
Call date Par value or
shares
United States Treasury Note/Bond912828M80 USA TREASURY 2% 2.000 11/30/2022 AA+ Aaa 750,000.00 762,072.83 2.26 762,949.22 2.29 0.9991282CAW1 USA TREASURY 0.25% 0.250 11/15/2023 AA+ Aaa 1,000,000.00 1,000,120.54 2.97 994,140.62 2.98 1.95912828U57 USA TREASURY 2.125% 2.125 11/30/2023 AA+ Aaa 650,000.00 661,529.52 1.97 670,236.33 2.01 1.9691282CBA8 USA TREASURY 0.125% 0.125 12/15/2023 AA+ Aaa 1,200,000.00 1,194,566.52 3.55 1,188,890.63 3.57 2.0391282CBV2 USA TREASURY 0.375% 0.375 04/15/2024 AA+ Aaa 1,000,000.00 1,001,175.22 2.98 992,773.44 2.98 2.3691282CCC3 USA TREASURY 0.25% 0.250 05/15/2024 AA+ Aaa 1,000,000.00 996,878.35 2.96 988,867.19 2.97 2.459128282Y5 USA TREASURY 2.125% 2.125 09/30/2024 AA+ Aaa 1,000,000.00 1,051,800.23 3.13 1,037,187.50 3.11 2.75912828YV6 USA TREASURY 1.5% 1.500 11/30/2024 AA+ Aaa 700,000.00 722,889.06 2.15 713,644.53 2.14 2.94Issuer total 7,300,000.00 7,391,032.27 21.96 7,348,689.46 22.06 2.20Federal National Mortgage Association3135G0T78 FANNIE MAE 2% 2.000 10/05/2022 AA+ Aaa 600,000.00 601,716.00 1.79 608,874.71 1.83 0.843135G0U43 FANNIE MAE 2.875% 2.875 09/12/2023 AA+ Aaa 1,000,000.00 1,047,553.22 3.11 1,041,695.03 3.13 1.743135G0V34 FANNIE MAE 2.5% 2.500 02/05/2024 AA+ Aaa 600,000.00 621,262.80 1.85 624,600.68 1.88 2.123136G46B4 FANNIE MAE 0.35% 0.350 04/26/2024 01/26/2022 AA+ Aaa 1,200,000.00 1,199,700.00 3.57 1,190,414.21 3.57 1.693135G0V75 FANNIE MAE 1.75% 1.750 07/02/2024 AA+ Aaa 750,000.00 753,426.75 2.24 768,871.65 2.31 2.52Issuer total 4,150,000.00 4,223,658.77 12.55 4,234,456.28 12.71 1.79Federal Home Loan Banks313378WG2 FEDERAL HOME LOAN 2.500 03/11/2022 AA+ Aaa 1,000,000.00 1,016,330.00 3.02 1,006,829.04 3.02 0.283130A3KM5 FEDERAL HOME LOAN 2.500 12/09/2022 AA+ Aaa 1,000,000.00 1,021,240.00 3.03 1,022,228.97 3.07 1.003130AMQQ FEDERAL HOME LOAN 0.350 04/23/2024 12/23/2021 AA+ Aaa 1,000,000.00 1,000,000.00 2.97 994,071.54 2.98 1.63Issuer total 3,000,000.00 3,037,570.00 9.03 3,023,129.55 9.08 0.97Federal Farm Credit Banks Funding Corp3133EMWV FEDERAL FARM CREDIT 0.350 04/22/2024 AA+ Aaa 1,000,000.00 1,000,000.00 2.97 990,395.03 2.97 2.38 12 GASB 40 - DEPOSIT AND INVESTMENT RISK DISCLOSURE
As of November 30, 2021

SAN RAFAEL
Cusip S&P
rating
Moody
rating
Historical
cost
% Portfolio
hist cost
Market
value
% Portfolio
mkt value
Effective
dur (yrs)
Description Coupon Maturity
date
Call date Par value or
shares
Federal Farm Credit Banks Funding Corp3133EMYR7 FEDERAL FARM CREDIT 0.375 05/06/2024 05/06/2022 AA+ Aaa 1,000,000.00 1,000,000.00 2.97 990,701.51 2.97 1.85Issuer total 2,000,000.00 2,000,000.00 5.94 1,981,096.54 5.95 2.12Federal Home Loan Mortgage Corp3137EADB2 FREDDIE MAC 2.375% 2.375 01/13/2022 AA+ Aaa 1,650,000.00 1,676,634.30 4.98 1,654,413.11 4.97 0.12 Issuer total 1,650,000.00 1,676,634.30 4.98 1,654,413.11 4.97 0.12 Toyota Motor Credit Corp89236THA6 TOYOTA MOTOR CREDIT 1.350 08/25/2023 A+ A1 700,000.00 714,959.00 2.12 706,890.11 2.12 1.7189236THU2 TOYOTA MOTOR CREDIT 0.450 01/11/2024 A+ A1 480,000.00 479,342.40 1.42 475,248.69 1.43 2.10 Issuer total 1,180,000.00 1,194,301.40 3.55 1,182,138.80 3.55 1.87 PT. SAN ASSESS DISTRICT888599LS4 PT. SAN ASSESS 5.250 09/02/2032 NR NR 1,159,300.00 1,159,300.00 3.45 1,159,300.00 3.48 8.27 Issuer total 1,159,300.00 1,159,300.00 3.45 1,159,300.00 3.48 8.27 JPMorgan Chase & Co46647PBB1 JPMORGAN CHASE & CO 3.207 04/01/2023 04/01/2022 A- A2 600,000.00 615,576.00 1.83 605,173.86 1.82 0.3346647PAP1 JPMORGAN CHASE & CO 3.559 04/23/2024 04/23/2023 A- A2 500,000.00 534,240.00 1.59 518,406.02 1.56 1.36 Issuer total 1,100,000.00 1,149,816.00 3.42 1,123,579.88 3.37 0.81 International Business Machines Corp459200HU8 IBM CORP 3.625% 3.625 02/12/2024 A- A3 1,000,000.00 1,086,900.00 3.23 1,057,026.13 3.17 2.11 Issuer total 1,000,000.00 1,086,900.00 3.23 1,057,026.13 3.17 2.11 Caterpillar Financial Services Corp14912L5X5 CATERPILLAR FINANCIAL 3.750 11/24/2023 A A2 1,000,000.00 1,086,390.00 3.23 1,055,911.82 3.17 1.92 Issuer total 1,000,000.00 1,086,390.00 3.23 1,055,911.82 3.17 1.92 13 GASB 40 - DEPOSIT AND INVESTMENT RISK DISCLOSURE
As of November 30, 2021

SAN RAFAEL
Cusip S&P
rating
Moody
rating
Historical
cost
% Portfolio
hist cost
Market
value
% Portfolio
mkt value
Effective
dur (yrs)
Description Coupon Maturity
date
Call date Par value or
shares
US Bancorp91159HHV5 US BANCORP 3.375% 3.375 02/05/2024 01/05/2024 A+ A2 1,000,000.00 1,079,130.00 3.21 1,050,360.32 3.15 2.03 Issuer total 1,000,000.00 1,079,130.00 3.21 1,050,360.32 3.15 2.03 Pfizer Inc717081DZ3 PFIZER INC 2.2% 2.200 12/15/2021 A+ A2 500,000.00 503,615.00 1.50 500,342.16 1.50 0.04717081DM2 PFIZER INC 3.4% 3.400 05/15/2024 A+ A2 500,000.00 537,160.00 1.60 529,314.46 1.59 2.37 Issuer total 1,000,000.00 1,040,775.00 3.09 1,029,656.62 3.09 1.24 Bank of America Corp06051GHC6 BANK OF AMERICA CORP 3.004 12/20/2023 12/20/2022 A- A2 500,000.00 525,795.00 1.56 511,264.96 1.53 1.0306051GHF9 BANK OF AMERICA CORP 3.550 03/05/2024 03/05/2023 A- A2 500,000.00 535,525.00 1.59 516,402.70 1.55 1.23 Issuer total 1,000,000.00 1,061,320.00 3.15 1,027,667.66 3.09 1.13 American Honda Finance Corp02665WDH1 AMERICAN HONDA 1.950 05/10/2023 A- A3 1,000,000.00 1,031,510.00 3.07 1,016,576.66 3.05 1.42 Issuer total 1,000,000.00 1,031,510.00 3.07 1,016,576.66 3.05 1.42 John Deere Capital Corp24422EVN6 JOHN DEERE CAPITAL 0.450 01/17/2024 A A2 1,000,000.00 1,001,230.00 2.98 991,524.93 2.98 2.11 Issuer total 1,000,000.00 1,001,230.00 2.98 991,524.93 2.98 2.11 PNC Financial Services Group Inc/The693475AV7 PNC FINANCIAL 3.500 01/23/2024 12/24/2023 A- A3 900,000.00 957,939.00 2.85 945,275.54 2.84 1.99 Issuer total 900,000.00 957,939.00 2.85 945,275.54 2.84 1.99 American Express Credit Corp0258M0EG0 AMERICAN EXPRESS 2.700 03/03/2022 01/31/2022 A- A2 700,000.00 714,231.00 2.12 702,660.34 2.11 0.17 Issuer total 700,000.00 714,231.00 2.12 702,660.34 2.11 0.17 14 GASB 40 - DEPOSIT AND INVESTMENT RISK DISCLOSURE
As of November 30, 2021

SAN RAFAEL
Cusip S&P
rating
Moody
rating
Historical
cost
% Portfolio
hist cost
Market
value
% Portfolio
mkt value
Effective
dur (yrs)
Description Coupon Maturity
date
Call date Par value or
shares
PepsiCo Inc713448CM8 PEPSICO INC 3.6% 3.600 03/01/2024 12/01/2023 A+ A1 500,000.00 537,465.00 1.60 527,771.34 1.58 1.97 Issuer total 500,000.00 537,465.00 1.60 527,771.34 1.58 1.97 Citibank NA17325FAS7 CITIBANK NA 3.65% 3.650 01/23/2024 12/23/2023 A+ Aa3 500,000.00 541,470.00 1.61 527,768.05 1.58 1.99 Issuer total 500,000.00 541,470.00 1.61 527,768.05 1.58 1.99 3M Co88579YBB6 3M COMPANY 3.25% 3.250 02/14/2024 01/14/2024 A+ A1 500,000.00 541,935.00 1.61 524,886.15 1.58 2.06 Issuer total 500,000.00 541,935.00 1.61 524,886.15 1.58 2.06 Apple Inc037833AK6 APPLE INC 2.4% 2.400 05/03/2023 AA+ Aa1 500,000.00 506,880.00 1.51 512,025.38 1.54 1.40 Issuer total 500,000.00 506,880.00 1.51 512,025.38 1.54 1.40 Walmart Inc931142DH3 WALMART INC 2.55% 2.550 04/11/2023 01/11/2023 AA Aa2 500,000.00 509,155.00 1.51 510,890.45 1.53 1.12 Issuer total 500,000.00 509,155.00 1.51 510,890.45 1.53 1.12 Cash and Cash Equivalents
INVESTED CASH 0.000 122,676.20 122,676.20 0.00 122,676.20 0.37 0.00 Issuer total 122,676.20 122,676.20 0.00 122,676.20 0.37 0.00 Grand total 32,761,976.20 33,651,318.94 100.00 33,309,481.21 100.00 1.88 15 DETAIL OF RETURN AND INTEREST RECEIVED
For the period November 1, 2021 - November 30, 2021

SAN RAFAEL
Description Accretion Interest earned
(amortization)
Realized gain
(loss)
Change in fair
value
Cusip Interest received
Cash
Cash and Cash Equivalents 0.00 0.00 0.00 0.39 0.39
Total Cash 0.00 0.00 0.00 0.39 0.39Corporate Bonds
88579YBB6 3M COMPANY 3.25% 14FEB2024 (CALLABLE 14JAN24) (1,194.73) 0.00 (1,840.60) 1,309.03 0.00 0258M0EG0 AMERICAN EXPRESS CREDIT 2.7% 03MAR2022 (CALLABLE 31JAN22) (1,470.54) 0.00 (1,450.06) 1,522.50 0.00 02665WDH1 AMERICAN HONDA FINANCE 1.95% 10MAY2023 (1,298.49) 0.00 (3,969.78) 1,570.83 9,750.00 037833AK6 APPLE INC 2.4% 03MAY2023 (157.92) 0.00 (1,999.41) 966.67 6,000.00 06051GHC6 BANK OF AMERICA CORP 3.004% 20DEC2023 (CALLABLE 20DEC22) (984.54) 0.00 (1,824.21) 1,209.95 0.00 06051GHF9 BANK OF AMERICA CORP 3.55% 05MAR2024 (CALLABLE 05MAR23) (1,123.03) 0.00 (2,191.38) 1,429.86 0.00 14912L5X5 CATERPILLAR FINANCIAL SE 3.75% 24NOV2023 (2,810.95) 0.00 (8,322.57) 3,020.83 18,750.00 17325FAS7 CITIBANK NA 3.65% 23JAN2024 (CALLABLE 23DEC23) (1,327.74) 0.00 (1,920.02) 1,470.13 0.00 459200HU8 IBM CORP 3.625% 12FEB2024 (2,607.00) 0.00 (4,668.62) 2,920.14 0.00 24422EVN6 JOHN DEERE CAPITAL CORP 0.45% 17JAN2024 (37.85) 0.00 (3,125.49) 362.50 0.00 46647PBB1 JPMORGAN CHASE & CO 3.207% 01APR2023 (CALLABLE 01APR22) (1,420.30) 0.00 (1,437.68) 1,550.05 0.00 46647PAP1 JPMORGAN CHASE & CO 3.559% 23APR2024 (CALLABLE 23APR23) (1,296.97) 0.00 (1,981.75) 1,433.49 0.00 713448CM8 PEPSICO INC 3.6% 01MAR2024 (CALLABLE 01DEC23) (1,275.77) 0.00 (1,758.10) 1,450.00 0.00 717081DZ3 PFIZER INC 2.2% 15DEC2021 (150.83) 0.00 (836.97) 886.11 0.00 717081DM2 PFIZER INC 3.4% 15MAY2024 (1,169.78) 0.00 (2,984.95) 1,369.44 8,500.00 693475AV7 PNC FINANCIAL SERVICES 3.5% 23JAN2024 (CALLABLE 23DEC23) (1,530.91) 0.00 (4,849.29) 2,537.50 0.00 89236THU2 TOYOTA MOTOR CREDIT CORP 0.45% 11JAN2024 23.80 0.00 (1,143.40) 174.00 0.00 16 DETAIL OF RETURN AND INTEREST RECEIVED
For the period November 1, 2021 - November 30, 2021

SAN RAFAEL
Description Accretion Interest earned
(amortization)
Realized gain
(loss)
Change in fair
value
Cusip Interest received
Corporate Bonds
89236THA6 TOYOTA MOTOR CREDIT CORP 1.35% 25AUG2023 (531.09) 0.00 (2,233.21) 761.25 0.00 91159HHV5 US BANCORP 3.375% 05FEB2024 (CALLABLE 05JAN24) (2,539.37) 0.00 (4,803.72) 2,718.75 0.00 931142DH3 WALMART INC 2.55% 11APR2023 (CALLABLE 11JAN23) (229.83) 0.00 (2,369.07) 1,027.09 0.00 Total Corporate Bonds (23,133.84) (55,710.28) 43,000.00 0.00 29,690.12Government Agencies 3136G46B4 FANNIE MAE 0.35% 26APR2024 (CALLABLE 26JAN22) 7.40 0.00 (1,432.95) 338.34 0.00 3135G0V75 FANNIE MAE 1.75% 02JUL2024 (61.23) 0.00 (2,020.97) 1,057.29 0.00 3135G0T78 FANNIE MAE 2% 05OCT2022 (44.12) 0.00 (1,298.10) 966.66 0.00 3135G0V34 FANNIE MAE 2.5% 05FEB2024 (412.87) 0.00 (1,245.40) 1,208.34 0.00 3135G0U43 FANNIE MAE 2.875% 12SEP2023 (998.32) 0.00 (2,155.84) 2,315.98 0.00 3133EMWV0 FEDERAL FARM CREDIT BANK 0.35% 22APR2024 0.00 0.00 (1,322.10) 281.94 0.00 3133EMYR7 FEDERAL FARM CREDIT BANK 0.375% 06MAY2024 (CALLABLE 06MAY22) 0.00 0.00 (4,739.91) 302.08 1,875.00 3130AMQQ8 FEDERAL HOME LOAN BANK 0.35% 23APR2024 (CALLABLE 23DEC21) 0.00 0.00 (1,186.18) 281.95 0.00 3130A3KM5 FEDERAL HOME LOAN BANK 2.5% 09DEC2022 (514.29) 0.00 (3,199.97) 2,013.89 0.00 313378WG2 FEDERAL HOME LOAN BANK 2.5% 11MAR2022 (495.35) 0.00 (1,820.71) 2,013.89 0.00 3137EADB2 FREDDIE MAC 2.375% 13JAN2022 (1,002.02) 0.00 (2,903.65) 3,156.77 0.00 Total Government Agencies (3,520.80) (23,325.78) 1,875.00 0.00 13,937.13Government Bonds 91282CBA8 USA TREASURY 0.125% 15DEC2023 203.50 0.00 (328.11) 122.96 0.00 91282CCC3 USA TREASURY 0.25% 15MAY2024 85.21 0.00 (625.00) 205.49 1,250.00 17 DETAIL OF RETURN AND INTEREST RECEIVED
For the period November 1, 2021 - November 30, 2021

SAN RAFAEL
Description Accretion Interest earned
(amortization)
Realized gain
(loss)
Change in fair
value
Cusip Interest received
Government Bonds
91282CAW1 USA TREASURY 0.25% 15NOV2023 (3.90) 0.00 (390.63) 205.49 1,250.00 91282CBV2 USA TREASURY 0.375% 15APR2024 (32.61) 0.00 (390.62) 309.06 0.00 912828YV6 USA TREASURY 1.5% 30NOV2024 (582.92) 0.00 (1,367.19) 860.66 5,250.00 912828M80 USA TREASURY 2% 30NOV2022 (348.93) 0.00 (1,845.70) 1,229.51 7,500.00 912828U57 USA TREASURY 2.125% 30NOV2023 (231.51) 0.00 (1,142.57) 1,132.17 6,906.25 9128282Y5 USA TREASURY 2.125% 30SEP2024 (1,365.56) 0.00 (2,226.56) 1,751.38 0.00 Total Government Bonds (2,276.72) 0.00 (8,316.38) 22,156.25 5,816.72Municipal/Provincial Bonds 888599LS4 PT. SAN ASSESS DISTRICT 5.25% 144A 02SEP2032 SANRAF$01 0.00 0.00 0.00 4,902.87 0.00 Total Municipal/Provincial Bonds 0.00 0.00 0.00 4,902.87 0.00Grand total (28,931.36) (87,352.44) 67,031.64 0.00 54,347.23 18 TRANSACTION REPORT
For the period November 1, 2021 - November 30, 2021

SAN RAFAEL
Maturity Par value or
shares
Trade date Cusip Sec type Description Transaction Principal Interest Transaction totalSettle date Realized
gain(loss)
11/03/2021 6,000.0011/03/2021
037833AK6 Corporate Bonds APPLE INC 2.4% 03MAY2023 05/ Income 03/2023 500,000.00 0.00 6,000.00 0.00 11/06/2021 1,875.0011/06/2021
3133EMYR7 Government Agencies FEDERAL FARM CREDIT BAN Income K 05/06/2024 1,000,000.00 0.00 1,875.00 0.00 11/10/2021 9,750.0011/10/2021
02665WDH1 Corporate Bonds AMERICAN HONDA FINANCE 05/10 Income /2023 1,000,000.00 0.00 9,750.00 0.00 11/15/2021 8,500.0011/15/2021
717081DM2 Corporate Bonds PFIZER INC 3.4% 15MAY2024 05 Income /15/2024 500,000.00 0.00 8,500.00 0.00 11/15/2021 1,250.0011/15/2021
91282CAW1 Government Bonds USA TREASURY 0.25% 11/15/20 Income 23 1,000,000.00 0.00 1,250.00 0.00 11/15/2021 1,250.0011/15/2021
91282CCC3 Government Bonds USA TREASURY 0.25% 05/15/20 Income 24 1,000,000.00 0.00 1,250.00 0.00 11/24/2021 18,750.0011/24/2021
14912L5X5 Corporate Bonds CATERPILLAR FINANCIAL SE 11/ Income 24/2023 1,000,000.00 0.00 18,750.00 0.00 11/30/2021 7,500.0011/30/2021
912828M80 Government Bonds USA TREASURY 2% 30NOV2022 1 Income 1/30/2022 750,000.00 0.00 7,500.00 0.00 11/30/2021 6,906.2511/30/2021
912828U57 Government Bonds USA TREASURY 2.125% 11/30/2 Income 023 650,000.00 0.00 6,906.25 0.00 11/30/2021 5,250.0011/30/2021
912828YV6 Government Bonds USA TREASURY 1.5% 11/30/202 Income 4 700,000.00 0.00 5,250.00 0.00 11/30/2021 Income Cash and Cash Equivalents Cash 0.00 0.00 0.00 0.39 0.39 19 ADDITIONAL INFORMATION
As of November 30, 2021

SAN RAFAEL
Insight does not provide tax or legal advice to its clients and all investors are strongly urged to consult their tax and legal advisors regarding any potential strategy or investment.

Insight is a group of wholly owned subsidiaries of The Bank of New York Mellon Corporation. BNY Mellon is the corporate brand of The Bank of New York Mellon Corporation and may also be used as a generic term to reference the Corporation as a whole or its various subsidiaries generally. Products and services may be provided under various brand names and in various countries by subsidiaries, affiliates and joint ventures of The Bank of New York Mellon Corporation where authorized and regulated as required within each jurisdiction. Unless you are notified to the contrary, the products and services mentioned are not insured by the FDIC (or by any governmental entity)and are not guaranteed by or obligations of The Bank of New York Mellon Corporation or any of its affiliates. The Bank of New York Corporation assumes no responsibility for the accuracy or completeness of the above data and disclaims all expressed or implied warranties in connection therewith.© 2021 Insight Investment. All rights reserved. 21 FOR PROFESSIONAL CLIENTS ONLY
NOT TO BE REPRODUCED WITHOUT PRIOR WRITTEN APPROVALPLEASE REFER TO ALL RISK DISCLOSURES AT THE BACK OF THIS DOCUMENTSAN RAFAELDecember 2021 Contents
Fixed income market review 3Activity and performance summary 4Recap of securities held 6Maturity distribution of securities held 7Securities held 8GASB 40 - Deposit and investment risk disclosure 13Securities purchased 18Securities sold and matured 20Detail of return and interest received 21Transaction report 25Additional information 27

FIXED INCOME MARKET REVIEW
As of December 31, 2021

SAN RAFAEL
Chart 1: The Fed’s most significant recent upward policy rate forecast revisionSource: Bloomberg, December 31, 2021Chart 2: Unemployment rate continues to descendSource: Bloomberg, December 31, 2021 Economic Indicators and Monetary PolicyThe Federal Reserve (Fed) doubled its pace of ‘tapering’ to a rate of $30bn per month.This puts the Fed on course to cease expanding its balance sheet in March 2022. Itrevised its dot plot to reflects a median expectation of three hikes in 2022 (Chart 1).November’s CPI report came in at 6.8% for headline inflation (the highest since 1982,but modestly lower than market fears of 7%+) with core inflation reaching 4.9% (thehighest since 1991). Energy prices were a key factor, rising 33% pa. Regarding ‘sticky’inflation categories, rents ran at ~0.4% in November, pushing owners’ equivalent rentto 3.5% pa and medical prices showed a small but notable 2.1% pa rise.The US economy added 210,000 jobs in November, less than the 550,000 expected.However, the unemployment rate fell unexpectedly to 4.2% from 4.6%. Theparticipation rate increased to 61.8% from 61.6%. Wage data was close toexpectations with average hourly earnings up 4.8% pa. Leisure and hospitality wagescontinue to advance faster than other sectors – up 12.35% pa.The JOLTS report was further indicative of a tight labor market. Job openings rose4.1% to 11m, close to July’s record high. The number of layoffs declined 2.5% to1.361m, close to a record low.On the political front, President Joe Biden failed to secure Democratic Senator JoeManchin’s approval for the ‘American Families Plan’, the last component of the$1.75trn ‘Build Back Better’ fiscal program, forcing Congress to return to the drawingboard.In response to the global spread of the more transmissible but potentially less severeOmicron Covid-19 variant, a number of countries enacted precautionary restrictionsaround the holiday period, although such measures were relatively modest in the US.Risk assets enjoyed a strong end to the year.Interest Rate SummaryYields rose modestly across the curve. At the end of December, the 3-month USTreasury bill yielded 0.06%, the 6-month US Treasury bill yielded 0.19%, the 2-year USTreasury note yielded 0.74%, the 5-year US Treasury note yielded 1.27% and the 10-year US Treasury note yielded 1.51%. 3 -0
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0 2021 2022 2023
Dec 2020 and March 2021 Meetings - June 2021 Meeting
- - - Septerrber 2021 Meeting --- Decerrber 2021 Meeting 16 14
12 10
8 6
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0 2016 2017 2018 2019 2020
--Unemployment rate (%)
2024
2021

ACTIVITY AND PERFORMANCE SUMMARY
For the period December 1, 2021 - December 31, 2021

SAN RAFAEL
Amortized Cost Basis Activity Summary
Opening balance 33,340,917.12
Income received (22,466.10)
Total receipts (22,466.10)
Expenses paid (200.94)
Total disbursements (200.94)
Interportfolio transfers 12,600,000.00
Total Interportfolio transfers 12,600,000.00
Realized gain (loss) 0.00Change in accruals from security movement 0.00 Total amortization expense (31,120.21)Total OID/MKT accretion income 400.72 Return of capital 0.00
Closing balance 45,887,530.59Ending fair value 45,813,287.78 Unrealized gain (loss) (74,242.81)
Comparative Rates of Return (%)
* Twelve
month trailing
* Six
month trailing
* One month
Fed Funds 0.08 0.04 0.01Overnight Repo 0.04 0.02 0.00Merrill Lynch 3m US Treas Bill 0.03 0.02 0.00Merrill Lynch 6m US Treas Bill 0.04 0.02 0.01ML 1 Year US Treasury Note 0.10 0.07 0.03ML 2 Year US Treasury Note 0.27 0.19 0.06ML 5 Year US Treasury Note 0.86 0.50 0.10 * rates reflected are cumulative
Summary of Amortized Cost Basis Return for the Period
Total portfolio
Interest earned 60,160.93Accretion (amortization) (30,719.49)Realized gain (loss) on sales 0.00Total income on portfolio 29,441.44Average daily amortized cost 38,001,726.41Period return (%)Weighted average final maturity in days 680YTD return (%) Detail of Amortized Cost Basis Return
Interest
earned
Realized
gain (loss)
Accretion
(amortization)
Total
income
Cash and Cash Equivalents 1.04 0.00 1.04 0.00Corporate Bonds 31,937.71 (23,409.60) 8,528.11 0.00Government Agencies 15,110.80 (3,548.25) 11,562.55 0.00Government Bonds 7,870.37 (3,761.64) 4,108.73 0.00Municipal/Provincial Bonds 5,241.01 0.00 5,241.01 0.00Total 60,160.93 (30,719.49) 0.00 29,441.44

0.081.33
4 ACTIVITY AND PERFORMANCE SUMMARY
For the period December 1, 2021 - December 31, 2021

SAN RAFAEL
Fair Value Basis Activity Summary
Opening balance 33,309,481.21
Income received (22,466.10)
Total receipts (22,466.10)
Expenses paid (200.94)
Total disbursements (200.94)
Interportfolio transfers 12,600,000.00
Total Interportfolio transfers 12,600,000.00
Unrealized gain (loss) on security movements 0.00Change in accruals from security movement 0.00Return of capital 0.00Change in fair value for the period (73,526.39) Ending fair value 45,813,287.78
Comparative Rates of Return (%)
* Twelve
month trailing
* Six
month trailing
* One month
Fed Funds 0.08 0.04 0.01Overnight Repo 0.04 0.02 0.00ICE Bofa 3 Months US T-BILL 0.05 0.02 0.01ICE Bofa 6m US Treas Bill 0.09 0.03 0.01ICE Bofa 1 Yr US Treasury Note (0.07) (0.16) (0.11)ICE BofA US Treasury 1-3 (0.55) (0.47) (0.25)ICE BofA US Treasury 1-5 (1.10) (0.69) (0.28) * rates reflected are cumulative
Detail of Fair Value Basis Return
Interest
earned
Change in
fair value
Total
income
Cash and Cash Equivalents 1.04 0.00 1.04Corporate Bonds 31,937.71 (23,311.75) 8,625.96Government Agencies 15,110.80 (25,644.30) (10,533.50)Government Bonds 7,870.37 (24,570.34) (16,699.97)Municipal/Provincial Bonds 5,241.01 0.00 5,241.01Total 60,160.93 (73,526.39) (13,365.46) Summary of Fair Value Basis Return for the Period
Total portfolio
Interest earned 60,160.93Total income on portfolio (13,365.46)Average daily total value * 38,114,492.10Period return (%) (0.04)Weighted average final maturity in days 680Change in fair value (73,526.39)YTD return (%) (0.25)* Total value equals market value and accrued interest 5 RECAP OF SECURITIES HELD
As of December 31, 2021

SAN RAFAEL
Weighted
average
final
maturity (days)
Weighted
average
effective
duration (years)
Percent
of
portfolio
Amortized
cost
Historical
cost
Fair value Unrealized
gain (loss)
Cash and Cash Equivalents 160,461.81 160,461.81 160,461.81 0.00 1 0.35 0.00Corporate Bonds 14,057,262.40 13,840,546.39 13,782,838.32 (57,708.07) 660 30.41 1.57Government Agencies 12,844,806.57 12,747,089.93 12,774,394.68 27,304.75 526 27.79 1.31Government Bonds 18,003,206.12 17,980,132.46 17,936,292.97 (43,839.49) 604 38.95 1.63Municipal/Provincial Bonds 1,159,300.00 1,159,300.00 1,159,300.00 0.00 3,898 2.51 8.18Total 46,225,036.90 45,887,530.59 45,813,287.78 (74,242.81) 680 100.00 1.68 Cash and Cash EquivalentsCorporate BondsGovernment AgenciesGovernment BondsMunicipal/Provincial Bonds Portfolio diversification (%)
Cash and Cash Equivalents 0.35Corporate Bonds 30.41Government Agencies 27.79Government Bonds 38.95Municipal/Provincial Bonds 2.51 Portfolio diversification (%)
6 Total 100.00

MATURITY DISTRIBUTION OF SECURITIES HELD
As of December 31, 2021

SAN RAFAEL
Maturity Historic cost PercentUnder 90 days 3,567,657.11 7.7290 to 179 days 615,576.00 1.33180 days to 1 year 7,587,047.22 16.411 to 2 years 17,169,690.37 37.142 to 3 years 16,125,766.20 34.893 to 4 years 0.00 0.004 to 5 years 0.00 0.00Over 5 years 1,159,300.00 2.51 46,225,036.90 100.00
Maturity distribution

0.005.00

10.0015.0020.00
Historical cost (mm)
Under 90 days
90 to 179 days
180 days to 1 year
1 to 2 years
2 to 3 years
3 to 4 years
4 to 5 years
Over 5 years
7 SECURITIES HELD
As of December 31, 2021

SAN RAFAEL
Amortized cost Fair value Unrealized
gain
(loss)
Coupon Maturity/
Call date
Cusip Historical cost Total
accrued
interest
%
Portcost
Par value or
shares
Description
Cash and Cash Equivalents
Cash and Cash Equivalents 0.000 160,461.81 160,461.81 160,461.81 0.00 0.00 0.35 160,461.81 Total Cash and Cash Equivalents 160,461.81 160,461.81 160,461.81 160,461.81 0.00 0.35 0.00Corporate Bonds0258M0EG0 2.700 03/03/2022 714,231.00 701,423.10 (238.06) 6,195.00 01/31/2022
AMERICAN EXPRESS CREDIT 2.7% 03MAR2022 700,000.00 701,185.04 1.55(CALLABLE 31JAN22) 46647PBB1 3.207 04/01/2023 615,576.00 604,308.26 (724.54) 4,810.50 04/01/2022
JPMORGAN CHASE & CO 3.207% 01APR2023 (CALLABLE 600,000.00 603,583.72 1.3301APR22) 931142DH3 2.550 04/11/2023 509,155.00 502,842.26 8,170.34 2,833.33 01/11/2023
WALMART INC 2.55% 11APR2023 (CALLABLE 11JAN23) 500,000.00 511,012.60 1.10 037833AK6 APPLE INC 2.4% 03MAY2023 2.400 05/03/2023 506,880.00 502,542.49 9,422.28 1,933.33 500,000.00 511,964.77 1.10 02665WDH1 AMERICAN HONDA FINANCE 1.95% 10MAY2023 1.950 05/10/2023 1,031,510.00 1,021,208.65 (5,354.96) 2, 1,000,000.00 1,015,853.69 762.50 2.23 742718EB1 PROCTER & GAMBLE CO/THE 3.1% 15AUG2023 3.100 08/15/2023 520,430.00 519,820.15 8.53 5,855.56 1.13 500,000.00 519,828.68 89236THA6 TOYOTA MOTOR CREDIT CORP 1.35% 25AUG2023 1.350 08/25/2023 714,959.00 710,533.26 (4,272.49) 3,307. 700,000.00 706,260.77 50 1.55 14912L5X5 CATERPILLAR FINANCIAL SE 3.75% 24NOV2023 3.750 11/24/2023 1,086,390.00 1,064,089.76 (10,086.55) 3 1,000,000.00 1,054,003.21 ,854.17 2.35 06051GHC6 3.004 12/20/2023 525,795.00 511,486.32 (1,121.42) 458.94 12/20/2022
BANK OF AMERICA CORP 3.004% 20DEC2023 500,000.00 510,364.90 1.14(CALLABLE 20DEC22) 89236THU2 TOYOTA MOTOR CREDIT CORP 0.45% 11JAN2024 0.450 01/11/2024 479,342.40 479,420.14 (3,414.26) 1,020. 480,000.00 476,005.88 00 1.04 8 SECURITIES HELD
As of December 31, 2021

SAN RAFAEL
Amortized cost Fair value Unrealized
gain
(loss)
Coupon Maturity/
Call date
Cusip Historical cost Total
accrued
interest
%
Portcost
Par value or
shares
Description
Corporate Bonds24422EVN6 JOHN DEERE CAPITAL CORP 0.45% 17JAN2024 0.450 01/17/2024 1,001,230.00 1,000,929.75 (10,438.44) 2 1,000,000.00 990,491.31 ,050.00 2.17 17325FAS7 3.650 01/23/2024 541,470.00 531,556.15 (5,536.84) 8,009.72 12/23/2023
CITIBANK NA 3.65% 23JAN2024 (CALLABLE 23DEC23) 500,000.00 526,019.31 1.17 693475AV7 3.500 01/23/2024 957,939.00 936,384.62 6,138.34 13,825.00 12/24/2023
PNC FINANCIAL SERVICES 3.5% 23JAN2024 (CALLABLE 900,000.00 942,522.96 2.0723DEC23) 91159HHV5 3.375 02/05/2024 1,079,130.00 1,059,470.37 (11,045.45) 13,687.50 01/05/2024
US BANCORP 3.375% 05FEB2024 (CALLABLE 05JAN24) 1,000,000.00 1,048,424.92 2.33 459200HU8 IBM CORP 3.625% 12FEB2024 3.625 02/12/2024 1,086,900.00 1,066,217.80 (11,925.33) 1 1,000,000.00 1,054,292.47 3,996.53 2.3588579YBB6 3.250 02/14/2024 541,935.00 529,231.04 (6,515.18) 6,184.03 01/14/2024
3M COMPANY 3.25% 14FEB2024 (CALLABLE 14JAN24) 500,000.00 522,715.86 1.17 713448CM8 3.600 03/01/2024 537,465.00 529,385.15 (2,388.31) 6,000.00 12/01/2023
PEPSICO INC 3.6% 01MAR2024 (CALLABLE 01DEC23) 500,000.00 526,996.84 1.16 06051GHF9 3.550 03/05/2024 535,525.00 515,909.51 (1,011.63) 5,719.44 03/05/2023
BANK OF AMERICA CORP 3.55% 05MAR2024 (CALLABLE 500,000.00 514,897.88 1.1605MAR23) 46647PAP1 3.559 04/23/2024 534,240.00 520,448.89 (3,713.99) 3,361.28 04/23/2023
JPMORGAN CHASE & CO 3.559% 23APR2024 (CALLABLE 500,000.00 516,734.90 1.1623APR23) 717081DM2 PFIZER INC 3.4% 15MAY2024 3.400 05/15/2024 537,160.00 533,338.72 (3,660.11) 2,172. 500,000.00 529,678.61 22 1.16 Total Corporate Bonds 13,380,000.00 14,057,262.40 13,840,546.39 13,782,838.32 (57,708.07) 3 108,036.55 0.41Government Agencies3137EADB2 FREDDIE MAC 2.375% 13JAN2022 2.375 01/13/2022 1,676,634.30 1,650,452.52 618.25 18,287 1,650,000.00 1,651,070.77 .50 3.63 9 SECURITIES HELD
As of December 31, 2021

SAN RAFAEL
Amortized cost Fair value Unrealized
gain
(loss)
Coupon Maturity/
Call date
Cusip Historical cost Total
accrued
interest
%
Portcost
Par value or
shares
Description
Government Agencies313378WG2 FEDERAL HOME LOAN BANK 2.5% 11MAR2022 2.500 03/11/2022 1,016,330.00 1,001,172.33 3,362.30 7,63 1,000,000.00 1,004,534.63 8.89 2.20 3135G0T78 FANNIE MAE 2% 05OCT2022 2.000 10/05/2022 1,260,435.75 1,258,999.11 6,884.12 5,97 1,250,000.00 1,265,883.23 2.22 2.733130A3KM5 FEDERAL HOME LOAN BANK 2.5% 09DEC2022 2.500 12/09/2022 1,021,240.00 1,005,811.43 14,036.03 1,5 1,000,000.00 1,019,847.46 27.78 2.21 3137EAEQ8 FREDDIE MAC 0.375% 20APR2023 0.375 04/20/2023 1,248,223.75 1,248,257.12 (1,050.34) 92 1,250,000.00 1,247,206.78 4.48 2.703135G0U43 FANNIE MAE 2.875% 12SEP2023 2.875 09/12/2023 1,047,553.22 1,020,365.69 16,612.18 8,7 1,000,000.00 1,036,977.87 04.86 2.27 3135G0V34 FANNIE MAE 2.5% 05FEB2024 2.500 02/05/2024 621,262.80 610,390.56 10,957.62 6,083.3 600,000.00 621,348.18 3 1.34 3133EMWV0 FEDERAL FARM CREDIT BANK 0.35% 22APR2024 0.350 04/22/2024 1,000,000.00 1,000,000.00 (5,880.25) 67 1,000,000.00 994,119.75 0.83 2.16 3130AMQQ8 0.350 04/23/2024 1,000,000.00 1,000,000.00 (7,668.76) 77.78 03/23/2022
FEDERAL HOME LOAN BANK 0.35% 23APR2024 1,000,000.00 992,331.24 2.16(CALLABLE 23MAR22) 3136G46B4 0.350 04/26/2024 1,199,700.00 1,199,800.24 (14,129.46) 758.33 01/26/2022
FANNIE MAE 0.35% 26APR2024 (CALLABLE 26JAN22) 1,200,000.00 1,185,670.78 2.60 3133EMYR7 0.375 05/06/2024 1,000,000.00 1,000,000.00 (11,178.01) 572.92 05/06/2022
FEDERAL FARM CREDIT BANK 0.375% 06MAY2024 1,000,000.00 988,821.99 2.16(CALLABLE 06MAY22) 3135G0V75 FANNIE MAE 1.75% 02JUL2024 1.750 07/02/2024 753,426.75 751,840.93 14,741.07 6,526.0 750,000.00 766,582.00 4 1.63 Total Government Agencies 12,700,000.00 12,844,806.57 12,747,089.93 12,774,394.68 27,304.75 27. 57,744.96 79 10 SECURITIES HELD
As of December 31, 2021

SAN RAFAEL
Amortized cost Fair value Unrealized
gain
(loss)
Coupon Maturity/
Call date
Cusip Historical cost Total
accrued
interest
%
Portcost
Par value or
shares
Description
Government Bonds912828ZX1 USA TREASURY 0.125% 30JUN2022 0.125 06/30/2022 999,808.04 999,812.19 (202.81) 0.00 2.16 1,000,000.00 999,609.38 9128287C8 USA TREASURY 1.75% 15JUL2022 1.750 07/15/2022 1,261,088.17 1,260,601.37 (591.61) 10,0 1,250,000.00 1,260,009.76 45.86 2.73 91282CAN1 USA TREASURY 0.125% 30SEP2022 0.125 09/30/2022 1,248,929.97 1,248,964.12 (624.27) 394. 1,250,000.00 1,248,339.85 92 2.70912828M80 USA TREASURY 2% 30NOV2022 2.000 11/30/2022 1,269,750.29 1,261,471.31 6,643.93 2,12 1,250,000.00 1,268,115.24 9.12 2.75912828Z29 USA TREASURY 1.5% 15JAN2023 1.500 01/15/2023 1,011,526.79 1,011,406.72 (508.28) 6,88 1,000,000.00 1,010,898.44 8.59 2.19912828Z86 USA TREASURY 1.375% 15FEB2023 1.375 02/15/2023 1,263,920.20 1,263,621.91 (584.80) 6,44 1,250,000.00 1,263,037.11 5.31 2.73912828ZD5 USA TREASURY 0.5% 15MAR2023 0.500 03/15/2023 1,000,315.85 1,000,313.00 77.62 1,477.9 1,000,000.00 1,000,390.62 0 2.169128282D1 USA TREASURY 1.375% 31AUG2023 1.375 08/31/2023 1,265,970.98 1,265,738.02 (845.44) 5,79 1,250,000.00 1,264,892.58 2.47 2.7491282CAW1 USA TREASURY 0.25% 15NOV2023 0.250 11/15/2023 1,000,120.54 1,000,088.75 (8,213.75) 31 1,000,000.00 991,875.00 7.68 2.16912828U57 USA TREASURY 2.125% 30NOV2023 2.125 11/30/2023 661,529.52 655,394.33 12,125.20 1,176.3 650,000.00 667,519.53 4 1.43 91282CBA8 USA TREASURY 0.125% 15DEC2023 0.125 12/15/2023 1,194,566.52 1,195,156.67 (8,797.30) 65 1,200,000.00 1,186,359.37 .93 2.58 91282CBV2 USA TREASURY 0.375% 15APR2024 0.375 04/15/2024 1,001,175.22 1,000,908.87 (10,752.62) 7 1,000,000.00 990,156.25 93.27 2.17 11 SECURITIES HELD
As of December 31, 2021

SAN RAFAEL
Amortized cost Fair value Unrealized
gain
(loss)
Coupon Maturity/
Call date
Cusip Historical cost Total
accrued
interest
%
Portcost
Par value or
shares
Description
Government Bonds91282CCC3 USA TREASURY 0.25% 15MAY2024 0.250 05/15/2024 996,878.35 997,540.17 (10,977.67) 317.6 1,000,000.00 986,562.50 8 2.16 912828D56 USA TREASURY 2.375% 15AUG2024 2.375 08/15/2024 1,038,011.16 1,037,853.11 701.58 8,906. 1,000,000.00 1,038,554.69 25 2.259128282Y5 USA TREASURY 2.125% 30SEP2024 2.125 09/30/2024 1,051,800.23 1,045,700.73 (12,810.11) 5 1,000,000.00 1,032,890.62 ,370.88 2.28912828YM6 USA TREASURY 1.5% 31OCT2024 1.500 10/31/2024 1,014,925.23 1,014,867.77 1,030.67 2,52 1,000,000.00 1,015,898.44 7.62 2.20 912828YV6 USA TREASURY 1.5% 30NOV2024 1.500 11/30/2024 722,889.06 720,693.42 (9,509.83) 894.23 700,000.00 711,183.59 1.56 Total Government Bonds 17,800,000.00 18,003,206.12 17,980,132.46 17,936,292.97 (43,839.49) 3 53,544.05 8.95Municipal/Provincial Bonds888599LS4 PT. SAN ASSESS DISTRICT 5.25% 144A 02SEP2032 5.250 09/02/2032 1,159,300.00 1,159,300.00 0.00 20,118.6 1,159,300.00 1,159,300.00 9 2.51 SANRAF$01
Total Municipal/Provincial Bonds 1,159,300.00 1,159,300.00 1,159,300.00 1,159,300.00 0.00 2.51 20,118.69Grand total 45,199,761.81 46,225,036.90 45,887,530.59 (74,242.81) 45,813,287.78 239,444.25 100.00 12 GASB 40 - DEPOSIT AND INVESTMENT RISK DISCLOSURE
As of December 31, 2021

SAN RAFAEL
Cusip S&P
rating
Moody
rating
Historical
cost
% Portfolio
hist cost
Market
value
% Portfolio
mkt value
Effective
dur (yrs)
Description Coupon Maturity
date
Call date Par value or
shares
United States Treasury Note/Bond912828ZX1 USA TREASURY 0.125% 0.125 06/30/2022 AA+ Aaa 1,000,000.00 999,808.04 2.16 999,609.38 2.18 0.509128287C8 USA TREASURY 1.75% 1.750 07/15/2022 AA+ Aaa 1,250,000.00 1,261,088.17 2.73 1,260,009.76 2.75 0.5391282CAN1 USA TREASURY 0.125% 0.125 09/30/2022 AA+ Aaa 1,250,000.00 1,248,929.97 2.70 1,248,339.85 2.72 0.75912828M80 USA TREASURY 2% 2.000 11/30/2022 AA+ Aaa 1,250,000.00 1,269,750.29 2.75 1,268,115.24 2.77 0.91912828Z29 USA TREASURY 1.5% 1.500 01/15/2023 AA+ Aaa 1,000,000.00 1,011,526.79 2.19 1,010,898.44 2.21 1.03912828Z86 USA TREASURY 1.375% 1.375 02/15/2023 AA+ Aaa 1,250,000.00 1,263,920.20 2.73 1,263,037.11 2.76 1.11912828ZD5 USA TREASURY 0.5% 0.500 03/15/2023 AA+ Aaa 1,000,000.00 1,000,315.85 2.16 1,000,390.62 2.18 1.199128282D1 USA TREASURY 1.375% 1.375 08/31/2023 AA+ Aaa 1,250,000.00 1,265,970.98 2.74 1,264,892.58 2.76 1.6491282CAW1 USA TREASURY 0.25% 0.250 11/15/2023 AA+ Aaa 1,000,000.00 1,000,120.54 2.16 991,875.00 2.17 1.87912828U57 USA TREASURY 2.125% 2.125 11/30/2023 AA+ Aaa 650,000.00 661,529.52 1.43 667,519.53 1.46 1.8891282CBA8 USA TREASURY 0.125% 0.125 12/15/2023 AA+ Aaa 1,200,000.00 1,194,566.52 2.58 1,186,359.37 2.59 1.9591282CBV2 USA TREASURY 0.375% 0.375 04/15/2024 AA+ Aaa 1,000,000.00 1,001,175.22 2.17 990,156.25 2.16 2.2791282CCC3 USA TREASURY 0.25% 0.250 05/15/2024 AA+ Aaa 1,000,000.00 996,878.35 2.16 986,562.50 2.15 2.36912828D56 USA TREASURY 2.375% 2.375 08/15/2024 AA+ Aaa 1,000,000.00 1,038,011.16 2.25 1,038,554.69 2.27 2.539128282Y5 USA TREASURY 2.125% 2.125 09/30/2024 AA+ Aaa 1,000,000.00 1,051,800.23 2.28 1,032,890.62 2.25 2.67912828YM6 USA TREASURY 1.5% 1.500 10/31/2024 AA+ Aaa 1,000,000.00 1,014,925.23 2.20 1,015,898.44 2.22 2.77912828YV6 USA TREASURY 1.5% 1.500 11/30/2024 AA+ Aaa 700,000.00 722,889.06 1.56 711,183.59 1.55 2.85Issuer total 17,800,000.00 18,003,206.12 38.95 17,936,292.97 39.15 1.63Federal National Mortgage Association3135G0T78 FANNIE MAE 2% 2.000 10/05/2022 AA+ Aaa 1,250,000.00 1,260,435.75 2.73 1,265,883.23 2.76 0.763135G0U43 FANNIE MAE 2.875% 2.875 09/12/2023 AA+ Aaa 1,000,000.00 1,047,553.22 2.27 1,036,977.87 2.26 1.663135G0V34 FANNIE MAE 2.5% 2.500 02/05/2024 AA+ Aaa 600,000.00 621,262.80 1.34 621,348.18 1.36 2.033136G46B4 FANNIE MAE 0.35% 0.350 04/26/2024 01/26/2022 AA+ Aaa 1,200,000.00 1,199,700.00 2.60 1,185,670.78 2.59 1.93 13 GASB 40 - DEPOSIT AND INVESTMENT RISK DISCLOSURE
As of December 31, 2021

SAN RAFAEL
Cusip S&P
rating
Moody
rating
Historical
cost
% Portfolio
hist cost
Market
value
% Portfolio
mkt value
Effective
dur (yrs)
Description Coupon Maturity
date
Call date Par value or
shares
Federal National Mortgage Association3135G0V75 FANNIE MAE 1.75% 1.750 07/02/2024 AA+ Aaa 750,000.00 753,426.75 1.63 766,582.00 1.67 2.43Issuer total 4,800,000.00 4,882,378.52 10.56 4,876,462.06 10.64 1.66Federal Home Loan Banks313378WG2 FEDERAL HOME LOAN 2.500 03/11/2022 AA+ Aaa 1,000,000.00 1,016,330.00 2.20 1,004,534.63 2.19 0.193130A3KM5 FEDERAL HOME LOAN 2.500 12/09/2022 AA+ Aaa 1,000,000.00 1,021,240.00 2.21 1,019,847.46 2.23 0.933130AMQQ FEDERAL HOME LOAN 0.350 04/23/2024 03/23/2022 AA+ Aaa 1,000,000.00 1,000,000.00 2.16 992,331.24 2.17 1.70Issuer total 3,000,000.00 3,037,570.00 6.57 3,016,713.33 6.58 0.94Federal Home Loan Mortgage Corp3137EADB2 FREDDIE MAC 2.375% 2.375 01/13/2022 AA+ Aaa 1,650,000.00 1,676,634.30 3.63 1,651,070.77 3.60 0.043137EAEQ8 FREDDIE MAC 0.375% 0.375 04/20/2023 AA+ Aaa 1,250,000.00 1,248,223.75 2.70 1,247,206.78 2.72 1.29Issuer total 2,900,000.00 2,924,858.05 6.33 2,898,277.55 6.33 0.57Federal Farm Credit Banks Funding Corp3133EMWV FEDERAL FARM CREDIT 0.350 04/22/2024 AA+ Aaa 1,000,000.00 1,000,000.00 2.16 994,119.75 2.17 2.293133EMYR7 FEDERAL FARM CREDIT 0.375 05/06/2024 05/06/2022 AA+ Aaa 1,000,000.00 1,000,000.00 2.16 988,821.99 2.16 1.89 Issuer total 2,000,000.00 2,000,000.00 4.33 1,982,941.74 4.33 2.09 Toyota Motor Credit Corp89236THA6 TOYOTA MOTOR CREDIT 1.350 08/25/2023 A+ A1 700,000.00 714,959.00 1.55 706,260.77 1.54 1.6389236THU2 TOYOTA MOTOR CREDIT 0.450 01/11/2024 A+ A1 480,000.00 479,342.40 1.04 476,005.88 1.04 2.01 Issuer total 1,180,000.00 1,194,301.40 2.58 1,182,266.65 2.58 1.78 PT. SAN ASSESS DISTRICT888599LS4 PT. SAN ASSESS 5.250 09/02/2032 NR NR 1,159,300.00 1,159,300.00 2.51 1,159,300.00 2.53 8.18 Issuer total 1,159,300.00 1,159,300.00 2.51 1,159,300.00 2.53 8.18 14 GASB 40 - DEPOSIT AND INVESTMENT RISK DISCLOSURE
As of December 31, 2021

SAN RAFAEL
Cusip S&P
rating
Moody
rating
Historical
cost
% Portfolio
hist cost
Market
value
% Portfolio
mkt value
Effective
dur (yrs)
Description Coupon Maturity
date
Call date Par value or
shares
JPMorgan Chase & Co46647PBB1 JPMORGAN CHASE & CO 3.207 04/01/2023 04/01/2022 A- A2 600,000.00 615,576.00 1.33 603,583.72 1.32 0.2546647PAP1 JPMORGAN CHASE & CO 3.559 04/23/2024 04/23/2023 A- A2 500,000.00 534,240.00 1.16 516,734.90 1.13 1.28 Issuer total 1,100,000.00 1,149,816.00 2.49 1,120,318.62 2.45 0.73 International Business Machines Corp459200HU8 IBM CORP 3.625% 3.625 02/12/2024 A- A3 1,000,000.00 1,086,900.00 2.35 1,054,292.47 2.30 2.02 Issuer total 1,000,000.00 1,086,900.00 2.35 1,054,292.47 2.30 2.02 Caterpillar Financial Services Corp14912L5X5 CATERPILLAR FINANCIAL 3.750 11/24/2023 A A2 1,000,000.00 1,086,390.00 2.35 1,054,003.21 2.30 1.84 Issuer total 1,000,000.00 1,086,390.00 2.35 1,054,003.21 2.30 1.84 US Bancorp91159HHV5 US BANCORP 3.375% 3.375 02/05/2024 01/05/2024 A+ A2 1,000,000.00 1,079,130.00 2.33 1,048,424.92 2.29 1.94 Issuer total 1,000,000.00 1,079,130.00 2.33 1,048,424.92 2.29 1.94 Bank of America Corp06051GHC6 BANK OF AMERICA CORP 3.004 12/20/2023 12/20/2022 A- A2 500,000.00 525,795.00 1.14 510,364.90 1.11 0.9606051GHF9 BANK OF AMERICA CORP 3.550 03/05/2024 03/05/2023 A- A2 500,000.00 535,525.00 1.16 514,897.88 1.12 1.14 Issuer total 1,000,000.00 1,061,320.00 2.30 1,025,262.78 2.24 1.05 American Honda Finance Corp02665WDH1 AMERICAN HONDA 1.950 05/10/2023 A- A3 1,000,000.00 1,031,510.00 2.23 1,015,853.69 2.22 1.34 Issuer total 1,000,000.00 1,031,510.00 2.23 1,015,853.69 2.22 1.34 John Deere Capital Corp24422EVN6 JOHN DEERE CAPITAL 0.450 01/17/2024 A A2 1,000,000.00 1,001,230.00 2.17 990,491.31 2.16 2.03 Issuer total 1,000,000.00 1,001,230.00 2.17 990,491.31 2.16 2.03 15 GASB 40 - DEPOSIT AND INVESTMENT RISK DISCLOSURE
As of December 31, 2021

SAN RAFAEL
Cusip S&P
rating
Moody
rating
Historical
cost
% Portfolio
hist cost
Market
value
% Portfolio
mkt value
Effective
dur (yrs)
Description Coupon Maturity
date
Call date Par value or
shares
PNC Financial Services Group Inc/The693475AV7 PNC FINANCIAL 3.500 01/23/2024 12/24/2023 A- A3 900,000.00 957,939.00 2.07 942,522.96 2.06 1.91 Issuer total 900,000.00 957,939.00 2.07 942,522.96 2.06 1.91 American Express Credit Corp0258M0EG0 AMERICAN EXPRESS 2.700 03/03/2022 01/31/2022 A- A2 700,000.00 714,231.00 1.55 701,185.04 1.53 0.08 Issuer total 700,000.00 714,231.00 1.55 701,185.04 1.53 0.08 Pfizer Inc717081DM2 PFIZER INC 3.4% 3.400 05/15/2024 A+ A2 500,000.00 537,160.00 1.16 529,678.61 1.16 2.29 Issuer total 500,000.00 537,160.00 1.16 529,678.61 1.16 2.29 PepsiCo Inc713448CM8 PEPSICO INC 3.6% 3.600 03/01/2024 12/01/2023 A+ A1 500,000.00 537,465.00 1.16 526,996.84 1.15 1.87 Issuer total 500,000.00 537,465.00 1.16 526,996.84 1.15 1.87 Citibank NA17325FAS7 CITIBANK NA 3.65% 3.650 01/23/2024 12/23/2023 A+ Aa3 500,000.00 541,470.00 1.17 526,019.31 1.15 1.90 Issuer total 500,000.00 541,470.00 1.17 526,019.31 1.15 1.90 3M Co88579YBB6 3M COMPANY 3.25% 3.250 02/14/2024 01/14/2024 A+ A1 500,000.00 541,935.00 1.17 522,715.86 1.14 1.97 Issuer total 500,000.00 541,935.00 1.17 522,715.86 1.14 1.97 Procter & Gamble Co/The742718EB1 PROCTER & GAMBLE 3.100 08/15/2023 AA- Aa3 500,000.00 520,430.00 1.13 519,828.68 1.13 1.58 Issuer total 500,000.00 520,430.00 1.13 519,828.68 1.13 1.58 16 GASB 40 - DEPOSIT AND INVESTMENT RISK DISCLOSURE
As of December 31, 2021

SAN RAFAEL
Cusip S&P
rating
Moody
rating
Historical
cost
% Portfolio
hist cost
Market
value
% Portfolio
mkt value
Effective
dur (yrs)
Description Coupon Maturity
date
Call date Par value or
shares
Apple Inc037833AK6 APPLE INC 2.4% 2.400 05/03/2023 AA+ Aaa 500,000.00 506,880.00 1.10 511,964.77 1.12 1.32 Issuer total 500,000.00 506,880.00 1.10 511,964.77 1.12 1.32 Walmart Inc931142DH3 WALMART INC 2.55% 2.550 04/11/2023 01/11/2023 AA Aa2 500,000.00 509,155.00 1.10 511,012.60 1.12 1.03 Issuer total 500,000.00 509,155.00 1.10 511,012.60 1.12 1.03 Cash and Cash Equivalents
INVESTED CASH 0.000 160,461.81 160,461.81 0.00 160,461.81 0.35 0.00 Issuer total 160,461.81 160,461.81 0.00 160,461.81 0.35 0.00 Grand total 45,199,761.81 46,225,036.90 100.00 45,813,287.78 100.00 1.68 17 SECURITIES PURCHASED
For the period December 1, 2021 - December 31, 2021

SAN RAFAEL
Par value or
shares
Unit cost Accrued
interest
Trade date
Settle date
Coupon Maturity/
Call date
Principal
cost
Cusip Description / Broker
Corporate Bonds742718EB1 12/13/2021 08/15/2023 500,000.00 104.09 (520,430.00) (5, 3.100 166.67) 12/15/2021
PROCTER & GAMBLE CO/THE 3.1%MERRILL LYNCH, PIERCE,
Total Corporate Bonds 500,000.00 (520,430.00) (5,166.67) Government Agencies3137EAEQ8 12/22/2021 04/20/2023 1,250,000.00 99.86 (1,248,223.75) 0.375 (820.31) 12/23/2021
FREDDIE MAC 0.375% 20APR2023NOMURA SECURITIES NEW YORK
3135G0T78 12/27/2021 10/05/2022 650,000.00 101.34 (658,719.75) (2, 2.000 997.22) 12/28/2021
FANNIE MAE 2% 05OCT2022WELLS FARGO BANK, N.A.

Total Government Agencies 1,900,000.00 (1,906,943.50) (3,817.53) Government Bonds9128287C8 12/22/2021 07/15/2022 1,250,000.00 100.89 (1,261,088.17 1.750 ) (9,570.31) 12/23/2021
USA TREASURY 1.75% 15JUL2022HSBC SECURITIES (USA) INC.
91282CAN1 12/22/2021 09/30/2022 1,250,000.00 99.91 (1,248,929.97) 0.125 (360.58) 12/23/2021
USA TREASURY 0.125% 30SEP2022HSBC SECURITIES (USA) INC. 912828Z86 12/22/2021 02/15/2023 1,250,000.00 101.11 (1,263,920.20 1.375 ) (6,071.67) 12/23/2021
USA TREASURY 1.375% 15FEB2023HSBC SECURITIES (USA) INC. 9128282D1 12/22/2021 08/31/2023 1,250,000.00 101.28 (1,265,970.98 1.375 ) (5,412.64) 12/23/2021
USA TREASURY 1.375% 31AUG2023HSBC SECURITIES (USA) INC. 912828ZX1 12/27/2021 06/30/2022 1,000,000.00 99.98 (999,808.04) (6 0.125 14.80) 12/28/2021
USA TREASURY 0.125% 30JUN2022NATWEST MARKETS PLC
912828M80 12/27/2021 11/30/2022 500,000.00 101.54 (507,677.46) (76 2.000 9.23) 12/28/2021
USA TREASURY 2% 30NOV2022MORGAN STANLEY AND CO., LLC
18 SECURITIES PURCHASED
For the period December 1, 2021 - December 31, 2021

SAN RAFAEL
Par value or
shares
Unit cost Accrued
interest
Trade date
Settle date
Coupon Maturity/
Call date
Principal
cost
Cusip Description / Broker
Government Bonds912828Z29 12/27/2021 01/15/2023 1,000,000.00 101.15 (1,011,526.79 1.500 ) (6,766.30) 12/28/2021
USA TREASURY 1.5% 15JAN2023BARCLAYS CAPITAL
912828ZD5 12/27/2021 03/15/2023 1,000,000.00 100.03 (1,000,315.85 0.500 ) (1,436.46) 12/28/2021
USA TREASURY 0.5% 15MAR2023SOCIETE GENERALE
912828D56 12/27/2021 08/15/2024 1,000,000.00 103.80 (1,038,011.16 2.375 ) (8,712.64) 12/28/2021
USA TREASURY 2.375% 15AUG2024RBC DOMINION SECURITIES
912828YM6 12/27/2021 10/31/2024 1,000,000.00 101.49 (1,014,925.23 1.500 ) (2,403.31) 12/28/2021
USA TREASURY 1.5% 31OCT2024BNP PARIBAS PARIS
Total Government Bonds 10,500,000.00 (10,612,173.85) (42,117.94) Grand total Grand total 12,900,000.00 (13,039,547.35) (51,102.14) 19 SECURITIES SOLD AND MATURED
For the period December 1, 2021 - December 31, 2021

SAN RAFAEL
Historical cost Amortized cost
at sale or
maturity
Fair value at
sale or
maturity
Realized
gain
(loss)
Trade date Coupon Price
Settle date
Maturity/
Call date
Par value or
shares
Cusip Accrued
interest
sold
Description / Broker
Corporate Bonds717081DZ3 12/15/2021 (500,000.00) 503,615.00 500,000.00 0.00 500,0 2.200 00.00 0.00 0.00 12/15/2021
PFIZER INC 2.2% DUE 12-15-2021
Total (Corporate Bonds) (500,000.00) 503,615.00 500,000.00 500,000.00 0.00 0.00 Grand total (500,000.00) 503,615.00 500,000.00 500,000.00 0.00 0.00 20 DETAIL OF RETURN AND INTEREST RECEIVED
For the period December 1, 2021 - December 31, 2021

SAN RAFAEL
Description Accretion Interest earned
(amortization)
Realized gain
(loss)
Change in fair
value
Cusip Interest received
Cash
Cash and Cash Equivalents 0.00 0.00 0.00 1.04 1.04
Total Cash 0.00 0.00 0.00 1.04 1.04Corporate Bonds
88579YBB6 3M COMPANY 3.25% 14FEB2024 (CALLABLE 14JAN24) (1,194.73) 0.00 (2,170.29) 1,399.31 0.00 0258M0EG0 AMERICAN EXPRESS CREDIT 2.7% 03MAR2022 (CALLABLE 31JAN22) (1,375.66) 0.00 (1,475.30) 1,627.50 0.00 02665WDH1 AMERICAN HONDA FINANCE 1.95% 10MAY2023 (1,298.49) 0.00 (722.97) 1,679.17 0.00 037833AK6 APPLE INC 2.4% 03MAY2023 (157.92) 0.00 (60.61) 1,033.33 0.00 06051GHC6 BANK OF AMERICA CORP 3.004% 20DEC2023 (CALLABLE 20DEC22) (984.55) 0.00 (900.06) 1,293.38 7,510.00 06051GHF9 BANK OF AMERICA CORP 3.55% 05MAR2024 (CALLABLE 05MAR23) (1,123.02) 0.00 (1,504.82) 1,528.47 0.00 14912L5X5 CATERPILLAR FINANCIAL SE 3.75% 24NOV2023 (2,810.96) 0.00 (1,908.61) 3,229.17 0.00 17325FAS7 CITIBANK NA 3.65% 23JAN2024 (CALLABLE 23DEC23) (1,327.75) 0.00 (1,748.74) 1,571.53 0.00 459200HU8 IBM CORP 3.625% 12FEB2024 (2,607.00) 0.00 (2,733.66) 3,121.53 0.00 24422EVN6 JOHN DEERE CAPITAL CORP 0.45% 17JAN2024 (37.85) 0.00 (1,033.62) 387.50 0.00 46647PBB1 JPMORGAN CHASE & CO 3.207% 01APR2023 (CALLABLE 01APR22) (1,420.30) 0.00 (1,590.14) 1,656.95 0.00 46647PAP1 JPMORGAN CHASE & CO 3.559% 23APR2024 (CALLABLE 23APR23) (1,296.97) 0.00 (1,671.12) 1,532.35 0.00 713448CM8 PEPSICO INC 3.6% 01MAR2024 (CALLABLE 01DEC23) (1,275.76) 0.00 (774.50) 1,550.00 0.00 717081DZ3 PFIZER INC 2.2% DUE 12-15-2021 (75.42) 0.00 (342.16) 458.33 5,500.00 717081DM2 PFIZER INC 3.4% 15MAY2024 (1,169.78) 0.00 364.15 1,463.89 0.00 693475AV7 PNC FINANCIAL SERVICES 3.5% 23JAN2024 (CALLABLE 23DEC23) (1,530.92) 0.00 (2,752.58) 2,712.50 0.00 742718EB1 PROCTER & GAMBLE CO/THE 3.1% 15AUG2023 (609.85) 0.00 (601.32) 688.89 0.00 21 DETAIL OF RETURN AND INTEREST RECEIVED
For the period December 1, 2021 - December 31, 2021

SAN RAFAEL
Description Accretion Interest earned
(amortization)
Realized gain
(loss)
Change in fair
value
Cusip Interest received
Corporate Bonds
89236THU2 TOYOTA MOTOR CREDIT CORP 0.45% 11JAN2024 23.80 0.00 757.19 186.00 0.00 89236THA6 TOYOTA MOTOR CREDIT CORP 1.35% 25AUG2023 (531.09) 0.00 (629.34) 813.75 0.00 91159HHV5 US BANCORP 3.375% 05FEB2024 (CALLABLE 05JAN24) (2,375.54) 0.00 (1,935.40) 2,906.25 0.00 931142DH3 WALMART INC 2.55% 11APR2023 (CALLABLE 11JAN23) (229.84) 0.00 122.15 1,097.91 0.00 Total Corporate Bonds (23,409.60) (23,311.75) 13,010.00 0.00 31,937.71Government Agencies 3136G46B4 FANNIE MAE 0.35% 26APR2024 (CALLABLE 26JAN22) 6.92 0.00 (4,743.43) 361.66 0.00 3135G0V75 FANNIE MAE 1.75% 02JUL2024 (61.23) 0.00 (2,289.65) 1,130.21 0.00 3135G0T78 FANNIE MAE 2% 05OCT2022 (169.12) 0.00 (1,711.23) 1,141.67 0.00 3135G0V34 FANNIE MAE 2.5% 05FEB2024 (412.87) 0.00 (3,252.50) 1,291.66 0.00 3135G0U43 FANNIE MAE 2.875% 12SEP2023 (998.32) 0.00 (4,717.16) 2,475.69 0.00 3133EMWV0 FEDERAL FARM CREDIT BANK 0.35% 22APR2024 0.00 0.00 3,724.72 301.39 0.00 3133EMYR7 FEDERAL FARM CREDIT BANK 0.375% 06MAY2024 (CALLABLE 06MAY22) 0.00 0.00 (1,879.52) 322.92 0.00 3130AMQQ8 FEDERAL HOME LOAN BANK 0.35% 23APR2024 (CALLABLE 23MAR22) 0.00 0.00 (1,740.30) 301.39 1,750.00 3130A3KM5 FEDERAL HOME LOAN BANK 2.5% 09DEC2022 (514.28) 0.00 (2,381.51) 2,152.78 12,500.00 313378WG2 FEDERAL HOME LOAN BANK 2.5% 11MAR2022 (495.34) 0.00 (2,294.41) 2,152.78 0.00 3137EAEQ8 FREDDIE MAC 0.375% 20APR2023 33.37 0.00 (1,016.97) 104.17 0.00 3137EADB2 FREDDIE MAC 2.375% 13JAN2022 (937.38) 0.00 (3,342.34) 3,374.48 0.00 Total Government Agencies (3,548.25) (25,644.30) 14,250.00 0.00 15,110.80 22 DETAIL OF RETURN AND INTEREST RECEIVED
For the period December 1, 2021 - December 31, 2021

SAN RAFAEL
Description Accretion Interest earned
(amortization)
Realized gain
(loss)
Change in fair
value
Cusip Interest received
Government Bonds
91282CBA8 USA TREASURY 0.125% 15DEC2023 210.28 0.00 (2,531.26) 127.40 750.00 912828ZX1 USA TREASURY 0.125% 30JUN2022 4.15 0.00 (198.66) 10.20 625.00 91282CAN1 USA TREASURY 0.125% 30SEP2022 34.15 0.00 (590.12) 34.34 0.00 91282CCC3 USA TREASURY 0.25% 15MAY2024 88.05 0.00 (2,304.69) 214.09 0.00 91282CAW1 USA TREASURY 0.25% 15NOV2023 (4.02) 0.00 (2,265.62) 214.09 0.00 91282CBV2 USA TREASURY 0.375% 15APR2024 (33.70) 0.00 (2,617.19) 319.37 0.00 912828ZD5 USA TREASURY 0.5% 15MAR2023 (2.85) 0.00 74.77 41.44 0.00 912828Z86 USA TREASURY 1.375% 15FEB2023 (298.29) 0.00 (883.09) 373.64 0.00 9128282D1 USA TREASURY 1.375% 31AUG2023 (232.96) 0.00 (1,078.40) 379.83 0.00 912828Z29 USA TREASURY 1.5% 15JAN2023 (120.07) 0.00 (628.35) 122.29 0.00 912828YV6 USA TREASURY 1.5% 30NOV2024 (602.34) 0.00 (2,460.94) 894.23 0.00 912828YM6 USA TREASURY 1.5% 31OCT2024 (57.46) 0.00 973.21 124.31 0.00 9128287C8 USA TREASURY 1.75% 15JUL2022 (486.80) 0.00 (1,078.41) 475.55 0.00 912828M80 USA TREASURY 2% 30NOV2022 (451.41) 0.00 (2,511.44) 1,359.89 0.00 912828U57 USA TREASURY 2.125% 30NOV2023 (239.24) 0.00 (2,716.80) 1,176.34 0.00 9128282Y5 USA TREASURY 2.125% 30SEP2024 (1,411.08) 0.00 (4,296.88) 1,809.75 0.00 912828D56 USA TREASURY 2.375% 15AUG2024 (158.05) 0.00 543.53 193.61 0.00 Total Government Bonds (3,761.64) (24,570.34) 1,375.00 0.00 7,870.37 23 DETAIL OF RETURN AND INTEREST RECEIVED
For the period December 1, 2021 - December 31, 2021

SAN RAFAEL
Description Accretion Interest earned
(amortization)
Realized gain
(loss)
Change in fair
value
Cusip Interest received
Municipal/Provincial Bonds
888599LS4 PT. SAN ASSESS DISTRICT 5.25% 144A 02SEP2032 SANRAF$01 0.00 0.00 0.00 5,241.01 0.00 Total Municipal/Provincial Bonds 0.00 0.00 0.00 5,241.01 0.00Grand total (30,719.49) (73,526.39) 28,636.04 0.00 60,160.93 24 TRANSACTION REPORT
For the period December 1, 2021 - December 31, 2021

SAN RAFAEL
Maturity Par value or
shares
Trade date Cusip Sec type Description Transaction Principal Interest Transaction totalSettle date Realized
gain(loss)
12/09/2021 12,500.0012/09/2021
3130A3KM5 Government Agencies FEDERAL HOME LOAN BANK 1 Income 2/09/2022 1,000,000.00 0.00 12,500.00 0.00 12/13/2021 (5,166.67)12/15/2021
742718EB1 Corporate Bonds PROCTER & GAMBLE CO/THE 08/1 Bought 5/2023 500,000.00 (520,430.00) (525,596.67) 0.00 12/15/2021 5,500.0012/15/2021
717081DZ3 Corporate Bonds PFIZER INC 2.2% DUE 12/15/20 Income 21 500,000.00 0.00 5,500.00 0.00 12/15/2021 0.0012/15/2021
717081DZ3 Corporate Bonds PFIZER INC 2.2% DUE 12/15/20 Capital Change 21 (500,000.00) 500,000.00 500,000.00 0.00 12/15/2021 750.0012/15/2021
91282CBA8 Government Bonds USA TREASURY 0.125% 12/15/2 Income 023 1,200,000.00 0.00 750.00 0.00 12/20/2021 7,510.0012/20/2021
06051GHC6 Corporate Bonds BANK OF AMERICA CORP 12/20/2 Income 023 500,000.00 0.00 7,510.00 0.00 12/22/2021 (820.31)12/23/2021
3137EAEQ8 Government Agencies FREDDIE MAC 0.375% 04/20 Bought /2023 1,250,000.00 (1,248,223.75) (1,249,044.06) 0.00 12/22/2021 (5,412.64)12/23/2021
9128282D1 Government Bonds USA TREASURY 1.375% 08/31/2 Bought 023 1,250,000.00 (1,265,970.98) (1,271,383.62) 0.00 12/22/2021 (9,570.31)12/23/2021
9128287C8 Government Bonds USA TREASURY 1.75% 07/15/20 Bought 22 1,250,000.00 (1,261,088.17) (1,270,658.48) 0.00 12/22/2021 (6,071.67)12/23/2021
912828Z86 Government Bonds USA TREASURY 1.375% 02/15/2 Bought 023 1,250,000.00 (1,263,920.20) (1,269,991.87) 0.00 12/22/2021 (360.58)12/23/2021
91282CAN1 Government Bonds USA TREASURY 0.125% 09/30/2 Bought 022 1,250,000.00 (1,248,929.97) (1,249,290.55) 0.00 12/23/2021 1,750.0012/23/2021
3130AMQQ8 Government Agencies FEDERAL HOME LOAN BANK 0 Income 4/23/2024 1,000,000.00 0.00 1,750.00 0.00 12/27/2021 (2,997.22)12/28/2021
3135G0T78 Government Agencies FANNIE MAE 2% 05OCT2022 Bought 10/05/2022 650,000.00 (658,719.75) (661,716.97) 0.00 12/27/2021 (8,712.64)12/28/2021
912828D56 Government Bonds USA TREASURY 2.375% 08/15/2 Bought 024 1,000,000.00 (1,038,011.16) (1,046,723.80) 0.00 12/27/2021 (769.23)12/28/2021
912828M80 Government Bonds USA TREASURY 2% 30NOV2022 1 Bought 1/30/2022 500,000.00 (507,677.46) (508,446.69) 0.00 12/27/2021 (2,403.31)12/28/2021
912828YM6 Government Bonds USA TREASURY 1.5% 10/31/202 Bought 4 1,000,000.00 (1,014,925.23) (1,017,328.54) 0.00 12/27/2021 (6,766.30)12/28/2021
912828Z29 Government Bonds USA TREASURY 1.5% 01/15/202 Bought 3 1,000,000.00 (1,011,526.79) (1,018,293.09) 0.00 25 TRANSACTION REPORT
For the period December 1, 2021 - December 31, 2021

SAN RAFAEL
Maturity Par value or
shares
Trade date Cusip Sec type Description Transaction Principal Interest Transaction totalSettle date Realized
gain(loss)
12/27/2021 (1,436.46)12/28/2021
912828ZD5 Government Bonds USA TREASURY 0.5% 03/15/202 Bought 3 1,000,000.00 (1,000,315.85) (1,001,752.31) 0.00 12/27/2021 (614.80)12/28/2021
912828ZX1 Government Bonds USA TREASURY 0.125% 06/30/2 Bought 022 1,000,000.00 (999,808.04) (1,000,422.84) 0.00 12/31/2021 625.0012/31/2021
912828ZX1 Government Bonds USA TREASURY 0.125% 06/30/2 Income 022 1,000,000.00 0.00 625.00 0.00 12/31/2021 Income Cash and Cash Equivalents Cash 0.00 0.00 0.00 1.04 1.04 26 ADDITIONAL INFORMATION
As of December 31, 2021

SAN RAFAEL
Insight does not provide tax or legal advice to its clients and all investors are strongly urged to consult their tax and legal advisors regarding any potential strategy or investment.

Insight is a group of wholly owned subsidiaries of The Bank of New York Mellon Corporation. BNY Mellon is the corporate brand of The Bank of New York Mellon Corporation and may also be used as a generic term to reference the Corporation as a whole or its various subsidiaries generally. Products and services may be provided under various brand names and in various countries by subsidiaries, affiliates and joint ventures of The Bank of New York Mellon Corporation where authorized and regulated as required within each jurisdiction. Unless you are notified to the contrary, the products and services mentioned are not insured by the FDIC (or by any governmental entity)and are not guaranteed by or obligations of The Bank of New York Mellon Corporation or any of its affiliates. The Bank of New York Corporation assumes no responsibility for the accuracy or completeness of the above data and disclaims all expressed or implied warranties in connection therewith.© 2021 Insight Investment. All rights reserved. 28 ____________________________________________________________________________________

FOR CITY CLERK ONLY
Council Meeting:

Disposition:

Agenda Item No: 5.g
Meeting Date: January 18, 2022

SAN RAFAEL CITY COUNCIL AGENDA REPORT
Department: Human Resources
Prepared by:

Cristine Alilovich, Assistant City Manager
City Manager Approval: ______________
TOPIC: FIRE MID-MANAGEMENT PERSONNEL CHANGES
SUBJECT: RESOLUTION APPROVING THE RECLASSIFICATION OF ONE FIRE DEPARTMENT

BATTALION CHIEF POSITION TO A DEPUTY FIRE CHIEF AND ADD A DEPUTY

DIRECTOR OF EMERGENCY MANAGEMENT POSITION
RECOMMENDATION: Adopt Resolution.

BACKGROUND:

The San Rafael Fire Department provides all-hazard Fire/Paramedic service delivery including structural/wildland firefighting, advanced (ALS) and basic life support (BLS) emergency field care and transport, hazardous material incident initial response, marine emergency response, fire prevention, and public education.

The Department operates seven fire stations with 69 operational firefighters, 13 prevention/emergency personnel, and three administrative staff. This includes the administrative and operational oversight of the Marinwood Fire Department. The Department serves nearly 70,000 residents in San Rafael, Marinwood, and portions of unincorporated Marin. Management within the Fire Department is separated between Operations, Fire Prevention, and Emergency Management, all reporting to the Fire Chief.

ANALYSIS:

Staff have evaluated the organizational structure and design of the Fire Department and determined that two changes are needed in order to keep pace with the service demands of the community, in particular with the recent high priority placed on fire prevention and increased volume of emergency medical calls.

Staff are recommending the reclassification of one of the Battalion Chiefs (BC) positions (which serves in a non-operational/administrative capacity), to a Deputy Fire Chief position.

Deputy Fire Chief
Staff conducted a review of twelve, similar sized local fire agencies to better understand their organizational structures and how they compare to our Fire Department. The results showed that the City of San Rafael Fire Department is the only Fire Department that does not have an Operational Deputy Fire Chief position. Smaller departments with fewer personnel and fire stations all have Deputy Fire Chief SAN RAFAEL CITY COUNCIL AGENDA REPORT / Page: 2
positions, leaving San Rafael as an outlier and at a disadvantage operationally and from a retention and recruitment standpoint. The City currently employs a retired annuitant whose responsibilities are more closely aligned with a Fire Marshal. This position does not directly support fire suppression and emergency medical service operations.

Succession planning within a public safety organization suggests that there should be a path that encourages and supports upward mobility within the organizational structure. In the absence of such a hierarchy, limited opportunities to train, educate, mentor, and prepare future leaders within the ranks result. The limited opportunities can have a debilitating effect on otherwise motivated employees to pursue employment or tenure with an organization that peaks at the rank of BC. Battalion Chief Officers require one additional step toward the path to executive leadership and this is best accomplished through the creation of a Deputy Fire Chief position within the organization. The existence of this position serves to connect the senior staff to the executive staff, while maintaining a supplemental staffing “relief valve” in the event of a BC long-term absence.

The reclassification of a Battalion Chief position to a Deputy Fire Chief position will provide professional level administrative staffing and result in the three current Battalion Chiefs reporting directly to the Deputy Fire Chief. This structure improves span of control and allows the Fire Chief to more effectively manage the Operations, Fire Prevention, and Emergency Management Divisions, and appoint an acting Chief in their absence.

Deputy Director of Emergency Management
Currently, the City employs one fixed-term Emergency Manager. This position was originally formed to improve the City’s disaster and emergency preparedness and prepare the community for a multitude of risks including, natural disasters, human-made catastrophes, pandemic conditions, transportation accidents, civil demonstrations/unrest, utility provider generated power disruptions, and more.

The position prepares the City for disasters and emergencies through long range planning, community training, and training of City personnel. This includes management of the day to day operations within the City’s Emergency Operation Center (EOC) when active. This task involves coordination with local, state, and a federal agencies and partners, managing City personnel within the EOC and ensuring critical needs are met during an emergency. As we’ve seen during recent years between Public Safety Power Shutoffs (PSPS), wildfires, storms, and a pandemic, it is critical that the City remain prepared and ready to respond to a host of emergency situations, all of which, are coordinated by the Emergency Manager.

This position was created as fixed term, due to financial limitations to fund an ongoing position. The goal of the fixed term position was to have the Emergency Manager develop the plans and programs necessary for the City to implement, which would be implemented by existing City staff. Based on what we’ve learned through this pandemic, it is clear that committing ongoing funds to this position is critical, especially in light of the additional volume of work required to address wildfire prevention and preparedness.

In March 2020, Marin voters including San Rafael residents, voted to approve Measure C, a parcel tax intended to fund wildfire prevention and preparedness efforts. The Marin Wildfire Prevention Authority (MWPA) was created to administer and coordinate Measure C programs and funds. When this was the done, the City moved all MWPA functions under the supervision of the Emergency Manager. This included Vegetation Management, Defensible Space, and Wildfire Mitigation and Emergency Preparedness. Responsibilities include hiring, training, supervising, and overseeing all MWPA related projects in the San Rafael. This expanded role and the subsequent benefit realized by the work done through the MWPA funding have been instrumental in increasing the City’s wildfire preparedness while decreasing the risk of devasting wildfires.

SAN RAFAEL CITY COUNCIL AGENDA REPORT / Page: 3
Due to the increased responsibility of this position, the City hired a consultant, Municipal Resource Group (MRG) to conduct a staffing and organizational assessment of the City’s Emergency Services. MRG reviewed program and staffing needs, developed staffing classifications and compensation, and prepared findings and recommendations as part of their scope. Analysis was conducted to review the labor market and relationships within the City’s Fire Department. The recommendation from the assessment was to create a full-time, permanent Deputy Director of Emergency Management position within the Fire Department to oversee emergency operations and the MWPA wildfire program, which will allow the City to continue to be prepared and ready to respond to all emergencies currently and in the future. The change from Emergency Manager to Deputy Director of Emergency Management is justified by the increased roles and responsibilities the position will assume moving forward.

Summary of recommendations
Staff recommends that one BC position be reclassified as a Deputy Fire Chief. The BCs are currently represented by the San Rafael Fire Chief Officers’ Association (SRFCOA) and this position would become a non-represented mid-management position and not a represented association position. The SRFCOA were properly noticed regarding this change and are in support of this reclassification request.

If approved, the department would hold an open recruitment to fill the position and all qualified internal candidates would be encouraged to apply for the position.

Staff also recommends the addition of one Deputy Director of Emergency Management, which would be non-represented mid-management. The current Emergency Manager (fixed-term) position would be eliminated with cost savings from that position partially funding the new position. The balance of the funding for the new position would primarily be funded by Measure C funds in recognition of the additional duties managing the MWPA program.

Staff recommends that both positions be added to the mid-management salary schedule. All relevant attachments including job classification/descriptions and salary schedules can be found in the attachments to this report.

FISCAL IMPACT:

The fiscal impact of the reclassification to a Deputy Fire Chief and the addition of a full-time Deputy Director of Emergency Management position is $11,139 and $117,451 respectively, for a total of $128,590. Funding is available between the General Fund and MWPA funds for both changes with the breakdown outlined in Table 1. There are sufficient funds within the Fire Department’s general and MWPA funds and new appropriations are not required.

Table 1: Fiscal Impact
Position Changes FTE General Fund MWPA Fund
Delete (Current):

Battalion Chief (SRFCOA) 1.0 $366,616 $0
Emergency Management Manager (fixed-term) 1.0 $165,185 $0 Add/Reclassify to:

Deputy Fire Chief (Mid-management) 1.0 $377,755 $0
Deputy Director of Emergency Management 1.0 $169,582 $113,054 Net: 0.0 $15,536 $113,054
OPTIONS:

The City Council has the following options to consider in this matter:

SAN RAFAEL CITY COUNCIL AGENDA REPORT / Page: 4
• Staff’s recommendation to adopt the resolution.
• Adopt resolution with modifications.
• Direct staff to return with more information.
• Take no action.

RECOMMENDED ACTION: Adopt Resolution to approve the reclassification of a Battalion Chief position to a Deputy Fire Chief and add a Deputy Director of Emergency Management position.

ATTACHMENTS:

1. Resolution to approve the reclassification of a Battalion Chief Position to a Deputy Fire Chief and add a Deputy Director of Emergency Management position

2. Deputy Fire Chief Job Description

3. Deputy Director of Emergency Management Job Description

4. Unrepresented Mid-Management salary schedule
RESOLUTION NO.

A RESOLUTION OF THE CITY COUNCIL OF THE CITY OF SAN

RAFAEL APPROVING THE RECLASSIFICATION OF ONE FIRE

DEPARTMENT BATTALION CHIEF POSITION TO A DEPUTY FIRE

CHIEF AND ADD A DEPUTY DIRECTOR OF EMERGENCY

MANAGEMENT POSITION
WHEREAS, the Administrative Battalion Chief provides Emergency Medical Services (EMS) training and oversight which are critical functions that are required for a department with 12 probationary firefighter/paramedics; and
WHEREAS, in addition to EMS training and oversight, the current Administrative Battalion Chief position’s duties and responsibilities have increased since the position was created in 2017; and
WHEREAS, in addition to the current Administrative Battalion Chief position duties, a Deputy Fire Chief would provide project management and long-term planning skills, including implementation of findings from the upcoming EMS System study; and WHEREAS, staff has reviewed other similarly sized fire departments and found that the City of San Rafael Fire Department lacks a Deputy Fire Chief position, between the Battalion Chiefs and Fire Chief, a position found in most similarly sized fire departments, that would increase efficiency of the overall command structure; and WHEREAS, a reclassification of a Battalion Chief to Deputy Fire Chief will assist in recruiting and retaining qualified personnel by providing promotional opportunities within the department; and
WHEREAS, the City currently employs one fixed-term Emergency Management Manager; and
WHEREAS, in March 2020, Marin voters approved Measure C, a parcel tax intended to fund wildfire prevention and preparedness efforts; and
WHEREAS, a Deputy Director of Emergency Management would oversee the implementation of Measure C funding and continue to prepare the City for all emergencies; and WHEREAS, the City hired Municipal Resource Group (MRG) to conduct an organizational assessment of the City’s Emergency Services and their recommendations is the basis of the change to a full-time position;
NOW, THEREFORE, BE IT RESOLVED, that the City Council of the City of San Rafael hereby approves the reclassification of one Battalion Chief to a Deputy Fire Chief and the addition of one full-time Deputy Director of Emergency Management; BE IT FURTHER RESOLVED, that the City Council of the City of San Rafael hereby approves the amendments to the mid-management salary schedule as recommended by staff and attached to the staff report.

I, LINDSAY LARA, Clerk of the City of San Rafael, hereby certify that the foregoing resolution was duly and regularly introduced and adopted at a regular meeting of the City Council of said City on Tuesday, the 18th day of January 2022, by the following vote, to wit:

AYES: COUNCILMEMBERS:

NOES: COUNCILMEMBERS:

ABSENT: COUNCILMEMBERS:
_______________________
LINDSAY LARA, City Clerk
City of San Rafael
Job Class Specification
Job Title: Deputy Fire Chief

SUMMARY
Under direction of the Fire Chief of the San Rafael Fire Department, the Deputy Chief (DC) plans, organizes, and directs, through subordinate supervisors, a major division of the fire department; and performs related duties as required.

DISTINGUISHING CHARACTERISTICS
This is an executive-level sworn, public safety officer classification with responsibility for a major division of the Fire Department for the Operations Division. The Deputy Chief exercises independent judgment in interpreting and enforcing policies of the San Rafael Fire Department.

The Deputy Chief is distinguished from the Battalion Chief in that the Deputy Chief is responsible for an operations or administrative division, whereas the Battalion Chief manages a district of several engine and truck companies supervised by Captains. The Deputy Chief is distinguished from the Fire Chief in that the latter has responsibility for the overall management of the Fire Department. The Deputy Chief is a member of the Department’s executive management team. The Deputy Chief receives direction from the Fire Chief and exercises direction over Battalion Chiefs, subordinate supervisors, and administrative personnel. When necessary, the Deputy Chief will be required to provide coverage for Battalion Chief vacancies on an overtime basis.

ESSENTIAL DUTIES AND RESPONSIBILITIES include the following. This list is intended to be illustrative and does not represent an exhaustive list of duties and responsibilities.

Incumbents may not perform all duties and responsibilities listed. Other duties may be assigned. • Plan, organize, coordinate, administer and direct the work of a division of the San Rafael Fire Department.
• Develop, direct, and monitor the goals, objectives, policies, procedures, and work standards for the division.
• Plan, delegate, and oversee execution of division programs and activities. • Direct the preparation and administration of a division budget. • Interpret department rules and regulations and MOU provisions; participate in labor negotiations.
• Prepare or review reports for city management, boards, commissions, and other organizations.
• Prepare, review, and approve reports and various correspondence. • Counsel subordinates on performance and deficiencies. • Identify training needs and evaluate existing training programs; develop, conduct, and observe drills and training programs.
• Make presentations at City meetings, boards, and various community meetings. • Manage human resources.
• Delegate, coordinate and follow-up on work of subordinates. • Respond to citizen complaints or inquiries by phone, video, or in person. • Direct emergency operations using fire ground strategy and tactics and Incident Command System (ICS) principles.
• Implement emergency plans and post-emergency incident evaluation. • Participate in joint labor-management and safety committees and make recommendations to the Fire Chief.
• Administer department-wide inspection programs, pre-fire planning, equipment services, facilities maintenance, in-service training, and community relations. • Oversight of Nurse Educator and EMS Best Practices (or similarly assigned) personnel. • Evaluates the need for new equipment and supplies and prepares and presents budget requests related to EMS and Operational needs.
• Serve as a liaison to County and Health Maintenance Organizations and Emergency Medical Services staff including the Medical Director.
• Reviews departmental Emergency Medical Services performance and effectiveness; formulates programs and/or policies to align with County and State requirements. • Research and develop special programs and policies.
• Delegate liaison duties for other agencies and media, including requests for mutual aid in response to emergency situations.
• Drive SRFD vehicles in accordance with California Vehicle Code and SRFD regulations. • Maintain a high state of morale through a presence of leadership, authority, and direction. • Participation in countywide Operations Section activities and goals. • Participate in EOC functions as needed during major emergency incidents.

Knowledge of:
• Extensive technical knowledge of the principles, techniques, strategy, materials, and equipment used in fire suppression, specialized response, safety, investigation, and prevention.
• Demonstrated ability and experience managing, planning, coordinating, and administering for an EMS transport agency (public or private).
• Extensive knowledge of principles of goal setting, consensus building, and leadership. • Extensive knowledge of principles, modern practices, techniques, and equipment used in allrisk mitigation and emergency response. • Acquired knowledge and application of the City’s Together San Rafael guiding principles, San Rafael Fire Department mission statement, philosophy, short and long-term objectives, resources, policies, rules, regulations, radio procedures, and professional standards. • Acquired knowledge of San Rafael city geography, map correspondence, and jurisdiction boundaries.

Ability to:
• Ability to apply and utilize SRFD resources and external resources provided through the mutual aid system.
• Ability to analyze problems, exercise independent judgment within general policy guidelines, and adopt an effective course of action under stressful conditions; to make command decisions.
• Ability to plan, organize, direct, lead, and coordinate a large group of employees through subordinate supervisors.
• Ability to employ knowledge and interpersonal skills to quickly obtain essential information from other officers and the community.
• Ability to drive vehicle safely to and from emergency situations. • Ability to use vehicle radio, and satellite or cellular telephone to verbally communicate with Marin County Sheriff’s Office Dispatch Center, other stations and personnel, employing knowledge of SRFD radio broadcast procedures, City geography, and most expedient routes to emergency sites.
• Ability to manage time effectively.
• Demonstrated ability to supervise, train, mentor, and evaluate personnel. • Ability to prepare clear and concise reports using a personal computer. • Ability to make presentations to various groups and organizations. • Ability to communicate effectively in both oral and written form. • Ability to establish effective and collaborative relationships with those contacted in the performance of duties.

EDUCATION AND/OR EXPERIENCE:

Any combination of education and experience that would provide the required knowledge, skill and ability outlined above is qualifying. A typical way to obtain such knowledge, skill and ability is:

A Bachelor’s degree or higher is preferred, and evidence of advanced education and continued professional training and development is highly desirable. Must possess a track record of demonstrated leadership, proven accomplishments, and superior performance in the operation of fire services at a Chief Officer level in a progressive fire agency comparable to or larger than San Rafael. Experience serving an urban, ethnically, and culturally diverse community is essential. Experience serving for a minimum of 3 years as a Battalion, Division, or Deputy Fire Chief (or any successive combination thereof) is required.

LICENSE/CERTIFICATES:

Incumbent in this position is expected to operate automotive vehicles in the performance of assigned duties. Individuals appointed will be required to maintain a valid Class C California Driver’s License with Firefighter Endorsement while employed.

Evidence of prior/recent ALS certification or comparable demonstrated administrative experience managing a public or private transport agency is desired.

PHYSICAL DEMANDS:

While performing the duties of this job, the employee is regularly required to stand; walk; sit; use hands to finger, handle, or feel; and talk or hear. The employee frequently is required to reach with hands and arms and climb or balance. The employee is occasionally required to stoop, kneel, crouch, or crawl and taste or smell. The employee must regularly lift and/or move up to 10 pounds and occasionally lift and/or move up to 100 pounds. Specific vision abilities required by this job include close vision, distance vision, color vision, peripheral vision, depth perception, and ability to adjust focus.

WORK ENVIRONMENT:

The physical demands described here are representative of those that must be met by an employee to successfully perform the essential functions of this job. Reasonable accommodations may be made to enable individuals with disabilities to perform the essential functions. While performing the duties of this job, the employee is frequently exposed to moving mechanical parts and outdoor weather conditions and frequently works evenings or weekends and inside environmental conditions. The employee is occasionally exposed to video display and occasionally works with use of their personal vehicle. The noise level in the work environment is usually moderate.

Prepared By: Fire
Prepared Date: December 2021
Bargaining Unit: Mid-Management
Approved:
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City of San Rafael
Job Class Specification
Job Title: Deputy Director of Emergency Management

SUMMARY
Under the direction of the City Manager or designee and Fire Chief, the Deputy Director of Emergency Management manages all aspects of the City's emergency organization in conformity with local, State and Federal all-risk requirements. The Deputy Director collaborates with the City Manager, Assistant City Manager, Police Chief, Fire Chief, and other Executive Team members to develop programs and policies for the effective development, planning, control, and evaluation of City and departmental emergency management. The Deputy Director coordinates and advises on various emergency management activities and operations of the City, which may include procedural and organizational improvements, public outreach, cross-departmental, City-wide, or regional coordination, technology review or other highlevel management functions. The Deputy Director works to educate and empower the whole community to prepare for disasters. The Deputy Director manages and directs division staff involved in defensible space, vegetation management, open space management and community outreach. The Deputy Director also interfaces regularly with Marin Wildfire Prevention Authority (MWPA) including managing staff and programs funded by MWPA. The Deputy Director provides support to the City Manager, Assistant City Manager and Fire Chief regarding emergency management projects, policies, goals, and priorities.

DISTINGUISHING CHARACTERISTICS
This single position class is characterized by the responsibility for leading the City’s emergency management program including planning, preparation, mitigation, response and recovery. The incumbent may represent the City Manager (or designee) / Fire Chief on matters of emergency management or as otherwise authorized. As such, the incumbent uses considerable independent judgment and discretion in the performance of duties. The Deputy Director provides leadership and coordinates a comprehensive emergency management process in order to maintain a high level of readiness, including support of efforts such as emergency preparedness training and guidance to help reduce the loss of life and property not only of City departments but the whole community.

SUPERVISION RECEIVED AND EXERCISED
Receives general direction from the City Manager (or designee) and Fire Chief under a matrixed supervision model. Primary supervisor will be the Fire Chief with overall program and policy direction coming from the City Manager or designee. Exercises direction supervision over management, professional, technical and administrative personnel.

ESSENTIAL DUTIES AND RESPONSIBILITIES include the following. This list is intended to be illustrative and does not represent an exhaustive list of duties and responsibilities. Incumbents may not perform all duties and responsibilities listed. Other duties may be assigned. • Assists the City Manager (or designee) / Fire Chief in establishing and achieving citywide priorities, goals, and objectives for the emergency management program; assists the City Manager (or designee) / Fire Chief in strategic and long-range planning; sets milestones and implements quantifiable measurements to measure success of projects. • Oversees emergency management services and programs; plans, organizes directs and evaluates emergency preparedness functions and programs; studies and analyzes the community’s vulnerability to disaster and response capabilities; conducts systematic risk assessments; develops and implements comprehensive, long–term disaster mitigation plans and programs; coordinates with other agencies and regional efforts.
• Assures conformity of City OES programs with County, State and Federal requirements; monitors, reviews, and interprets changes in federal or state laws or regulations that impact the delivery of 2 | Page
emergency management programs and/or services and directs the implementation of changes to programs and services.
• Coordinates with the City Manager, Executive Team members, and City staff to support the Emergency Operations Center (EOC) through a roster of City employees and training/exercises. • Serves as chief staff advisor during disaster response; may serve as Director of the City Emergency Operations Center and may serve as an on-call Staff Duty Officer. • Investigates, researches and institutes best practices in emergency management; • Provides guidance to department heads and departmental managers on emergency management matters and best practices.
• Plans, organizes, coordinates, supervises, and evaluates the performance of management, professional and technical personnel engaged in assigned emergency management activities, directly or through subordinate levels of supervision; establishes work priorities and performance standards; ensures compliance with City rules and policies; prioritizes resources and assignments. • Interviews, selects, and ensures appropriate training and supervision of assigned staff; evaluates performance in support of the division’s overall objectives; directs, coaches, and guides staff; advises subordinate managers and supervisors on appropriate handling of employee performance issues; oversees the professional development of assigned managers and staff. • Participates in the development, and may oversee the preparation, of the division’s annual budget and operational improvement plans; ensures appropriate allocation of resources; manages funding received from MWPA and ensures accountability of funding uses; researches, analyzes, and advises the City Manager (or designee) / Fire Chief of specific costs and recommendations for programs and services.
• Conducts high priority and complex work assignments; drafts and presents reports and recommendations; analyzes programs and services to continually seek program and process improvements; conducts presentations and trainings.
• Establishes and maintains liaison with appropriate governmental bodies, firms, organizations or individuals to assist in achieving City objectives and ensuring compliance with appropriate laws in emergency management.
• Prepares reports and analysis for City Council and City Staff; may represent the City before the City Council.
• Works with other City departments to advance emergency management needs; serves on committees to represent the City’s needs; represents the City to external stakeholders, including community-based organizations, schools, and the public; and acts as a liaison with department heads, employees, the media, and the public.
• Supports, develops and implements public education and engagement programs regarding emergency management and various hazards including evacuation planning and preparation; review and resolves high levels complaints received from the community. • Coordinates with Emergency Management staff in other cities and special districts on matters of joint concern.
• Performs related duties as required.

Knowledge of:
• Knowledge of Federal, State, and other codes, laws, regulations, and protocols related to disaster and emergency management.
• Knowledge of California emergency management practices and procedures. • Modern equipment and systems utilized in emergency management including the Incident Command System (ICS), Standardized Emergency Management System (SEMS), and Geographic Information Systems (GIS), or equivalent systems.
• Conditions leading to major emergencies, their effects, mitigation, response lines, resource requirements, damage assessment, recovery methods, and safety survival procedures. • Operation of an Emergency Operations Center.
• Federal and state emergency services programs and funding procedures • Budgeting principles and practices.
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• Methods, practices and procedures involved in the development of strategic plans. • Long-range planning principles and practices.
• Knowledge of principles of supervision.
• Principles of management.
• Principles of organization, administration, and personnel management. • Selecting and paying consultants.

Ability to:
• Organize, implement and direct emergency management operations and activities. • Ability to work well with people, to research information, and to collect and analyze data. • Ability to achieve the professional confidence of others and to elicit cooperation from others. • Ability to coordinate a variety of complex tasks simultaneously. • Ability to use public presentation and writing skills to communicate effectively and to assimilate and understand information, in a manner consistent with the essential job functions. • Strong mediation and conflict resolution skills.
• Ability to make sound decisions in a manner consistent with the essential job functions. • Ability to maintain mental capacity which allows the capability to exercise sound judgment and rational thinking under dangerous and stressful circumstances, evaluate various options and alternatives and choose an appropriate and reasonable course of action, and demonstrate intellectual capabilities during difficult situations.
• Interpret and apply Federal, State and local laws.
• Communicate effectively, verbally and in writing.
• Maintain a flexible, cooperative customer service attitude and work well with other departments. • Manage a cadre of emergency management professionals and paraprofessionals. • Manage a budget and supervise staff.

EDUCATION AND/OR EXPERIENCE:

Any combination of education and experience that would provide the required knowledge, skill and ability outlined above is qualifying. A typical way to obtain such knowledge, skill and ability is:

A Bachelor’s Degree in emergency management, public safety, business, or public administration, or a closely related field. A Master’s Degree in emergency management is desirable. Six years of increasingly responsible experience performing emergency management, law enforcement, fire/EMS or related field preferably including supervisory/management experience. Completion of required Federal Emergency Management Agency (FEMA) courses: IS 100, 200, 300, 700, and 800. Possession of an Associate or Certified Emergency Manager Credential from the International Association of Emergency Managers or similar State credential is desirable. Ability to obtain a valid California Driver’s License upon hire

PHYSICAL DEMANDS
The physical demands described here are representative of those that must be met by an employee to successfully perform the essential functions of this job. Reasonable accommodations may be made to enable individuals with disabilities to perform the essential functions.

While performing the duties of this job, the employee is regularly required to sit and talk or hear. The employee frequently is required to stand; walk; use hands to finger, handle, or feel; and reach with hands and arms. The employee is occasionally required to climb or balance and stoop, kneel, crouch, or crawl.

The employee must frequently lift and/or move up to 10 pounds and occasionally lift and/or move up to 50 pounds. Specific vision abilities required by this job include close vision, distance vision, color vision, peripheral vision, depth perception, and ability to adjust focus.

WORK ENVIRONMENT
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The work environment characteristics described here are representative of those an employee encounters while performing the essential functions of this job. Reasonable accommodations may be made to enable individuals with disabilities to perform the essential functions.

While performing the duties of this job, the employee regularly works in indoor conditions and regularly works near video display. The employee is exposed to outside weather conditions from time to time. The noise level in the work environment is usually moderate.

Prepared By: MRG Consulting
Prepared Date: December 2021
Bargaining Unit: Mid-Management
Approved:

Revised Date:

Revised By:

Grade Position A B C D E
7315 Accounting Manager 9,319 $ 9,785 $ 10,274 $ 10,788 $ 11,327 $ 2400 Assistant Library and Recreation Director 10,600 $ 11,130 $ 11,686 $ 12,271 $ 12,884 $ 2202 Assistant Public Works Director / City Engineer 12,029 $ 12,631 $ 13,262 $ 13,925 $ 14,621 $ 2302 Chief Building Official 11,179 $ 11,738 $ 12,325 $ 12,941 $ 13,588 $ 4203 Civic Design Manager 9,910 $ 10,405 $ 10,926 $ 11,472 $ 12,045 $ 2122 Code Enforcement Supervisor 7,553 $ 7,930 $ 8,327 $ 8,743 $ 9,180 $ 4204 Data & Infrastructure Manager 10,974 $ 11,522 $ 12,098 $ 12,703 $ 13,338 $ 1105 Deputy City Attorney I 10,131 $ 10,637 $ 11,169 $ 11,728 $ 12,314 $ 1109 Deputy City Attorney II 11,170 $ 11,728 $ 12,315 $ 12,931 $ 13,577 $ TBD Deputy Director of Emergency Management 12,029 $ 12,631 $ 13,262 $ 13,925 $ 14,621 $ TBD Deputy Fire Chief 13,556 $ 14,234 $ 14,946 $ 15,693 $ 16,478 $ 2120 Deputy Fire Marshall 9,515 $ 9,991 $ 10,490 $ 11,015 $ 11,566 $ 2135 Deputy Public Works Director 10,929 $ 11,475 $ 12,049 $ 12,651 $ 13,284 $ 7313 Economic Development Coordinator 9,181 $ 9,640 $ 10,122 $ 10,628 $ 11,159 $ 2128 Economic Development Manager 10,095 $ 10,600 $ 11,130 $ 11,686 $ 12,271 $ 7117 Emergency Services Manager 8,957 $ 9,405 $ 9,875 $ 10,369 $ 10,888 $ 2138 Housing Manager 10,330 $ 10,847 $ 11,389 $ 11,959 $ 12,557 $ 2107 Human Resources Operations Manager 9,041 $ 9,493 $ 9,968 $ 10,466 $ 10,989 $ 2208 Operations and Maintenance Manager 9,856 $ 10,349 $ 10,867 $ 11,410 $ 11,981 $ 2208 Operations and Maintenance Manager (SRSD) 9,856 $ 10,349 $ 10,867 $ 11,410 $ 11,981 $ 2703 Parking Services Manager 9,181 $ 9,640 $ 10,122 $ 10,628 $ 11,159 $ 7312 Parks Superintendent 9,000 $ 9,450 $ 9,923 $ 10,419 $ 10,940 $ 2116 Planning Manager 10,330 $ 10,847 $ 11,389 $ 11,959 $ 12,557 $ 4206 Product Manager 9,910 $ 10,405 $ 10,926 $ 11,472 $ 12,045 $ 8103 Recreation Supervisor 7,694 $ 8,079 $ 8,483 $ 8,907 $ 9,352 $ 2206 Senior Civil Engineer (SRSD) 10,639 $ 11,171 $ 11,729 $ 12,316 $ 12,932 $ 7317 Senior Code Enforcement Supervisor 8,337 $ 8,753 $ 9,191 $ 9,651 $ 10,133 $ 2101 Senior Management Analyst I 7,382 $ 7,751 $ 8,139 $ 8,546 $ 8,973 $ 2105 Senior Management Analyst II 8,789 $ 9,229 $ 9,690 $ 10,175 $ 10,683 $ 2203 Senior Project Manager 9,171 $ 9,629 $ 10,111 $ 10,616 $ 11,147 $ 8102 Senior Recreation Supervisor 8,492 $ 8,917 $ 9,363 $ 9,831 $ 10,322 $ 7310 Sewer Maintenance Superintendent 9,000 $ 9,450 $ 9,923 $ 10,419 $ 10,940 $ 7311 Street Maintenance Superintendent 9,000 $ 9,450 $ 9,923 $ 10,419 $ 10,940 $ 2150 Sustainability Program Manager 7,408 $ 7,778 $ 8,167 $ 8,576 $ 9,005 $

SAN RAFAEL UNREPRESENTED MID-MANAGEMENT

SALARY SCHEDULE
Effective January 18, 2022
Grade Position A B C D E
7315 Accounting Manager 9,692 $ 10,177 $ 10,685 $ 11,220 $ 11,781 $ 2400 Assistant Library and Recreation Director 10,971 $ 11,519 $ 12,095 $ 12,700 $ 13,335 $ 2202 Assistant Public Works Director / City Engineer 12,450 $ 13,073 $ 13,726 $ 14,413 $ 15,133 $ 2302 Chief Building Official 11,570 $ 12,149 $ 12,756 $ 13,394 $ 14,064 $ 4203 Civic Design Manager 10,068 $ 10,572 $ 11,100 $ 11,655 $ 12,238 $ 2122 Code Enforcement Supervisor 7,674 $ 8,057 $ 8,460 $ 8,883 $ 9,327 $ 4204 Data & Infrastructure Manager 11,149 $ 11,707 $ 12,292 $ 12,907 $ 13,552 $ 1105 Deputy City Attorney I 10,485 $ 11,010 $ 11,560 $ 12,138 $ 12,745 $ 1109 Deputy City Attorney II 11,561 $ 12,139 $ 12,746 $ 13,383 $ 14,052 $ TBD Deputy Director of Emergency Management 12,450 $ 13,073 $ 13,726 $ 14,413 $ 15,133 $ TBD Deputy Fire Chief 14,099 $ 14,804 $ 15,544 $ 16,321 $ 17,137 $ 2120 Deputy Fire Marshall 9,848 $ 10,340 $ 10,857 $ 11,400 $ 11,970 $ 2135 Deputy Public Works Director 11,311 $ 11,877 $ 12,470 $ 13,094 $ 13,749 $ 7313 Economic Development Coordinator 9,502 $ 9,977 $ 10,476 $ 11,000 $ 11,550 $ 2128 Economic Development Manager 10,448 $ 10,971 $ 11,519 $ 12,095 $ 12,700 $ 7117 Emergency Services Manager 9,271 $ 9,734 $ 10,221 $ 10,732 $ 11,269 $ 2138 Housing Manager 10,743 $ 11,281 $ 11,845 $ 12,437 $ 13,059 $ 2107 Human Resources Operations Manager 9,403 $ 9,873 $ 10,366 $ 10,885 $ 11,429 $ 2208 Operations and Maintenance Manager 10,251 $ 10,763 $ 11,301 $ 11,867 $ 12,460 $ 2208 Operations and Maintenance Manager (SRSD) 10,251 $ 10,763 $ 11,301 $ 11,867 $ 12,460 $ 2703 Parking Services Manager 9,502 $ 9,977 $ 10,476 $ 11,000 $ 11,550 $ 7312 Parks Superintendent 9,360 $ 9,829 $ 10,320 $ 10,836 $ 11,378 $ 2116 Planning Manager 10,743 $ 11,281 $ 11,845 $ 12,437 $ 13,059 $ 4206 Product Manager 10,068 $ 10,572 $ 11,100 $ 11,655 $ 12,238 $ 8103 Recreation Supervisor 7,964 $ 8,362 $ 8,780 $ 9,219 $ 9,680 $ 2206 Senior Civil Engineer (SRSD) 11,011 $ 11,562 $ 12,140 $ 12,747 $ 13,384 $ 7317 Senior Code Enforcement Supervisor 8,470 $ 8,893 $ 9,338 $ 9,805 $ 10,295 $ 2101 Senior Management Analyst I 7,677 $ 8,061 $ 8,464 $ 8,888 $ 9,332 $ 2105 Senior Management Analyst II 9,141 $ 9,598 $ 10,078 $ 10,582 $ 11,111 $ 2203 Senior Project Manager 9,446 $ 9,918 $ 10,414 $ 10,935 $ 11,481 $ 8102 Senior Recreation Supervisor 8,790 $ 9,229 $ 9,690 $ 10,175 $ 10,684 $ 7310 Sewer Maintenance Superintendent 9,360 $ 9,829 $ 10,320 $ 10,836 $ 11,378 $ 7311 Street Maintenance Superintendent 9,360 $ 9,829 $ 10,320 $ 10,836 $ 11,378 $ 2150 Sustainability Program Manager 7,704 $ 8,090 $ 8,494 $ 8,919 $ 9,365 $

SAN RAFAEL UNREPRESENTED MID-MANAGEMENT

SALARY SCHEDULE
Effective July 1, 2022
Grade Position A B C D E
7315 Accounting Manager 10,080 $ 10,584 $ 11,113 $ 11,668 $ 12,252 $ 2400 Assistant Library and Recreation Director 11,355 $ 11,923 $ 12,519 $ 13,145 $ 13,802 $ 2202 Assistant Public Works Director / City Engineer 12,886 $ 13,530 $ 14,207 $ 14,917 $ 15,663 $ 2302 Chief Building Official 11,975 $ 12,574 $ 13,202 $ 13,863 $ 14,556 $ 4203 Civic Design Manager 10,229 $ 10,741 $ 11,278 $ 11,842 $ 12,434 $ 2122 Code Enforcement Supervisor 7,796 $ 8,186 $ 8,595 $ 9,025 $ 9,477 $ 4204 Data & Infrastructure Manager 11,328 $ 11,894 $ 12,489 $ 13,113 $ 13,769 $ 1105 Deputy City Attorney I 10,852 $ 11,395 $ 11,965 $ 12,563 $ 13,191 $ 1109 Deputy City Attorney II 11,965 $ 12,564 $ 13,192 $ 13,852 $ 14,544 $ TBD Deputy Director of Emergency Management 12,886 $ 13,530 $ 14,207 $ 14,917 $ 15,663 $ TBD Deputy Fire Chief 14,663 $ 15,396 $ 16,166 $ 16,974 $ 17,823 $ 2120 Deputy Fire Marshall 10,193 $ 10,702 $ 11,237 $ 11,799 $ 12,389 $ 2135 Deputy Public Works Director 11,707 $ 12,292 $ 12,907 $ 13,552 $ 14,230 $ 7313 Economic Development Coordinator 9,834 $ 10,326 $ 10,842 $ 11,385 $ 11,954 $ 2128 Economic Development Manager 10,814 $ 11,355 $ 11,923 $ 12,519 $ 13,145 $ 7117 Emergency Services Manager 9,595 $ 10,075 $ 10,579 $ 11,108 $ 11,663 $ 2138 Housing Manager 11,173 $ 11,732 $ 12,318 $ 12,934 $ 13,581 $ 2107 Human Resources Operations Manager 9,779 $ 10,268 $ 10,781 $ 11,320 $ 11,886 $ 2208 Operations and Maintenance Manager 10,661 $ 11,194 $ 11,754 $ 12,341 $ 12,958 $ 2208 Operations and Maintenance Manager (SRSD) 10,661 $ 11,194 $ 11,754 $ 12,341 $ 12,958 $ 2703 Parking Services Manager 9,834 $ 10,326 $ 10,842 $ 11,385 $ 11,954 $ 7312 Parks Superintendent 9,735 $ 10,222 $ 10,733 $ 11,269 $ 11,833 $ 2116 Planning Manager 11,173 $ 11,732 $ 12,318 $ 12,934 $ 13,581 $ 4206 Product Manager 10,229 $ 10,741 $ 11,278 $ 11,842 $ 12,434 $ 8103 Recreation Supervisor 8,242 $ 8,654 $ 9,087 $ 9,541 $ 10,019 $ 2206 Senior Civil Engineer (SRSD) 11,397 $ 11,966 $ 12,565 $ 13,193 $ 13,853 $ 7317 Senior Code Enforcement Supervisor 8,605 $ 9,036 $ 9,487 $ 9,962 $ 10,460 $ 2101 Senior Management Analyst I 7,985 $ 8,384 $ 8,803 $ 9,243 $ 9,705 $ 2105 Senior Management Analyst II 9,507 $ 9,982 $ 10,481 $ 11,005 $ 11,555 $ 2203 Senior Project Manager 9,729 $ 10,216 $ 10,726 $ 11,263 $ 11,826 $ 8102 Senior Recreation Supervisor 9,097 $ 9,552 $ 10,030 $ 10,531 $ 11,058 $ 7310 Sewer Maintenance Superintendent 9,735 $ 10,222 $ 10,733 $ 11,269 $ 11,833 $ 7311 Street Maintenance Superintendent 9,735 $ 10,222 $ 10,733 $ 11,269 $ 11,833 $ 2150 Sustainability Program Manager 8,013 $ 8,413 $ 8,834 $ 9,275 $ 9,739 $

SAN RAFAEL UNREPRESENTED MID-MANAGEMENT

SALARY SCHEDULE
Effective July 1, 2023
____________________________________________________________________________________

FOR CITY CLERK ONLY
File No.: _______________________________
Council Meeting: _______________________
Disposition: ___________________________
Agenda Item No: 5.h
Meeting Date: January 18, 2022

SAN RAFAEL CITY COUNCIL AGENDA REPORT
Department: HUMAN RESOURCES
Prepared by:

Cristine Alilovich, Assistant City Manager
City Manager Approval: ______________
TOPIC: REVISED SALARY AND BENEFIT PLAN FOR TEMPORARY EMPLOYEES SUBJECT: RESOLUTION RESCINDING RESOLUTION NO. 14268 AND ADOPTING A REVISED

TEMPORARY, SEASONAL, RETIREE, AND FIXED-TERM EMPLOYEES SALARY

AND BENEFIT PLAN AND SALARY SCHEDULE
RECOMMENDATION:

Adopt the Resolution approving an updated Temporary, Seasonal, Retiree, and Fixed-Term Employees Salary and Benefit Plan and attached salary schedule.

BACKGROUND:

The City utilizes a variety of positions to deliver City services, including jobs that are temporary, seasonal, or are authorized for only a fixed duration of time based on funding and limitations or special project/program needs. These positions perform job duties or services that are either outside of regular classified services or are established to meet coverage needs, utilize part-time retiree expertise, or help departments respond to workload surges. There are five types of positions/classifications (temporary, seasonal, retiree, exempt fixed-term, and non-exempt fixed-term) covered under the Salary and Benefit Plan attached (Exhibit A to the resolution).

The City’s temporary salaries and benefits were last updated in January 2017. Since that time, staff has determined that an analysis is needed to ensure the successful recruitment and retention of qualified applicants. Staff recommends rescinding the current Resolution number 14268 to adopt a new resolution with the recommended updates. Staff is seeking authorization of the Salary Schedule (Exhibit B to the resolution) for formal adoption.

ANALYSIS:

Staff recommends the following changes to the Salary and Benefit Plan and salary schedule:

SAN RAFAEL CITY COUNCIL AGENDA REPORT / Page: 2

1. Update the Salary and Benefit Plan to include new Executive Professional (Fixed Term), Childcare Specialist, and Technical Professional Temp classifications:
• Executive Professional (Fixed Term) - This new classification allows the City to recruit for individuals with unique backgrounds, specialized skills and who can offer a higher-level of professional experience. Creating this new classification will allow the City to offer competitive salaries and benefits.
• Childcare Specialist – The City’s childcare program is licensed through the State of California and, as such, is required to have specific types of staff classifications (Site Directors and Instructors) employed at each childcare site and maintain minimum staffing to student ratios. Due to staff vacations, illnesses or when positions are vacant, the Department must provide appropriate staffing to fill those vacancies even on a temporary basis. The Childcare Specialist position will be utilized to fill these types of vacancies.
• Technical Professional Temp – There has been an increased workload in the Community Development and Public Works departments, due to higher volumes of permit and building inspection requests over the last year. Creating this higher-level classification is necessary to discontinue use of third-party vendors which is a more costly approach to address these peaks in workload. This new classification will allow the City to be competitive with similar agencies and recruit and retain higher level experienced staff.

New job descriptions for these classifications can be found in the updated Salary and Benefit Plan (Exhibit A to Resolution).

2. Delete the following classifications: Accounting Temp I, Accounting Temp II, Fire Dispatcher Temp, Law Clerk, Police Property & Evidence Tech, Police Regulatory Officer, Sports Official: After review of the current salary schedule and job descriptions it has been determined that these classifications are obsolete and no longer utilized and the job duties have been absorbed in other existing classifications.

3. Retitle the following classifications; new titles can be found in Exhibit B to Resolution – Salary Schedule: Aquatics Specialist, Aquatics Temp, Child Care Temp, Police Community Services Officer Temp, Police Dispatcher Temp, Police Call Taker & Records Specialist Temp, Pool Attendant, Substitute Library Page. In order to successfully recruit for these positions, staff is recommending these title changes which are more in line with industry standards.

4. Update hourly rates (see Exhibit B – Salary Schedule) to meet the 2022 California minimum wage requirement of $15.00 per hour.

5. Update the hourly rates of the Library and Recreation Services temporary positions based on a labor market study. Staff evaluated the compensation of similar positions in neighboring agencies and recommend increased hourly rates (see Exhibit B to Resolution), which will help with recruitment and allow the department to be competitive with nearby agencies.

6. Update the hourly rates of the remaining temporary positions to reflect the same percentage increases received by the non-public safety bargaining units since 2017.

SAN RAFAEL CITY COUNCIL AGENDA REPORT / Page: 3
FISCAL IMPACT:

The total costs associated with implementing the recommended salary and benefit adjustments are estimated to be within a range of $50,000 - $75,000, which also accounts for the state mandated increase in minimum wage. All affected departments have sufficient funds in their budgets to absorb the additional salary costs and will budget the ongoing costs for future fiscal years.

OPTIONS:

The City Council has the following options to consider on this matter:

1. Adopt resolution.

2. Adopt resolution with modifications.

3. Direct staff to return with more information.

4. Take no action.

RECOMMENDED ACTION:

Adopt the resolution to revise and approve the new Temporary, Seasonal, Retiree, and Fixed-Term Employees Salary and Benefit Plan and Salary Schedule.

ATTACHMENTS:

1. Resolution

2. Exhibit A to Resolution – Temporary, Seasonal, Retiree, or Fixed-Term Employees Salary and Benefit Plan

3. Exhibit B to Resolution – Salary Schedule
RESOLUTION NO.

A RESOLUTION OF THE CITY COUNCIL OF THE CITY OF SAN RAFAEL RESCINDING RESOLUTION NO. 14268 AND ADOPTING A REVISED

TEMPORARY, SEASONAL, RETIREE, AND FIXED-TERM EMPLOYEES

SALARY AND BENEFIT PLAN AND SALARY SCHEDULE
WHEREAS, it is the intent of the City of San Rafael to compensate temporary, seasonal, retiree, and fixed-term employees at a rate of pay similar to that of regular or comparable employees performing like work; and
WHEREAS, there is a need to adopt a revised Temporary, Seasonal, Retiree, and FixedTerm Employees Salary and Benefit Plan to update benefits listed for non-exempt and exempt Fixed-Term positions; add job descriptions, and apply salary adjustments to the Salary Schedule; and
WHEREAS, the revised salary and benefit plan would replace the salary and benefit plan previously approved by the City Council pursuant to Resolution No. 14268; NOW, THEREFORE, BE IT RESOLVED by the City Council of the City of San Rafael as follows:
(1) That Resolution No. 14268 is rescinded;
(2) That the benefits added to the Temporary, Seasonal, Retiree, and Fixed-Term Employee Salary and Benefit Plan are effective January 1, 2022;
(3) That the Temporary, Seasonal, Retiree, and Fixed-Term Employees Salary and Benefit Plan attached as Exhibit “A” hereto, including the Salary Schedule effective January 1, 2022 attached hereto as Exhibit “B”, are adopted for the classifications identified therein; (4) That the Temporary, Seasonal, Retiree and non-exempt Fixed-Term Employees covered by the foregoing Salary and Benefit Plan shall be paid on an hourly basis at the rates established in the aforementioned salary schedule, only for time actually worked; and (5) That FLSA Exempt Fixed-Term Employees covered by the foregoing Salary and Benefit Plan shall be paid on a salaried basis, at the salary established in the aforementioned salary schedule.

I, Lindsay Lara, Clerk of the City of San Rafael, hereby certify that the foregoing Resolution was duly and regularly introduced and adopted at a regular meeting of the Council of said City on Tuesday, the 18th day of January 2022, by the following vote, to wit:

AYES: Councilmembers:

NOES: Councilmembers:

ABSENT:Councilmembers:
___________________
Lindsay Lara, City Clerk
1 EXHIBIT A

TEMPORARY, SEASONAL, RETIREE OR FIXED-TERM EMPLOYEES

SALARY AND BENEFIT PLAN

DEFINITION
Temporary, Seasonal, Retiree, and Fixed-Term employees serve important roles in supporting City business. These positions perform job duties and provide city services that are outside of the regular classified services. All positions covered by this resolution are at-will and as such serve at the pleasure of the appointing authority and may be removed at any time without cause and without right of appeal.

Temporary, Seasonal, or Fixed-Term employees who wish to secure a regular position with the City must compete in the applicable recruitment and examination process for any such regular position.

Seasonal
Seasonal is defined as those employees who perform specific job responsibilities that are for a specific period of time. The period is typically for a period of four (4) months or less. Seasonal employees often work in recreation or park programs. Seasonal employees may work a maximum of 1,000 hours in a fiscal year.

Retiree
Retirees who return to fill temporary or seasonal positions may work a maximum of 960 hours per fiscal year. Once the retiree employee reaches 960 hours in a fiscal year, he/she shall no longer be eligible to work for the City until the next fiscal year.

Temporary
Temporary positions do not have the same title as classified City positions (those covered by a City MOU) and may not exceed 1,000 hours in a fiscal year.

The Department Director or designee has the authority to make temporary appointments provided there are sufficient funds in the department budget. Temporary appointments are typically made to meet short-term employment needs such as peak workload, illness, vacations of full-time employees, or pending the establishment of a new eligibility list.

There are four types of Temporary Appointments:

A. Standard Temporary Appointment:

Appointment to one of the temporary job classifications listed in this resolution for a specific purpose that is of temporary nature.

B. Special Appointment: Special temporary appointments to perform work outside an existing City classification and for which no temporary job classification exists may be made under special circumstances, when the individual has a unique combination of expertise, background and skills and is needed to help the department respond to a priority work issue. City Manager approval is required.

C. Emergency Appointment: Temporary appointment of an employee to prevent stoppage of public business, loss of life, or damage to persons or property, or when qualified personnel cannot be readily obtained due to emergency conditions. An employee appointed in this category need not meet the minimum qualifications of the job. 2 D. Per Diem: Per Diem is defined as those temporary employees who are not regularly scheduled to work but serve in an as-needed capacity. Per Diem employees are typically on a list to be called when needed. Per Diem temporary appointments are made to one of the temporary classifications listed in this resolution.

Fixed-Term
Fixed-Term is an appointment of an employee to an allocated and Fixed-Term position that will be needed longer than six months and with an expected end date. Fixed-Term positions are established due to limits on grant funding or other known limits to the position’s duration and are not subject to the 1,000 hour per year limit on working hours. Employees appointed to Fixed-Term appointments must accept the position with the understanding that continued appointment is contingent upon grant funds and job performance. Fixed-Term appointments may be made for up to a three-year period and may be extended by approval of the City Manager.

SALARY, BENEFITS, WORK HOURS, AND CLASSIFICATION
Rate of Pay
It is the intent of the City of San Rafael to compensate Temporary, Seasonal, Retiree and Fixed-Term employees at a rate of pay similar to that of regular employees performing like work. The hourly rate is based upon the level of duties performed. The attached Temporary/Seasonal/Retiree/Fixed-Term Salary Schedule lists the rates of pay for each position.

Effective July 1 of each fiscal year, such Salary Schedule may be adjusted by the City Manager to a rate of pay similar to that of regular or comparable employees performing like work, provided that the City Manager has made a determination that the salary schedule adjustment will be fiscally prudent under projected budget conditions. Such compensation may also be adjusted as necessary to comply with State Minimum Wage requirements.

Benefits for Temporary, Seasonal, and Retiree employees Temporary, Seasonal, and Retiree employees do not receive benefits with the exception of a retirement plan and paid sick leave. Participation in a retirement plan is mandated by Federal Law and San Rafael enrolls hourly employees in the Public Agency Retirement System (PARS). Under PARS, employees covered by this resolution contribute 3.75% of their salary to the retirement plan and the City contributes the same amount. Contributions are tax-deferred. Retiree employees do not participate in PARS. Temporary and Seasonal employees are entitled to sick leave in accordance with California’s Paid Sick Leave Law (AB 1522) as outlined in the City’s Paid Sick Time Policy.

Benefits for Non-Exempt Fixed-Term employees also participate in the PARS retirement plan, and in addition receive the following basic benefits package (prorated for part-time): health and dental insurance up to a maximum of $600 per month, twelve (12) days of paid sick leave per year, ten (10) vacation days per year, eleven (11) City holidays, and two (2) floating holidays. A Fixed-Term employee may accrue a maximum of 200 hours of vacation. Upon termination, any unused accrued vacation leave will be paid out to the employee.

Benefits for Exempt Fixed-Term employees shall receive the following benefits:

PARS retirement: employer contribution of 3.75% and employee contribution of 3.75% of their salary to the retirement plan.

Sick Leave: twelve (12) days of paid sick leave per year shall accrue each year. Accrued sick leave will not be paid out to the employee upon termination. 3 Vacation: ten (10) days of paid vacation per year. A Fixed-Term employee may accrue a maximum of 200 hours of vacation. Unused accrued vacation leave will be paid out to the employee upon termination.

Holidays: eleven (11) designated holidays and two (2) floating holidays per calendar year. The hours for the floating holidays are automatically added to an employees’ vacation accrual on a semi-annual basis.

Administrative Leave: ten (10) Administrative Leave days (75 hours) each calendar year subject to the approval of the Department Director and the City Manager. Unused Administrative Leave shall not carry over from one calendar year to the next, nor shall unused Administrative Leave balances be paid upon termination.

Full-flex cafeteria plan: Exempt Fixed-Term employees are eligible to participate in the City’s full flex cafeteria plan and shall receive a monthly flex dollar allowance to purchase benefits under the full flex cafeteria plan. The monthly flex dollar allowance effective January 1, 2017 is:

For employee only: $634.57
For employee and one dependent: $1,269.13
For employee and two or more dependents: $1,649.88
Dental Insurance: The City shall pay dental premiums on behalf of the employee and eligible dependents.

Vision Plan: The City will pay for a vision plan for “employee plus dependent” vision benefits.

Car Allowance: A monthly car allowance of $350 or use of a city car in lieu of a monthly car allowance may be authorized at the discretion of the City Manager.

In recognition of exempt status under FLSA, time off for Vacation, Sick Leave, and Administrative leave purposes shall not be deducted from an Exempt Fixed-Term employee leave accrual unless the employee is absent for the full work day.

Hours Worked
Temporary and Seasonal employees covered by this resolution may not work more than 1,000 hours in a fiscal year, unless they work in Police or Fire in a position that is staffed 24 hours per day. Employees in these positions (dispatch and police records) may work up to 1,250 hours in a calendar year.

Retirees under the 1937 Retirement Act working in any positions may not exceed the 960 hours per fiscal year limit.

Fixed term employees are not subject to the 1,000 hour per fiscal year limit.

Work Week and Overtime
Temporary, Seasonal, Retiree, and Fixed-Term employees who are non-exempt are eligible to receive overtime pay in accordance with the Fair Labor Standards Act (FLSA). Overtime is paid when the employee works in excess of 40 hours per week. The week period is defined as Sunday at 12:01am to the following Saturday at 11:59pm. The work week for full-time Fixed-Term positions is thirty-seven and one-half (37.5) hours. For full-time Fixed-Term positions in the Police department, the work week is forty (40) hours.
4 Classification
Following is a list of the positions covered by this resolution. Department Directors may appoint from one of these positions at any point in the salary range based on the qualifications of the person filling the Temporary, Seasonal, Retiree or Fixed-Term position.

Temporary/Seasonal/Retiree/Fixed-Term Job Descriptions
Administrative Specialist
Provides responsible work on complex administrative assignments. Performs more complex accounting tasks with more independence and prepares financial and statistical reports with a minimum of supervision. Researches and compiles a variety of informational materials, types drafts and finished documents including confidential materials, brief instructions, or written materials. Organizes and maintains files and records, schedules appointments, and arranges for facilities and supplies. Five years of responsible secretarial or office administrative experience is typically required.

Advanced Professional Fixed -Term (exempt)
Typically performs specialized professional work of greater complexity and more autonomy than the Professional Temp position. Responsibilities of an advanced professional temp are similar to those of a management position and may involve supervision.

Child Care Aide
Works with the children in the childcare program to carry out the day-to-day activities of the preschool or elementary childcare programs. Responsible for assisting in planning and scheduling activities. Prior experience working with children in recreation, education or similar setting is preferred.

Child Care Specialist
Under general direction, this classification works with child care staff to plan and implement curriculum and instructional activities and ensure a safe environment for participants. Employees in this classification rely on experience and judgment to ensure the efficient and effective functioning of the childcare program. High School Diploma or GED and twelve (12) college units in recreation, education, or related field; BA preferred. One (1) year working with youth in a group setting preferred.

Clerical Temp
Provides clerical support to a department or division. Duties include record keeping, filing, and receptionist duties including answering phones and setting up meetings. Performs word processing from tapes, brief instructions or written material.

Dispatcher Temp
Operates emergency dispatching equipment to communicate with the public and Department personnel for the purpose of receiving, interpreting, and transmitting information essential to the delivery of emergency police services. Responsibilities include operation of Department telephone and radio communication equipment to receive and transmit information essential to the delivery of emergency police services, maintenance of radio logs and other related records, assisting in preparing, checking and indexing reports, operating personal computers and related software, providing information to the public, and related duties as required. 5 Events Specialist
Assists in set up, delivery, and breakdown of sound equipment, stages, band equipment, lighting, tents, generators and display equipment. Provides guest services such as making announcements, operating soundboards, and lighting equipment. May supervise maintenance crews and security at events. Special Events Assistants work independently and must be able to manage multiple tasks at a time to trouble-shoot and to make sound decisions. Requires the ability to move heavy equipment
Executive Professional Fixed Term (Exempt)
Directs, plans, and coordinates City activities and are responsible for devising policies and strategies to meet the goals and objectives of the City. Oversee budgetary activities. Consult, interact with other high level staff, City Council, and various local agencies. Negotiate or approve contracts and agreements. May have direct supervision over staff. Ability to travel to attend meetings and conferences.

Facilities Attendant
Under general direction of the Recreation Program Coordinator or Recreation Supervisor, this position is responsible for supervision of a Community Center during assigned work hours. Job duties includes the supervision of front counter/reception area, managing daily registration process, set-up and breakdown of equipment for scheduled activities, custodial and cleaning including but not limited to emptying trash, vacuuming, cleaning windows, cleaning restrooms, etc. Opening and securing facility before and after building use and interacting with instructors, clients and general public. Bilingual in Spanish and/or Vietnamese preferred.

Head Lifeguard
Under general supervision of the Pool Manager, Recreation Program Coordinator or Recreation Supervisor, the Head Lifeguard is responsible for pool safety, assisting with staff training and scheduling, staff supervision, daily administrative duties, sanitation and public relations of the pool facility. The Head Lifeguard is in charge of the pool in the absence of the Pool Manager, Recreation Program Coordinator or Recreation Supervisor. A minimum of two years pool guarding experience, current certifications as required for the position including, lifeguard training, CPR for the Professional Rescuer and A.E.D. training. Water Safety Instruction certification is desirable. Knowledge of: Aquatic facility safety principals and injury prevention strategies.

Intern
These positions provide work-experience to students who are interested in gaining entry-level experience in a profession of interest. Interns perform support tasks including research, surveys, data collection, drafting reports, and other related administrative tasks.

Library Page
Shelves incoming material maintains the shelves in order and assists library staff as needed.

This is an entry-level position.

Lifeguard
Responsible for the enforcement of all rules and regulations pertaining to the safety and wellbeing of pool users and patrons. Responsibilities include maintaining health and safety standards, performing, emergency rescue techniques and rendering first aid to the injured, performing routine maintenance and custodial duties. Incumbent must possess a current Lifeguard Certification which includes CPR for the Professional Rescuer, First Aid and Automated External Defibrillator.
6 Maintenance Temp
Performs a variety of manual and semi-skilled tasks involved in the maintenance, improvement and operation of the City’s sewage pumping stations and gravity sewer lines, and/or construction, repair, maintenance, and cleaning of streets, sidewalks, other concrete structures, storm drainage or related Public Works facilities.

Office Aide
Answers phones, prepares letters and reports, keeps schedules up-to-date, processes mail, performs payroll related functions, and other miscellaneous duties. Performs routine basic accounting duties including maintenance of journal vouchers, accounting records, subsidiary and general ledger entries, fixed asset record documentation, payroll timekeeping, accounts and grants receivables, audit preparation; financial, budgeting and statistical reports.

Officer Temp
Performs routine police reporting duties, including crime scene investigation, maintains training records, manages training schedules and reservations, assists the COPPs manager, maintains regulatory alarm permit program, prepares statistical information through the PD records management system, participates in guest speaking engagements, maintains a fair booth at the Marin County fair, and assists with crime prevention programs. Maintains files for all regulatory services within the purview of the police department, including alarm permits, concealed weapon permits, etc. Conducts background checks on body workers and fingerprints job applicants.

Paraprofessional Temp
A paraprofessional temp is trained in or knowledgeable of a specific field and is qualified to provide assistance to the work of a professional.

Parking Aide
This position provides general service and information to the public, and is responsible for the upkeep, presentation, and general operations of all City parking areas. Duties include assisting the public at all City parking locations, providing general information about the City of San Rafael, and specific information about rates, locations, and various programs. Operates all parking equipment and collects parking fees and provides change to customers, maintains records of transactions and parking activities, prepares cash deposits and delivers to designated drop areas, and may include basic parking enforcement duties of a limited nature.

Pool Cashier
Under general supervision, Pool Cashier are responsible for receiving and processing daily pool admissions, season passes, operating the cash register and maintaining security and accuracy of funds. Essential and important duties include: answering phones and handling customer service, ensuring customer sign in and checking identification, creating and maintaining good working relations with the public and staff, handling financial transactions at the pool including but not limited to class registration, season pass purchases, daily admission and swim diaper sales, ensuring accuracy of daily attendance and financial transactions, and assisting in an emergency and rendering first aid. Must have a certificate in American Red Cross CPR for the Professional Rescuer, First Aid and Automated External Defibrillator.

Pool Manager
Under the general supervision of the Recreation Program Coordinator or Recreation Supervisor, the Pool Manager is responsible for the organization and supervision of the City’s aquatics program. Duties include the development and management of group and private swim lesson programs, managing pool schedules, developing staff training and curriculum, leading staff trainings and working directly with course instructors, pool party users and outside user groups. 7 Provides direction and motivation to part time staff. This position receives direction from the Recreation Supervisor.

Professional Temp
Performs job duties that require a form of specialization which typically requires a Bachelor’s degree or equivalent work experience. Appointments to professional temp positions are typically made to mid-management level positions. They require some degree of a specialized profession and job knowledge.

Project Manager Fixed Term (exempt)
Performs highly responsible, complex, and varied professional administrative and analytical work in the planning, organization, implementation and oversight of City projects of defined duration, physical scale, budget, and community impact; conducts analysis of operational needs and strategic planning, productivity studies, and other complex analyses; participates in the review of plans for city facilities, municipal building construction or public works projects; escalates issues as required, facilitates higher level decision making, and authorizes change orders to keep construction moving; and serves as liaison with the department heads, community organizations, and other agencies.

Records Temp
Performs routine duties of Records Specialist including answering phones, entering calls for service into CAD, assisting customers at public counter, processing all forms of police records and reports.

Recreation Leader
Maintains a safe and enjoyable environment for recreation program participants.

Responsibilities include planning, conducting and supervising activities such as organized games, group singing, art projects, field trips, and other activities for participants in a recreational/park setting.

Recreation Specialist
Under the supervision of a Recreation Program Coordinator or Recreation Supervisor, provides leadershipand functional supervision to a recreation program, activity or service; directs and/or leads the activities of a program, activity or service; organizes and implements program elements and oversees participants, and performs related work as required. This is a higherlevel position as distinguished from the Recreation Leader utilized in the Library and Recreation Department. This class is distinguished from the entry-level Recreation Leader by responsibility for on-site coordination of a specific program area. One (1) year of work experience in parks, recreation or related field required.

Substitute Librarian
Performs professional-level library public service work, including answering reference questions, providing readers’ advisory, providing technical assistance, and presenting programs.

Substitute Library Assistant
Check’s material in and out, answers simple questions, creates new patron accounts, and performs circulation tasks as needed.

Swim Instructor
Under general supervision, is responsible for the instruction of swim lesson programs. Swim Instructors must be able to demonstrate skills for class taught and must ensure the safety of all swimmers in their class. Swim Instructors may be assigned to teach group or private lessons for children 6 months through adults. Instructors are required to assist as needed in an emergency 8 at the pool. Must possess current Lifeguard Certification which includes CPR for the Professional Rescuer, First Aid and Automated External Defibrillator. American Red Cross Water Safety Instructor highly desirable.

Technical Professional Temp
Performs advanced professional work. Performs a variety of management and complex functions that require a high level of expertise in the field of need. May provide supervision to professional and support staff members. Conducts research and analysis. Works with stakeholders, architects, engineers, and/or contractors to assure the authorized projects are accomplished in accordance with approved regulations, policies and procedures and may act as liaison between the City and those groups.

Temporary / Seasonal / Retiree / Fixed-Term Salary Schedule Effective January 1, 2022
Grade Status Job Title A B C D E F G H I J
9917 Exempt Advanced Professional Temp (monthly salary) $ 8,250 $ 8,662 $ 9,096 $ 9,550 $ 10,028 $ 10,529 $ 11,056 $ 11,609 $ 12,189 $ 12,798 TBD Exempt Executive Professional Temp* (monthly salary) $ 11,137 $ 11,694 $ 12,279 $ 12,893 $ 13,538 $ 14,215 $ 14,925 $ 15,672 $ 16,455 $ 17,278 2133 Exempt Project Manager (monthly salary) $ 6,309 $ 6,625 $ 6,956 $ 7,304 $ 7,669 $ 8,052 $ 8,455 $ 8,878 $ 9,321 $ 9,788 9916 Hourly Administrative Specialist $ 24.38 $ 25.60 $ 26.88 $ 28.22 $ 29.63 $ 31.12 $ 32.67 $ 34.31 $ 36.02 $ 37.82 9903 Hourly Child Care Temp Aide $ 15.00 $ 15.75 $ 16.54 $ 17.36 $ 18.23 $ 19.14 $ 20.10 $ 21.11 $ 22.16 $ 23.27 TBD Hourly Child Care Specialist* $ 19.00 $ 19.95 $ 20.95 $ 21.99 $ 23.09 $ 24.25 $ 25.46 $ 26.73 $ 28.07 $ 29.48 9904 Hourly Clerical Temp $ 15.00 $ 15.75 $ 16.54 $ 17.36 $ 18.23 $ 19.14 $ 20.10 $ 21.11 $ 22.16 $ 23.27 9935 Hourly Police Dispatcher Temp $ 25.05 $ 26.30 $ 27.62 $ 29.00 $ 30.45 $ 31.97 $ 33.57 $ 35.24 $ 37.01 $ 38.86 9921 Hourly Events Specialist $ 15.90 $ 16.70 $ 17.53 $ 18.41 $ 19.33 $ 20.29 $ 21.31 $ 22.37 $ 23.49 $ 24.67 9922 Hourly Facilities Attendant $ 17.50 $ 18.38 $ 19.29 $ 20.26 $ 21.27 $ 22.33 $ 23.45 $ 24.62 $ 25.86 $ 27.15 9918 Hourly Head Lifeguard Aquatics Specialist $ 19.25 $ 20.21 $ 21.22 $ 22.28 $ 23.40 $ 24.57 $ 25.80 $ 27.09 $ 28.44 $ 29.86 9923 Hourly Intern $ 15.00 $ 15.75 $ 16.54 $ 17.36 $ 18.23 $ 19.14 $ 20.10 $ 21.11 $ 22.16 $ 23.27 9932 Hourly Substitute Library Page $ 16.00 $ 16.80 $ 17.64 $ 18.52 $ 19.45 $ 20.42 $ 21.44 $ 22.51 $ 23.64 $ 24.82 9902 Hourly Lifeguard Aquatics Temp $ 17.00 $ 17.85 $ 18.74 $ 19.68 $ 20.66 $ 21.70 $ 22.78 $ 23.92 $ 25.12 $ 26.37 9907 Hourly Maintenance Temp $ 15.00 $ 15.75 $ 16.54 $ 17.36 $ 18.23 $ 19.14 $ 20.10 $ 21.11 $ 22.16 $ 23.27 9924 Hourly Office Aide $ 21.73 $ 22.82 $ 23.96 $ 25.16 $ 26.41 $ 27.73 $ 29.12 $ 30.58 $ 32.11 $ 33.71 9928 Hourly Police Community Service Officer Temp $ 26.50 $ 27.83 $ 29.22 $ 30.68 $ 32.21 $ 33.82 $ 35.51 $ 37.29 $ 39.15 $ 41.11 9908 Hourly Paraprofessional Temp $ 21.20 $ 22.26 $ 23.37 $ 24.54 $ 25.77 $ 27.06 $ 28.41 $ 29.83 $ 31.32 $ 32.89 9925 Hourly Parking Aide $ 15.00 $ 15.75 $ 16.54 $ 17.36 $ 18.23 $ 19.14 $ 20.10 $ 21.11 $ 22.16 $ 23.27 9929 Hourly Pool Attendant Cashier $ 15.00 $ 15.75 $ 16.54 $ 17.36 $ 18.23 $ 19.14 $ 20.10 $ 21.11 $ 22.16 $ 23.27 9930 Hourly Pool Manager $ 21.20 $ 22.26 $ 23.37 $ 24.54 $ 25.77 $ 27.06 $ 28.41 $ 29.83 $ 31.32 $ 32.89 9909 Hourly Professional Temp $ 31.80 $ 33.39 $ 35.06 $ 36.81 $ 38.65 $ 40.59 $ 42.62 $ 44.75 $ 46.98 $ 49.33 9926 Hourly Police Call Taker & Records Specialist Records Temp $ 22.96 $ 24.11 $ 25.31 $ 26.58 $ 27.91 $ 29.30 $ 30.77 $ 32.31 $ 33.92 $ 35.62 9910 Hourly Recreation Leader $ 15.00 $ 15.75 $ 16.54 $ 17.36 $ 18.23 $ 19.14 $ 20.10 $ 21.11 $ 22.16 $ 23.27 9911 Hourly Recreation Specialist $ 21.00 $ 22.05 $ 23.15 $ 24.31 $ 25.53 $ 26.80 $ 28.14 $ 29.55 $ 31.03 $ 32.58 9933 Hourly Substitute Librarian $ 32.00 $ 33.60 $ 35.28 $ 37.04 $ 38.90 $ 40.84 $ 42.88 $ 45.03 $ 47.28 $ 49.64 9931 Hourly Substitute Library Assistant $ 22.50 $ 23.63 $ 24.81 $ 26.05 $ 27.35 $ 28.72 $ 30.15 $ 31.66 $ 33.24 $ 34.90 9934 Hourly Swim Instructor $ 17.50 $ 18.38 $ 19.29 $ 20.26 $ 21.27 $ 22.33 $ 23.45 $ 24.62 $ 25.86 $ 27.15 TBD Hourly Technical Prof Temp* $ 45.00 $ 47.25 $ 49.61 $ 52.09 $ 54.70 $ 57.43 $ 60.30 $ 63.32 $ 66.49 $ 69.81 *New classification
____________________________________________________________________________________

FOR CITY CLERK ONLY
Council Meeting: _______________________
Disposition: ___________________________
Agenda Item No: 5.i
Meeting Date: January 18, 2022

SAN RAFAEL CITY COUNCIL AGENDA REPORT
Department: Library and Recreation
Prepared by: Kelly Albrecht,
Senior Recreation Supervisor
City Manager Approval: ______________
TOPIC: CALIFORNIA STATE PRESCHOOL PROGRAM CONTINUED FUNDING

APPLICATION
SUBJECT: RESOLUTION AUTHORIZING THE SENIOR RECREATION SUPERVISOR-CHILD

CARE TO SUBMIT AN APPLICATION TO THE CALIFORNIA DEPARTMENT OF

EDUCATION FOR A GRANT TO PROVIDE CHILD CARE AND DEVELOPMENT SERVICES FOR FISCAL YEAR 2022-2023, AND IF GRANTED, TO SIGN ALL

NECESSARY GRANT DOCUMENTS
RECOMMENDATION:

Adopt a resolution authorizing the Senior Recreation Supervisor-Child Care to submit an application on behalf of the City of San Rafael to the California Department of Education for a grant to provide preschool services at Pickleweed Preschool for fiscal year 2022-2023, and if granted, to sign all necessary grant documents.

BACKGROUND:

California State Preschool Programs (CSPP) contractors who wish to be considered for continued funding for fiscal year 2022-2023 must complete the continued funding application in a timely manner.

CSPP contractors who apply for and are approved for continued funding for services for FY 2022-2023 will be automatically renewed in accordance with all applicable federal and state laws as well as California State Preschool Funding Terms and Conditions and Program Requirements that will be incorporated into the 2022-2023 Contract.

ANALYSIS:

Pickleweed Preschool has been providing preschool services since 1997. The program relies on the renewal of the California State Preschool contract, to provide no-cost preschool services for income eligible families.

FISCAL IMPACT:

The City is seeking grant funding from the California Department of Education for the preschool program at Pickleweed Preschool. The preschool program’s estimated budget for fiscal year 2022-2023 is as follows:

SAN RAFAEL CITY COUNCIL AGENDA REPORT / Page: 2
Program Budgeted Expenditures FY 2022-23: $434,398
Program Budgeted Revenues FY 2022-23:

California State Department of Education State Preschool Program $248,509 First 5 Marin $104,017
Community Development Block Grant (Federal) $21,500
Safety Net (Marin Child Care Council) $20,000
Available Fund Balance _$40,372
$434,398
This important funding from the California Department of Education is essential for the City to continue to provide the preschool program at Pickleweed Preschool.

OPTIONS:

The City Council has the following options to consider on this matter:

1. Adopt the resolution as proposed, to apply to the California Department of Education for grant funding and to authorize the Senior Recreation Supervisor-Child Care to sign contract documents.

2. Do not adopt the resolution, resulting in the City declining the opportunity to submit a grant application to the California State Department of Education.

RECOMMENDED ACTION:

ATTACHMENTS:

1. Resolution

2. Continued Funding Application Fiscal Year 2022-2023
RESOLUTION NO.

RESOLUTION OF THE SAN RAFAEL CITY COUNCIL AUTHORIZING THE SENIOR

RECREATION SUPERVISOR-CHILD CARE TO SUBMIT AN APPLICATION TO THE

CALIFORNIA DEPARTMENT OF EDUCATION FOR A GRANT TO PROVIDE CHILD CARE AND DEVELOPMENT SERVICES FOR FISCAL YEAR 2022-2023, AND IF GRANTED, TO

SIGN ALL NECESSARY GRANT DOCUMENTS
WHEREAS the City operates the Pickleweed Preschool at the Pickleweed Children’s Center; and
WHEREAS the City desires to provide no-cost preschool programming to lowincome families from East San Rafael through programming at the Pickleweed Children’s Center; and
WHEREAS, the State of California has awarded the City of San Rafael funds for subsidy of the Pickleweed Preschool Program since 1997; and WHEREAS the City wishes to apply to the California Department of Education for a grant for the purpose of providing childcare and development services at Pickleweed Preschool for Fiscal Year 2022-2023, and to authorize City staff to sign contract documents if the grant is awarded to the City;
NOW THEREFORE BE IT RESOLVED, that the City Council of the City of San Rafael does hereby authorize the Senior Recreation Supervisor-Child Care to submit an application to the California Department of Education for a grant for the purpose of providing childcare and development services for the Pickleweed Preschool in Fiscal Year 2022-2023, and if the grant is approved, authorizes the Senior Recreation Supervisor - Child Care to execute all grant contract documents in a form approved by the City Attorney.

I, Lindsay Lara, Clerk of the City of San Rafael, hereby certify that the foregoing Resolution was duly and regularly introduced and adopted at a regular meeting of the City Council of the City of San Rafael held on Tuesday, the 18th day of January 2022 by the following vote, to wit:

AYES: COUNCILMEMBERS:

NOES: COUNCILMEMBERS:

ABSENT: COUNCILMEMBERS:
_____________________________
Lindsay Lara, City Clerk
ATTACHMENT 1
California Department of Education
Early Education Division
ATTACHMENT 2
EED-3704
CFA FY 2022-23
California State Preschool Program
Continued Funding Application Fiscal Year 2022-23
California State Preschool Program (CSPP) contractors who wish to be considered for continued funding for fiscal year (FY) 2022-23 must read the accompanying instructions and fully and accurately complete this application for continued funding.

Instructions may be accessed on the Continued Funding Application (CFA) web page at: https://www.cde.ca.gov/sp/cd/ci/cfaforms2223.asp.

Please note that CSPP contractors have no vested right to a subsequent contract.

Completion of this CFA does not guarantee a renewal of funding. Upon completion of this CFA the California Department of Education (COE) will review the application and may contact your agency seeking additional information. If the COE determines your agency will not be renewed for a subsequent contract year, you will be notified in writing no later than April 7, 2022, pursuant to the California Code of Regulations, Title 5 (5 CCR). CSPP contractors who apply for and are approved for continued funding do not need to sign a contract with the COE to provide CSPP services for FY 2022-23, as contracts will be automatically renewed in accordance with all applicable federal and state laws as well as all CSPP Funding Terms and Conditions and Program Requirements that will be incorporated into the 2022-23 CSPP contract. By signing this CFA, the CSPP contractor is indicating that it wishes to automatically renew the CSPP contract for FY 2022-23 and is willing to, and does accept, all of the terms and conditions of the CSPP contract, which will be provided to the CSPP contractor no later than June 1, 2022. The CSPP contractor may reject the FY 2022-23 CSPP contract by providing the COE with a written notice no later than July 1, 2022. Instructions on how to provide written notice of rejection of the terms of the new FY 2022-23 contract will be provided in forthcoming communication, on or before June 1, 2022, to CSPP contractors.

Failure to submit the CFA in a timely manner shall constitute as a notice to the COE of the intent to discontinue services at the end of the current contract year, unless the CSPP contractor has received a written notice of extension of time from the COE. If the CFA is returned to the COE in a timely manner but is not fully and accurately completed, funding for FY 2022-23, if approved, may be delayed.

If you have any questions regarding the CFA, please contact [email protected].

California Department of Education
Early Education Division
Sedion I - CSPP Contractor Information
EED-3704
CFA FY 2022-23
Legal Name of CSPP Contractor: rlc-it-y-of_S_a_n_R_a-fa_e_l ------------~ CSPP Contractor Doing Business As (DBA):

Headquartered County: rl2_1_M_a-rin __ ..:..___::....:...._....:::::===========================! Vendor Number: 12193
Executive Directo._r_N_a_m_e_:FIJ=im=S=c=h=utz==========='-----------.

Executive Director Telephone Number:1415-485-3475
Executive Director Fax Number:rl ~=-:...:..-==============:---______.1 Executive Director Email Address: [email protected] Legal Business Address: 11400 Fifth Avenue
City: lsan Rafael
Zip Code: 194901
.___ _____ ~r=L------------,
Mailing Address (if different from above): 1618 B Street City: lsan Rafael
Zip Code: 194901 I
Name of Person Completing the CFA: !Kelly Albrecht ..__---.============:!........

Title of Contact Person Completing the CFA: !senior Recreation Supervisor Contact Person Telephone Number: 1415-485-3386
Contact Person Email Address: rlk-e-lly..!::_=al=b=re=c=h=t@=c=ity=o=f=sa=n=r=a=fa=e=l.=o=rg=====L-----.

California Department of Education Page 2 of 13
California Department of Education
Early Education Division
Contractor Name :

City of San Rafael
Section 11- CSPP Contract Type
Vendor#: County:
2193 21 Marin
EED-3704
CFA FY 2022-23
Check all applicable boxes indicating the programs the CSPP contractor intends to continue to administer for the Fiscal Year 2022-23. The CSPP contractor agrees to continue implementation of these programs with funds provided by the CDE.

CSPP Type
D Full-Day/Full-Year
I Part-Day/Part-Year
D Family Childcare Home Education Network
California Department of Education Page 3 of 13
California Department of Education
Early Education Division
Contractor Name: Vendor#: County:

EED-3704
CFA FY 2022-23
City of San Rafael 2193 21 Marin
Sedion Ill - CSPP Contractor's Officers and Board of Directors Information Does the CSPP contractor have a board of directors? Q Yes (!) No If no, please explain the entity type and the governance structure (i.e., number of owners and partnership).

Government agency. City Council members serve as our board of directors.

Have any of the listed officers, board members, owners or other governing individuals ever served as an officer, board member, owner or governing individual with an agency that received state or federal funding and which agency funding was terminated or involuntarily non-renewed, or the agency was debarred from funding for any period of time?
OYes (!) No
If yes, list on a separate page the officer(s), board member(s), owner(s) or other governing individual(s) to which this applies and include the former agency(ies) with which the individual(s) was/were previously affiliated and the circumstancesleading to the termination, involuntary non-renewal or debarment.

List all officers and board members/governing individuals (i.e., owner, director, etc.) Attach additional sheets as necessary.

Officer, Board Title Telephone Mailing Email
Member, Owner Number Address Address
or Governing
Individual Name
Mayor Kate Colin Mayor 415-205-3119 1400 Fifth kate.colin@cityof Avenue,San sa nrafael. org
Rafael CA 94901
Marybeth Bushey Council 415-485-3070 1400 Fifth maribeth.bushey Rachel Kertz Memebers Avenue,San @cityofsanrafael.org
rachel.kertz
Rafael CA 94901 @cityofsanrafael.org
Eil Hill Council 415-485-3070 1400 Fifth eli.hill
Maika Llorens Members Avenue San @cityofsanrafael.org
maika.llorens
Gulati Rafael CA 94901 @cityofsanrafael.org
California Department of Education Page 4 of 13
California Department of Education
Early Education Division
Contractor Name:

City of San Rafael
Section IV - Program Narrative
EED-3704
CFA FY 2022-23
Vendor#: County:
2193 21 Marin
A. Please select the box below if the CSPP contractor does not have programmatic or calendar changes to their CSPP.
✓ I No changes
B. Please select all applicable fields below if the CSPP contractor does have programmatic or calendar changes to their CSPP. Programmatic or calendar changes require completion of a form ELCO 3704A. This form is available on the CFA web page at: https://www.cde.ca.gov/sp/cd/ci/cfaforms2223.asp.

Note: Program calendars must be submitted for both the part-day/part-year CSPP and the full-day/full-year CSPP, as applicable. Making changes to the Minimum Days of Operation (MOO) does not change the contractMaximum Reimbursable Amount (MRA).

D Programmatic change
✓ I Calendar change
California Department of Education Page 5 of 13
California Department of Education
Early Education Division
Contractor Name:

City of San Rafael
EED-3704
CFA FY 2022-23
Vendor#: County:
2193 21 Marin
Sedion V - CSPP Personnel Certification
The State of California requires any CSPP contractor receiving child care and development funds, disbursed by the COE, to employ fully qualified personnel as stipulated in the California Education Code (EC) ; and the California Code of Regulations, Title 5 (5 CCR); and the Funding Terms and Conditions of the CSPP contract.

I certify, as the authorized agent representing this CSPP contractor, that I have read and understand the staffing requirements for Program Director, Site Supervisor, and Teacher. All staff employed in COE funded CSPP are fully qualified for their respective positions. The exception to this certification is a person employed as Program Director or Site Supervisor who possesses a current Staffing Qualifications Waiver approved by the Early Education Division (ELCO).

Signature of the CSPP Contractor's
Authorized Representative:

Printed Name and Title of the CSPP
Contractor's Authorized
Representative:

Date of Signature:

Authorized Representative's
Telephone Number:

Authorized Representative's
Email Address:

California Department of Education
K 11 Alb ht Digitally signed by Kelly Albrecht
e y rec Date: 2021 .12.2114:45:34
-08'00'
Kelly Albrecht, Senior Recreation Supervisor
j 12,2112021
1415-485-3386
[email protected]

Page 6 of 13 ends

California Department of Education
Early Education Division
Contractor Name:

City of San Rafael
Section VI - Subcontract Certification
EED-3704
CF A FY 2022-23
Vendor#: County:
2193 21 Marin
A. Please select the box below if the CSPP contractor does not have subcontractors, and move to section VI I:
@ No subcontractors
B. Please select the box below if the CSPP contractor does have subcontractors, and complete the information and sign in the section below. CSPP Contractors who subcontract CSPP services will need to complete and submit the form ELCO 3704B. The form is available on the CFA web page at:
https://www.cde.ca.gov/sp/cd/ci/cfaforms2223.asp.
0 Subcontractors
I certify that the contractual arrangement(s) listed above are made in adherence tothe required subcontract provisions contained in the 5 CCR, and the Funding Terms and Conditions of the CSPP contract.

I understand that signing this certificate does not lessen the legal responsibility for the CSPP contract requirements. As the CSPP contractor, it is my responsibility to monitor the performance of the subcontractor to ensure services are provided appropriately through the entire contract term.

Signature of the CSPP Contractor's Kelly Albrecht Digitally signed by Kelly Albrecht Authorized Representative: Date: 2021 .12.21 14:54:04 -oa·oo· Printed Name and Title of the CSPP
Contractor's Authorized Representative:

Kelly Albrecht, Senior Recreation Supervisor
1 12,21,2021 I Date of Signature: _
1 415-485-3386 I
Authorized Representative'sTelephone Numb;e.:..:r=~============= [email protected] Authorized Representative's EmailAddress:

California Department of Education Page 7 of 13
California Department of Education
Early Education Division
EED-3704
CFA FY 2022-23
Contractor Name: Vendor#: County:

City of San Rafael 2193 21 Marin ---------------- Section VII - CSPP Contractor Certification • Under penalty of perjury, I certify the following:
• I am authorized by the CSPP contractor's Board of Directors or other governing authoritytoexecute this CFA, signifying their intent to automatically renew the current contract for FY 2022-23, under new terms and conditions to be established by the COE, unless rejected in writing prior to the effective date of the new CSPP contract on July 1, 2022.
• On behalf of the CSPP contractor and its governing authority, we understand some information requested in this CFA is intended for use by COE auditors in connection with future audit work and performance reviews and may not be used, or even reviewed or considered by the COE until well after the CSPP contract has expired, if ever. Therefore, we further understand that the information (and any underlying transactions) disclosed by this CFA shall not be considered properly noticed to the COE, nor approved, accepted or authorized by the COE, even if our request for continued funding by the COE is subsequently approved. • The governing board members have been trained in understanding conflict of interestrequirements associated with their positions on the board and have reported all knownconflicts of interest.
• I have supervisory authority over the CSPP, have actual, personal knowledge of the information provided in this CFA and certify that it istrue and correct in all material respects.
• I am familiar with and will ensure that the CSPP contractor complies with all applicableprogram statutes and regulations, including:
o Subcontracting requirements, including competitive bidding, COE approval, andaudit requirements in 5 CCR.
o Prohibitions on conflicts of interests, including (i) the assurances required to establish that transactions with officers, directors and other related party transactions are conducted at arm's length, and (ii) employment limitations stated in Education Code.
o Cost reimbursement requirements, including reimbursable and nonreimbursablecosts, documentation requirements, the provisions for determining the reimbursable amount and other provisions in 5 CCR, Accounting and reporting requirements in 5 CCR.
o Operational and programmatic requirements.

California Department of Education Page 8 of 13
California Department of Education
Early Education Division
Contractor Name:

City of San Rafael
EED-3704
CFA FY 2022-23
Vendor#: County:
2193 21 Marin
By signing this CFA, the CSPP contractor is indicating that it wishes to automatically renew the current CSPP contract for FY 2022-23 and, if approved, is willing to, and does accept, all of the terms and conditions of the CSPP contract, which will be provided to the CSPP contractor no later than June 1, 2022. The CSPP contractor may reject the FY 2022-23 CSPP contract by providing the COE with a written notice of rejection no later than July 1, 2022. Instructions on how to provide written notice of rejection of the terms of the new FY 2022-23 contract will be provided in forthcoming communication, on or before June 1, 2022, to CSPP contractors.

Signature of the CSPP Contractor's
Authorized Representative:

Printed Name and Title of the
CSPP Contractor's
Authorized Representative:

Date of Signature:

Authorized Representative's
Telephone Number:

Authorized Representative's Email
Address:

California Department of Education
Digitally signed by Kelly
Kelly Albrecht ~~;:c;~21 .12.2114:ss:o7
-08'00'
Kelly Albrecht, Senior Recreation Supervisor
I 12121,2021
I 415-485-3386
[email protected]

Page 9 of 13 ends

California Department of Education
Early Education Division
EED-3704
CFA FY 2022-23
Contractor Name: Vendor#: County:

City of San Rafael 2193 21 Marin
Sedion VIII - Certification of CSPP Contrador Information in the Child Development Management Information System
CSPP contractors are required to review all information in the Child Development Management Information System (CDMIS) and update any outdated or incorrect information. To review the information and submit changes, log on to the CDMIS at https://www4.cde.ca.gov/cdmis/default.aspx.

As the authorized representative of the CSPP contractor listed below, I certify, under penalty of perjury, that I have reviewed all of the information for City of San Rafael
and updates, additions, or deletions have been submitted as needed for information in all of the areas below:
• Executive Director/Superintendent information
• Program Director information
• Sites and Licenses and/or Office information
• CSPP Family Child Care Home Education Network (FCCHEN) provider summary information
To the best of my knowledge, the information on the CDMIS website reflects accurate information for the
City of San Rafael
as of the date this certification is signed.

Program Director/Authorized Representative Signature: Date Signed:

K 11 Alb ht Digitally signed by Kelly Albrecht
e y rec Date: 2021 .12.2114:56:09
-08'00'
12/21/2021
Printed Name of Program Director/Authorized Representative:

Kelly Albrecht, Senior Recreation Supervisor
California Department of Education Page 10 of 13
California Department of Education
Early Education Division
EED-3704
CFA FY 2022-23
Contractor Name: Vendor#: County:

City of San Rafael 2193 21 Marin
Section IX - Required Attachments
All attachments and/or documentation below must be completed and included when submitting the CFA. Attachments A-J are located on the CFA web page at:
https://www.cde.ca.gov/sp/cd/ci/cfaforms2223.asp.

A. Fiscal Year 2022-23 Program Calendar (ELCD-9730)
B. Payee Data Record (STD. 204) (Non-public agencies only) C. Payee Data Record Supplement (STD. 205) (Non-public agencies only, as applicable)
D. Secretary of State (Non-public agencies only)
E. Verification of School District Name and Address (Public agencies only) F. Program Narrative Change (ELCD 3704A) (As applicable) G. Subcontractor Certification (ELCD 37048) (As applicable) H. California Civil Rights Laws Certification (CO-005)
I. Contractor Certification Clauses (CCC 04/2017)
J. Federal Certification (CO.8)
K. For Public Agencies only, include a copy of the agency's board resolution and/or minutes authorizing signature on this document, and a delegation of authority, if applicable
California Department of Education Page 11 of 13
California Department of Education
Early Education Division
EED-3704
CFA FY 2022-23
Contractor Name: Vendor#: County:

City of San Rafael 2193 21 Marin
Sedion X - CFA Checklist
Section Section Description Page Check
Section I CSPP Contractor Information 2
[l]
Section II CSPP Contract Type 3 [l]
Section Ill CSPP Contractor's Officers and Board 4 [l] of Directors Information Section IV Program Narrative 5
□ Section V* CSPP Personnel Certification 6 [l]
Section VI* Subcontractor Certification 7
□ Section VII* CSPP Contractor Certification 8 [l]
Section VIII* Certification of CSPP Contractor 10 [l] Information in the CDMIS Database Section IX A. CSPP Program Calendar(s) (ELCO- 11 [l] 9730) Section IX State of California, Payee Data 11
B.*
(STD
Record
. 204) (non-public agencies only) □ Section IX Payee Data Record Supplement 11 C.*
only)
(STD. 205) (Non-public agencies □
Section IX D. Secretary of State search results ( non- 11 public agencies only) □ Section IX E. Verification of School District Name 11 and Address search, as applicable □ Section IX F. Program Narrative Change Insert (ELCO 3704A) afterpage □ 5
California Department of Education Page 12 of 13
California Department of Education
Early Education Division
EED-3704
CFA FY 2022-23
Contractor Name: Vendor#: County:

City of San Rafael 2193 21 Marin
Section Section Description Page
Number Number
Section IX G. Subcontractor Certification (ELCO Insert
37048) after page
7 Section IX California Civil Rights Laws 11
H.* Certification (CO-005)
Section IX I.* Contractor Certification Clauses 11
(CCC 04/2017)
Section IX J.* Federal Certification (CO.8) 11
Section IX For Public Agencies, include a copy 11
K.* of the agency's board resolution or
minutes authorizing signature on this
document, and a delegation of
authority, if applicable
All Sections must be included in the CFA package, as applicable *Bolded sections require a signature
Check
Box
□
[l]
[l]
[l]
[l]
California Department of Education Page 13 of 13
____________________________________________________________________________________

FOR CITY CLERK ONLY
Council Meeting:

Disposition:

Agenda Item No: 5.j
Meeting Date: January 18, 2022

SAN RAFAEL CITY COUNCIL AGENDA REPORT
Department: Public Works
Prepared by: Bill Guerin,
Director of Public Works
City Manager Approval: _______
File No.: 6.01.247
TOPIC: ALBERT PARK FENCING AND NETTING
SUBJECT: ALBERT PARK FENCING AND NETTING PROJECT, CITY PROJECT NO. 11372 BID REJECTION
RECOMMENDATION: Reject the bid for the Albert Park Fencing and Netting Project and direct staff to develop design alternatives.

BACKGROUND: The Library and Recreation Department notified the Public Works Department about a concern of errant balls creating a possible hazard to patrons and vehicles at the wellutilized baseball field at Albert Park. Therefore, the City created a project that includes the installation of fencing and netting at the Albert Park Athletic field and stadium between Andersen Drive, Albert Park Lane, and Lindaro Street. The project consists of the removal of existing lower height fencing, installation of a 40-ft tall foul ball netting with foundations along the first and third base lines and replacing 6-foot chain-link fence in a new configuration near the third base concessions.

BKF Engineers was hired to design the fencing and netting plans. The design included a geotechnical study report by RGH Consultants that generated geotechnical information for the design depths of the netting foundation poles.

ANALYSIS: On October 7, 2021 the project was advertised in accordance with San Rafael’s Municipal Code. On October 21, 2021 the bid opening was held, but no bids were received. On November 1, 2021 the project was re-advertised in accordance with San Rafael’s Municipal Code. On November 18, 2021 the following bid was received and read aloud:

NAME OF BIDDER AMOUNT
Arrow Fencing $595,039.40
The construction bid has been reviewed by Public Works staff and the low bid from Arrow Fencing in the amount of $595,039.40 was found to be much higher than the anticipated estimate of $295,000. Due to insufficient funding from the Measure A Parks Fund (Fund #241), staff recommends rejecting the bid from Arrow Fencing and to develop design alternatives.

FISCAL IMPACT: If City Council rejects the bid, then there will be no fiscal impact.

SAN RAFAEL CITY COUNCIL AGENDA REPORT / Page: 2
OPTIONS:

1. Reject bid and direct staff to develop design alternatives.

2. Accept the bid and direct staff to identify a funding source to support the project.

3. Reject bid and direct staff to stop work on the project. ____________________________________________________________________________________

FOR CITY CLERK ONLY
File No.: _______________________________
Council Meeting:

Disposition: ___________________________
Agenda Item No: 5.k
Meeting Date: January 18, 2022

SAN RAFAEL CITY COUNCIL AGENDA REPORT
Department: Public Works
Prepared by: Bill Guerin,
Director of Public Works
City Manager Approval: ________
File No.: 07.04.12
TOPIC: CALTRANS LOCAL PROCEDURES
SUBJECT: RESOLUTION ADOPTING CHAPTER 10 OF THE CALTRANS LOCAL ASSISTANCE PROCEDURES MANUAL ENTITLED “CONSULTANT
SELECTION”, AS WELL AS ALL FUTURE UPDATES, AS THE PROCESS BY

WHICH THE CITY PROCURES ARCHITECTURAL AND ENGINEERING

CONSULTANT SERVICES RELATED TO FEDERAL AND STATE FUNDED

TRANSPORTATION PROJECTS
RECOMMENDATION: Adopt the resolution adopting Chapter 10 of the Caltrans Local Assistance Procedures Manual entitled “Consultant Selection”, as well as all future updates, as the process by which the City procures architectural and engineering consultant services related to federal and state funded transportation projects.

BACKGROUND: The City of San Rafael manages many capital improvement projects every year, some of which are funded with federal or state grants. The federal government has granted Caltrans oversight authority of these federal funds, which are administered by the Caltrans Office of Local Assistance. As the administering agency of federal and state funds, Caltrans has created the Local Assistance Procedures Manual (LAPM) which guides, directs, and outlines all the requirements that cities across the State of California are required to adhere to when receiving federal or state funds on transportation projects. The LAPM undergoes frequent updates to incorporate changes in federal law and procedures.

A recent update to the LAPM required the City to adopt Chapter 10 of the LAPM for the selection of architectural and engineering consultants. While the City has always followed the process and procedures outlined in the LAPM, Caltrans requires Council adoption to ensure City staff are fully aware of the current federal requirements. Pursuant to City Council Resolution No. 14573, the City approved adopting Chapter 10 of the LAPM on September 4th, 2018.

SAN RAFAEL CITY COUNCIL AGENDA REPORT / Page: 2
ANALYSIS: After submitting a copy of City Council Resolution No. 14573 for review, Caltrans commented that the resolution did not have required language showing that the City’s adoption of Chapter 10 of the LAPM includes any future updates. In response, this resolution clarifies that the City’s adoption of Chapter 10 includes future updates and changes to the chapter.

FISCAL IMPACT: There is no fiscal impact associated with this item.

OPTIONS: The City Council has the following options to consider relating to this matter:

1. Adopt the resolution as presented.

2. The City Council may decline to adopt the resolution, in which case the City would become ineligible to use federal or state funds for consultant services for projects administered through Caltrans Office of Local Assistance.

RECOMMENDED ACTION: Adopt the resolution as presented.

ATTACHMENTS:

1. Resolution

2. Chapter 10, Consultant Selection, Caltrans Local Assistance Procedures Manual RESOLUTION NO.

RESOLUTION OF THE SAN RAFAEL CITY COUNCIL ADOPTING CHAPTER 10 OF THE CALTRANS LOCAL ASSISTANCE PROCEDURES MANUAL ENTITLED “CONSULTANT SELECTION”, AS WELL AS ALL FUTURE UPDATES, AS THE PROCESS BY WHICH THE CITY

PROCURES ARCHITECTURAL AND ENGINEERING CONSULTANT SERVICES RELATED TO

FEDERAL AND STATE FUNDED TRANSPORTATION PROJECTS
WHEREAS, the City of San Rafael receives transportation funds from the Federal and State governments which are administered through the Caltrans Office of Local Assistance; and WHEREAS, Caltrans requires local agencies that receive federal or state funding for consultant services to adopt by resolution Chapter 10 of the Local Assistance Procedures Manual (LAPM), setting forth the policies and procedures to be used for consultant selection; and
WHEREAS, pursuant to City Council Resolution No. 14826 on September 4, 2018, the City Council adopted Chapter 10 of the LAPM; and
WHEREAS, City staff submitted Resolution No. 14826 to Caltrans for review. Caltrans commented that the resolution did not have required language showing that the City’s adoption of Chapter 10 also includes any future updates; and
WHEREAS, City staff has prepared this resolution to clarify that the City’s adoption of Chapter 10 of the LAPM includes any future updates and changes.

NOW, THEREFORE, THE CITY COUNCIL OF THE CITY OF SAN RAFAEL RESOLVES as follows:

1. The Council hereby adopts Chapter 10 of the Caltrans Local Assistance Procedures Manual entitled “Consultant Selection”, as well as all future updates to that chapter, as the process by which the City procures architectural and engineering consultant services related to federal and state funded transportation project.

I, LINDSAY LARA, Clerk of the City of San Rafael, hereby certify that the foregoing resolution was duly and regularly introduced and adopted at a regular meeting of the Council of said City on Tuesday, the 18th day of January 2022, by the following vote, to wit:

AYES: COUNCILMEMBERS:

NOES: COUNCILMEMBERS:

ABSENT: COUNCILMEMBERS:
_______________________________
LINDSAY LARA, City Clerk
Local Assistance Procedures Manual Chapter 10
Consultant Selection
Chapter 10 Consultant Selection
Contents

10.1 FEDERALLY FUNDED A&E CONTRACTS ........................................................................... vi

10.1.1 General ....................................................................................................................................1 Introduction ............................................................................................................................1 Definition of an Architectural and Engineering Consultant ....................................................1 Architectural and Engineering Consultants............................................................................1 Non-A&E Consultants............................................................................................................2 Selecting the Project..............................................................................................................2 Subcontracted Services.........................................................................................................2 Organizational and Consultant Conflicts of Interest...............................................................2 Consultants Performing Work on Multiple Phases of Federal-aid Projects ...........................3

10.1.2 Identifying & Defining a Need for Consultants .........................................................................4 Appointing the Contract Administrator ...................................................................................4 Segmenting Consultant Work ................................................................................................5 Figure 10-2: Segmenting Consultant Work...........................................................................6 Specify Products to be Delivered...........................................................................................6 Scope of Consultant Work .....................................................................................................6 Title VI Assurances................................................................................................................6 Non-Discrimination Clause ....................................................................................................7 Disadvantaged Business Enterprise (DBE) Participation ......................................................7 Determine Type of Contract...................................................................................................8 Determining the Project Schedule .......................................................................................10 Determine Method of Payment ............................................................................................11 Cost-Plus-Fixed Fee ............................................................................................................11 Cost Per Unit of Work ..........................................................................................................11 Specified Rates of Compensation .......................................................................................12 Lump Sum ...........................................................................................................................12

10.1.3 A&E Consultant Audit and Review Process...........................................................................13 Applicable Standards...........................................................................................................13 Audit Guidance Available.....................................................................................................13 Allowable Costs ...................................................................................................................14 Safe Harbor Rate.................................................................................................................15 Approval or Acceptance of Indirect Cost Rates ...................................................................16 Cognizant Letters of Approval .............................................................................................16 Caltrans Acceptance of Indirect Cost Rate..........................................................................16 Financial Review Performed Prior to Contract Execution....................................................17 Local Public Agencies’ Responsibilities...............................................................................17 Page i of ix
January 2022
Local Assistance Procedures Manual Chapter 10
Consultant Selection
Consultants’ Responsibilities (Both prime consultants and subconsultants) .......................18 Independent Office of Audits and Investigations’ Responsibilities.......................................19 Audits and Reviews to be Performed ..................................................................................19 Indirect Cost Rate Audits .....................................................................................................19 CPA Workpaper Reviews ....................................................................................................20 Contract Audits ....................................................................................................................20 Incurred Cost Audits ............................................................................................................20 Audit Findings and Review Deficiencies..............................................................................21

10.1.4 Consultant Selection Methods ...............................................................................................22 One-Step RFP .....................................................................................................................23 One-Step RFQ.....................................................................................................................23 Two-Step (RFQ Followed by RFP) ......................................................................................23

10.1.5 Consultant Selection Using the One-Step RFP Method ........................................................25 Appoint Consultant Selection Committee ............................................................................25 Develop Technical Criteria for Evaluation of Proposals.......................................................25 Develop Schedule for Consultant Selection ........................................................................25 Prepare RFP........................................................................................................................26 Financial Management and Accounting System Requirements ..........................................27 Advertise for Consultants.....................................................................................................27 Conduct Proposer’s Conference or Answer Written Questions...........................................27 Receive and Evaluate Technical Proposals ........................................................................28 Develop Final Ranking and Notify Consultants of Results ..................................................28 Negotiate Contract with Top-Ranked Consultant ................................................................28

10.1.6 Consultant Selection Using the One-Step RFQ Method ....................................................30 Appoint Consultant Selection Committee ............................................................................30 Develop Technical Criteria for Evaluation of Qualifications .................................................30 Develop Schedule for Consultant Selection ........................................................................31 Prepare RFQ .......................................................................................................................31 Financial Management and Accounting System Requirements ..........................................32 Advertise for Consultants.....................................................................................................32 Issue/Publish RFQ...............................................................................................................32 Receive/Evaluate Statements of Qualifications and Develop Shortlist................................32 Notify Consultants of Shortlist..............................................................................................33 Interview Top-Ranked Consultants......................................................................................33 Develop Final Ranking and Notify Consultants of Results ..................................................34 Conduct Scoping Meeting....................................................................................................34 Request Cost Proposal........................................................................................................34 Negotiate Contract with Top-Ranked Consultant ................................................................35

10.1.7Consultant Selection Using the Two-Step RFQ/RFP Method ................................................36 Combined RFQ and RFP.....................................................................................................36 Categorize work...................................................................................................................37 Page ii of ix
January 2022
Local Assistance Procedures Manual Chapter 10
Consultant Selection
Establish Minimum Qualifications ........................................................................................37 Issue RFQ............................................................................................................................38 Set-Up Evaluation Process..................................................................................................39 Evaluate Qualifications and Add Firm to List .......................................................................39 Maintain List.........................................................................................................................39 Issue RFP to Pre-Qualified Consultants on List ..................................................................40 Conduct Proposer’s Conference or Answer Written Questions...........................................40 Receive and Evaluate Technical Proposals ........................................................................40 Develop Final Ranking and Notify Consultants of Results ..................................................41 Request Cost Proposal and Negotiate Contract with Top-Ranked Consultant....................41

10.1.8Completing the Project ...........................................................................................................42 Develop the Final Contract ..................................................................................................42 Review and Approval of Contracts ......................................................................................43 Execute Contract and Issue Notice to Proceed to Consultant.............................................44 Administer the Contract .......................................................................................................44 Substitution of Consultant Personnel and Subconsultants ..................................................45 Invoicing (or Progress Payments)........................................................................................45 Contract Amendments .........................................................................................................46 Performance Evaluation ......................................................................................................47 Project Records ...................................................................................................................47 Retention Clauses ...............................................................................................................48 Review of Local Public Agency Actions...............................................................................48

10.1.9 Miscellaneous Considerations ...............................................................................................48 Agreements with Other Governmental Agencies.................................................................48 Small Purchase Contracts ...................................................................................................48 Noncompetitive Negotiated Contracts (Sole-Source) ..........................................................49 Retaining a Consultant as an Agency Engineer or in Management Support Role ..............49 Construction Engineering Services......................................................................................52

10.1.10 Program Management .........................................................................................................52

10.1.11 References...........................................................................................................................53

10.2 STATE-ONLY FUNDED A&E CONTRACTS..........................................................................55

10.2.1 General ..................................................................................................................................55

10.2.2 Definition of A&E....................................................................................................................56

10.2.3 Minimum Audit Requirements................................................................................................57 A. Written Procedures..........................................................................................................57 B. Conflict of Interest ...........................................................................................................57 C. Records...........................................................................................................................57 D. Full & Open competition..................................................................................................57 E. Selection Basis................................................................................................................57 F. Publication .......................................................................................................................57 G. Solicitation.......................................................................................................................58 Page iii of ix
January 2022
Local Assistance Procedures Manual Chapter 10
Consultant Selection
H. Cost Analysis ..................................................................................................................58 I. Negotiations......................................................................................................................58

10.3 NON-A&E CONTRACTS........................................................................................................63 Scope...................................................................................................................................63 Determining Non-A&E .........................................................................................................63 Example of Determining Non-A&E ......................................................................................63 Intelligent Transportation System (ITS) Projects .................................................................64 Non-Infrastructure Projects..................................................................................................64 Governing Regulations and Codes for Non-A&E.................................................................65 Procurement of Non-A&E Consultant Contracts..................................................................65 RFP Basic Requirements ....................................................................................................65 Additional Requirements and Evaluation Criteria ................................................................66 Consultant’s Proposal..........................................................................................................66 Cost Proposal Worksheet ....................................................................................................67 DBE Consideration ..............................................................................................................67 Administrative Requirements...............................................................................................67 Oral Presentations Optional.................................................................................................68 Cost-Effective / Public Interest Finding................................................................................68 Protest / Appeals / Reinstatement Procedures....................................................................68

10.4 A&E OVERSIGHT PROGRAM AND PROCESS REVIEW ....................................................69 General ................................................................................................................................69 Type of Reviews ..................................................................................................................69 Exhibit 10-C Review ............................................................................................................69 Review Findings and Deficiencies .......................................................................................70

10.5 SANCTIONS...........................................................................................................................71 Page iv of ix
January 2022
Local Assistance Procedures Manual Chapter 10
Consultant Selection
Exhibits
Exhibit 10-A: A&E Consultant Financial Document Review Request Exhibit 10-B: Suggested Consultant Evaluation Sheet
Exhibit 10-G: Individual A&E Task Order DBE Tracking Sheet Exhibit 10-H: Sample Cost Proposal (Example #1 through #4) Exhibit 10-I: Notice to Proposers DBE Information
Exhibit 10-K: Consultant Annual Certification of Indirect Costs and Financial Management System Exhibit 10-O1: Consultant Proposal DBE Commitment
Exhibit 10-O2: Consultant Contracts DBE Commitment
Exhibit 10-Q: Disclosure of Lobbying Activities
Exhibit 10-R: A&E Boiler Plate Agreement Language
Exhibit 10-S: Consultant Performance Evaluation
Exhibit 10-T: Conflict of Interest & Confidentiality Statement Exhibit 10-U: Consultant in Management Support Role Conflict of interest and Confidentiality Statement All LAPM Exhibits are located at:
https://dot.ca.gov/programs/local-assistance/forms/local-assistance-procedures-manual-forms Page v of ix
January 2022
Local Assistance Procedures Manual Chapter 10
Consultant Selection

10.1 FEDERALLY FUNDED A&E CONTRACTS
Procurement Planning
1 2 3
Local Public Agency Local Public Agency Local Public Agency *Select Project
*Set Project Objectives
*Determine Project Schedule
*Obtain CTC Allocation/Federal
Authorization to Proceed prior to
beginning reimbursable work
*LAPM Exhibit 10-U: Consultant in
Management Support Role
Conflict of Interest and
Confidentiality Statement, if
applicable: submit Conflict of
Interest (COI) and Scope of Work
(SOW) to DLA-HQ prior to
contract advertisement.
*Identify Need for Consultant
*Appoint Contract Administrator
*Segment Project Work
*Define SOW of A&E Consultant
*Specify Products to be
delivered
*Estimate Cost of Consultant Work
(independent cost estimate)
*Determine Type of Contract
(Project Specific or On-Call)
*Determine Method of Payment:

Lump Sum; Cost-Plus- FixedFee; Cost Per Unit of Work; or Specific Rate of Compensation
*Submit Exhibit 9-D to DLAE
A&E = Architectural and Engineering
IOAI = Caltrans Independent Office of Audits and
Investigations
CT = Caltrans
DBE = Disadvantaged Business Enterprise
DLA = Division of Local Assistance
DLAE = District Local Assistance Engineer
DLA-HQ = Division of Local Assistance-Headquarters
LAPG = Local Assistance Program Guidelines
LAPM = Local Assistance Procedures Manual
MOP = Method of Payment
RFP = Request for Proposal
RFQ = Request for Qualifications
SOQ = Statement of Qualifications
SOW = Statement/Scope of Work
Figure 10-1: A&E Contract Procurement Process Workflow Diagram Page vi of ix
January 2022
( )<===> ]<===> [ ]<===>
Local Assistance Procedures Manual Chapter 10
Consultant Selection
Solicitation Documents and Advertisement
4 5 6
Local Public Agency Local Public Agency Local Public Agency *Determine Solicitation Document;
RFP or RFQ
*Appoint Consultant Selection
Committee
*Collect signed Conflict of Interest
forms and Confidentiality
Statements (see Exhibit 10-T:

Conflict of Interest &
Confidentiality Statement) from
all members involved in process
*Determine Procurement Schedule
*Develop Technical Criteria
with level of importance
(weights) for Evaluation of
Proposals or the SOQ
*Prepare RFP or RFQ documents
*Include SOW, evaluation
process/criteria, DBE goals, MOP
and cost proposal format (see
Exhibit 10-H: Sample Cost
Proposal) minimum requirement
of Proposal or SOQ, Notice to
Proposers DBE Information (see
Exhibit 10-I: Notice to Proposers
DBE Information), submittal
deadline
*Advertise RFP or RFQ on public
forum (newspaper, technical
publications, Web Hosting Site,
other local websites)
*Issue RFP or RFQ (direct mailing,
web posting)
*Prepare to respond to RFP/RFQ
questions
*Conduct Proposers Conference, if
applicable
*Receive Proposals or SOQs
A&E = Architectural and Engineering
IOAI = Caltrans Independent Office of Audits and
Investigations
CT = Caltrans
DBE = Disadvantaged Business Enterprise
DLA = Division of Local Assistance
DLAE = District Local Assistance Engineer
DLA-HQ = Division of Local Assistance-Headquarters
LAPG = Local Assistance Program Guidelines
LAPM = Local Assistance Procedures Manual
MOP = Method of Payment
RFP = Request for Proposal
RFQ = Request for Qualifications
SOQ = Statement of Qualifications
SOW = Statement/Scope of Work
Figure 10-1: A&E Contract Procurement Process Workflow Diagram- continued Page vii of ix
January 2022
( )<===> ( )<===> ( )<===>
Local Assistance Procedures Manual Chapter 10
Consultant Selection
Evaluation and Selection of Consultant
Contract Negotiation
7 8 9
Local Public Agency Local Public Agency Local Public Agency *Distribute Proposals or SOQs to
Selection Committee members
*Ensure Committee members
receive the appropriate score sheet
to use (see Exhibit 10-B:

Suggested Consultant Evaluation
Sheet)
*Convene Selection Committee and
evaluate submittals; Perform
reference checks
*Develop Final Ranking or Short
List *Notify proposers of
ranking/Short List
*Retain all original score sheets
and summaries
*Send out RFPs to Short List
(two-step process)
*Conduct Interview of Short List
(if needed)
*Develop Final Ranking of
Consultants, and notify all
interviewees
*Retain all original score sheets
and summaries
*Provide a copy of Standard
Contract language to top
ranked consultant and invite
for negotiations (see Exhibit
10-R: Boiler Plate Agreement
Language for standard
contract language and
provisions)
*Open and analyze cost
proposal from the Highest
Ranked firm
Caltrans IOAI
*Review and evaluate 10-A
package and supporting
documents, if applicable
*Issue Financial Review Letter,
if applicable
*Perform contract audits and
reviews, if applicable, or
review of CPA audited ICR
workpapers to issue
Cognizant Letter of Approval
A&E = Architectural and Engineering
IOAI = Caltrans Independent Office of Audits and
Investigations
CT = Caltrans
DBE = Disadvantaged Business Enterprise
DLA = Division of Local Assistance
DLAE = District Local Assistance Engineer
DLA-HQ = Division of Local Assistance-Headquarters
LAPG = Local Assistance Program Guidelines
LAPM = Local Assistance Procedures Manual
MOP = Method of Payment
RFP = Request for Proposal
RFQ = Request for Qualifications
SOQ = Statement of Qualifications
SOW = Statement/Scope of Work
Figure 10-1: A&E Contract Procurement Process Workflow Diagram- continued Page viii of ix
January 2022
f ] <====> ]<====> l J<===>
( ) -
-
-
Local Assistance Procedures Manual Chapter 10
Consultant Selection
Contract Negotiation
Contract Execution
10 11 12
Local Public Agency Local Public Agency Local Public Agency *Negotiate contract costs with the
most qualified Consultant
*Prepare and retain record of cost
negotiations
*Initiate CT IOAI Financial Review
Section (LAPM Section 10.1.3)
and send documents (Exhibit
10-A: A&E Consultant Financial
Document Review Request), if
applicable, to Caltrans IOAI
*Receive and analyze findings of the
Financial Review Letter from CT
IOAI, if any
*Address and resolve all findings by
IOAI and incorporate into final
contract and cost proposal
*If negotiations with First ranked
firm is unsuccessful, formally
terminate cost negotiations with
Consultant and begin Step 9 with
next ranked consultant
* Complete Exhibit 10-C database to
DLA-HQ prior to award or after
award, but no later than the first
invoice
*Retain Exhibit 10-C
*Finalize contract, cost proposal
*Retain copy of contract Financial
Review Letter with acceptance,
denial, or adjustment of the ICR
*Sign and Execute contract
*Offer and conduct debriefing
meetings with consultant who
asked for one
*Send copies of executed contract
and DBE Commitment (Exhibits
10-O1: Consultant Proposal DBE
Commitment and Exhibit 10-O2:

Consultant Contract DBE
Commitment) to DLAE
*Close out contract procurement
process
DLAE
*Prior to concurring with invoice
payment related to consultant
services, ensure that district
confirms submittal of Exhibit 10-
C and has a copy of the
executed consultant contract on
file and 10-O1 and 10-O2. Also,
check IOAI database to ensure
that Exhibit 10-K: Consultant
Annual Certification of Indirect
Costs and Financial
Management System, if
applicable, has been received by
IOAI
Caltrans IOAI
*Perform Incurred Cost Audit, if
selected
A&E = Architectural and Engineering
IOAI = Caltrans Independent Office of Audits and
Investigations
CT = Caltrans
DBE = Disadvantaged Business Enterprise
DLA = Division of Local Assistance
DLAE = District Local Assistance Engineer
DLA-HQ = Division of Local Assistance-Headquarters
LAPG = Local Assistance Program Guidelines
LAPM = Local Assistance Procedures Manual
MOP = Method of Payment
RFP = Request for Proposal
RFQ = Request for Qualifications
SOQ = Statement of Qualifications
SOW = Statement/Scope of Work
Figure 10-1: A&E Contract Procurement Process Workflow Diagram- continued Page ix of ix
January 2022
[ ]<===> ] <==>
[ ]
Local Assistance Procedures Manual Chapter 10
Consultant Selection

10.1.1 General
Introduction
A Local Public Agency (LPA) may engage consultants to perform architectural, engineering, and related services to develop a federal-aid funded project. LPAs requesting federal funds to reimburse A&E Consultants must follow the selection and contracting procedures detailed in Section 10.1 of this chapter. LPAs using local funds to procure an A&E Consultant on a federalaid funded project and will not seek federal reimbursement for the consultant cost may choose not to follow the selection and contracting procedures detailed in Section 10.1 of this chapter.

LPAs using local funds to procure a consultant in a management support role are required to obtain FHWA approval, see Section 10.1.9: Retaining a Consultant as an Agency Engineer or in Management Support Role of this chapter.

Definition of an Architectural and Engineering Consultant 23 CFR 172 and Government Code 4252 further defines A&E services as those private consulting firms providing architectural, landscape architectural, engineering, environmental, land surveying, construction engineering, or program management are termed Architectural and Engineering (A&E) Consultants.

Architectural and Engineering Consultants
The Brooks Act (40 USC, Section 1104) requires LPAs to award federally funded engineering and design related contracts based on fair and open competitive negotiations, demonstrated competence, and professional qualifications (23 CFR 172), at a fair and reasonable price (48 CFR 31.201-3).

Cost proposals submitted to the LPA must be sealed and must not be included as a criterion for rating such consultants. After ranking, cost negotiations will begin with the most qualified consultant and only their cost proposal will be opened. Should negotiations fail or result in a price that the LPA does not consider fair and reasonable, negotiations must be formally terminated, and the LPA must then undertake negotiations with the second most qualified consultant.

If the negotiations with the second most qualified firm are not successful, negotiations must be formally terminated and the LPA must then undertake negotiations with the third most qualified consultant, and so on, until the price is determined to be fair and reasonable by the LPA.

In selecting an A&E consultant, a detailed technical proposal or qualifications proposal, and a proposed contract will be required.

Depending upon the scope of work, the required contract provisions may need to include the California State Prevailing Wages (Federal Payment of Predetermined Minimum Wage applies only to federal-aid construction contracts). Prevailing wages will apply if the services to be performed will involve land surveying (such as flag persons, survey party chief, rodman or chainman), materials sampling and testing (such as drilling rig operators, pile driving, crane operators), inspection work, soils or foundation investigations, environmental hazardous materials and so forth. California State Prevailing Wage information is available through the California Department of Industrial Relations websites below:

Page 1 of 71 ends

San Rafael City CouncilJanuary 18, 2022

San Rafael City Council
January 18, 2022