Agenda packet — City Council and Concurrent Authorities, November 15, 2022 (part 1 of 3)

City Council/Successor Agency to the
Redevelopment Agency/Public
Financing Authority/Parking Authority
Concurrent
City of Stockton
Meeting Agenda - - Revised
City Council/Successor
Agency of the
Redevelopment
Agency/Public Financing
Authority/Parking Authority
Concurrent Agenda
Kevin J. Lincoln II (At Large) Mayor/Chair
Christina Fugazi (District 5) Vice Mayor/Vice Chair
Sol Jobrack (District 1)
Daniel R. Wright (District 2)
Paul Canepa (District 3)
Susan Lenz (District 4)
Kimberly Warmsley (District 6)
Council Chamber, City Hall, 425 N. El Dorado
Street, Stockton CA
4:00 PMTuesday, November 15, 2022
Closed Session 4:00 PM :: Regular Session 5:30 PM
Councilmember Susan Lenz will participate in the meeting via teleconference from the following location:

The Westin New York at Times Square
270 W 43rd St Room 4202
New York, NY 10036

1. CLOSED SESSION CALL TO ORDER/ROLL CALL

2. ADDITIONS TO CLOSED SESSION AGENDA

3. ANNOUNCEMENT OF CLOSED SESSION

3.1 22-1037

CONFERENCE WITH LEGAL COUNSEL - EXISTING LITIGATION
Number of Cases: Three
Name of Case: Fire Engineer Benjamin Ortiz, (Workers’
Compensation Appeals Board Case Nos.

ADJ14346014 and ADJ15136612)
Name of Case: Fire Captain Michael Smith, (Workers’
Compensation Appeals Board Case Nos.

ADJ10335238, ADJ12858904, ADJ12858903,
ADJ12858905, ADJ12858906, and
ADJ12858509)

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1 November 15, 2022City Council/Successor Agency to
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Financing Authority/Parking
Authority Concurrent
Meeting Agenda - - Revised
Name of Case: Kurt Wilson v. City Council of Stockton, et al. (San Joaquin County Superior Court Case No.

STK-CV-UVM-2019-12404)
This Closed Session is authorized pursuant to section 54956.9(d) (1) of the Government Code.

Department: City Attorney

3.2 22-1038 CONFERENCE WITH LABOR NEGOTIATOR
Recommended Action: Agency Designated Representative: City Manager Harry Black Employee Organizations: Unrepresented Units, Stockton City Employees' Association, Operating Engineer's Local 3, Mid-Management/Supervisory Level Unit, Unrepresented Management/Confidential, Law Department, Stockton Police Management Association, Stockton Firefighters Local 456 International Association of Firefighters, Stockton Fire Management, Stockton Police Officers' Association (SPOA)
This Closed Session is authorized pursuant to section 54957.6(a) of the Government Code.

Department: City Attorney

3.3 22-1039 PUBLIC EMPLOYEE PERFORMANCE EVALUATION:

Recommended Action: City Manager

This Closed Session is authorized pursuant to Government Code section 54957.

Department: City Attorney

3.4 22-1040 PUBLIC EMPLOYEE PERFORMANCE EVALUATION:

Recommended Action: City Attorney

This Closed Session is authorized pursuant to Government Code section 54957.

Department: City Attorney

3.5 22-1041 PUBLIC EMPLOYEE PERFORMANCE EVALUATION:

Recommended Action: City Clerk

This Closed Session is authorized pursuant to Government Code section 54957.

Department: City Attorney

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2 November 15, 2022City Council/Successor Agency to
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Authority Concurrent
Meeting Agenda - - Revised

3.6 22-1042

CONFERENCE WITH LEGAL COUNSEL - POTENTIAL LITIGATION
Number of Cases: One
Based on existing facts and circumstances, there is significant exposure to litigation pursuant to Government Code section 54956.9(d)(2).

Department: City Attorney

3.7 22-1124 CONFERENCE WITH LEGAL COUNSEL - INITIATION OF

LITIGATION
Number of Cases: One
This Closed Session is authorized pursuant to Government Code section 54956.9(d)(4) to discuss matters pertaining to the initiation of litigation.

Department: City Attorney

4. CLOSED SESSION PUBLIC COMMENT*

5. RECESS TO CLOSED SESSION

6. REGULAR SESSION CALL TO ORDER/ROLL CALL

7. INVOCATION/PLEDGE TO FLAG

8. REPORT OF ACTION TAKEN IN CLOSED SESSION

9. ADDITIONS TO REGULAR SESSION AGENDA***

10. RECOGNITIONS, ANNOUNCEMENTS, OR REPORTS

10.1 22-1064
CERTIFICATE: AIME ACOSTA FOR ACHIEVING THE RANK OF

EAGLE SCOUT
Department: Office of the Mayor

11. PUBLIC COMMENTS* – MATTERS NOT ON THE AGENDA

12. CONSENT AGENDA

12.1 22-1067 ACCEPT THE QUARTERLY INVESTMENT REPORT FOR QUARTER ENDED SEPTEMBER 30, 2022

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Authority Concurrent
Meeting Agenda - - Revised
Recommended Action:

RECOMMENDATION
It is recommended that the City Council accept by motion the Quarterly Investment Report for the quarter ended September 30, 2022.

Department: Administrative Services
Attachment A - Quarterly Investment Report 9-30-2022
Attachment B - Certification of Quarterly Investment Report Attachments:

12.2 22-1112 2023 CITY COUNCIL/SUCCESSOR AGENCY/STOCKTON PUBLIC

FINANCING AUTHORITY/ STOCKTON PARKING AUTHORITY

MEETING CALENDAR
Recommended Action:

RECOMMENDATION
It is recommended that the City Council, Successor Agency, Stockton Public Financing Authority, and Stockton Parking Authority adopt by motion the 2023 Concurrent City Council/Successor Agency/Stockton Public Financing Authority/Stockton Parking Authority Meeting Calendar.

Department: City Manager
Attachment A - 2023 Meeting and Closed Days CalendarAttachments:

12.3 22-1011 AMENDING, DELETING, AND ADDING VARIOUS CHAPTERS AND SECTIONS OF TITLE 15 OF THE STOCKTON MUNICIPAL CODE BY
INCORPORATING THE 2022 EDITION OF CALIFORNIA CODE OF
REGULATIONS, TITLE 24, INCLUDING APPLICABLE APPENDICES (CALIFORNIA MODEL BUILDING AND FIRE CODES), AND ADDING
CHAPTER 15.90 ESTABLISHING AN EXPEDITED, STREAMLINED

PERMITTING PROCESS FOR ELECTRIC VEHICLE CHARGING
STATIONS.

Recommended Action:

RECOMMENDATION
It is recommended that the City Council adopt an ordinance amending, deleting, and adding various sections of Title 15 of the Stockton Municipal Code (SMC), specifically, Chapters 15.04, 15.08, 15.10, 15.12, 15.16,

15.20, 15.36, 15.40, 15.44, 15.64, 15.72, 15.82, 15.86, and 15.90 to incorporate the 2022 Edition of the California Code of Regulations, Title 24, as amended, and establish an expedited, streamlined permitting process for electric vehicle charging stations.

Department: Community Development
Attachment A - Building Code and EV Ordinance - Redline Proposed Ordinance - Recommending Approval of Changes
Attachments:

12.4 22-1018 APPROVE A RESOLUTION AUTHORIZING THE PURCHASE OF

LIBRARY FURNITURE FOR TRACY AND MANTECA BRANCH

LIBRARIES UTILIZING THE COOPERATIVE AGREEMENTS WITH

NATIONAL COOPERATIVE PURCHASING ALLIANCE, AND

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AMENDING THE FISCAL YEAR 2022-23 BUDGET FOR THE TRACY

AND MANTECA BRANCHES OF STOCKTON SAN JOAQUIN
COUNTY LIBRARY SYSTEM, TO REALLOCATE $200,930 FROM

CITY-HELD COUNTY FUND BALANCE
Recommended Action:

RECOMMENDATION
It is recommended that the City Council approve a resolution to:

1. Approve the use of a Cooperative Agreement through the National Cooperative Purchasing Alliance ("NCPA") Contract Number 07-85 with Demco, Inc. to acquire furniture, fixtures, and equipment for each of the Tracy and Manteca branch libraries.

2. Authorize the City Manager, or designee, to execute a multi-year Cooperative Purchasing Agreement for the Tracy Library, expiring September 30, 2025, in an amount not to exceed $394,606.58 with Demco, Inc.

3. Authorize the City Manager, or designee to execute a multi-year Cooperative Purchasing Agreement for the Manteca Library, expiring September 30, 2025, in an amount not to exceed $88,000 with Demco, Inc.

4. Approve findings that support and justify an exception to the competitive bidding process.

5. Amend the Fiscal Year 2022-23 Annual Budget to appropriate $200,930 from City-Held County Fund Balance to the Manteca Branch Library ($34,930) and Tracy Branch Library ($166,000) accounts.

6. Authorize the City Manager, or designee, to take necessary and appropriate actions to carry out the purpose and intent of this resolution.

Department: Community Services
Proposed Resolution
Exhibit 1 - NCPA COOP Package Tracy
Exhibit 2 - NCPA COOP Package Manteca
Attachments:

12.5 22-1059 APPROVE BY MOTION THE COMMUNITY SUPPORT GRANT

PROGRAM RECOMMENDATIONS AND ENTER INTO CONTRACTS

WITH AWARDEES

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Recommended Action:

RECOMMENDATION
It is recommended that the City Council approve a motion to:

1. Approve the recommended Community Support Grant Program awardees and amounts;

2. Approve and authorize the City Manager, or designee, to execute contracts with the recommended awardees in the total amount of $2,678,900, with discretion to adjust the award amount to each awardee based upon final negotiated services;

3. Authorize the City Manager, or designee, to take appropriate and necessary actions to carry out the purpose and intent of this motion.

Department: Economic Development
Attachment A - Recommendation List & Project DescriptionsAttachments:

12.6 22-1047 RESOLUTION TO AUTHORIZE THE REFUND OF STORMWATER

FEES TO ET STOCKTON OWNER, LLC
Recommended Action: RECOMMENDATION
It is recommended that the City Council adopt a resolution to authorize the refund of stormwater fees in the amount of $71,371.09 to ET Stockton Owner, LLC.

It is further recommended that the City Manager be authorized to take appropriate and necessary actions to carry out the purpose and intent of this resolution.

Department: Municipal Utilities
Proposed Resolution - Refund ET Stockton Owner LLCAttachments:

12.7 22-0936 AUTHORIZE A CONTRACT WITH SYNAGRO-WWT, INC. FOR

REGIONAL WASTEWATER CONTROL FACILITY BIOSOLIDS
MANAGEMENT SERVICES AND AMEND THE FISCAL YEAR 2022-23

ANNUAL BUDGET

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Recommended Action:

RECOMMENDATION
It is recommended that the City Council approve a resolution:

1. Approving the plans and specifications for the Request for Sealed Bids for Municipal Utilities Department Regional Wastewater Control Facility Biosolids Management Services (PUR-22-016).

2. Authorizing a five-year contract with Synagro-WWT, Inc. of Baltimore, MD, to provide biosolids management services for a total amount not-to-exceed $22,185,200 (Exhibit 1 to the Resolution).

3. Appropriating funds in the amount of $230,000 from the Wastewater Utility Fund Balance to the Wastewater Treatment Plant Operations, Special Services account for these services.

It is also recommended that the City Manager be authorized to take appropriate and necessary actions to carry out the purpose and intent of this resolution.

Department: Municipal Utilities
Proposed Resolution
Exhibit 1 - Contract
Attachments:

12.8 22-0966 ADOPT A RESOLUTION AWARDING A SERVICE CONTRACT TO

SILVA LANDSCAPE FOR STORMWATER DRAINAGE BASIN

MAINTENANCE
Recommended Action:

RECOMMENDATION
It is recommended that the City Council adopt a resolution awarding a three-year service contract to Silva Landscape of Patterson, California in the amount of $451,800 for Stormwater Drainage Basin Maintenance (Project PUR 22-011).

It is also recommended that the City Manager be authorized to take appropriate and necessary actions to carry out the purpose and intent of this resolution.

Department: Municipal Utilities
Attachment A - Vicinty Map
Proposed Resolution - Silva Landscape
Exhibit 1 - Contract with Silva Landscape
Attachments:

12.9 22-1046 APPROVE RESOLUTION ACCEPTING GRANT FUNDING FOR THE

BUREAU OF JUSTICE ASSISTANCE LOCAL LAW ENFORCEMENT

CRIME GUN INTELLIGENCE CENTER INTEGRATION INITIATIVE
GRANT IN THE AMOUNT OF $700,000

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Recommended Action:

RECOMMENDATION
It is recommended that the City Council adopt a resolution:

1. Authorizing the City Manager, or designee, to accept the Bureau of Justice Assistance Local Law Enforcement Crime Gun Intelligence Center Integration Initiative (CGIC) Grant in the amount of $700,000; and

2. Authorize the City Manager, or designee, to execute all grant award documents as required by the Bureau of Justice Assistance and accept applicable terms and conditions; and

3. Amend the Fiscal Year 2022-23 Annual Budget to increase the Police Grants & Special Programs revenue and expenditure appropriation by $700,000: and
It is also recommended that the City Council authorize the City Manager, or designee, to take appropriate and necessary actions to carry out the purpose and intent of this resolution.

Department: Police
Attachment A - GIC Funded Award Letter FAW-172572
Proposed Resolution
Attachments:

13. ADMINISTRATIVE MATTERS

14. UNFINISHED BUSINESS

15. NEW BUSINESS

15.1 22-0995

APPROVE A MOTION TO AWARD A PROFESSIONAL SERVICES

CONTRACT TO REVIZE FOR THE REDESIGN, DEVELOPMENT,

IMPLEMENTATION, HOSTING AND MAINTENANCE OF THE CITY

OF STOCKTON WEBSITE
Recommended Action:

RECOMMENDATION
It is recommended that City Council adopt a motion to:

1. Approve findings pursuant to Stockton Municipal Code 3.68.070 that support and justify an exception to the competitive bidding process; and

2. Approve entering into a contract with Revize Software Systems, LLC, of Troy, Michigan, to redesign, develop, implement, host, and maintain the City of Stockton website for a period of a total not-to-exceed amount of $193,100 for implementation and up to five (5) years of service; and

3. Authorize the City Manager, or designee, to take all necessary and appropriate actions to carry out the purpose and intent of this motion.

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Department: City Manager
Attachment A - Professional Services Agreement
PPT - 15.1 - Revize Software Systems, LLC
Attachments:

15.2 22-1022 DISCUSSION REGARDING THE ESTABLISHMENT OF A

COMMERCIAL VACANCY ORDINANCE
Recommended Action: RECOMMENDATION
It is recommended that City Council postpone consideration of a draft ordinance until:

1. Neighborhood Services is fully staffed; and

2. Public Outreach has been completed; and

3. A comprehensive needs assessment regarding this program has been completed.

Department: Police
Attachment A - Commercial Vacancy Registration Ordinance

15.2 - Establishing a Commercial Vacancy Registration
Attachments:

16. HEARINGS**

16.1 22-1025 TEFRA PUBLIC HEARING FOR GOODWILL INDUSTRIES OF SAN JOAQUIN VALLEY, INC., LOCATED AT 4533 ALITALIA AVENUE
Recommended Action: RECOMMENDATION
It is recommended that the City Council adopt a resolution to:

1. Conduct a public hearing under the requirements of TEFRA and the Internal Revenue Code of 1986, as amended (the "Tax Code").

2. Approve the issuance of $14,500,000 of California Enterprise Development Authority ("CEDA") tax-exempt conduit obligations for the benefit of Goodwill Industries of San Joaquin Valley, Inc., to provide for the financing of the Project (as defined herein), such adoption is solely for the purposes of satisfying the requirements of TEFRA, the Tax Code and the California Government Code Section 6500 (and following).

Note: The tax-exempt conduit obligations will not be a debt of the City, nor will they obligate the City in any way.

3. Authorize the City Manager, or designee, to take actions that are necessary and appropriate to carry out the purpose and intent of the resolution.

Department: Economic Development

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9 November 15, 2022City Council/Successor Agency to
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Financing Authority/Parking
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Meeting Agenda - - Revised
Attachment A - Vicinity Map 4533 Alitalia Ave
Proposed Resolution - TEFRA Goodwill
PPT - 16.1 - TEFRA Goodwill
Attachments:

16.2 22-1036 CONVENE A PUBLIC HEARING AND ADOPT BY MOTION TO APPLY

FOR, ACCEPT, AND APPROPRIATE GRANT FUNDING FROM THE

CALIFORNIA INTERAGENCY COUNCIL ON HOMELESSNESS (CAL

ICH) FOR ROUND FOUR OF THE HOMELESS HOUSING

ASSISTANCE AND PREVENTION (HHAP) GRANT PROGRAM
Recommended Action:

RECOMMENDATION
It is recommended that the City Council adopt a motion to:

1. Convene a public hearing to review the City's HHAP Round 4 Funding Application strategies, including an analysis of homeless demographics, needs, assets, and recommended outcome goals;

2. Approve the updated City of Stockton Homeless Action Plan;

3. Authorize staff to apply for, accept and appropriate Round 4 of the Homeless Housing, Assistance and Prevention Grant (HHAP 4) grant funds;

4. Authorize the City Manager, or designee, to enter a Standard Agreement for HHAP 4 funds with all its exhibits or other necessary documents consistent with the motion; and authorize the City Manager to approve consultant contracts that exceed the Stockton Municipal Code Section 3.68.060 spending limits to carry out administrative portions of the grant where necessary, and,

5. Authorize the City Manager, or designee, to take appropriate and necessary actions to carry out the purpose and intent of this motion.

Department: Economic Development
Attachment A - Stockton Homeless Action Plan
PPT - 16.2 - HHAP Grant Program
Attachments:

16.3 22-0961 ADOPT AN ORDINANCE AMENDING TITLE 5, CHAPTER 5.16 OF

THE STOCKTON MUNICIPAL CODE TO IMPOSE LICENSING AND

OPERATING RESTRICTIONS ON TOBACCO RETAILERS PRIOR TO
OPERATING WITHIN THE CITY; AND PUBLIC HEARING TO ADOPT

A RESOLUTION APPROVING THE AMENDMENT TO THE FISCAL
YEAR 2022-23 FEE SCHEDULE RELATED TO THE TOBACCO

RETAIL LICENSE

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Recommended Action:

RECOMMENDATION
It is recommended that the City Council:

1. Adopt an Ordinance Amending Title 5, Chapter 5.16, section 5.16.010 and adding Chapter 5.102 to the Stockton Municipal Code ("SMC") requiring tobacco retailers to obtain a license from the City.

2. Adopt a Resolution approving an amendment to the Fiscal Year 2022-23 Fee Schedule relating to tobacco retail licenses.

3. Authorize the City Manager, or designee, to take appropriate and necessary actions to carry out the purpose and intent of the ordinance and resolution adopted by Council.

Department: City Manager
Attachment A - Proposed Ordinance - Redline
Attachment B - Proposed Ordinance - Clean with Flavor Prohibition Attachment C - Proposed Ordinance - Clean without Flavor Prohibition Proposed Resolution - Tobacco Retail License
Exhibit 1 - Tobacco Ordinance Fees
PPT - 16.3 - Proposed Tobacco Retailer Ordinance
Attachments:

16.4 22-1126 ADOPT A RESOLUTION CERTIFYING AN ENVIRONMENTAL

IMPACT REPORT, ADOPT AN ORDINANCE FOR PRE-ZONING,

ADOPT A DEVELOPMENT AGREEMENT, ADOPT A RESOLUTION

AUTHORIZING ANNEXATION REQUESTS FOR A PROPOSED
INDUSTRIAL DEVELOPMENT AT 5110, 5150, 5268, 5280, AND 5290 MARIPOSA ROAD, 4500 EAST CLARK ROAD, AND 4600 AND 4610
MARFARGOA DRIVE (APNS 179-220-10; -11; -12; -13; -16; -17; -18; -19; -24) (P20-0805), AND APPROVE RELATED SETTLEMENT

DOCUMENTS
Recommended Action:

RECOMMENDATION
This item is continued to the December 6, 2022, City Council Meeting.

Department: Community Development

17. CITY MANAGER'S UPDATE

18. COUNCIL COMMENTS

19. ADJOURNMENT

INFORMATIONAL ITEMS

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CERTIFICATE OF POSTING
I declare, under penalty of perjury, that I am employed by the City of Stockton and that I caused this agenda to be posted in the City Hall notice case on November 10, 2022 in compliance with the Brown Act.

Eliza R. Garza, CMC
City Clerk
By: ________________________________

Deputy

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PUBLIC COMMENTS
*Citizens may comment on any subject within the jurisdiction of the City Council/Successor Agency to the Redevelopment Agency/Public Finance Authority/Parking Authority, including items on the Agenda. Each speaker is limited to three minutes. Speakers must submit “Request to Speak” cards to the City Clerk, and be prepared to speak when called. No speaker cards will be received after the close of the Citizen’s Comments portion of the meeting.
**Speakers should hold comments on items listed as a Hearing until the Hearing is opened.

The City of Stockton invites public comments in multiple forms. You provide your comments by using one of these methods:

1. e-Comment - follow the e-comment link on the City's agenda page stockton.granicusideas.com/meetings

2. Email - you may email your comments to [email protected]

3. Voicemail - you can leave a voice message by dialing (209) 937-8459.

4. In-Person Comments - a) Speakers must submit "request to speak cards" to the Clerk prior to the Public Comment portion of the agenda. No speaker cards will be accepted after the close of Public Comment. Please redirect any inquiries to [email protected]. b) Address only issues over which the meeting body has jurisdiction. c) Each speaker will be limited to one 3-minute comment opportunity. Donating time is not authorized. d) Your time will be displayed on the speaker podium for convenience. *All written and voicemail public comments received by the Clerk's Office 90 minutes prior to the meeting start time will be forwarded to the meeting body members as correspondence and attached the minutes. All comments received after that time will be forwarded as correspondence the following business day. ***Additions to the Agenda - Government Code Section 54954.2(b)(2), allows members of the City Council present at the meeting to take immediate action, with either a two-thirds or unanimous vote, to place an item on the agenda that action must be taken and that the item came to the attention of the City subsequent to the agenda being posted.

All proceedings before this meeting body are conducted in English. The City of Stockton does not furnish language interpreters and, if one is needed, it shall be the responsibility of the person needing one.

In accordance with the Americans With Disabilities Act and California Law, it is the policy of the City of Stockton to offer its public programs, services and meetings in a manner that is readily accessible to everyone, including those with disabilities. If you are a person with a disability and require a copy of a public hearing notice, or an agenda and/or agenda packet in an appropriate alternative format; or if you require other accommodation, please contact the Office of the City Clerk located at 425 North El Dorado Street, Stockton, California 95202 during normal business hours or by calling (209) 937-8458, at least 5 days in advance of the hearing/meeting. Advance notification within this guideline will enable the City/Agency to make reasonable arrangements to ensure accessibility.

Materials related to an item on this agenda submitted to City Council after distribution of the agenda packet are available for public inspection in the City Clerk's Office at 425 North El Dorado Street, Stockton, California 95202, during normal business hours. Such documents are also available on the City's website at www.stocktongov.com subject to staff's ability to post the documents before the meeting.

CHALLENGING CITY DECISIONS: The time limit within which to commence any lawsuit or legal challenge to any quasi-adjudicative decision made by the City is governed by Section 1094.6 of the Code of Civil Procedure, unless a shorter limitation period is specified by any other provision. Under Section 1094.6, any lawsuit or legal challenge to any quasi-adjudicative decision made by the City must be filed no later than the 90th day following the date on

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which such decision becomes final. Any lawsuit or legal challenge, which is not filed within that 90-day period, will be barred. If a person wishes to challenge the nature of the above section in court, they may be limited to raising only those issues they or someone else raised at the meeting described in this notice, or in written correspondence delivered to the City of Stockton, at or prior to the meeting. In addition, judicial challenge may be limited or barred where the interested party has not sought and exhausted all available administrative remedies.

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14 City of Stockton
Legislation Text
File #: 22-1067, Version: 1
ACCEPT THE QUARTERLY INVESTMENT REPORT FOR QUARTER ENDED SEPTEMBER 30, 2022

RECOMMENDATION
It is recommended that the City Council accept by motion the Quarterly Investment Report for the quarter ended September 30, 2022.

Summary
Pursuant to California Government Code section 53646 and the City’s Investment Policy (Policy No.

17.01.030), the City Treasurer (Chief Financial Officer) is required to provide a quarterly report and certification to the City Council, City Manager, and City Auditor.

Starting July 1, 2022, the City moved to having two portfolio managers managing separate portions of the City’s Reserve portfolio. Both Quarterly Investment Reports and Certification for the quarter ending September 30, 2022, are provided as required (Attachments A and B). This report is presented as required and will bring the City current on its reporting requirements.

The City’s consolidated investment portfolio was approximately $821.5 million as of September 30, 2022; which represents a decline from the prior market value reported at June 30, 2022 due to the rising interest rate environment having an adverse impact on the City’s fixed income portfolio, net outflow of liquidity due to the City’s fall debt service, and the prepayment of the CalPERS contribution attributable to unfunded liability. This consolidated investment portfolio includes the City’s liquidity position, short-term investments, and the reserve portfolios (as shown on page 1, Attachment A). The total market value-based earnings for the most recent quarter are shown on pages 24-25 of the PFM report and page 22 of the Chandler Asset Management report in Attachment A. Additionally, the City’s liquidity holding in both CAMP and LAIF, together holding $105.2 million, has interest earnings of $396,612 for the quarter ended September 30, 2022.

DISCUSSION
Background
To comply with state law and city policy, the City is required to present a quarterly certification and investment reports detailing the City’s investment portfolio to the City Council, City Manager, and City Auditor. The City also posts monthly transaction reports to the City’s website. The Quarterly Investment Report shall include a complete description of the portfolio, the type of investments, the issuers, maturity dates, par value, and dollar amounts invested in all securities, investments, or programs that are under the management of contracted parties, including lending programs. The certification must provide assurances that investments were made consistent with the City’s City of Stockton Printed on 11/9/2022Page 1 of 3
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Investment Policy and that the City will meet its expenditure obligations for the next six months.

The authority of the Council to invest, reinvest funds, sell or exchange securities is delegated to the City’s Chief Financial Officer, who also serves as City Treasurer (Resolution #2022-06-21-1601).

Pursuant to the Investment Policy, the City Treasurer may and does delegate some fiduciary responsibility to an outside investment management firm. An investment manager’s fiduciary responsibility is a legal requirement related to registration with the Securities and Exchange Commission under the Investment Advisor Act of 1940.

Due to the specialized services and expertise required to assist the City in the varied investment options available, the City contracts with two experienced investment managers, PFM Asset Management LLC (PFM), and Chandler Asset Management Inc (Chandler).

Present Situation
The attached report (Attachment A) details the activities of the quarter ended September 30, 2022, and includes detailed information on the holdings of the City’s portfolio on that date, as aggregated in the first page, followed by portfolio reports from both investment managers. Incorporated by reference, is a certification (Attachment B) that the assets comply with the requirements of State law and City policy and that there is sufficient liquidity to cover the subsequent six months of budgeted activities.

The attached quarterly investment report has been published online along with monthly reports:
<http://www.stocktongov.com/government/departments/adminServices/finInv.html> Portfolio Balances and Performance
During the quarter, the U.S. economy was characterized by high inflation, a strong labor market, depressed consumer confidence, and growing potential for an economic recession. To combat sustained high inflation, the Federal Reserve continued to tighten monetary policy, bringing the Fed Funds target rate to a new range of 3.00% to 3.25% at their September Federal Open Market Committee meeting. The three-quarters of one percent rate hike at that meeting was the third in a row following a one-half increase early in 2022, and interest rates have risen across the yield curve.

Interest rates on US Treasuries increased across the maturity spectrum resulting in an inverted yield curve, with yields peaking at the 3-year maturity, and slightly lower thereafter. Rising interest rates resulted in the third consecutive quarter of negative total return performance in the bond markets, including for the City’s Reserve portfolios and their benchmark, as unrealized losses resulting from rising interest rates were greater than realized earnings. On the positive side, new purchases during the quarter helped to increase the City’s earnings rate as new investments were purchased for the Reserve portfolio at yields that reflect the highest levels experienced in close to 20 years.

The City divides its investment portfolio into Reserve and Liquid portions with a consolidated market value of approximately $821.5 million as of September 30, 2022. The Reserve portion represents the long-term assets managed by PFM and Chandler and the Liquid portion represents funds invested in several short-term investment vehicles including State of California Local Agency Investment Fund, California Asset Management Program, and Dreyfus Treasury Money Market to maintain adequate liquidity and optimize returns. The total returns on the consolidated portfolio for the first quarter of the fiscal year were negative due to the continuing impacts of the Fed’s interest rate hikes. These City of Stockton Printed on 11/9/2022Page 2 of 3
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16 File #: 22-1067, Version: 1
negative returns are detailed on pages 24-25 of the PFM report and page 22 of the Chandler Asset Management report in Attachment A. It’s important to note that any market value declines in the City’s portfolio are not realized until the underlying securities are sold. However, to minimize realized losses from the interest rate changes, City staff works closely with our investment advisors to ensure that securities in our portfolio are held until maturity, only trading them when doing so involves minimal realized losses, and better positions the portfolio to lock-in future realized gains. As aforementioned, the reduced market value is attributable to the rising interest rate environment, and we will likely continue to see the impacts of that in the portfolio, as the Federal Reserve continues to increase short-term rates. The quarterly return valuation includes funds from all activities, restricted and unrestricted, and includes changes in fair market value (unrealized gains/losses).

The performance of the reserve portion of the portfolio, managed by both PFM and Chandler through September 30, 2022, is benchmarked against the Bank of America Merrill Lynch index of 1- 5-year government and U.S. issued corporate securities rated A- or better. The benchmark generally reflects the portfolio’s strategy and composition. City staff works closely with both PFM and Chandler to monitor the status of the City’s investment portfolio and its returns.

The City’s investment portfolio complies with California Government Code 53601. It is invested solely in fixed-income securities (no stock holdings) that, while earning certain rates of interest, gain in market value when interest rates fall and lose market value when interest rates rise. The portfolio’s earnings on a market value basis were negative, as unrealized market value losses due to rising rates were greater than realized earnings.

Given the likely path of continued aggressive Fed rate hikes, interest rates are expected to continue to move higher through the remainder of fiscal year 2023, and reinvestment of holdings into higher yielding investments will continue to increase earnings going forward. New investments will continue to be evaluated and purchased for the City’s portfolio to balance the capture of higher yields against the risk of potentially higher rates to come and the possibility of any recession that may be caused by the Fed’s tightening cycle, and the lower rates that such a recession might bring.

FINANCIAL SUMMARY
There is no financial impact related to the presentation of these reports.

Attachment A - Quarterly Investment Report 9-30-2022
Attachment B - Certification of Quarterly Investment Report City of Stockton Printed on 11/9/2022Page 3 of 3
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17 For the Quarter Ended September 30, 2022
Consolidated Summary
Account Summary
Reserve Portfolio1 $558,997,954
Short-Term Portfolio2 $119,090,495
BoW Main Account $38,186,571
CAMP Pool $30,223,355
Local Agency Investment Fund $75,000,000
Total Program $821,498,375
$0
$25
$50
$75
$100
$125
$150
$175
$200
30 Days
and Under
31 to 60
Days
61 to 90
Days
91 to 180
Days
181 to 1
Year
1 to 2
Years
2 to 3
Years
3 to 4
Years
4 to 5
Years
5 to 7
Years
7 to 10
Years
Over 10
Years
Millions
Maturity Distribution
Weighted Average Maturity: 667 Days

17.5%

0.5%

1.6%

7.3%

13.8%

17.3%

20.4%

16.6%

3.9%

0.5% 0.5% 0.0%
Corporate
Note
14%
Municipal
2%
Federal
Agency
16%
Agency MBS
<1%
Supranational
1%Cash
<1
U.S. Treasury
32%
Bank of the
West
5%
CAMP
4%
LAIF
9%
Certificate of
Deposit
8%
Asset-Backed
Security
1%
Commercial
Paper
8%
Consolidated Sector Allocation

1. Reserve Portfolio combines Reserve portfolios from both PFMAM and Chandler Asset Management.

2. Short-Term
Portfolio assets
are managed by PFMAM.

ATTACHMENT A
1 18
© PFM Asset Management LLC pfmam.com

CITY OF STOCKTON
For the Quarter Ended
September 30, 2022
|
Yield and duration calculations exclude cash and cash equivalents. Sector allocation includes market values and accrued interest.

The portfolio’s benchmark is the ICE BofAML 1-5 Year U.S. Government/Corp A or Better, U.S. issuers only Index. Source: Bloomberg.

An average of each security’s credit rating was assigned a numeric value and adjusted for its relative weighting in the portfolio.

1. Credit Quality - S&P
15%
25%
30%
23%
6%
<1% 1% 1%4%
35%
27%
22%
12%
0%
10%
20%
30%
40%
0-1 Yr 1-2
Yrs
2-3
Yrs
3-4
Yrs
4-5
Yrs
5-6
Yrs
6-7
Yrs
> 7
Yrs
Portfolio Benchmark
Duration Distribution
U.S. Treasury | 48%
Federal Agency | 22%
Corporate | 20%
Municipal | 3%
Negotiable CD | 2%
ABS | 2%
Supranational | 2%
Agency CMBS | <1%
Sector Allocation
AAA | 5%
AA+ | 71%
AA | 4%
AA- | 2%
A-1+ | 1%
A+ | 6%
A | 5%
A- | 4%
A-1 | 2%
BBB+ | 1%
Not Rated | <1%
Portfolio Statistics
Portfolio Effective Duration 2.38 years
Benchma
rk Effective Duration 2.50 years
Portfolio Credit Quality AA
Yield At Market 4.25%
Yield At Cost 1.40%
Total Market Value $281,999,078.44
$281,063,013.87Securities Sub-Total
$102,329.75Cash
$833,734.82Accrued Interest
0% 0%0%

ATTACHMENT A
Portfolio Snapshot - CITY OF STOCKTON RESERVE PORTFOLIO¹ Portion Managed By PFM Asset Management
2 19
Portfolio Snapshot - CITY OF STOCKTON RESERVE PORTFOLIO Portion Managed By Chandler Asset Management

ATTACHMENT ACITY OF STOCKTON
For the Quarter
Ended
September 30, 2022
3 20
Investment Performance Review
For the Quarter Ended September 30, 2022
Client Management Team PFM Asset Management LLC
Monique Spyke, Managing Director
Allison Kaune, Senior Analyst
Joseph Creason, Portfolio Manager
Gray Lepley, Portfolio Strategist
213 Market Street
Harrisburg, PA 17101-2141
717-232-2723
1 California Street Ste. 1000
San Francisco, CA 94111-5411
415-393-7270
NOT FDIC INSURED : NO BANK GUARANTEE : MAY LOSE VALUE
For Institutional Investor or Investment Professional Use Only - This material is not for inspection by, distribution to, or quotation to the general public

CITY OF STOCKTON

ATTACHMENT A
4 21
© PFM Asset Management LLC pfmam.com|
Market Update

ATTACHMENT A
5 22
PFM Asset Management LLC
For the Quarter Ended March 31, 2022
California Affiliated Risk Management Authorities Market UpdateCLIENT NAME For the Quarter Ended September 30, 2022
Market Update
© PFM Asset Management LLC | pfmam.com
Current Market Themes
▸ The U.S. economy is characterized by:
▹ Persistent high inflation
▹ A
deteriorating housing market
▹ Continued personal consumption that is impacting household savings and balance sheets
▹ Worsening economic outlook that is propped up by a strong labor market
▸ The Federal Reserve has committed to a heavy-handed policy ▹ Expectations have shifted from a soft landing to a moderate/hard landing, with increased recession risks
▹ Short-term fed funds rate projected to reach 4.25% to 4.50% by year end
▹ Increased pace of quantitative tightening
▸ Rapidly rising rates negatively impacting valuations and inducing market volatility
▹ Yields across curve reached their highest levels in 14 years ▹ Treasury yield curve is inverted
▹ Elevated volatility across all major asset classes

CITY OF STOCKTON
For the Quarter Ended September 30, 2022
Market Update
© PFM Asset Management LLC pfmam.com|

ATTACHMENT A
6 23
For the Quarter Ended March 31, 2022
California Affiliated Risk Management Authorities Market UpdateCLIENT NAME For the Quarter Ended September 30, 2022
Market Update
© PFM Asset Management LLC | pfmam.com
Source: Bloomberg, Bureau of Labor Statistics as of August 2022. 1Index weights are as of July 2022 as they are published on a one-month lag. 2Other services is a weighted blend of Water/Sewer/Trash, Household Operations, Recreation, Education, Communication Services, and Other Personal Services.

Headline Inflation Remains Elevated Despite Recent Reduction i n Energy Prices -20%
-10%
0%
10%
20%
30%
40%
50%
60%
Aug-22Feb-22Aug-21Feb-21Aug-20Feb-20
Price Change of Major CPI Components
Since Decembe
r 2019
CPI Component
12-mo.

Change Weight 1
Contribution
to YoY CPI
Energy 23.8% 8.8% 1.7%
Food 11.4% 13.5% 1.5%
Goods 7.1% 21.2% 1.5%
Transportation 11.3% 5.9% 0.6%
Shelter 6.2% 32.2% 2.1%
Medical Services 5.6% 6.8% 0.4%
Other Services2 3.4% 11.6% 0.4%
Detail may not add to total due to rounding.

CITY OF STOCKTON
For the Quarter Ended September 30, 2022
Market Update
© PFM Asset Management LLC pfmam.com|

ATTACHMENT A
7 24
PFM Asset Management LLC
For the Quarter Ended March 31, 2022
California Affiliated Risk Management Authorities Market UpdateCLIENT NAME For the Quarter Ended September 30, 2022
Market Update
© PFM Asset Management LLC | pfmam.com
Economist and Market Expectations Point to Slowly Moderating Inflation Source: Bloomberg, data as of September 30, 2022.

6.7%

8.0%

8.7%

8.2%

7.2%
5 .8%

4.0%

3.2%

2.9% 2.7%
0%
1%
2%
3%
4%
5%
6%
7%
8%
9%
10%
Q4
21 Q1
22 Q2
22 Q3
22 Q4
22 Q1
23 Q2
23 Q3
23 Q4
23 Q1
24 U.S. Inflation Forecasts
Annualized Rate
Range Median of Forecasts
-2.0%
-1.0%

0.0%

1.0%

2.0%

3.0%

4.0%

5.0%

6.0%
Jan-20 Jul-20 Jan-21 Jul-21 Jan-22 Jul-22
Breakeven Inflation Rates
2 Yr. 5 Yr. 10 Yr.

Bloomberg Forecasts

CITY OF STOCKTON
For the Quarter Ended September 30, 2022
Market Update
© PFM Asset Management LLC pfmam.com|

ATTACHMENT A
8 25
For the Quarter Ended March 31, 2022
California Affiliated Risk Management Authorities Market Update Labor Force Continues to Recover

CLIENT NAME
For the Quarter Ended September 30, 2022
Market Update
© PFM Asset Management LLC | pfmam.com
Source: Congressional Budget Office September 2022 economic projections, Bureau of Labor Statistics. Bloomberg, as of September 2022. Data is seasonally adjusted.

April 20

14.7%
September 22

3.5%
0%
2%
4%
6%
8%
10%
12%
14%
16%
2019 2020 2021 2022
Unemployment Rate
56%
58%
60%
62%
64%
66%
68%
2000 2005 2010 2015 2020 2025 2030
Labor Force Participation Rate
Actual LFPR CBO Forecast Potential

CITY OF STOCKTON
For the Quarter Ended September 30, 2022
Market Update
© PFM Asset Management LLC pfmam.com|

ATTACHMENT A
9 26
PFM Asset Management LLC
For the Quarter Ended March 31, 2022
California Affiliated Risk Management Authorities Market UpdateCLIENT NAME For the Quarter Ended September 30, 2022
Market Update
© PFM Asset Management LLC | pfmam.com
Source: Bloomberg, most recent data as of August 2022.

Housing Affordability Deteriorating Amid Soaring Rates and H o me Prices 0 50
100
150
200
250
1989 1992 1995 1998 2001 2004 2007 2010 2013 2016 2019 2022 Homebuyer Affordability
National Association of Realtors
This index blends home prices, income, and mortgage rates.

A value o
f 100 means that a family with the median income has exactly enough income to qualify for a mortgage on a median-priced home.

CITY OF STOCKTON
For the Quarter Ended September 30, 2022
Market Update
© PFM Asset Management LLC pfmam.com|

ATTACHMENT A
10 27
PFM Asset Management LLC
For the Quarter Ended March 31, 2022
California Affiliated Risk Management Authorities Market UpdateCLIENT NAME For the Quarter Ended September 30, 2022
Market Update
© PFM Asset Management LLC | pfmam.com
Fed Makes Aggressive Stance Clear But Market Uncertainty Persists Source: Federal Reserve, Bloomberg, Bloomberg Economist Forec asts as of September 30, 2022. 0%
1%
2%
3%
4%
5%
6%
Dec-20 Jun-21 Dec-21 Jun-22 Dec-22 Jun-23 Dec-23 Jun-24 Dec-24 2-Year U.S. Treasury Yield
0%
1%
2%
3%
4%
5%
6%
Dec-20 Jun-21 Dec-21 Jun-22 Dec-22 Jun-23 Dec-23 Jun-24 Dec-24 10-Year U.S. Treasury Yield
Median forecast
Range of Forecasts
Median forecast
“Without price stability, the economy does not work for anyone.” “We are moving our policy stance purposefully to a level that will be sufficiently restrictive to return inflation to 2%.” “No one knows whether this process will lead to a recession or if so, how significant that recession would be.”
From the
September 2022
FOMC Meeting
Press Conference

CITY OF STOCKTON
For the Quarter Ended September 30, 2022
Market Update
© PFM Asset Management LLC pfmam.com|

ATTACHMENT A
11 28
PFM Asset Management LLC
For the Quarter Ended March 31, 2022
California Affiliated Risk Management Authorities Market UpdateCLIENT NAME For the Quarter Ended September 30, 2022
Market Update
© PFM Asset Management LLC | pfmam.com
Source: Federal Reserve, latest economic projections as of September 2022.

Fed’s Projections Reflect Weaker Economic Growth and Extende d Timeline for Tighter Policy

0.2%

1.2%

1.7% 1.8%
0%
1%
2%
3%
2022 2023 2024 Longer
Run
Change in Real GDP
June Projections Sept Projections

3.8%

4.4% 4.4% 4.0%
0%
1%
2%
3%
4%
5%
2022 2023 2024 Longer
Run
Unemployment Rate
June Projections Sept Projections

4.5%

3.1%

2.3%
0%
2%
4%
6%
2022 2023 2024
Core PCE Inflation
June Projections Sept Projections

4.4% 4.6%

3.9%

2.5%
0%
1%
2%
3%
4%
5%
2022 2023 2024 Longer
Run
Federal Funds Rate
June Projections Sept Projections

CITY OF STOCKTON
For the Quarter Ended September 30, 2022
Market Update
© PFM Asset Management LLC pfmam.com|

ATTACHMENT A
12 29
PFM Asset Management LLC
For the Quarter Ended March 31, 2022
California Affiliated Risk Management Authorities Market UpdateCLIENT NAME For the Quarter Ended September 30, 2022
Market Update
© PFM Asset Management LLC | pfmam.com
The Pros and Cons of Rising Rates: Lower Market Values and Stronger Income Potential
-8%
-6%
-4%
-2%
0%
2%
4%
6%
8%
10%
12%
2000
2002
2004
2006
2008
2010
2012
2014
2016
2018
2020
2022
Annual Price & Income Returns
(1-5 Year Treasury)
Income Return Price Return Total Return

3.25%

3.90%

4.29%

4.09% 3.98%

3.83%

0.0%

0.5%

1.0%

1.5%

2. 0%

2.5%

3.0%

3.5%

4.0%

4.5%

5.0%
Yield
U.S. Treasury Yield Curve
September 30, 2022
June 30, 2022
3mo 2yr 5yr 7yr 10yr
Source: ICE BofAML Indices via Bloomberg, as of September 30, 2022; PFMAM calculations. 2022 Price, income, and total return is YTD as of September 30, 2022. Income return is based on the starting yield from the prior year ended December 31, 20xx. Price return is calculated as the difference between the total return and calculated income return for each period.

CITY OF STOCKTON
For the Quarter Ended September 30, 2022
Market Update
© PFM Asset Management LLC pfmam.com|

ATTACHMENT A
13 30
PFM Asset Management LLC
For the Quarter Ended March 31, 2022
California Affiliated Risk Management Authorities Market UpdateCLIENT NAME For the Quarter Ended September 30, 2022
Market Update
© PFM Asset Management LLC | pfmam.com
Sector Yield Spreads Mixed in Q3 2022
-0.3%
-0.2%
-0.1%

0.0%

0.1%

0.2%

0.3%
Sep-21 Dec-21 Mar-22 Jun-22 Sep-22
Federal Agency Yield Spreads
Bullet Callable

0.0%

0.2%

0.4%

0.6%

0.8%

1.0%

1.2%
Sep-21 Dec-21 Mar-22 Jun-22 Sep-22
Corporate Notes A-AAA Yield Spreads
-0.5%

0.0%

0.5%

1.0%

1.5%

2.0%
Sep-21 Dec-21 Mar-22 Jun-22 Sep-22
Mortgage-Backed Securities Yield Spreads
Agency MBS AAA CMBS Index

0.0%

0.4%

0.8%

1.2%

1.6%
Sep-21 Dec-21 Mar-22 Jun-22 Sep-22
Asset-Backed Securities AAA Yield Spreads
Source: ICE BofAML 1-5 year Indices via Bloomberg, MarketAxess a nd PFMAM as of September 30, 2022. Spreads on ABS and MBS are option-adjusted spreads of 0-5 year indices based on weighted average life; spreads on agencies are relative to comparable maturity Treasuries.

CMBS is Commercial Mortgage-Backed Securities.

CITY OF STOCKTON
For the Quarter Ended September 30, 2022
Market Update
© PFM Asset Management LLC pfmam.com|

ATTACHMENT A
14 31
PFM Asset Management LLC
For the Quarter Ended March 31, 2022
California Affiliated Risk Management Authorities Market UpdateCLIENT NAME For the Quarter Ended September 30, 2022
Market Update
© PFM Asset Management LLC | pfmam.com
$100
$120
$140
$160
$180
$200
$220
2000
2002
2004
2006
2008
2010
2012
2014
2016
2018
2020
2022
Growth of $100
(1/1/2000 - 9/30/2022)
-2.28%
-2.17%
-0.85%
-2.18%
-1.84%
-3.0%
-2.5%
-2.0%
-1.5%
-1.0%
-0.5%

0.0%
U.S. Treasury
Agency
ABS
Corp A-AAA
Corp BBB
Q3 2022
Source: ICE BofAML Indices. ABS indices are 0-5 year, based on weighted average life. As of September 30, 2022.

Right Chart: 1-5 Year Treasury (GVQ0 Index).
1-5 Year Indices
Fixed Inco
me Returns in Q3 2022

CITY OF STOCKTON
For the Quarter Ended September 30, 2022
Market Update
© PFM Asset Management LLC pfmam.com|

ATTACHMENT A
15 32
PFM Asset Management LLC
For the Quarter Ended March 31, 2022
California Affiliated Risk Management Authorities Market UpdateCLIENT NAME For the Quarter Ended September 30, 2022
Market Update
© PFM Asset Management LLC | pfmam.com
Fixed-Income Sector Commentary – 3Q 2022
▸ U.S. Treasury securities posted negative
absolute returns during Q3 as interest rates
continue to ascend to levels not seen in over
14 years.
▸ Federal agency bullet spreads remained
mostly unchanged in the low single-digits and
the sector remained largely stagnant on light
issuance. Conversely, the rapid rise in rates
and volatility prompted a widening in spreads
for callable federal agencies.
▸ Supranational yield spreads widened slightly
in the longer-end of the curve while issuance
has consistently lagged projections this year.

Unattractive funding levels compounded by
liquidity pressures resulted in minimal activity
in the sector. New issues at attractive
concessions to secondary inventory were the
lone avenue to new exposure.
▸ Investment-Grade Corporates were a strong
performer for much of the quarter as spreads
tightened. Increases to allocations in the
sector over recent months played a significant
role in the strong performance relative to
benchmarks.
▸ Asset-Backed yield spreads lagged the
comparative narrowing in other sectors but
remained relatively elevated in relation to high
quality corporate notes. Although elevated
relative to corporates, spreads tightened
throughout the quarter and the sector generated
attractive excess returns, with automobile
collateral besting credit card structures.
▸ Mortgage-Backed Securities have been a
staggering underperformer so far this year.

Soaring mortgage rates combined with record
high housing prices caused refinancing and new
purchases to grind to a halt. Heightened volatility
and concerns about an economic slowdown
continued to weigh on the sector, while the
looming Fed balance sheet reduction
compounded the gloomy outlook.
▸ Taxable Municipals were another sector that
generated positive excess returns in Q3. New
issuance was generally lackluster with deals
being heavily oversubscribed, pressuring spreads
lower.
▸ Commercial Paper and CDs have been subject
to a rapidly changing backdrop influenced by the
Fed’s aggressive series of rate hikes. Fixed-rate
credit spreads widened during the quarter and
the short-term credit curve remains steep.

CITY OF STOCKTON
For the Quarter Ended September 30, 2022
Market Update
© PFM Asset Management LLC pfmam.com|

ATTACHMENT A
16 33
© PFM Asset Management LLC pfmam.com|
Portfolio Review:

CITY OF STOCKTON RESERVE PORTFOLIO

ATTACHMENT A
17 34
© PFM Asset Management LLC pfmam.com

CITY OF STOCKTON
For the Quarter Ended September 30, 2022
Portfolio Snapshot
|
Yield and duration calculations exclude cash and cash equivalents. Sector allocation includes market values and accrued interest.

The portfolio’s benchmark is the ICE BofAML 1-5 Year U.S. Government/Corp A or Better, U.S. issuers only Index. Source: Bloomberg.

An average of each security’s credit rating was assigned a numeric value and adjusted for its relative weighting in the portfolio.

1. Portfolio Snapshot - CITY OF STOCKTON RESERVE PORTFOLIO¹ Credit Quality - S&P
15%
25%
30%
23%
6%
<1% 1% 1%4%
35%
27%
22%
12%
0%
10%
20%
30%
40%
0-1 Yr 1-2
Yrs
2-3
Yrs
3-4
Yrs
4-5
Yrs
5-6
Yrs
6-7
Yrs
> 7
Yrs
Portfolio Benchmark
Duration Distribution
U.S. Treasury | 48%
Federal Agency | 22%
Corporate | 20%
Municipal | 3%
Negotiable CD | 2%
ABS | 2%
Supranational | 2%
Agency CMBS | <1%
Sector Allocation
AAA | 5%
AA+ | 71%
AA | 4%
AA- | 2%
A-1+ | 1%
A+ | 6%
A | 5%
A- | 4%
A-1 | 2%
BBB+ | 1%
Not Rated | <1%
Portfolio Statistics
Portfolio Effective Duration 2.38 years
Be
nchmark Effective Duration 2.50 years
Portfolio Credit Quality AA
Yield At Market 4.25%
Yield At Cost 1.40%
Total Market Value $281,999,078.44
$281,063,013.87Securities Sub-Total
$102,329.75Cash
$833,734.82Accrued Interest
0% 0%0%

ATTACHMENT A
18 35
© PFM Asset Management LLC pfmam.com

CITY OF STOCKTON
For the Quarter Ended September 30, 2022
Portfolio Summary
|
Ratings shown are calculated by assigning a numeral value to each security rating, then calculating a weighted average rating for each security type / issuer category using all available security ratings, excluding Not-Rated (NR) ratings. For security type / issuer categories where a rating from the applicable NRSRO is not available, a rating of NR is assigned. Includes accrued interest and excludes balances invested in overnight funds.

Issuer Diversification - CITY OF STOCKTON RESERVE PORTFOLIO Market Value (%) S&P / Moody's / FitchSecurity Type / Issuer U.S. Treasury 47.9%
UNITED STATES TREASURY 47.9% AA / Aaa / AAA
Federal Agency 21.9%
FANNIE MAE 15.6% AA / Aaa / AAA
FEDERAL FARM CREDIT BANKS 1.0% AA / Aaa / AAA
FEDERAL HOME LOAN BANKS 1.4% AA / Aaa / NR
FREDDIE MAC 3.9% AA / Aaa / AAA
Agency CMBS 0.3%
FANNIE MAE 0.3% AA / Aaa / AAA
FREDDIE MAC 0.0% AA / Aaa / AAA
Supranational 2.0%
INTER-AMERICAN DEVELOPMENT BANK 1.4% AAA / Aaa / AAA
INTL BANK OF RECONSTRUCTION AND DEV 0.6% AAA / Aaa / AAA Municipal 2.8%

CALIFORNIA DEPARTMENT OF WATER

RESOURCES

0.0% AAA / Aa / NR
CALIFORNIA STATE UNIVERSITY 0.2% AA / Aa / NR
FLORIDA STATE BOARD OF ADMIN FIN CORP 0.6% AA / Aa / AA

LOS ANGELES COMMUNITY COLLEGE

DISTRICT

0.3% AA / Aaa / NR
NEW JERSEY TURNPIKE AUTHORITY 0.2% AA / A / A
SAN DIEGO COMMUNITY COLLEGE DISTRICT 0.2% AAA / Aaa / NR STATE OF CALIFORNIA 0.8% AA / Aa / AA
STATE OF MARYLAND 0.2% AAA / Aaa / AAA
UNIVERSITY OF CALIFORNIA 0.2% AA / Aa / AA
Negotiable CD 2.4%
BARCLAYS PLC 1.0% A / Aa / A
Market Value (%) S&P / Moody's / FitchSecurity Type / Issuer Negotiable CD 2.4%
CREDIT SUISSE GROUP RK 0.7% A / Aa / BBB
DNB ASA 0.6% AA / Aa / NR
Corporate 20.4%
3M COMPANY 0.5% A / A / NR
AMAZON.COM INC 1.4% AA / A / AA
AMERICAN HONDA FINANCE 0.6% A / A / A
BANK OF AMERICA CO 1.3% A / A / AA
CITIGROUP INC 0.4% BBB / A / A
DEERE & COMPANY 0.8% A / A / A
GOLDMAN SACHS GROUP INC 0.6% BBB / A / A
HONEYWELL INTERNATIONAL 0.7% A / A / A
INTEL CORPORATION 0.7% A / A / A
JP MORGAN CHASE & CO 1.0% A / A / AA
MASTERCARD INC 0.8% A / A / NR
MERCK & CO INC 0.8% A / A / A
MICROSOFT CORP 0.9% AAA / Aaa / AAA
MORGAN STANLEY 0.5% A / A / A
NOVARTIS AG 1.2% AA / A / AA
PACCAR FINANCIAL CORP 0.1% A / A / NR
PFIZER INC 1.1% A / A / A
STATE STREET CORPORATION 1.4% A / A / AA
TARGET CORP 0.7% A / A / A

THE BANK OF NEW YORK MELLON

CORPORATION

1.2% A / A / AA
TOYOTA MOTOR CORP 0.6% A / A / A
TRUIST FIN CORP 0.7% A / A / A

ATTACHMENT A
19 36
© PFM Asset Management LLC pfmam.com

Market Value (%) S&P / Moody's / FitchSecurity Type / Issuer Corporate 20.4%
US BANCORP 0.9% A / A / A
WAL-MART STORES INC 1.4% AA / Aa / AA
ABS 2.1%
CARMAX AUTO OWNER TRUST 0.6% AAA / NR / AAA
DISCOVER FINANCIAL SERVICES 0.3% AAA / Aaa / NR
HONDA AUTO RECEIVABLES 0.3% AAA / Aaa / AAA
HYUNDAI AUTO RECEIVABLES 0.4% AAA / NR / AAA
NISSAN AUTO RECEIVABLES 0.1% AAA / Aaa / AAA
TOYOTA MOTOR CORP 0.5% AAA / Aaa / NR
100.0%Total
Issuer Diversification - CITY OF STOCKTON RESERVE PORTFOLIO

ATTACHMENT A
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CITY OF STOCKTON
For the Quarter Ended September 30, 2022
Portfolio Characteristics
|
$0.0
$118.0
$236.0
$354.0
$472.0
$590.0
Millions
September 2022
$0.0
$118.0
$236.0
$354.0
$472.0
$590.0
Millions
June 2022
$0.0
$118.0
$236.0
$354.0
$472.0
$590.0
Millions
March 2022
$0.0
$118.0
$236.0
$354.0
$472.0
$590.0
Millions
December 2021
Sector Allocation Review - CITY OF STOCKTON RESERVE PORTFOLIO U.S. Treasury
Federal Agency
Agency CMBS Supranational Municipal Negotiable CD Commercial Paper Corporate ABS Market values, excluding accrued interest. Only includes fixed-income securities held within the separately managed account(s) and LGIPs managed by PFMAM. Detail may not add to total due to rounding.

Dec-21 % of TotalSecurity Type Mar-22 % of Total Jun-22 % of Total % of TotalSep-22 U.S. Treasury $244.5 41.4% $239.5 41.7% $249.5 44.0% $134.9 48.0% Federal Agency $160.0 27.2% $146.7 25.6% $144.3 25.4% $61.7 21.9% Agency CMBS $8.4 1.4% $7.2 1.3% $4.0 0.7% $0.9 0.3%
Supranational $12.0 2.0% $11.6 2.0% $11.5 2.0% $5.7 2.0% Municipal $16.9 2.9% $16.2 2.8% $16.0 2.8% $7.9 2.8%
Negotiable CD $25.1 4.3% $30.8 5.4% $20.8 3.7% $6.7 2.4% Commercial Paper $0.0 0.0% $0.0 0.0% $7.1 1.2% $0.0 0.0% Corporate $102.5 17.4% $105.0 18.3% $101.3 17.8% $57.3 20.4% ABS $19.8 3.4% $16.4 2.9% $13.7 2.4% $6.1 2.2%
Total $589.3 100.0% $573.4 100.0% $568.1 100.0% $281.1 100.0%

ATTACHMENT A
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© PFM Asset Management LLC pfmam.com

CITY OF STOCKTON
For the Quarter Ended September 30, 2022
Portfolio Activity
|
Portfolio Activity - CITY OF STOCKTON RESERVE PORTFOLIO Net Activity by Sector
($ millions)
U.S. Treasury
Federal Agency
Corporate
Negotiable CD
Municipal
ABS
Commercial Paper
Supranational
Agency CMBS
U.S. Treasury
Federal Agen
cy
Corporate
Negotiable CD
Municipal
ABS
Commercial Paper
Supranational
Agency CMBS
($150.0) ($100.0) ($50.0) $0.0 $50.0
Sales/Maturities include securities that were transferred out of the portfolio.

Based on total proceeds (principal and accrued interest) of buys, sells, maturities, and principal paydowns. Detail may not add to total due to rounding.

Sector Net Activity
Agency CMBS ($3,071,584)
Supranational ($5,768,064)
Commercial Paper ($7,083,417)
ABS ($7,608,791)
Municipal ($8,050,303)
Negotiable CD ($14,138,274)
Corporate ($43,016,132)
Federal Agency ($81,619,212)
U.S. Treasury ($111,366,143)
($281,721,920)Total Net Activity
Sales/Maturities Purchases

ATTACHMENT A
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© PFM Asset Management LLC pfmam.com

CITY OF STOCKTON
For the Quarter Ended September 30, 2022
Portfolio Performance
|
Performance on trade-date basis, gross (i.e., before fees), in accordance with the CFA Institute’s Global Investment Performance Standards (GIPS).1.

Income returns calculated as interest earned on investments during the period.2.

Price returns calculated as the change in market value of each security for the period.3.

Returns are presented on a periodic basis.4.

Total Return by Sector Contribution to Total Return
ABS
Corporate
Commercial Paper
Negotiable CD
Municipal
Supranational
Agency CMBS
Federal Agency
U.S. Treasury
-2.00%
-1.50%
-1.00%
-0.50%

0.00%

0.22%

0.58%

0.00%

0.34%

0.37%

0.11%

0.83%

0.21%

0.26%
-0.42%
-2.02%

0.49%

0.17%
-1.99%
-1.29%
-0.44%
-1.90%
-2.74%
-5.0% -3.4% -1.8% -0.2% 1.4% 3.0%
Return
Quarterly Sector Performance - CITY OF STOCKTON RESERVE PORTFOLIO

ATTACHMENT A
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© PFM Asset Management LLC pfmam.com

CITY OF STOCKTON
For the Quarter Ended September 30, 2022
Portfolio Performance
|
The lesser of 10 years or since inception is shown. Since inception returns for periods one year or less are not shown. Performance inception date is June 30, 2017.1.

Interest earned calculated as the ending accrued interest less beginning accrued interest, plus net interest activity.2.

Returns for periods one year or less are presented on a periodic basis. Returns for periods greater than one year are presented on an annualized basis.3.

The portfolio’s benchmark is the ICE BofAML 1-5 Year U.S. Government/Corp A or Better, U.S. issuers only Index. Source: Bloomberg.4. -8.0%
-6.0%
-4.0%
-2.0%

0.0%

2.0%
Return
Portfolio Benchmark Net of Fees
Portfolio Performance - CITY OF STOCKTON RESERVE PORTFOLIO Market Value Basis Earnings 3 Months 1 Year 3 Years 5 Years Since Inception¹ Interest Earned² $982,563 $6,4 65,846 $25,440,094 $42,324,630 $43,631,137 Change in Market Value ($6,272,428) ($39,025,746) ($34,679,258) ($27,504,222) ($27,323,918) ($5,289,865)Total Dollar Return ($32,559,900) ($9,239,164) $14,820,408 $16,307,219 Total Return³
Portfolio -1.92% -6.38% -0.64% 0.69% 0.73%
Benchmark⁴ -2.27% -6.91% -0.95% 0.44% 0.49%
Basis Point Fee 0.01% 0.06% 0.06% 0.05% 0.05%
Net of Fee Return -1.93% -6.43% -0.70% 0.63% 0.68%
3 Months 1 Year 3 Years 5 Years Since Inception

ATTACHMENT A
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© PFM Asset Management LLC pfmam.com

CITY OF STOCKTON
For the Quarter Ended September 30, 2022
Portfolio Performance
|
The lesser of 10 years or since inception is shown. Performance inception date is June 30, 2017.1.

Interest earned calculated as the ending accrued interest less beginning accrued interest, plus net interest activity.2.

Realized gains / (losses) are shown on an amortized cost basis.3.

Accrual Basis Earnings - CITY OF STOCKTON RESERVE PORTFOLIO Accrual Basis Earnings
Interest Earned²
Realized G
ains / (Losses)³
Change in Amortized Cost
Total Earnings
3 Months
$982,563
($13,823,2
82)
$13,696,477
$855,757
1 Year
$6,465,846
($13,606,5
48)
$13,181,103
$6,040,401
3 Years
$25,440,094
($5,898,53
9)
$11,930,423
$31,471,978
5 Year
$42,324,630
($8,322,72
7)
$13,771,311
$47,773,214
Since Inception¹
$43,631,137
($8,354,16
4)
$14,037,032
$49,314,005

ATTACHMENT A
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© PFM Asset Management LLC pfmam.com|
Portfolio Review:

CITY OF STOCKTON SHORT-TERM PORTFOLIO

ATTACHMENT A
26 43
© PFM Asset Management LLC pfmam.com

The portfolio’s benchmark is . Source: Bloomberg.

An average of each security’s credit rating was assigned a numeric value and adjusted for its relative weighting in the portfolio.

1. Portfolio Snapshot - CITY OF STOCKTON SHORT-TERM PORTFOLIO¹ Credit Quality - S&P
100%
0%
20%
40%
60%
80%
100%
0-1 Yr
Portfolio
Duration Distribution
Commercial Paper | 59%
Negotiable CD | 42%
Sector Allocation
A-1+ | 8%
A-1 | 92%
Portfolio Statistics

0.47 years
A

4.34%
Portfolio Effective Duration
Yield At Cost
Yield At Market
Portfolio Credit Quality

3.03%
Total Market Value $119,618,069.87
$119,090,494.87Securities Sub-Total
$0.00Cash
$527,575.00Accrued Interest

ATTACHMENT A
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© PFM Asset Management LLC pfmam.com

Issuer Diversification - CITY OF STOCKTON SHORT-TERM PORTFOLIO Market Value (%) S&P / Moody's / FitchSecurity Type / Issuer Negotiable CD 41.7%
MITSUBISHI UFJ FINANCIAL GROUP INC 16.7% A / Aa / A
NATIXIS NY BRANCH 12.5% A / Aa / A
SUMITOMO MITSUI FINANCIAL GROUP INC 12.5% A / Aa / A
Commercial Paper 58.3%
BANK OF AMERICA CO 8.2% A / NR / AA
BNP PARIBAS 8.2% A / Aa / AA
COLLAT COMM PAPER V CO 16.7% A / Aa / AA
ING GROEP NV 8.4% A / Aa / NR
LMA AMERICAS LLC 8.4% A / Aa / AA
OLD LINE FUNDING LLC 8.4% AA / Aa / AA
100.0%Total

ATTACHMENT A
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© PFM Asset Management LLC pfmam.com

CITY OF STOCKTON
For the Quarter Ended September 30, 2022
Portfolio Characteristics
|
$0.0
$24.0
$48.0
$72.0
$96.0
$120.0
Millions
$0.0
$24.0
$48.0
$72.0
$96.0
$120.0
Millions
September 2022
$0.0
$24.0
$48.0
$72.0
$96.0
$120.0
Millions
June 2022
$0.0
$24.0
$48.0
$72.0
$96.0
$120.0
Millions
March 2022
Sector Allocation Review - CITY OF STOCKTON SHORT-TERM PORTFOLIO Negotiable CD Commercial Paper
Market values, excluding accrued interest. Only includes fixed-income securities held within the separately managed account(s) and LGIPs managed by PFMAM. Detail may not add to total due to rounding.

Mar-22 % of TotalSecurity Type Jun-22 % of Total Sep-22 % of Total % of Total Negotiable CD $0.0 0.0% $49.5 62.7% $49.4 41.5% $0.0 0.0% Commercial Paper $29.9 100.0% $29.4 37.3% $69.7 58.5% $0.0 0.0% Total $29.9 100.0% $78.9 100.0% $119.1 100.0% $0.0 0.0%

ATTACHMENT A
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© PFM Asset Management LLC pfmam.com

CITY OF STOCKTON
For the Quarter Ended September 30, 2022
Portfolio Activity
|
Portfolio Activity - CITY OF STOCKTON SHORT-TERM PORTFOLIO Net Activity by Sector
($ million
s)
Commercial PaperCommercial Paper
$0.0 $10.0 $20.0 $30.0 $40.0
Based on total proceeds (principal and accrued interest) of buys, sells, maturities, and principal paydowns. Detail may not add to total due to rounding.

Sector Net Activity
Commercial Paper $39,983,234
$39,983,234Total Net Activity
Sales/Maturities Purchases

ATTACHMENT A
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© PFM Asset Management LLC pfmam.com

CITY OF STOCKTON
For the Quarter Ended September 30, 2022
Portfolio Performance
|
Interest earned calculated as the ending accrued interest less beginning accrued interest, plus net interest activity.1.

Realized gains / (losses) are shown on an amortized cost basis.2.

Accrual Basis Earnings - CITY OF STOCKTON SHORT-TERM PORTFOLIO Accrual Basis Earnings
Interest Earned¹
Realized G
ains / (Losses)²
Change in Amortized Cost
Total Earnings
4Q2021
-
-
-
-
1Q2022
-
-
-
-
2Q2022
$183,342
-
$57,953
$258,794
3Q2022
$344,233
-
$519,254
$863,487

ATTACHMENT A
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© PFM Asset Management LLC pfmam.com

CITY OF STOCKTON
For the Quarter Ended September 30, 2022
Compliance
|
Note: Pre- and post-trade compliance for the account(s) managed by PFM Asset Management is provided via Bloomberg Asset and Investment Management ("AIM").

Certificate of Compliance
During the reporting period for the quarter ended September 30, 2022, the account(s) managed by PFM Asset Management ("PFMAM")
were in compliance with the applicable investment policy and guidelines as furnished to PFMAM.

Acknowledged :PFM Asset Management LLC

ATTACHMENT A
32 49
© PFM Asset Management LLC pfmam.com|
Reserve Portfolio Holdings and Transactions

ATTACHMENT A
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© PFM Asset Management LLC pfmam.com

CITY OF STOCKTON
For the Quarter Ended September 30, 2022
Portfolio Holdings
|
Managed Account Detail of Securities Held
Security Type/Description
Dated Dat
e/Coupon/Maturity CUSIP Par
S&P
Rating
Moody's
Rating
Settle
Date
Original
Cost
Trade
Date
YTM
at Cost
Accrued
Interest
Market
Value
Amortized
Cost
U.S. Treasury

US TREASURY NOTES
DTD 10/31/2020 0.125% 10/31/2022
91282CAR2 4,180,000.00 AA+ Aaa 9/29/2022 9/30/2022 4,170,692.97 2.77 2,186.55 4,169,550.004,170,993.20

US TREASURY NOTES
DTD 08/01/2016 1.250% 07/31/2023
912828S92 807,500.00 AA+ Aaa 4/2/2019 4/4/2019 773,307.42 2.28 1,700.58 787,817.19800,938.66

US TREASURY NOTES
DTD 09/30/2016 1.375% 09/30/2023
912828T26 2,500,000.00 AA+ Aaa 8/7/2019 8/8/2019 2,491,503.90 1.46 94.44 2,428,906.252,497,957.34

US TREASURY NOTES
DTD 11/15/2020 0.250% 11/15/2023
91282CAW1 1,572,500.00 AA+ Aaa 10/4/2021 10/6/2021 1,570,780.08 0.30 1,484.90 1,502,720.311,571,584.20

US TREASURY NOTES
DTD 11/15/2013 2.750% 11/15/2023
912828WE6 12,500.00 AA+ Aaa 3/6/2019 3/8/2019 12,626.46 2.52 129.84 12,279.3012,530.27

US TREASURY NOTES
DTD 11/30/2016 2.125% 11/30/2023
912828U57 4,257,500.00 AA+ Aaa 1/7/2019 1/9/2019 4,181,330.66 2.52 30,404.48 4,153,723.444,239,374.60

US TREASURY NOTES
DTD 12/31/2018 2.625% 12/31/2023
9128285U0 230,000.00 AA+ Aaa 1/30/2019 1/31/2019 230,682.81 2.56 1,525.78 225,220.32230,173.46

US TREASURY NOTES
DTD 02/28/2019 2.375% 02/29/2024
9128286G0 763,000.00 AA+ Aaa 8/11/2021 8/12/2021 802,521.02 0.33 1,551.82 742,494.38784,904.24

US TREASURY NOTES
DTD 02/28/2019 2.375% 02/29/2024
9128286G0 946,500.00 AA+ Aaa 8/11/2021 8/12/2021 995,266.93 0.35 1,925.03 921,062.81973,528.72

US TREASURY NOTES
DTD 03/31/2017 2.125% 03/31/2024
912828W71 2,965,000.00 AA+ Aaa 1/5/2022 1/6/2022 3,046,537.50 0.88 173.09 2,870,027.493,019,725.17

US TREASURY N/B NOTES
DTD 04/15/2021 0.375% 04/15/2024
91282CBV2 1,570,000.00 AA+ Aaa 10/4/2021 10/6/2021 1,569,141.40 0.40 2,718.55 1,477,762.501,569,476.65

US TREASURY NOTES
DTD 05/01/2017 2.000% 04/30/2024
912828X70 2,257,500.00 AA+ Aaa 6/3/2019 6/5/2019 2,267,729.29 1.90 18,894.29 2,176,723.942,260,795.53

US TREASURY NOTES
DTD 06/30/2017 2.000% 06/30/2024
912828XX3 5,715,000.00 AA+ Aaa 7/1/2019 7/3/2019 5,773,935.94 1.78 28,885.60 5,494,436.435,735,614.65

US TREASURY NOTES
DTD 07/31/2017 2.125% 07/31/2024
9128282N9 1,250,000.00 AA+ Aaa 8/7/2019 8/8/2019 1,289,453.12 1.47 4,475.20 1,202,343.751,264,510.25

US TREASURY N/B NOTES
DTD 08/15/2021 0.375% 08/15/2024
91282CCT6 3,010,000.00 AA+ Aaa 8/19/2021 8/20/2021 3,006,002.34 0.42 1,441.61 2,799,300.003,007,493.68

ATTACHMENT A
34 51
© PFM Asset Management LLC pfmam.com

US TREASURY NOTES
DTD 08/31/2017 1.875% 08/31/2024
9128282U3 7,137,500.00 AA+ Aaa 11/25/2020 11/27/2020 7,567,701.66 0.26 11,460.42 6,823,003.917,356,830.78

US TREASURY N/B NOTES
DTD 09/15/2021 0.375% 09/15/2024
91282CCX7 1,577,500.00 AA+ Aaa 10/4/2021 10/6/2021 1,571,769.24 0.50 261.46 1,462,638.281,573,688.38

US TREASURY NOTES
DTD 10/31/2019 1.500% 10/31/2024
912828YM6 1,060,000.00 AA+ Aaa 1/12/2021 1/13/2021 1,106,043.75 0.35 6,653.80 1,002,031.251,085,262.65

US TREASURY NOTES
DTD 10/31/2017 2.250% 10/31/2024
9128283D0 1,700,000.00 AA+ Aaa 11/1/2019 11/5/2019 1,755,582.03 1.57 16,006.79 1,632,000.001,723,215.11

US TREASURY NOTES
DTD 11/30/2017 2.125% 11/30/2024
9128283J7 5,457,500.00 AA+ Aaa 1/3/2020 1/7/2020 5,583,917.87 1.63 38,974.15 5,215,323.445,513,395.21

US TREASURY NOTES
DTD 02/29/2020 1.125% 02/28/2025
912828ZC7 1,387,500.00 AA+ Aaa 8/19/2021 8/20/2021 1,416,442.38 0.53 1,336.72 1,287,990.171,407,296.77

US TREASURY NOTES
DTD 02/29/2020 1.125% 02/28/2025
912828ZC7 3,085,000.00 AA+ Aaa 10/4/2021 10/6/2021 3,139,108.01 0.60 2,972.08 2,863,747.503,123,411.89

US TREASURY NOTES
DTD 04/30/2020 0.375% 04/30/2025
912828ZL7 2,997,500.00 AA+ Aaa 4/5/2021 4/7/2021 2,958,391.99 0.70 4,703.96 2,714,610.942,972,675.37

US TREASURY NOTES
DTD 06/30/2020 0.250% 06/30/2025
912828ZW3 1,597,500.00 AA+ Aaa 10/4/2021 10/6/2021 1,571,103.81 0.70 1,009.29 1,433,257.031,578,075.66

US TREASURY NOTES
DTD 08/31/2020 0.250% 08/31/2025
91282CAJ0 2,725,000.00 AA+ Aaa 8/17/2021 8/20/2021 2,683,486.33 0.63 583.39 2,426,953.132,694,964.63

US TREASURY NOTES
DTD 08/31/2020 0.250% 08/31/2025
91282CAJ0 6,095,000.00 AA+ Aaa 8/19/2021 8/20/2021 6,004,527.34 0.62 1,304.87 5,428,359.376,029,542.54

US TREASURY NOTES
DTD 10/31/2020 0.250% 10/31/2025
91282CAT8 3,500,000.00 AA+ Aaa 10/4/2021 10/6/2021 3,425,898.44 0.78 3,661.68 3,098,593.753,443,850.37

US TREASURY NOTES
DTD 11/30/2020 0.375% 11/30/2025
91282CAZ4 6,772,500.00 AA+ Aaa 11/1/2021 11/2/2021 6,589,430.86 1.05 8,535.02 6,003,185.996,630,372.45

US TREASURY NOTES
DTD 12/31/2020 0.375% 12/31/2025
91282CBC4 700,000.00 AA+ Aaa 1/11/2021 1/13/2021 695,980.47 0.49 663.38 618,953.16697,368.35

US TREASURY NOTES
DTD 12/31/2020 0.375% 12/31/2025
91282CBC4 5,700,000.00 AA+ Aaa 5/6/2021 5/10/2021 5,606,707.03 0.73 5,401.84 5,040,047.165,634,705.92

US TREASURY NOTES
DTD 01/31/2021 0.375% 01/31/2026
91282CBH3 8,475,000.00 AA+ Aaa 1/4/2022 1/6/2022 8,174,402.34 1.27 5,354.45 7,465,945.328,228,615.11

US TREASURY NOTES
DTD 01/31/2021 0.375% 01/31/2026
91282CBH3 7,635,000.00 AA+ Aaa 2/18/2022 2/22/2022 7,215,969.73 1.83 4,823.74 6,725,957.817,280,323.93

ATTACHMENT A
35 52
© PFM Asset Management LLC pfmam.com

US TREASURY NOTES
DTD 01/31/2021 0.375% 01/31/2026
91282CBH3 1,195,000.00 AA+ Aaa 7/2/2021 7/7/2021 1,172,033.59 0.80 754.99 1,052,720.311,178,239.61

US TREASURY NOTES
DTD 01/31/2019 2.625% 01/31/2026
9128286A3 1,707,500.00 AA+ Aaa 2/4/2021 2/4/2021 1,890,055.76 0.46 7,551.51 1,622,658.591,829,537.82

US TREASURY NOTES
DTD 02/28/2021 0.500% 02/28/2026
91282CBQ3 1,980,000.00 AA+ Aaa 12/3/2021 12/7/2021 1,926,632.81 1.15 847.79 1,747,040.721,936,932.95

US TREASURY NOTES
DTD 02/28/2021 0.500% 02/28/2026
91282CBQ3 10,690,000.00 AA+ Aaa 2/2/2022 2/3/2022 10,249,872.66 1.55 4,577.21 9,432,255.2310,320,956.48

US TREASURY N/B NOTES
DTD 05/31/2021 0.750% 05/31/2026
91282CCF6 805,000.00 AA+ Aaa 6/7/2021 6/7/2021 803,176.17 0.80 2,029.00 711,041.37803,658.45

US TREASURY N/B NOTES
DTD 05/31/2021 0.750% 05/31/2026
91282CCF6 4,360,000.00 AA+ Aaa 6/6/2022 6/8/2022 3,995,871.88 2.99 10,989.34 3,851,106.034,024,691.38

US TREASURY N/B NOTES
DTD 05/31/2021 0.750% 05/31/2026
91282CCF6 3,155,000.00 AA+ Aaa 10/4/2021 10/6/2021 3,133,186.13 0.90 7,952.15 2,786,752.183,137,810.98

US TREASURY N/B NOTES
DTD 09/30/2021 0.875% 09/30/2026
91282CCZ2 3,700,000.00 AA+ Aaa 4/5/2022 4/7/2022 3,406,746.09 2.77 88.94 3,255,422.063,438,454.06

US TREASURY NOTES
DTD 11/15/2016 2.000% 11/15/2026
912828U24 2,540,000.00 AA+ Aaa 8/8/2022 8/9/2022 2,437,606.25 3.01 19,188.04 2,332,434.252,441,087.24

US TREASURY NOTES
DTD 02/15/2017 2.250% 02/15/2027
912828V98 855,000.00 AA+ Aaa 8/8/2022 8/9/2022 828,515.04 2.99 2,456.96 790,340.63829,365.25

US TREASURY N/B NOTES
DTD 04/30/2020 0.500% 04/30/2027
912828ZN3 4,840,000.00 AA+ Aaa 8/2/2022 8/3/2022 4,331,989.06 2.88 10,127.17 4,117,025.004,349,304.28

US TREASURY NOTES
DTD 06/30/2020 0.500% 06/30/2027
912828ZV5 4,215,000.00 AA+ Aaa 8/25/2022 8/26/2022 3,705,577.73 3.21 5,326.02 3,568,260.943,715,944.72

US TREASURY NOTES
DTD 08/15/2017 2.250% 08/15/2027
9128282R0 2,730,000.00 AA+ Aaa 9/1/2022 9/6/2022 2,588,274.61 3.40 7,845.04 2,508,187.502,590,238.65

US TREASURY NOTES
DTD 01/31/2021 0.750% 01/31/2028
91282CBJ9 540,000.00 AA+ Aaa 3/14/2022 3/15/2022 498,382.03 2.15 682.34 454,528.15502,257.07

US TREASURY N/B NOTES
DTD 09/30/2021 1.250% 09/30/2028
91282CCY5 525,000.00 AA+ Aaa 3/14/2022 3/15/2022 495,591.79 2.17 18.03 446,906.25498,051.70

US TREASURY NOTES
DTD 02/15/2019 2.625% 02/15/2029
9128286B1 500,000.00 AA+ Aaa 3/21/2022 3/22/2022 509,433.59 2.33 1,676.29 460,625.00508,711.67

US TREASURY N/B NOTES
DTD 05/31/2022 2.750% 05/31/2029
91282CES6 670,000.00 AA+ Aaa 8/5/2022 8/9/2022 662,698.05 2.93 6,192.01 620,587.50662,853.66

ATTACHMENT A
36 53
© PFM Asset Management LLC pfmam.com

US TREASURY NOTES
DTD 08/15/2019 1.625% 08/15/2029
912828YB0 520,000.00 AA+ Aaa 3/21/2022 3/22/2022 496,518.75 2.29 1,079.21 448,337.50498,195.36

US TREASURY NOTES
DTD 02/15/2020 1.500% 02/15/2030
912828Z94 542,500.00 AA+ Aaa 4/6/2022 4/11/2022 498,040.43 2.66 1,039.30 460,362.14500,723.20

US TREASURY NOTES
DTD 08/15/2020 0.625% 08/15/2030
91282CAE1 587,500.00 AA+ Aaa 4/6/2022 4/11/2022 498,755.37 2.65 468.96 460,269.53503,792.38

US TREASURY NOTES
DTD 02/15/2021 1.125% 02/15/2031
91282CBL4 565,000.00 AA+ Aaa 4/6/2022 4/11/2022 498,104.88 2.63 811.80 457,650.00501,685.59

US TREASURY N/B NOTES
DTD 08/15/2021 1.250% 08/15/2031
91282CCS8 562,500.00 AA+ Aaa 4/6/2022 4/11/2022 498,515.62 2.63 898.01 454,570.31501,758.90

US TREASURY N/B NOTES
DTD 05/15/2022 2.875% 05/15/2032
91282CEP2 660,000.00 AA+ Aaa 8/5/2022 8/9/2022 662,629.69 2.83 7,167.19 610,500.00662,590.62 148,084,500.00 145,036,183.10 311,066.10 134,856,547.51Security Type Sub-Total 1.51 145,050,037.76 Supranational

INTL BK RECON & DEVELOP NOTES
DTD 11/24/2020 0.250% 11/24/2023
459058JM6 1,870,000.00 AAA Aaa 11/17/2020 11/24/2020 1,865,979.50 0.32 1,649.24 1,785,793.901,868,461.56

INTER-AMERICAN DEVEL BK NOTES
DTD 09/23/2021 0.500% 09/23/2024
4581X0DZ8 4,190,000.00 AAA Aaa 9/15/2021 9/23/2021 4,186,899.40 0.52 465.56 3,889,765.554,187,954.62 6,060,000.00 6,052,878.90 2,114.80 5,675,559.45Security Type Sub-Total 0.46 6,056,416.18 Negotiable CD

DNB BANK ASA/NY LT CD
DTD 12/06/2019 2.040% 12/02/2022
23341VZT1 1,810,000.00 A-1+ P-1 12/5/2019 12/6/2019 1,810,000.00 2.03 12,410.57 1,805,194.451,810,000.00

BARCLAYS BANK PLC NY CERT
DEPOS
DTD 02/03/2022 1.050% 02/01/2023
06742TG34 2,942,500.00 A-1 P-1 2/2/2022 2/3/2022 2,942,500.00 1.05 20,597.50 2,908,349.982,942,500.00

CREDIT SUISSE NEW YORK CERT
DEPOS
DTD 03/23/2021 0.590% 03/17/2023
22552G3C2 2,032,500.00 A-1 P-1 3/19/2021 3/23/2021 2,032,500.00 0.59 6,595.46 1,997,725.962,032,500.00 6,785,000.00 6,785,000.00 39,603.53 6,711,270.39Security Type Sub-Total 1.18 6,785,000.00

ATTACHMENT A
37 54
© PFM Asset Management LLC pfmam.com

CA ST TXBL GO BONDS
DTD 10/24/2019 2.400% 10/01/2023
13063DRJ9 2,192,500.00 AA- Aa2 10/16/2019 10/24/2019 2,236,371.92 1.87 26,310.00 2,151,785.282,203,635.78

MD ST TXBL GO BONDS
DTD 08/05/2020 0.510% 08/01/2024
574193TQ1 647,500.00 AAA Aaa 7/23/2020 8/5/2020 647,318.70 0.52 550.38 605,412.50647,416.63

SAN DIEGO CCD, CA TXBL GO BONDS
DTD 10/16/2019 2.046% 08/01/2024
797272QP9 725,000.00 AAA Aaa 9/18/2019 10/16/2019 725,000.00 2.05 2,472.25 695,681.00725,000.00

CA ST UNIV TXBL REV BONDS
DTD 09/17/2020 0.685% 11/01/2024
13077DNC2 625,000.00 AA- Aa2 8/27/2020 9/17/2020 625,000.00 0.69 1,783.85 576,481.25625,000.00

CA ST DEPT WTR RES WTR SYS TXBL

REV BNDS
DTD 08/06/2020 0.560% 12/01/2024
13067WRB0 77,500.00 AAA Aa1 7/30/2020 8/6/2020 77,500.00 0.56 144.67 70,788.5077,500.00

UNIV OF CAL TXBL REV BONDS
DTD 07/16/2020 0.883% 05/15/2025
91412HGE7 300,000.00 AA Aa2 7/10/2020 7/16/2020 300,000.00 0.88 1,000.73 271,683.00300,000.00

UNIV OF CAL TXBL REV BONDS
DTD 07/16/2020 0.883% 05/15/2025
91412HGE7 460,000.00 AA Aa2 7/14/2020 7/16/2020 461,665.20 0.81 1,534.46 416,580.60460,890.22

FL ST BOARD OF ADMIN TXBL REV
BONDS
DTD 09/16/2020 1.258% 07/01/2025
341271AD6 825,000.00 AA Aa3 9/3/2020 9/16/2020 825,000.00 1.26 2,594.63 748,885.50825,000.00

FL ST BOARD OF ADMIN TXBL REV
BONDS
DTD 09/16/2020 1.258% 07/01/2025
341271AD6 1,050,000.00 AA Aa3 9/3/2020 9/16/2020 1,057,423.50 1.11 3,302.25 953,127.001,054,261.40

LOS ANGELES CCD, CA TXBL GO
BONDS
DTD 11/10/2020 0.773% 08/01/2025
54438CYK2 965,000.00 AA+ Aaa 10/30/2020 11/10/2020 965,000.00 0.77 1,243.24 865,180.40965,000.00

NJ TURNPIKE AUTHORITY TXBL REV
BONDS
DTD 02/04/2021 1.047% 01/01/2026
646140DP5 557,500.00 AA- A1 1/22/2021 2/4/2021 557,500.00 1.05 1,459.26 497,267.70557,500.00 8,425,000.00 8,477,779.32 42,395.72 7,852,872.73Security Type Sub-Total 1.27 8,441,204.03 Federal Agency

FREDDIE MAC NOTES
DTD 06/26/2020 0.250% 06/26/2023
3137EAES4 1,452,500.00 AA+ Aaa 6/24/2020 6/26/2020 1,448,258.70 0.35 958.25 1,412,137.931,451,461.95

ATTACHMENT A
38 55
© PFM Asset Management LLC pfmam.com

FANNIE MAE NOTES
DTD 07/10/2020 0.250% 07/10/2023
3135G05G4 4,285,000.00 AA+ Aaa 7/8/2020 7/10/2020 4,275,787.25 0.32 2,410.31 4,160,002.274,282,627.40

FREDDIE MAC NOTES
DTD 08/21/2020 0.250% 08/24/2023
3137EAEV7 2,292,500.00 AA+ Aaa 8/19/2020 8/21/2020 2,290,161.65 0.28 589.05 2,214,039.192,291,803.61

FANNIE MAE NOTES
DTD 09/14/2018 2.875% 09/12/2023
3135G0U43 6,162,500.00 AA+ Aaa 11/29/2018 11/30/2018 6,136,124.50 2.97 9,350.74 6,085,518.056,157,276.23

FANNIE MAE NOTES
DTD 11/25/2020 0.250% 11/27/2023
3135G06H1 3,047,500.00 AA+ Aaa 1/25/2021 1/26/2021 3,052,132.20 0.20 2,624.24 2,910,746.493,049,388.68

FREDDIE MAC NOTES
DTD 12/04/2020 0.250% 12/04/2023
3137EAFA2 2,222,500.00 AA+ Aaa 12/2/2020 12/4/2020 2,220,299.72 0.28 1,805.78 2,119,560.472,221,637.97

FEDERAL HOME LOAN BANKS NOTES
DTD 12/09/2013 3.375% 12/08/2023
3130A0F70 1,712,500.00 AA+ Aaa 1/30/2019 1/31/2019 1,763,703.75 2.71 18,141.80 1,693,318.291,725,011.98

FEDERAL FARM CREDIT BANK NOTES
DTD 04/08/2020 0.875% 04/08/2024
3133ELVX9 750,000.00 AA+ Aaa 4/7/2020 4/8/2020 750,000.00 0.88 3,153.65 712,583.25750,000.00

FANNIE MAE NOTES
DTD 01/10/2020 1.625% 01/07/2025
3135G0X24 4,380,000.00 AA+ Aaa 3/4/2020 3/5/2020 4,542,673.20 0.84 16,607.50 4,125,578.944,456,232.95

FEDERAL HOME LOAN BANK NOTES
DTD 04/16/2020 0.500% 04/14/2025
3130AJHU6 2,460,000.00 AA+ Aaa 4/15/2020 4/16/2020 2,447,798.40 0.60 5,705.83 2,235,399.542,453,805.55

FANNIE MAE NOTES
DTD 04/24/2020 0.625% 04/22/2025
3135G03U5 10,880,000.00 AA+ Aaa 6/2/2020 6/3/2020 10,949,305.60 0.49 30,033.33 9,910,896.6410,916,284.43

FANNIE MAE NOTES
DTD 06/19/2020 0.500% 06/17/2025
3135G04Z3 1,490,000.00 AA+ Aaa 9/17/2020 9/18/2020 1,495,304.40 0.42 2,152.22 1,345,082.601,493,030.21

FANNIE MAE NOTES
DTD 06/19/2020 0.500% 06/17/2025
3135G04Z3 4,150,000.00 AA+ Aaa 10/2/2020 10/5/2020 4,167,720.50 0.41 5,994.44 3,746,371.004,160,223.37

FANNIE MAE NOTES
DTD 06/19/2020 0.500% 06/17/2025
3135G04Z3 1,002,500.00 AA+ Aaa 6/17/2020 6/19/2020 1,000,424.83 0.54 1,448.06 904,996.851,001,373.67

FREDDIE MAC NOTES
DTD 07/23/2020 0.375% 07/21/2025
3137EAEU9 2,310,000.00 AA+ Aaa 7/21/2020 7/23/2020 2,298,496.20 0.48 1,684.38 2,070,984.302,303,541.73

FANNIE MAE NOTES
DTD 08/27/2020 0.375% 08/25/2025
3135G05X7 920,000.00 AA+ Aaa 8/25/2020 8/27/2020 915,694.40 0.47 345.00 821,792.76917,500.20

FANNIE MAE NOTES
DTD 08/27/2020 0.375% 08/25/2025
3135G05X7 3,075,000.00 AA+ Aaa 10/22/2020 10/23/2020 3,057,780.00 0.49 1,153.13 2,746,752.983,064,679.69

FREDDIE MAC NOTES
DTD 09/25/2020 0.375% 09/23/2025
3137EAEX3 3,545,000.00 AA+ Aaa 9/23/2020 9/25/2020 3,534,329.55 0.44 295.42 3,157,971.083,538,635.17

ATTACHMENT A
39 56
© PFM Asset Management LLC pfmam.com

FEDERAL FARM CREDIT BANK
(CALLABLE)
DTD 09/29/2020 0.530% 09/29/2025
3133EMBH4 2,265,000.00 AA+ Aaa 10/7/2020 10/9/2020 2,261,036.25 0.57 66.69 2,024,228.242,262,612.15

FANNIE MAE NOTES
DTD 11/12/2020 0.500% 11/07/2025
3135G06G3 1,955,000.00 AA+ Aaa 11/19/2020 11/24/2020 1,954,257.10 0.51 3,910.00 1,740,743.731,954,534.71

FANNIE MAE NOTES
DTD 11/12/2020 0.500% 11/07/2025
3135G06G3 6,190,000.00 AA+ Aaa 12/3/2020 12/4/2020 6,188,885.80 0.50 12,380.00 5,511,613.146,189,298.28 66,547,500.00 66,750,174.00 120,809.82 61,650,317.74Security Type Sub-Total 0.78 66,640,959.93 Corporate

AMERICAN HONDA FINANCE
DTD 01/10/2020 1.950% 05/10/2023
02665WDH1 1,775,000.00 A- A3 1/7/2020 1/10/2020 1,774,343.25 1.96 13,556.56 1,749,273.151,774,880.64

PACCAR FINANCIAL CORP

CORPORATE NOTES
DTD 08/11/2020 0.350% 08/11/2023
69371RQ90 242,500.00 A+ A1 8/4/2020 8/11/2020 242,182.32 0.39 117.88 234,186.13242,408.90

BANK OF NY MELLON CORP CORP
NOTES
DTD 08/13/2018 3.450% 08/11/2023
06406RAJ6 3,367,500.00 A A1 1/30/2019 1/31/2019 3,407,371.20 3.17 16,135.94 3,341,092.073,375,073.84

US BANK NA CINCINNATI CORP

NOTES (CALLAB
DTD 02/04/2019 3.375% 02/05/2024
91159HHV5 1,062,500.00 A+ A2 4/2/2019 4/4/2019 1,085,598.75 2.89 5,578.13 1,044,325.941,068,630.41

MERCK & CO INC (CALLABLE) CORP
NOTES
DTD 03/07/2019 2.900% 03/07/2024
58933YAU9 2,312,500.00 A+ A1 11/19/2021 11/23/2021 2,419,591.87 0.85 4,470.83 2,260,639.882,378,136.95

PFIZER INC CORP NOTES
DTD 03/11/2019 2.950% 03/15/2024
717081ES8 3,200,000.00 A+ A2 6/3/2019 6/5/2019 3,281,376.00 2.38 4,195.56 3,139,635.203,223,805.80

MASTERCARD INC CORP NOTES
DTD 03/31/2014 3.375% 04/01/2024
57636QAB0 2,125,000.00 A+ A1 4/2/2019 4/4/2019 2,194,381.25 2.67 35,859.38 2,089,151.252,145,844.81

MORGAN STANLEY CORP NOTES
(CALLABLE)
DTD 04/22/2021 0.731% 04/05/2024
61772BAA1 1,332,500.00 A- A1 4/20/2021 4/22/2021 1,334,178.95 0.69 4,762.06 1,300,985.041,332,937.99 AMAZON.COM INC CORPORATE
NOTES
DTD 05/12/2021 0.450% 05/12/2024
023135BW5 1,542,500.00 AA A1 5/10/2021 5/12/2021 1,540,247.95 0.50 2,680.09 1,446,848.031,541,289.73

ATTACHMENT A
40 57
© PFM Asset Management LLC pfmam.com

WALMART INC CORPORATE NOTES
DTD 04/23/2019 2.850% 07/08/2024
931142EL3 4,100,000.00 AA Aa2 5/12/2020 5/14/2020 4,418,693.00 0.94 26,940.42 3,977,508.404,232,109.62

US BANCORP NOTES (CALLABLE)
DTD 07/29/2019 2.400% 07/30/2024
91159HHX1 1,650,000.00 A+ A2 8/1/2019 8/5/2019 1,651,369.50 2.38 6,710.00 1,580,673.601,650,486.87

JPMORGAN CHASE & CO

CORPORATE NOTES (CAL
DTD 09/16/2020 0.653% 09/16/2024
46647PBS4 1,467,500.00 A- A1 9/9/2020 9/16/2020 1,467,500.00 0.65 399.28 1,400,128.541,467,500.00

BANK OF AMERICA CORP
(CALLABLE) CORPORAT
DTD 10/21/2020 0.810% 10/24/2024
06051GJH3 1,907,500.00 A- A2 10/16/2020 10/21/2020 1,907,500.00 0.81 6,738.24 1,812,119.281,907,500.00

JOHN DEERE CAPITAL CORP

CORPORATE NOTES
DTD 01/10/2022 1.250% 01/10/2025
24422EVY2 2,357,500.00 A A2 3/8/2022 3/10/2022 2,298,067.42 2.17 6,630.47 2,184,544.372,309,816.39

MICROSOFT CORP (CALLABLE)
NOTES
DTD 02/12/2015 2.700% 02/12/2025
594918BB9 2,675,000.00 AAA Aaa 3/4/2021 3/8/2021 2,863,881.75 0.87 9,830.63 2,566,681.232,783,554.34

TOYOTA MOTOR CREDIT CORP CORP
NOTES
DTD 02/13/2020 1.800% 02/13/2025
89236TGT6 292,500.00 A+ A1 5/20/2020 5/26/2020 295,357.73 1.58 702.00 273,205.24293,935.50

TOYOTA MOTOR CREDIT CORP CORP
NOTES
DTD 02/13/2020 1.800% 02/13/2025
89236TGT6 1,595,000.00 A+ A1 5/21/2020 5/26/2020 1,616,692.00 1.50 3,828.00 1,489,785.821,605,896.33

NOVARTIS CAPITAL CORP
DTD 02/14/2020 1.750% 02/14/2025
66989HAP3 3,680,000.00 AA- A1 5/8/2020 5/12/2020 3,809,756.80 0.99 8,407.78 3,451,586.083,743,510.94 AMAZON.COM INC CORPORATE
NOTES
DTD 04/13/2022 3.000% 04/13/2025
023135CE4 2,567,500.00 AA A1 4/11/2022 4/13/2022 2,563,417.67 3.06 35,945.00 2,476,348.622,564,054.60 3M COMPANY (CALLABLE)

CORPORATE NOTES
DTD 03/27/2020 2.650% 04/15/2025
88579YBM2 1,450,000.00 A+ A1 4/21/2022 4/25/2022 1,422,595.00 3.32 17,718.19 1,367,856.051,426,607.33

CITIGROUP INC (CALLABLE)

CORPORATE NOTES
DTD 05/04/2021 0.981% 05/01/2025
172967MX6 1,355,000.00 BBB+ A3 4/28/2021 5/4/2021 1,358,590.75 0.91 5,538.56 1,254,151.421,356,898.86

GOLDMAN SACHS GROUP INC

CORPORATE NOTES
DTD 05/22/2015 3.750% 05/22/2025
38148LAE6 1,817,500.00 BBB+ A2 2/12/2021 2/17/2021 2,030,474.65 0.94 24,422.66 1,738,938.561,944,616.52

ATTACHMENT A
41 58
© PFM Asset Management LLC pfmam.com

HONEYWELL INTL CORP NOTES
(CALLABLE)
DTD 05/18/2020 1.350% 06/01/2025
438516CB0 2,000,000.00 A A2 9/3/2021 9/8/2021 2,039,160.00 0.82 9,000.00 1,839,768.002,027,744.46

JPMORGAN CHASE & CO CORP

NOTES (CALLABLE
DTD 08/10/2021 0.768% 08/09/2025
46647PCM6 1,680,000.00 A- A1 8/3/2021 8/10/2021 1,680,000.00 0.77 1,863.68 1,546,974.241,680,000.00

STATE STREET CORP (CALLABLE)

CORPORATE N
DTD 02/07/2022 1.746% 02/06/2026
857477BR3 437,500.00 A A1 2/2/2022 2/7/2022 437,500.00 1.75 1,167.03 404,827.06437,500.00

STATE STREET CORP NOTES
(CALLABLE)
DTD 10/29/2020 2.901% 03/30/2026
857477BM4 3,750,000.00 A A1 8/8/2022 8/10/2022 3,639,037.50 3.78 302.19 3,537,832.503,643,382.42

BANK OF AMERICA CORP NOTES
(CALLABLE)
DTD 03/22/2022 3.384% 04/02/2026
06051GKM0 1,875,000.00 A- A2 3/17/2022 3/22/2022 1,875,000.00 3.38 33,311.25 1,773,847.501,875,000.00

TARGET CORP CORP NOTES
(CALLABLE)
DTD 01/24/2022 1.950% 01/15/2027
87612EBM7 2,140,000.00 A A2 1/27/2022 1/31/2022 2,138,694.60 1.96 8,809.67 1,918,227.522,138,869.86

TRUIST FINANCIAL CORP NOTES
(CALLABLE)
DTD 08/03/2020 1.125% 08/03/2027
89788MAC6 2,520,000.00 A- A3 8/5/2022 8/9/2022 2,213,719.20 3.83 4,567.50 2,067,937.202,222,638.37

INTEL CORP NOTES (CALLABLE)
DTD 08/05/2022 3.750% 08/05/2027
458140BY5 2,165,000.00 A+ A1 8/10/2022 8/12/2022 2,165,476.30 3.75 12,629.17 2,055,260.482,165,462.98 60,442,500.00 61,171,755.41 312,818.15 57,324,338.40Security Type Sub-Total 1.98 60,560,094.46 Agency CMBS

FANNIEMAE-ACES
DTD 04/01/2014 3.346% 03/01/2024
3136AJB54 939,150.66 AA+ Aaa 12/13/2019 12/18/2019 984,787.52 2.14 2,618.67 927,898.75954,521.51 FHMS KJ27 A1
DTD 11/01/2019 2.092% 07/01/2024
3137FQ3V3 7,213.95 AA+ Aaa 11/20/2019 11/26/2019 7,213.77 2.09 12.58 7,213.957,213.88 946,364.61 992,001.29 2,631.25 935,112.70Security Type Sub-Total 2.14 961,735.39

ATTACHMENT A
42 59
© PFM Asset Management LLC pfmam.com

CITY OF STOCKTON
For the Quarter Ended September 30, 2022
Portfolio Holdings
|
Security Type/Description
Dated Date/Coupon/Maturity CUSIP Par
S&P
Rating
Moody's
Rating
Settle
Date
Original
Cost
Trade
Date
YTM
at Cost
Accrued
Interest
Market
Value
Amortized
Cost
ABS
NAROT 2019-B A3
DTD 05/28/2019 2.500% 11/15/2023
65479HAC1 56,750.82 NR Aaa 5/21/2019 5/28/2019 56,737.99 2.51 63.06 56,730.7956,747.60 CARMX 2019-2 A3
DTD 04/17/2019 2.680% 03/15/2024
14316LAC7 57,740.91 AAA NR 4/9/2019 4/17/2019 57,735.01 2.68 68.78 57,720.0357,739.16 TAOT 2020-A A3
DTD 02/12/2020 1.660% 05/15/2024
89232HAC9 580,431.01 AAA Aaa 2/4/2020 2/12/2020 580,389.10 1.66 428.23 577,047.50580,415.04 NAROT 2020-B A3
DTD 06/30/2020 0.550% 07/15/2024
65479CAD0 173,871.91 AAA Aaa 6/23/2020 6/30/2020 173,867.15 0.55 42.50 172,202.11173,869.80 CARMX 2020-1 A3
DTD 01/22/2020 1.890% 12/16/2024
14315XAC2 375,242.14 AAA NR 1/14/2020 1/22/2020 375,168.52 1.89 315.20 371,700.68375,208.95 HAROT 2021-1 A3
DTD 02/24/2021 0.270% 04/21/2025
43813GAC5 629,786.74 NR Aaa 2/17/2021 2/24/2021 629,775.22 0.27 47.23 611,749.52629,779.65 HART 2021-A A3
DTD 04/28/2021 0.380% 09/15/2025
44933LAC7 572,500.00 AAA NR 4/20/2021 4/28/2021 572,439.77 0.38 96.69 552,640.38572,459.37 CARMX 2021-1 A3
DTD 01/27/2021 0.340% 12/15/2025
14316NAC3 379,813.10 AAA NR 1/20/2021 1/27/2021 379,738.05 0.34 57.39 366,969.15379,763.81 TAOT 2021-C A3
DTD 09/27/2021 0.430% 01/15/2026
89239BAC5 1,000,000.00 AAA Aaa 9/21/2021 9/27/2021 999,920.30 0.43 191.11 945,908.70999,939.02 CARMX 2021-2 A3
DTD 04/21/2021 0.520% 02/17/2026
14314QAC8 862,500.00 AAA NR 4/13/2021 4/21/2021 862,314.13 0.52 199.33 835,076.47862,369.80 HART 2021-C A3
DTD 11/17/2021 0.740% 05/15/2026
44935FAD6 495,000.00 AAA NR 11/9/2021 11/17/2021 494,889.51 0.75 162.80 467,463.45494,910.93 HAROT 2022-2 A3
DTD 08/24/2022 3.730% 07/20/2026
43815PAC3 310,000.00 AAA NR 8/15/2022 8/24/2022 309,981.52 3.73 417.55 303,470.16309,982.01 DCENT 2021-A1 A1
DTD 09/27/2021 0.580% 09/15/2026
254683CP8 797,500.00 AAA Aaa 9/20/2021 9/27/2021 797,329.25 0.58 205.58 738,316.01797,363.98 6,291,136.63 6,290,285.52 2,295.45 6,056,994.95Security Type Sub-Total 0.88 6,290,549.12 303,582,001.24 301,556,057.54 833,734.82 281,063,013.87Managed Account Sub Total Securities Sub Total
Accrued Interest
$303,582,001.24 $301,556,057.54 $833,734.82 $281,063,013.87 $833,734.82
300,785,996.87
$300,785,996.87

1.40 1.40%
Total Investments $281,896,748.69

ATTACHMENT A
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CITY OF STOCKTON
For the Quarter Ended September 30, 2022
Portfolio Activity
|
Quarterly Portfolio Transactions
Trade
Date
Settle
D
ate Par ($) CUSIP
Maturity
Date
Transact
Amount ($)Coupon
Yield
at Market
Realized
G/L (BV)Security Description
BUY
8/2/2022 8/3/2022 4,840,000.00 912828ZN3 US TREASURY N/B NOTES 0.50% 4/30/2027 4,338,236.34 2.88% 8/5/2022 8/9/2022 2,520,000.00 89788MAC6 TRUIST FINANCIAL CORP NOTES (CALLABLE) 1.12% 8/3/2027 2,214,191.70 3.83% 8/5/2022 8/9/2022 670,000.00 91282CES6 US TREASURY N/B NOTES 2.75% 5/31/2029 666,221.96 2.93% 8/5/2022 8/9/2022 660,000.00 91282CEP2 US TREASURY N/B NOTES 2.87% 5/15/2032 667,064.07 2.83% 8/8/2022 8/9/2022 3,060,000.00 912828V98 US TREASURY NOTES 2.25% 2/15/2027 2,998,495.56 2.99% 8/8/2022 8/10/2022 3,750,000.00 857477BM4 STATE STREET CORP NOTES (CALLABLE) 2.90% 3/30/2026 3,678,321.88 3.78% 8/8/2022 8/9/2022 2,540,000.00 912828U24 US TREASURY NOTES 2.00% 11/15/2026 2,449,477.99 3.01% 8/10/2022 8/12/2022 2,165,000.00 458140BY5 INTEL CORP NOTES (CALLABLE) 3.75% 8/5/2027 2,167,054.95 3.74% 8/15/2022 8/24/2022 310,000.00 43815PAC3 HAROT 2022-2 A3 3.73% 7/20/2026 309,981.52 3.73% 8/25/2022 8/26/2022 4,215,000.00 912828ZV5 US TREASURY NOTES 0.50% 6/30/2027 3,708,842.06 3.21% 9/1/2022 9/6/2022 2,730,000.00 9128282R0 US TREASURY NOTES 2.25% 8/15/2027 2,591,946.76 3.40% 9/12/2022 9/12/2022 1,925,000.00 91282CAN1 US TREASURY NOTES 0.12% 9/30/2022 1,924,054.51 2.27% 9/16/2022 9/16/2022 2,130,000.00 91282CAN1 US TREASURY NOTES 0.12% 9/30/2022 2,129,398.94 2.37% 9/29/2022 9/30/2022 4,180,000.00 91282CAR2 US TREASURY NOTES 0.12% 10/31/2022 4,172,865.32 2.77% Total BUY 35,695,000.00 34,016,153.56 0.00

INTEREST
7/1/2022 7/25/2022 1,718,729.45 3137AWQH1 FHLMC MULTIFAMILY STRUCTURED P 2.30% 8/1/2022 3,304.26

ATTACHMENT A
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INTEREST
7/1/2022 7/25/2022 288,272.24 3137BM6P6 FHLMC SERIES K721 A2 3.09% 8/1/2022 742.30 7/1/2022 7/1/2022 MONEY0002 MONEY MARKET FUND 1,135.23
7/1/2022 7/1/2022 3,750,000.00 341271AD6 FL ST BOARD OF ADMIN TXBL REV BONDS 1.25% 7/1/2025 23,587.50 7/1/2022 7/1/2022 1,115,000.00 646140DP5 NJ TURNPIKE AUTHORITY TXBL REV BONDS 1.04% 1/1/2026 5,837.03 7/1/2022 7/25/2022 102,663.57 3137FQ3V3 FHMS KJ27 A1 2.09% 7/1/2024 178.98 7/1/2022 7/25/2022 1,911,720.85 3136AJB54 FANNIEMAE-ACES 3.34% 3/1/2024 5,439.47 7/7/2022 7/7/2022 8,760,000.00 3135G0X24 FANNIE MAE NOTES 1.62% 1/7/2025 35,587.50 7/8/2022 7/8/2022 8,200,000.00 931142EL3 WALMART INC CORPORATE NOTES 2.85% 7/8/2024 58,425.00 7/10/2022 7/10/2022 8,570,000.00 3135G05G4 FANNIE MAE NOTES 0.25% 7/10/2023 5,356.25 7/10/2022 7/10/2022 4,715,000.00 24422EVY2 JOHN DEERE CAPITAL CORP CORPORATE NOTES 1.25% 1/10/2025 14,734.38 7/15/2022 7/15/2022 1,725,000.00 14314QAC8 CARMX 2021-2 A3 0.52% 2/17/2026 747.50 7/15/2022 7/15/2022 988,471.68 14315XAC2 CARMX 2020-1 A3 1.89% 12/16/2024 1,556.84 7/15/2022 7/15/2022 860,000.00 14316NAC3 CARMX 2021-1 A3 0.34% 12/15/2025 243.67 7/15/2022 7/15/2022 364,137.15 65479HAC1 NAROT 2019-B A3 2.50% 11/15/2023 758.62 7/15/2022 7/15/2022 282,044.13 14316LAC7 CARMX 2019-2 A3 2.68% 3/15/2024 629.90 7/15/2022 7/15/2022 99,526.97 14042WAC4 COPAR 2019-1 A3 2.51% 11/15/2023 208.18 7/15/2022 7/15/2022 181,815.61 65479KAD2 NAROT 2019-A A3 2.90% 10/15/2023 439.39

ATTACHMENT A
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INTEREST
7/15/2022 7/15/2022 1,708,265.48 89232HAC9 TAOT 2020-A A3 1.66% 5/15/2024 2,363.10 7/15/2022 7/15/2022 2,000,000.00 89239BAC5 TAOT 2021-C A3 0.43% 1/15/2026 716.67 7/15/2022 7/15/2022 499,855.89 65479CAD0 NAROT 2020-B A3 0.55% 7/15/2024 229.10 7/15/2022 7/15/2022 990,000.00 44935FAD6 HART 2021-C A3 0.74% 5/15/2026 610.50 7/15/2022 7/15/2022 4,280,000.00 87612EBM7 TARGET CORP CORP NOTES (CALLABLE) 1.95% 1/15/2027 39,643.50 7/15/2022 7/15/2022 1,595,000.00 254683CP8 DCENT 2021-A1 A1 0.58% 9/15/2026 770.92 7/15/2022 7/15/2022 1,145,000.00 44933LAC7 HART 2021-A A3 0.38% 9/15/2025 362.58 7/21/2022 7/21/2022 4,620,000.00 3137EAEU9 FREDDIE MAC NOTES 0.37% 7/21/2025 4,331.25 7/21/2022 7/21/2022 1,445,000.00 43813GAC5 HAROT 2021-1 A3 0.27% 4/21/2025 325.13 7/21/2022 7/21/2022 215,902.20 43815MAC0 HAROT 2019-2 A3 2.52% 6/21/2023 453.39 7/30/2022 7/30/2022 1,650,000.00 91159HHX1 US BANCORP NOTES (CALLABLE) 2.40% 7/30/2024 19,800.00 7/31/2022 7/31/2022 540,000.00 91282CBJ9 US TREASURY NOTES 0.75% 1/31/2028 2,025.00 7/31/2022 7/31/2022 17,305,000.00 91282CBH3 US TREASURY NOTES 0.37% 1/31/2026 32,446.88 7/31/2022 7/31/2022 1,250,000.00 9128282N9 US TREASURY NOTES 2.12% 7/31/2024 13,281.25 7/31/2022 7/31/2022 807,500.00 912828S92 US TREASURY NOTES 1.25% 7/31/2023 5,046.88 7/31/2022 7/31/2022 1,707,500.00 9128286A3 US TREASURY NOTES 2.62% 1/31/2026 22,410.94 8/1/2022 8/1/2022 647,500.00 574193TQ1 MD ST TXBL GO BONDS 0.51% 8/1/2024 1,651.13

ATTACHMENT A
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INTEREST
8/1/2022 8/1/2022 MONEY0002 MONEY MARKET FUND 5,596.35
8/1/2022 8/1/2022 965,000.00 54438CYK2 LOS ANGELES CCD, CA TXBL GO BONDS 0.77% 8/1/2025 3,729.73 8/1/2022 8/25/2022 65,866.36 3137FQ3V3 FHMS KJ27 A1 2.09% 7/1/2024 57.41 8/1/2022 8/25/2022 1,885,849.79 3136AJB54 FANNIEMAE-ACES 3.34% 3/1/2024 2,629.06 8/1/2022 8/1/2022 725,000.00 797272QP9 SAN DIEGO CCD, CA TXBL GO BONDS 2.04% 8/1/2024 7,416.75 8/5/2022 8/5/2022 1,062,500.00 91159HHV5 US BANK NA CINCINNATI CORP NOTES (CALLAB 3.37% 2/5/2024 17,929.69 8/6/2022 8/6/2022 437,500.00 857477BR3 STATE STREET CORP (CALLABLE) CORPORATE N 1.74% 2/6/2026 3,798.16 8/9/2022 8/9/2022 1,680,000.00 46647PCM6 JPMORGAN CHASE & CO CORP NOTES (CALLABLE 0.76% 8/9/2025 6,451.20 8/11/2022 8/11/2022 242,500.00 69371RQ90 PACCAR FINANCIAL CORP CORPORATE NOTES 0.35% 8/11/2023 424.38 8/11/2022 8/11/2022 3,367,500.00 06406RAJ6 BANK OF NY MELLON CORP CORP NOTES 3.45% 8/11/2023 58,089.38 8/12/2022 8/12/2022 3137BM6P6 FHLMC SERIES K721 A2 3.09% 8/1/2022 -15.30 8/12/2022 8/12/2022 2,675,000.00 594918BB9 MICROSOFT CORP (CALLABLE) NOTES 2.70% 2/12/2025 36,112.50 8/13/2022 8/13/2022 1,887,500.00 89236TGT6 TOYOTA MOTOR CREDIT CORP CORP NOTES 1.80% 2/13/2025 16,987.50 8/14/2022 8/14/2022 3,680,000.00 66989HAP3 NOVARTIS CAPITAL CORP 1.75% 2/14/2025 32,200.00 8/15/2022 8/15/2022 452,954.55 14315XAC2 CARMX 2020-1 A3 1.89% 12/16/2024 713.40 8/15/2022 8/15/2022 542,500.00 912828Z94 US TREASURY NOTES 1.50% 2/15/2030 4,068.75 8/15/2022 8/15/2022 27,664.16 14042WAC4 COPAR 2019-1 A3 2.51% 11/15/2023 57.86

ATTACHMENT A
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INTEREST
8/15/2022 8/15/2022 565,000.00 91282CBL4 US TREASURY NOTES 1.12% 2/15/2031 3,178.13 8/15/2022 8/15/2022 3,010,000.00 91282CCT6 US TREASURY N/B NOTES 0.37% 8/15/2024 5,643.75 8/15/2022 8/15/2022 427,686.98 14316NAC3 CARMX 2021-1 A3 0.34% 12/15/2025 121.18 8/15/2022 8/15/2022 1,000,000.00 89239BAC5 TAOT 2021-C A3 0.43% 1/15/2026 358.33 8/15/2022 8/15/2022 495,000.00 44935FAD6 HART 2021-C A3 0.74% 5/15/2026 305.25 8/15/2022 8/15/2022 759,227.77 89232HAC9 TAOT 2020-A A3 1.66% 5/15/2024 1,050.27 8/15/2022 8/15/2022 587,500.00 91282CAE1 US TREASURY NOTES 0.62% 8/15/2030 1,835.94 8/15/2022 8/15/2022 223,829.37 65479CAD0 NAROT 2020-B A3 0.55% 7/15/2024 102.59 8/15/2022 8/15/2022 797,500.00 254683CP8 DCENT 2021-A1 A1 0.58% 9/15/2026 385.46 8/15/2022 8/15/2022 112,187.59 14316LAC7 CARMX 2019-2 A3 2.68% 3/15/2024 250.55 8/15/2022 8/15/2022 48,680.95 65479KAD2 NAROT 2019-A A3 2.90% 10/15/2023 117.65 8/15/2022 8/15/2022 500,000.00 9128286B1 US TREASURY NOTES 2.62% 2/15/2029 6,562.50 8/15/2022 8/15/2022 562,500.00 91282CCS8 US TREASURY N/B NOTES 1.25% 8/15/2031 3,515.63 8/15/2022 8/15/2022 862,500.00 14314QAC8 CARMX 2021-2 A3 0.52% 2/17/2026 373.75 8/15/2022 8/15/2022 572,500.00 44933LAC7 HART 2021-A A3 0.38% 9/15/2025 181.29 8/15/2022 8/15/2022 855,000.00 912828V98 US TREASURY NOTES 2.25% 2/15/2027 9,618.75 8/15/2022 8/15/2022 520,000.00 912828YB0 US TREASURY NOTES 1.62% 8/15/2029 4,225.00

ATTACHMENT A
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INTEREST
8/15/2022 8/15/2022 139,208.47 65479HAC1 NAROT 2019-B A3 2.50% 11/15/2023 290.02 8/21/2022 8/21/2022 722,500.00 43813GAC5 HAROT 2021-1 A3 0.27% 4/21/2025 162.56 8/21/2022 8/21/2022 64,880.66 43815MAC0 HAROT 2019-2 A3 2.52% 6/21/2023 136.25 8/24/2022 8/24/2022 2,292,500.00 3137EAEV7 FREDDIE MAC NOTES 0.25% 8/24/2023 2,865.63 8/25/2022 8/25/2022 3,995,000.00 3135G05X7 FANNIE MAE NOTES 0.37% 8/25/2025 7,490.63 8/31/2022 8/31/2022 8,820,000.00 91282CAJ0 US TREASURY NOTES 0.25% 8/31/2025 11,025.00 8/31/2022 8/31/2022 4,472,500.00 912828ZC7 US TREASURY NOTES 1.12% 2/28/2025 25,157.81 8/31/2022 8/31/2022 1,709,500.00 9128286G0 US TREASURY NOTES 2.37% 2/29/2024 20,300.31 8/31/2022 8/31/2022 12,670,000.00 91282CBQ3 US TREASURY NOTES 0.50% 2/28/2026 31,675.00 8/31/2022 8/31/2022 7,137,500.00 9128282U3 US TREASURY NOTES 1.87% 8/31/2024 66,914.06 9/1/2022 9/1/2022 MONEY0002 MONEY MARKET FUND 1,104.30
9/1/2022 9/25/2022 7,714.54 3137FQ3V3 FHMS KJ27 A1 2.09% 7/1/2024 13.45 9/1/2022 9/25/2022 941,041.80 3136AJB54 FANNIEMAE-ACES 3.34% 3/1/2024 2,623.94 9/7/2022 9/7/2022 2,312,500.00 58933YAU9 MERCK & CO INC (CALLABLE) CORP NOTES 2.90% 3/7/2024 33,531.25 9/12/2022 9/12/2022 6,162,500.00 3135G0U43 FANNIE MAE NOTES 2.87% 9/12/2023 88,585.94 9/15/2022 9/15/2022 495,000.00 44935FAD6 HART 2021-C A3 0.74% 5/15/2026 305.25 9/15/2022 9/15/2022 862,500.00 14314QAC8 CARMX 2021-2 A3 0.52% 2/17/2026 373.75

ATTACHMENT A
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INTEREST
9/15/2022 9/15/2022 3,200,000.00 717081ES8 PFIZER INC CORP NOTES 2.95% 3/15/2024 47,200.00 9/15/2022 9/15/2022 98,072.38 65479HAC1 NAROT 2019-B A3 2.50% 11/15/2023 204.32 9/15/2022 9/15/2022 403,313.77 14316NAC3 CARMX 2021-1 A3 0.34% 12/15/2025 114.27 9/15/2022 9/15/2022 1,577,500.00 91282CCX7 US TREASURY N/B NOTES 0.37% 9/15/2024 2,957.81 9/15/2022 9/15/2022 797,500.00 254683CP8 DCENT 2021-A1 A1 0.58% 9/15/2026 385.46 9/15/2022 9/15/2022 672,239.77 89232HAC9 TAOT 2020-A A3 1.66% 5/15/2024 929.93 9/15/2022 9/15/2022 8,797.50 65479KAD2 NAROT 2019-A A3 2.90% 10/15/2023 21.26 9/15/2022 9/15/2022 413,154.61 14315XAC2 CARMX 2020-1 A3 1.89% 12/16/2024 650.72 9/15/2022 9/15/2022 1,000,000.00 89239BAC5 TAOT 2021-C A3 0.43% 1/15/2026 358.33 9/15/2022 9/15/2022 84,240.97 14316LAC7 CARMX 2019-2 A3 2.68% 3/15/2024 188.14 9/15/2022 9/15/2022 572,500.00 44933LAC7 HART 2021-A A3 0.38% 9/15/2025 181.29 9/15/2022 9/15/2022 7,451.50 14042WAC4 COPAR 2019-1 A3 2.51% 11/15/2023 15.59 9/15/2022 9/15/2022 199,395.59 65479CAD0 NAROT 2020-B A3 0.55% 7/15/2024 91.39 9/16/2022 9/16/2022 1,467,500.00 46647PBS4 JPMORGAN CHASE & CO CORPORATE NOTES (CAL 0.65% 9/16/2024 4,791.39 9/18/2022 9/18/2022 310,000.00 43815PAC3 HAROT 2022-2 A3 3.73% 7/20/2026 770.87 9/21/2022 9/21/2022 676,228.09 43813GAC5 HAROT 2021-1 A3 0.27% 4/21/2025 152.15 9/21/2022 9/21/2022 24,373.86 43815MAC0 HAROT 2019-2 A3 2.52% 6/21/2023 51.19

ATTACHMENT A
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INTEREST
9/23/2022 9/23/2022 4,190,000.00 4581X0DZ8 INTER-AMERICAN DEVEL BK NOTES 0.50% 9/23/2024 10,475.00 9/23/2022 9/23/2022 3,545,000.00 3137EAEX3 FREDDIE MAC NOTES 0.37% 9/23/2025 6,646.88 9/29/2022 9/29/2022 2,265,000.00 3133EMBH4 FEDERAL FARM CREDIT BANK (CALLABLE) 0.53% 9/29/2025 6,002.25 9/30/2022 9/30/2022 525,000.00 91282CCY5 US TREASURY N/B NOTES 1.25% 9/30/2028 3,281.25 9/30/2022 9/30/2022 3,750,000.00 857477BM4 STATE STREET CORP NOTES (CALLABLE) 2.90% 3/30/2026 54,393.75 9/30/2022 9/30/2022 3,700,000.00 91282CCZ2 US TREASURY N/B NOTES 0.87% 9/30/2026 16,187.50 9/30/2022 9/30/2022 2,965,000.00 912828W71 US TREASURY NOTES 2.12% 3/31/2024 31,503.13 9/30/2022 9/30/2022 2,500,000.00 912828T26 US TREASURY NOTES 1.37% 9/30/2023 17,187.50 Total INTEREST 205,392,466.25 1,036,749.58 0.00

MATURITY
8/1/2022 8/1/2022 159,819.88 3137AWQH1 FHLMC MULTIFAMILY STRUCTURED P 2.30% 8/1/2022 160,127.13 8/1/2022 8/1/2022 12,141.51 3137BM6P6 FHLMC SERIES K721 A2 3.09% 8/1/2022 12,172.77 8/26/2022 8/26/2022 3,682,500.00 83050PDR7 SKANDINAV ENSKILDA BANK LT CD 1.86% 8/26/2022 3,716,937.51 9/12/2022 9/12/2022 1,925,000.00 19423KJC9 COLLAT CP FLEX CO LLC COMM PAPER 0.00% 9/12/2022 1,925,000.00 9/16/2022 9/16/2022 1,625,000.00 53127UJG6 LIBERTY STREET FDG LLC COMM PAPER 0.00% 9/16/2022 1,625,000.00 9/30/2022 9/30/2022 2,130,000.00 91282CAN1 US TREASURY NOTES 0.12% 9/30/2022 2,131,331.25

ATTACHMENT A
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MATURITY
9/30/2022 9/30/2022 1,920,000.00 91282CAN1 US TREASURY NOTES 0.12% 9/30/2022 1,921,200.00 Total MATURITY 11,454,461.39 11,491,768.66 0.00

PAYDOWNS
7/1/2022 7/25/2022 263,989.15 3137BM6P6 FHLMC SERIES K721 A2 3.09% 8/1/2022 263,989.15 7/1/2022 7/25/2022 1,399,089.70 3137AWQH1 FHLMC MULTIFAMILY STRUCTURED P 2.30% 8/1/2022 1,399,089.70 7/1/2022 7/25/2022 25,871.06 3136AJB54 FANNIEMAE-ACES 3.34% 3/1/2024 25,871.06 7/1/2022 7/25/2022 36,797.21 3137FQ3V3 FHMS KJ27 A1 2.09% 7/1/2024 36,797.21 7/15/2022 7/15/2022 84,453.70 65479KAD2 NAROT 2019-A A3 2.90% 10/15/2023 84,453.70 7/15/2022 7/15/2022 85,720.21 65479HAC1 NAROT 2019-B A3 2.50% 11/15/2023 85,720.21 7/15/2022 7/15/2022 189,809.96 89232HAC9 TAOT 2020-A A3 1.66% 5/15/2024 189,809.96 7/15/2022 7/15/2022 44,198.64 14042WAC4 COPAR 2019-1 A3 2.51% 11/15/2023 44,198.64 7/15/2022 7/15/2022 57,668.98 14316LAC7 CARMX 2019-2 A3 2.68% 3/15/2024 57,668.98 7/15/2022 7/15/2022 52,197.14 65479CAD0 NAROT 2020-B A3 0.55% 7/15/2024 52,197.14 7/15/2022 7/15/2022 82,562.57 14315XAC2 CARMX 2020-1 A3 1.89% 12/16/2024 82,562.57 7/15/2022 7/15/2022 4,626.03 14316NAC3 CARMX 2021-1 A3 0.34% 12/15/2025 4,626.03 7/21/2022 7/21/2022 86,140.88 43815MAC0 HAROT 2019-2 A3 2.52% 6/21/2023 86,140.88 8/1/2022 8/25/2022 25,218.62 3137FQ3V3 FHMS KJ27 A1 2.09% 7/1/2024 25,218.62

ATTACHMENT A
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PAYDOWNS
8/1/2022 8/25/2022 1,883.10 3136AJB54 FANNIEMAE-ACES 3.34% 3/1/2024 1,883.10 8/15/2022 8/15/2022 39,883.45 65479KAD2 NAROT 2019-A A3 2.90% 10/15/2023 39,883.45 8/15/2022 8/15/2022 20,212.66 14042WAC4 COPAR 2019-1 A3 2.51% 11/15/2023 20,212.66 8/15/2022 8/15/2022 41,136.09 65479HAC1 NAROT 2019-B A3 2.50% 11/15/2023 41,136.09 8/15/2022 8/15/2022 27,946.62 14316LAC7 CARMX 2019-2 A3 2.68% 3/15/2024 27,946.62 8/15/2022 8/15/2022 39,799.94 14315XAC2 CARMX 2020-1 A3 1.89% 12/16/2024 39,799.94 8/15/2022 8/15/2022 24,433.78 65479CAD0 NAROT 2020-B A3 0.55% 7/15/2024 24,433.78 8/15/2022 8/15/2022 24,373.21 14316NAC3 CARMX 2021-1 A3 0.34% 12/15/2025 24,373.21 8/15/2022 8/15/2022 86,988.00 89232HAC9 TAOT 2020-A A3 1.66% 5/15/2024 86,988.00 8/21/2022 8/21/2022 40,506.80 43815MAC0 HAROT 2019-2 A3 2.52% 6/21/2023 40,506.80 8/21/2022 8/21/2022 46,271.91 43813GAC5 HAROT 2021-1 A3 0.27% 4/21/2025 46,271.91 9/1/2022 9/25/2022 500.59 3137FQ3V3 FHMS KJ27 A1 2.09% 7/1/2024 500.59 9/1/2022 9/25/2022 1,891.14 3136AJB54 FANNIEMAE-ACES 3.34% 3/1/2024 1,891.14 9/15/2022 9/15/2022 25,523.68 65479CAD0 NAROT 2020-B A3 0.55% 7/15/2024 25,523.68 9/15/2022 9/15/2022 37,912.47 14315XAC2 CARMX 2020-1 A3 1.89% 12/16/2024 37,912.47 9/15/2022 9/15/2022 26,500.06 14316LAC7 CARMX 2019-2 A3 2.68% 3/15/2024 26,500.06 9/15/2022 9/15/2022 8,797.50 65479KAD2 NAROT 2019-A A3 2.90% 10/15/2023 8,797.50

ATTACHMENT A
53 70
© PFM Asset Management LLC pfmam.com

PAYDOWNS
9/15/2022 9/15/2022 7,451.50 14042WAC4 COPAR 2019-1 A3 2.51% 11/15/2023 7,451.50 9/15/2022 9/15/2022 91,808.76 89232HAC9 TAOT 2020-A A3 1.66% 5/15/2024 91,808.76 9/15/2022 9/15/2022 41,321.56 65479HAC1 NAROT 2019-B A3 2.50% 11/15/2023 41,321.56 9/15/2022 9/15/2022 23,500.67 14316NAC3 CARMX 2021-1 A3 0.34% 12/15/2025 23,500.67 9/21/2022 9/21/2022 24,373.86 43815MAC0 HAROT 2019-2 A3 2.52% 6/21/2023 24,373.86 9/21/2022 9/21/2022 46,441.35 43813GAC5 HAROT 2021-1 A3 0.27% 4/21/2025 46,441.35 Total PAYDOWNS 3,167,802.55 3,167,802.55 0.00
SELL
8/5/2022 8/9/2022 3,630,000.00 3137EAER6 FREDDIE MAC NOTES 0.37% 5/5/2023 3,557,215.48 -81,104.54 8/8/2022 8/9/2022 5,450,000.00 912828WE6 US TREASURY NOTES 2.75% 11/15/2023 5,452,239.98 -47,688.37 8/8/2022 8/10/2022 3,800,000.00 3135G04Q3 FANNIE MAE NOTES 0.25% 5/22/2023 3,713,632.33 -85,448.99 8/10/2022 8/12/2022 2,205,000.00 912828V98 US TREASURY NOTES 2.25% 2/15/2027 2,164,967.76 3,751.87 9/1/2022 9/6/2022 2,000,000.00 3137EAES4 FREDDIE MAC NOTES 0.25% 6/26/2023 1,948,292.22 -51,117.33 9/21/2022 9/21/2022 5,000.00 91282CAN1 US TREASURY NOTES 0.12% 9/30/2022 5,000.43 0.09 Total SELL 17,090,000.00 16,841,348.20 -261,607.27

ATTACHMENT A
54 71
© PFM Asset Management LLC pfmam.com

TRANSFER OUT
7/1/2022 7/1/2022 1,810,000.00 23341VZT1 DNB BANK ASA/NY LT CD 2.04% 12/2/2022 1,807,948.06 2.00% -5,026.37 7/1/2022 7/1/2022 540,000.00 91282CBJ9 US TREASURY NOTES 0.75% 1/31/2028 477,226.86 2.23% -24,937.05 7/1/2022 7/1/2022 4,190,000.00 4581X0DZ8 INTER-AMERICAN DEVEL BK NOTES 0.50% 9/23/2024 3,966,836.88 0.53% -226,560.53 7/1/2022 7/1/2022 2,460,000.00 3130AJHU6 FEDERAL HOME LOAN BANK NOTES 0.50% 4/14/2025 2,293,815.79 0.68% -162,005.16 7/1/2022 7/1/2022 1,875,000.00 06051GKM0 BANK OF AMERICA CORP NOTES (CALLABLE) 3.38% 4/2/2026 1,834,946.25 3.38% -57,502.50 7/1/2022 7/1/2022 1,060,000.00 912828YM6 US TREASURY NOTES 1.50% 10/31/2024 1,026,572.55 -0.35% -64,422.99 7/1/2022 7/1/2022 2,942,500.00 06742TG34 BARCLAYS BANK PLC NY CERT DEPOS 1.05% 2/1/2023 2,911,208.62 1.05% -43,993.17 7/1/2022 7/1/2022 750,000.00 3133ELVX9 FEDERAL FARM CREDIT BANK NOTES 0.87% 4/8/2024 723,820.77 0.87% -27,692.25 7/1/2022 7/1/2022 1,570,000.00 91282CBV2 US TREASURY N/B NOTES 0.37% 4/15/2024 1,499,852.62 0.41% -70,776.99 7/1/2022 7/1/2022 2,257,500.00 912828X70 US TREASURY NOTES 2.00% 4/30/2024 2,225,247.92 1.75% -43,679.86 7/1/2022 7/1/2022 1,870,000.00 459058JM6 INTL BK RECON & DEVELOP NOTES 0.25% 11/24/2023 1,801,226.91 0.40% -67,377.35 7/1/2022 7/1/2022 1,467,500.00 46647PBS4 JPMORGAN CHASE & CO CORPORATE NOTES (CAL 0.65% 9/16/2024 1,413,084.50 0.65% -57,210.48 7/1/2022 7/1/2022 3,367,500.00 06406RAJ6 BANK OF NY MELLON CORP CORP NOTES 3.45% 8/11/2023 3,423,224.28 2.36% 750.72 7/1/2022 7/1/2022 807,500.00 912828S92 US TREASURY NOTES 1.25% 7/31/2023 797,200.58 5.32% -5,956.24 7/1/2022 7/1/2022 1,597,500.00 912828ZW3 US TREASURY NOTES 0.25% 6/30/2025 1,470,459.76 0.81% -105,845.05 7/1/2022 7/1/2022 1,925,000.00 19423KJC9 COLLAT CP FLEX CO LLC COMM PAPER 0.00% 9/12/2022 1,916,191.20 2.33% -2,446.14 7/1/2022 7/1/2022 725,000.00 797272QP9 SAN DIEGO CCD, CA TXBL GO BONDS 2.04% 8/1/2024 714,353.38 2.05% -16,827.25

ATTACHMENT A
55 72
© PFM Asset Management LLC pfmam.com

TRANSFER OUT
7/1/2022 7/1/2022 5,715,000.00 912828XX3 US TREASURY NOTES 2.00% 6/30/2024 5,606,368.42 1.47% -132,529.48 7/1/2022 7/1/2022 437,500.00 857477BR3 STATE STREET CORP (CALLABLE) CORPORATE N 1.74% 2/6/2026 423,292.19 1.75% -17,263.31 7/1/2022 7/1/2022 1,907,500.00 06051GJH3 BANK OF AMERICA CORP (CALLABLE) CORPORAT 0.81% 10/24/2024 1,822,102.19 0.81% -88,273.37 7/1/2022 7/1/2022 2,292,500.00 3137EAEV7 FREDDIE MAC NOTES 0.25% 8/24/2023 2,225,008.68 0.34% -68,620.86 7/1/2022 7/1/2022 2,965,000.00 912828W71 US TREASURY NOTES 2.12% 3/31/2024 2,936,825.78 0.54% -107,941.26 7/1/2022 7/1/2022 4,380,000.00 3135G0X24 FANNIE MAE NOTES 1.62% 1/7/2025 4,261,263.31 0.15% -237,831.00 7/1/2022 7/1/2022 1,577,500.00 91282CCX7 US TREASURY N/B NOTES 0.37% 9/15/2024 1,490,008.77 0.54% -84,925.27 7/1/2022 7/1/2022 2,997,500.00 912828ZL7 US TREASURY NOTES 0.37% 4/30/2025 2,783,011.77 0.84% -189,132.92 7/1/2022 7/1/2022 2,567,500.00 023135CE4 AMAZON.COM INC CORPORATE NOTES 3.00% 4/13/2025 2,561,887.45 3.06% -18,513.23 7/1/2022 7/1/2022 2,310,000.00 3137EAEU9 FREDDIE MAC NOTES 0.37% 7/21/2025 2,132,341.75 0.54% -174,469.74 7/1/2022 7/1/2022 2,222,500.00 3137EAFA2 FREDDIE MAC NOTES 0.25% 12/4/2023 2,137,750.52 0.32% -84,119.31 7/1/2022 7/1/2022 2,675,000.00 594918BB9 MICROSOFT CORP (CALLABLE) NOTES 2.70% 2/12/2025 2,681,363.83 -142,997.19 7/1/2022 7/1/2022 3,682,500.00 83050PDR7 SKANDINAV ENSKILDA BANK LT CD 1.86% 8/26/2022 3,705,719.39 1.82% -563.42 7/1/2022 7/1/2022 1,062,500.00 91159HHV5 US BANK NA CINCINNATI CORP NOTES (CALLAB 3.37% 2/5/2024 1,079,060.66 1.98% -5,336.14 7/1/2022 7/1/2022 5,462,500.00 912828WE6 US TREASURY NOTES 2.75% 11/15/2023 5,463,762.00 2.00% -34,119.17 7/1/2022 7/1/2022 562,500.00 91282CCS8 US TREASURY N/B NOTES 1.25% 8/15/2031 486,831.00 2.66% -15,844.73 7/1/2022 7/1/2022 4,100,000.00 931142EL3 WALMART INC CORPORATE NOTES 2.85% 7/8/2024 4,135,234.72 -0.95% -107,019.12

ATTACHMENT A
56 73
© PFM Asset Management LLC pfmam.com

TRANSFER OUT
7/1/2022 7/1/2022 525,000.00 91282CCY5 US TREASURY N/B NOTES 1.25% 9/30/2028 471,852.72 2.21% -26,717.02 7/1/2022 7/1/2022 542,500.00 912828Z94 US TREASURY NOTES 1.50% 2/15/2030 490,290.00 2.70% -12,063.71 7/1/2022 7/1/2022 1,707,500.00 9128286A3 US TREASURY NOTES 2.62% 1/31/2026 1,701,384.40 -0.34% -156,067.81 7/1/2022 7/1/2022 1,700,000.00 9128283D0 US TREASURY NOTES 2.25% 10/31/2024 1,677,225.54 0.83% -55,240.41 7/1/2022 7/1/2022 1,712,500.00 3130A0F70 FEDERAL HOME LOAN BANKS NOTES 3.37% 12/8/2023 1,724,710.56 1.27% -6,652.43 7/1/2022 7/1/2022 1,680,000.00 46647PCM6 JPMORGAN CHASE & CO CORP NOTES (CALLABLE 0.76% 8/9/2025 1,565,357.36 0.77% -119,731.92 7/1/2022 7/1/2022 4,257,500.00 912828U57 US TREASURY NOTES 2.12% 11/30/2023 4,215,270.13 3.43% -27,843.77 7/1/2022 7/1/2022 1,625,000.00 53127UJG6 LIBERTY STREET FDG LLC COMM PAPER 0.00% 9/16/2022 1,617,226.00 2.55% -301.26 7/1/2022 7/1/2022 3,800,000.00 3135G04Q3 FANNIE MAE NOTES 0.25% 5/22/2023 3,715,981.37 0.59% -81,652.96 7/1/2022 7/1/2022 242,500.00 69371RQ90 PACCAR FINANCIAL CORP CORPORATE NOTES 0.35% 8/11/2023 235,112.27 0.47% -7,600.02 7/1/2022 7/1/2022 3,200,000.00 717081ES8 PFIZER INC CORP NOTES 2.95% 3/15/2024 3,215,773.16 1.43% -40,191.02 7/1/2022 7/1/2022 1,775,000.00 02665WDH1 AMERICAN HONDA FINANCE 1.95% 5/10/2023 1,760,866.57 1.99% -18,867.82 7/1/2022 7/1/2022 2,125,000.00 57636QAB0 MASTERCARD INC CORP NOTES 3.37% 4/1/2024 2,144,457.57 1.48% -22,816.42 7/1/2022 7/1/2022 3,500,000.00 91282CAT8 US TREASURY NOTES 0.25% 10/31/2025 3,190,302.48 0.90% -250,434.35 7/1/2022 7/1/2022 3,680,000.00 66989HAP3 NOVARTIS CAPITAL CORP 1.75% 2/14/2025 3,573,072.90 0.40% -201,935.06 7/1/2022 7/1/2022 2,500,000.00 912828T26 US TREASURY NOTES 1.37% 9/30/2023 2,459,421.96 1.65% -46,659.82 7/1/2022 7/1/2022 2,000,000.00 438516CB0 HONEYWELL INTL CORP NOTES (CALLABLE) 1.35% 6/1/2025 1,888,242.00 0.67% -144,459.24

ATTACHMENT A
57 74
© PFM Asset Management LLC pfmam.com

TRANSFER OUT
7/1/2022 7/1/2022 647,500.00 574193TQ1 MD ST TXBL GO BONDS 0.51% 8/1/2024 616,889.44 0.52% -31,891.68 7/1/2022 7/1/2022 77,500.00 13067WRB0 CA ST DEPT WTR RES WTR SYS TXBL REV BNDS 0.56% 12/1/2024 72,438.22 0.56% -5,097.95 7/1/2022 7/1/2022 6,162,500.00 3135G0U43 FANNIE MAE NOTES 2.87% 9/12/2023 6,210,049.00 3.24% 518.04 7/1/2022 7/1/2022 1,650,000.00 91159HHX1 US BANCORP NOTES (CALLABLE) 2.40% 7/30/2024 1,625,762.60 2.36% -41,404.69 7/1/2022 7/1/2022 2,192,500.00 13063DRJ9 CA ST TXBL GO BONDS 2.40% 10/1/2023 2,183,466.90 0.79% -36,130.71 7/1/2022 7/1/2022 557,500.00 646140DP5 NJ TURNPIKE AUTHORITY TXBL REV BONDS 1.04% 1/1/2026 509,058.83 1.05% -48,441.17 7/1/2022 7/1/2022 3,545,000.00 3137EAEX3 FREDDIE MAC NOTES 0.37% 9/23/2025 3,257,184.40 0.47% -284,531.42 7/1/2022 7/1/2022 2,312,500.00 58933YAU9 MERCK & CO INC (CALLABLE) CORP NOTES 2.90% 3/7/2024 2,319,035.90 0.14% -92,561.41 7/1/2022 7/1/2022 1,250,000.00 9128282N9 US TREASURY NOTES 2.12% 7/31/2024 1,239,009.69 0.60% -38,575.93 7/1/2022 7/1/2022 2,032,500.00 22552G3C2 CREDIT SUISSE NEW YORK CERT DEPOS 0.59% 3/17/2023 1,996,460.16 0.58% -39,570.74 7/1/2022 7/1/2022 500,000.00 9128286B1 US TREASURY NOTES 2.62% 2/15/2029 491,649.69 2.32% -22,337.06 7/1/2022 7/1/2022 3,452,500.00 3137EAES4 FREDDIE MAC NOTES 0.25% 6/26/2023 3,364,339.46 0.55% -84,966.02 7/1/2022 7/1/2022 587,500.00 91282CAE1 US TREASURY NOTES 0.62% 8/15/2030 488,453.71 2.71% -14,039.52 7/1/2022 7/1/2022 625,000.00 13077DNC2 CA ST UNIV TXBL REV BONDS 0.68% 11/1/2024 591,494.79 0.68% -34,218.75 7/1/2022 7/1/2022 230,000.00 9128285U0 US TREASURY NOTES 2.62% 12/31/2023 228,794.54 2.42% -1,430.33 7/1/2022 7/1/2022 520,000.00 912828YB0 US TREASURY NOTES 1.62% 8/15/2029 476,537.09 2.32% -24,033.65 7/1/2022 7/1/2022 1,572,500.00 91282CAW1 US TREASURY NOTES 0.25% 11/15/2023 1,515,261.78 0.33% -56,619.01

ATTACHMENT A
58 75
© PFM Asset Management LLC pfmam.com

TRANSFER OUT
7/1/2022 7/1/2022 3,700,000.00 91282CCZ2 US TREASURY N/B NOTES 0.87% 9/30/2026 3,387,278.42 2.87% -42,832.65 7/1/2022 7/1/2022 1,542,500.00 023135BW5 AMAZON.COM INC CORPORATE NOTES 0.45% 5/12/2024 1,467,344.00 0.53% -74,701.47 7/1/2022 7/1/2022 1,817,500.00 38148LAE6 GOLDMAN SACHS GROUP INC CORPORATE NOTES 3.75% 5/22/2025 1,802,112.14 -0.28% -163,253.36 7/1/2022 7/1/2022 1,450,000.00 88579YBM2 3M COMPANY (CALLABLE) CORPORATE NOTES 2.65% 4/15/2025 1,422,730.49 3.36% -9,667.18 7/1/2022 7/1/2022 2,357,500.00 24422EVY2 JOHN DEERE CAPITAL CORP CORPORATE NOTES 1.25% 1/10/2025 2,246,356.85 2.28% -72,184.50 7/1/2022 7/1/2022 3,010,000.00 91282CCT6 US TREASURY N/B NOTES 0.37% 8/15/2024 2,851,042.02 0.44% -160,355.17 7/1/2022 7/1/2022 2,265,000.00 3133EMBH4 FEDERAL FARM CREDIT BANK (CALLABLE) 0.53% 9/29/2025 2,088,265.33 0.58% -177,213.83 7/1/2022 7/1/2022 965,000.00 54438CYK2 LOS ANGELES CCD, CA TXBL GO BONDS 0.77% 8/1/2025 896,505.10 0.77% -71,603.00 7/1/2022 7/1/2022 4,285,000.00 3135G05G4 FANNIE MAE NOTES 0.25% 7/10/2023 4,175,061.90 0.46% -111,879.90 7/1/2022 7/1/2022 565,000.00 91282CBL4 US TREASURY NOTES 1.12% 2/15/2031 487,758.30 2.67% -14,411.09 7/26/2022 7/26/2022 1,360,000.00 87612EBM7 TARGET CORP CORP NOTES (CALLABLE) 1.95% 1/15/2027 1,285,107.29 1.97% -74,954.11 7/26/2022 7/26/2022 1,875,000.00 341271AD6 FL ST BOARD OF ADMIN TXBL REV BONDS 1.25% 7/1/2025 1,758,869.27 1.26% -117,768.75 7/26/2022 7/26/2022 2,800,000.00 3137EAER6 FREDDIE MAC NOTES 0.37% 5/5/2023 2,749,285.70 -0.16% -56,944.09 7/26/2022 7/26/2022 525,000.00 3135G03U5 FANNIE MAE NOTES 0.62% 4/22/2025 492,147.57 0.63% -34,674.03 7/26/2022 7/26/2022 2,840,000.00 91282CAJ0 US TREASURY NOTES 0.25% 8/31/2025 2,612,549.04 0.66% -197,034.18 7/26/2022 7/26/2022 3,255,000.00 91282CCF6 US TREASURY N/B NOTES 0.75% 5/31/2026 2,999,352.43 0.81% -253,686.64 7/26/2022 7/26/2022 1,310,000.00 172967MX6 CITIGROUP INC (CALLABLE) CORPORATE NOTES 0.98% 5/1/2025 1,237,275.68 0.98% -75,758.61

ATTACHMENT A
59 76
© PFM Asset Management LLC pfmam.com

TRANSFER OUT
7/26/2022 7/26/2022 6,635,000.00 91282CBQ3 US TREASURY NOTES 0.50% 2/28/2026 6,091,624.49 1.02% -404,639.25 7/26/2022 7/26/2022 3,577,500.00 91282CAZ4 US TREASURY NOTES 0.37% 11/30/2025 3,283,850.11 1.06% -216,273.83 7/26/2022 7/26/2022 4,625,000.00 3135G06G3 FANNIE MAE NOTES 0.50% 11/7/2025 4,270,869.41 0.57% -348,294.21 7/26/2022 7/26/2022 3,995,000.00 3135G05X7 FANNIE MAE NOTES 0.37% 8/25/2025 3,687,364.69 0.53% -302,377.24 7/26/2022 7/26/2022 5,425,000.00 91282CBH3 US TREASURY NOTES 0.37% 1/31/2026 4,965,289.32 0.93% -396,569.54 7/26/2022 7/26/2022 6,642,500.00 3135G04Z3 FANNIE MAE NOTES 0.50% 6/17/2025 6,181,049.96 0.57% -457,080.01 7/26/2022 7/26/2022 1,840,000.00 91282CAJ0 US TREASURY NOTES 0.25% 8/31/2025 1,692,637.41 0.66% -133,553.32 7/26/2022 7/26/2022 1,709,500.00 9128286G0 US TREASURY NOTES 2.37% 2/29/2024 1,707,398.05 -0.82% -73,586.47 7/26/2022 7/26/2022 780,000.00 87612EBM7 TARGET CORP CORP NOTES (CALLABLE) 1.95% 1/15/2027 737,046.83 1.97% -42,225.47 7/26/2022 7/26/2022 670,000.00 61772BAA1 MORGAN STANLEY CORP NOTES (CALLABLE) 0.73% 4/5/2024 656,241.49 0.69% -15,268.63 7/26/2022 7/26/2022 4,472,500.00 912828ZC7 US TREASURY NOTES 1.12% 2/28/2025 4,283,785.80 0.32% -277,616.21 7/26/2022 7/26/2022 4,140,000.00 91282CAJ0 US TREASURY NOTES 0.25% 8/31/2025 3,808,434.17 0.66% -300,811.85 7/26/2022 7/26/2022 5,065,000.00 91282CCF6 US TREASURY N/B NOTES 0.75% 5/31/2026 4,667,195.11 0.81% -395,073.31 7/26/2022 7/26/2022 1,887,500.00 89236TGT6 TOYOTA MOTOR CREDIT CORP CORP NOTES 1.80% 2/13/2025 1,828,211.75 1.41% -84,651.27 7/26/2022 7/26/2022 6,035,000.00 91282CBQ3 US TREASURY NOTES 0.50% 2/28/2026 5,540,761.68 1.02% -463,492.94 7/26/2022 7/26/2022 662,500.00 61772BAA1 MORGAN STANLEY CORP NOTES (CALLABLE) 0.73% 4/5/2024 648,895.51 0.69% -15,393.91 7/26/2022 7/26/2022 2,140,000.00 9128283J7 US TREASURY NOTES 2.12% 11/30/2024 2,102,820.43 1.17% -64,832.25

ATTACHMENT A
60 77
© PFM Asset Management LLC pfmam.com

TRANSFER OUT
7/26/2022 7/26/2022 3,317,500.00 9128283J7 US TREASURY NOTES 2.12% 11/30/2024 3,259,862.97 1.17% -105,278.96 7/26/2022 7/26/2022 3,520,000.00 3135G06G3 FANNIE MAE NOTES 0.50% 11/7/2025 3,250,477.90 0.57% -272,497.02 7/26/2022 7/26/2022 830,000.00 3137EAER6 FREDDIE MAC NOTES 0.37% 5/5/2023 814,966.83 -0.16% -16,108.23 7/26/2022 7/26/2022 6,400,000.00 91282CBC4 US TREASURY NOTES 0.37% 12/31/2025 5,859,695.65 0.54% -516,581.08 7/26/2022 7/26/2022 6,600,000.00 3135G03U5 FANNIE MAE NOTES 0.62% 4/22/2025 6,186,998.04 0.63% -416,311.40 7/26/2022 7/26/2022 760,000.00 91412HGE7 UNIV OF CAL TXBL REV BONDS 0.88% 5/15/2025 707,226.72 0.88% -54,096.80 7/26/2022 7/26/2022 3,035,000.00 3135G03U5 FANNIE MAE NOTES 0.62% 4/22/2025 2,845,081.67 0.63% -198,363.85 7/26/2022 7/26/2022 4,075,000.00 91282CBH3 US TREASURY NOTES 0.37% 1/31/2026 3,729,687.37 0.93% -292,514.79 7/26/2022 7/26/2022 2,180,000.00 3135G06H1 FANNIE MAE NOTES 0.25% 11/27/2023 2,101,164.06 0.23% -79,505.22 7/26/2022 7/26/2022 7,805,000.00 91282CBH3 US TREASURY NOTES 0.37% 1/31/2026 7,143,609.80 0.93% -560,130.19 7/26/2022 7/26/2022 867,500.00 3135G06H1 FANNIE MAE NOTES 0.25% 11/27/2023 836,128.36 0.23% -32,350.07 7/26/2022 7/26/2022 6,775,000.00 9128282U3 US TREASURY NOTES 1.87% 8/31/2024 6,665,182.41 0.54% -235,215.37 7/26/2022 7/26/2022 362,500.00 9128282U3 US TREASURY NOTES 1.87% 8/31/2024 356,624.15 0.54% -20,814.96 7/26/2022 7/26/2022 3,195,000.00 91282CAZ4 US TREASURY NOTES 0.37% 11/30/2025 2,932,746.64 1.06% -218,678.32 7/26/2022 7/26/2022 720,000.00 3135G03U5 FANNIE MAE NOTES 0.62% 4/22/2025 674,945.24 0.63% -48,803.18 7/26/2022 7/26/2022 45,000.00 172967MX6 CITIGROUP INC (CALLABLE) CORPORATE NOTES 0.98% 5/1/2025 42,501.84 0.98% -2,672.76 7/29/2022 7/29/2022 495,000.00 44935FAD6 HART 2021-C A3 0.74% 5/15/2026 472,616.69 0.75% -22,432.39

ATTACHMENT A
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TRANSFER OUT
7/29/2022 7/29/2022 139,208.47 65479HAC1 NAROT 2019-B A3 2.50% 11/15/2023 139,161.38 2.52% -173.29 7/29/2022 7/29/2022 722,500.00 43813GAC5 HAROT 2021-1 A3 0.27% 4/21/2025 705,583.53 0.27% -16,951.13 7/29/2022 7/29/2022 64,880.66 43815MAC0 HAROT 2019-2 A3 2.52% 6/21/2023 64,895.25 2.52% -21.21 7/29/2022 7/29/2022 12,141.58 3137BM6P6 FHLMC SERIES K721 A2 3.09% 8/1/2022 12,170.73 -148.58% -0.23 7/29/2022 7/29/2022 427,686.99 14316NAC3 CARMX 2021-1 A3 0.34% 12/15/2025 416,490.96 0.35% -11,194.04 7/29/2022 7/29/2022 27,664.17 14042WAC4 COPAR 2019-1 A3 2.51% 11/15/2023 27,666.70 2.53% -22.84 7/29/2022 7/29/2022 223,829.38 65479CAD0 NAROT 2020-B A3 0.55% 7/15/2024 221,310.28 0.55% -2,563.99 7/29/2022 7/29/2022 48,680.96 65479KAD2 NAROT 2019-A A3 2.90% 10/15/2023 48,735.18 2.91% 1.24 7/29/2022 7/29/2022 759,227.75 89232HAC9 TAOT 2020-A A3 1.66% 5/15/2024 754,420.75 1.66% -5,273.98 7/29/2022 7/29/2022 862,500.00 14314QAC8 CARMX 2021-2 A3 0.52% 2/17/2026 836,967.61 0.53% -25,569.86 7/29/2022 7/29/2022 452,954.56 14315XAC2 CARMX 2020-1 A3 1.89% 12/16/2024 449,294.68 1.90% -3,949.55 7/29/2022 7/29/2022 159,819.87 3137AWQH1 FHLMC MULTIFAMILY STRUCTURED P 2.30% 8/1/2022 160,106.65 -259.18% -6.69 7/29/2022 7/29/2022 1,000,000.00 89239BAC5 TAOT 2021-C A3 0.43% 1/15/2026 953,206.92 0.43% -46,896.07 7/29/2022 7/29/2022 112,187.56 14316LAC7 CARMX 2019-2 A3 2.68% 3/15/2024 112,232.39 2.69% -68.29 7/29/2022 7/29/2022 32,933.20 3137FQ3V3 FHMS KJ27 A1 2.09% 7/1/2024 32,510.59 2.09% -475.87 7/29/2022 7/29/2022 572,500.00 44933LAC7 HART 2021-A A3 0.38% 9/15/2025 554,671.19 0.38% -17,870.38 7/29/2022 7/29/2022 797,500.00 254683CP8 DCENT 2021-A1 A1 0.58% 9/15/2026 748,957.18 0.59% -48,580.67

ATTACHMENT A
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TRANSFER OUT
7/29/2022 7/29/2022 942,924.89 3136AJB54 FANNIEMAE-ACES 3.34% 3/1/2024 939,255.96 0.28% -23,465.88 Total TRANSFER OUT 297,186,140.04 284,237,15 4.56 -13,561,674.

ATTACHMENT A
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© PFM Asset Management LLC pfmam.com|
Short-Term Portfolio Holdings and Transactions

ATTACHMENT A
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SUMITOMO MITSUI BANK NY CERT
DEPOS
DTD 05/13/2022 2.750% 05/08/2023
86565FLW0 15,000,000.00 A-1 P-1 5/13/2022 5/13/2022 15,000,000.00 2.75 161,562.50 14,816,423.6915,000,000.00

NATIXIS NY BRANCH CERT DEPOS
DTD 05/13/2022 2.750% 05/11/2023
63873QTU8 15,000,000.00 A-1 P-1 5/13/2022 5/13/2022 15,000,000.00 2.75 161,562.50 14,813,992.0715,000,000.00

MUFG BANK LTD/NY CERT DEPOS
DTD 05/13/2022 2.610% 05/12/2023
55380T2B5 20,000,000.00 A-1 P-1 5/13/2022 5/13/2022 20,000,000.00 2.61 204,450.00 19,734,301.4220,000,000.00 50,000,000.00 50,000,000.00 527,575.00 49,364,717.18Security Type Sub-Total 2.69 50,000,000.00 Commercial Paper

COLLAT COMM PAPER V CO COMM
PAPER
DTD 06/01/2022 0.000% 11/30/2022
19424JLW4 10,000,000.00 A-1 P-1 6/10/2022 6/10/2022 9,888,030.56 2.36 0.00 9,937,210.009,961,166.67

LMA AMERICAS LLC COMM PAPER
DTD 07/12/2022 0.000% 01/11/2023
53944RNB0 10,165,000.00 A-1 P-1 7/15/2022 7/15/2022 9,997,277.50 3.36 0.00 10,051,477.2810,069,957.25

OLD LINE FUNDING LLC COMM PAPER
DTD 07/06/2022 0.000% 01/11/2023
67983UNB5 10,160,000.00 A-1+ P-1 7/15/2022 7/15/2022 9,994,900.00 3.30 0.00 10,050,028.1610,066,443.33

COLLAT COMM PAPER V CO COMM
PAPER
DTD 04/21/2022 0.000% 01/12/2023
19424JNC6 10,165,000.00 A-1 P-1 7/15/2022 7/18/2022 9,996,628.07 3.41 0.00 10,048,356.6310,067,571.30

BNP PARIBAS NY BRANCH COMM
PAPER
DTD 06/16/2022 0.000% 03/13/2023
09659CQD3 10,000,000.00 A-1 P-1 6/16/2022 6/16/2022 9,756,250.00 3.33 0.00 9,812,380.009,852,847.22

BOFA SECURITIES INC COMM PAPER
DTD 06/27/2022 0.000% 03/24/2023
06054PQQ2 10,000,000.00 A-1 NR 6/27/2022 6/27/2022 9,745,000.00 3.49 0.00 9,795,770.009,835,666.67

ATTACHMENT A
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ING (US) FUNDING LLC COMM PAPER
DTD 07/15/2022 0.000% 04/11/2023
4497W1RB4 10,260,000.00 A-1 P-1 7/15/2022 7/18/2022 9,994,428.45 3.58 0.00 10,030,555.6210,069,027.20 70,750,000.00 69,372,514.58 0.00 69,725,777.69Security Type Sub-Total 3.26 69,922,679.64 120,750,000.00 119,372,514.58 527,575.00 119,090,494.87Managed Account Sub Total Securities Sub Total
Accrued Interest
$120,750,000.00 $119,372,514.58 $527,575.00 $119,090,494.87 $527,575.00
119,922,679.64
$119,922,679.64

3.03 3.03%
Total Investments $119,618,069.87

ATTACHMENT A
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ATTACHMENT A
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CITY OF STOCKTON
For the Quarter Ended September 30, 2022
Appendix
|
Important Disclosures
This material is for general information purposes only and is not intended to provide specific advice or a specific recommendation, as it was prepared without regard to any specific objectives or financial circumstances.

Investment advisory services are provided by PFM Asset Management LLC ("PFMAM"), an investment adviser registered with the U.S. Securities and Exchange Commission and a subsidiary of U.S. Bancorp Asset Management, Inc. ("USBAM"). USBAM is a subsidiary of U.S. Bank National Association ("U.S. Bank"). U.S. Bank is a separate entity and subsidiary of U.S. Bancorp. U.S. Bank is not responsible for and does not guarantee the products, services or performance of PFMAM. The information contained is not an offer to purchase or sell any securities. Additional applicable regulatory information is available upon request.

PFMAM professionals have exercised reasonable professional care in the preparation of this performance report. Information in this report is obtained from sources external to PFMAM and is generally believed to be reliable and available to the public; however, we cannot guarantee its accuracy, completeness or suitability. We rely on the client's custodian for security holdings and market values. Transaction dates reported by the custodian may differ from money manager statements. While efforts are made to ensure the data contained herein is accurate and complete, we disclaim all responsibility for any errors that may occur. References to particular issuers are for illustrative purposes only and are not intended to be recommendations or advice regarding such issuers. Fixed income manager and index characteristics are gathered from external sources. When average credit quality is not available, it is estimated by taking the market value weights of individual credit tiers on the portion of the strategy rated by a NRSRO.

It is not possible to invest directly in an index. The index returns shown throughout this material do not represent the results of actual trading of investor assets.

Third-party providers maintain the indices shown and calculate the index levels and performance shown or discussed. Index returns do not reflect payment of any sales charges or fees an investor would pay to purchase the securities they represent. The imposition of these fees and charges would cause investment performance to be lower than the performance shown.

The views expressed within this material constitute the perspective and judgment of PFMAM at the time of distribution and are subject to change. Any forecast, projection, or prediction of the market, the economy, economic trends, and equity or fixed-income markets are based upon certain assumptions and current opinion as of the date of issue and are also subject to change. Some, but not all assumptions are noted in the report. Assumptions may or may not be proven correct as actual events occur, and results may depend on events outside of your or our control. Changes in assumptions may have a material effect on results. Opinions and data presented are not necessarily indicative of future events or expected performance.

ATTACHMENT A
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CITY OF STOCKTON
For the Quarter Ended September 30, 2022
Appendix
|
Important Disclosures
Market values that include accrued interest are derived from closing bid prices as of the last business day of the month as supplied by Refinitiv, Bloomberg, or Telerate. Where prices are not available from generally recognized sources, the securities are priced using a yield-based matrix system to arrive at an estimated market value.

In accordance with generally accepted accounting principles, information is presented on a trade date basis; forward settling purchases are included in the monthly balances, and forward settling sales are excluded.

Performance is presented in accordance with the CFA Institute's Global Investment Performance Standards (GIPS). Unless otherwise noted, performance is shown gross of fees. Quarterly returns are presented on an unannualized basis. Returns for periods greater than one year are presented on an annualized basis. Past performance is not indicative of future returns.

Bank of America/Merrill Lynch Indices provided by Bloomberg Financial Markets.

Money market fund/cash balances are included in performance and duration computations.

Standard & Poor's is the source of the credit ratings. Distribution of credit rating is exclusive of money market fund/LGIP holdings.

Callable securities in the portfolio are included in the maturity distribution analysis to their stated maturity date, although, they may be called prior to maturity.

MBS maturities are represented by expected average life.

ATTACHMENT A
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CITY OF STOCKTON
For the Quarter Ended September 30, 2022
Appendix
|
Glossary
Accrued Interest: Interest that is due on a bond or other fixed income security since the last interest payment was made.

Agencies: Federal agency securities and/or Government-sponsored enterprises.

Amortized Cost: The original cost of the principal of the security is adjusted for the amount of the periodic reduction of any discount or premium from the purchase date until the date of the report. Discount or premium with respect to short-term securities (those with less than one year to maturity at time of issuance) is amortized on a straight line basis. Such discount or premium with respect to longer-term securities is amortized using the constant yield basis.

Asset-Backed Security: A financial instrument collateralized by an underlying pool of assets – usually ones that generate a cash flow from debt, such as loans, leases, credit card balances, and receivables.

Bankers’ Acceptance: A draft or bill or exchange accepted by a bank or trust company. The accepting institution guarantees payment of the bill as well as the insurer.

Commercial Paper: An unsecured obligation issued by a corporation or bank to finance its short-term credit needs, such as accounts receivable and inventory.

Contribution to Total Return: The weight of each individual security multiplied by its return, then summed for each sector to determine how much each sector added or subtracted from the overall portfolio performance.

Effective Duration: A measure of the sensitivity of a security’s price to a change in interest rates, stated in years.

Effective Yield: The total yield an investor receives in relation to the nominal yield or coupon of a bond. Effective yield takes into account the power of compounding on investment returns, while nominal yield does not.

FDIC: Federal Deposit Insurance Corporation. A federal agency that insures bank deposits to a specified amount.

Interest Rate: Interest per year divided by principal amount and expressed as a percentage.

Market Value: The value that would be received or paid for an investment in an orderly transaction between market participants at the measurement date.

Maturity: The date upon which the principal or stated value of an investment becomes due and payable.

Negotiable Certificates of Deposit: A CD with a very large denomination, usually $1 million or more, that can be traded in secondary markets.

Par Value: The nominal dollar face amount of a security.

Pass-through Security: A security representing pooled debt obligations that passes income from debtors to its shareholders. The most common type is the mortgage-backed security.

ATTACHMENT A
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CITY OF STOCKTON
For the Quarter Ended September 30, 2022
Appendix
|
Glossary
Repurchase Agreements: A holder of securities sells these securities to an investor with an agreement to repurchase them at a fixed price on a fixed date.

Settle Date: The date on which the transaction is settled and monies/securities are exchanged. If the settle date of the transaction (i.e., coupon payments and maturity proceeds) occurs on a non-business day, the funds are exchanged on the next business day.

Supranational: A multinational union or association in which member countries cede authority and sovereignty on at least some internal matters to the group, whose decisions are binding on its members.

Trade Date: The date on which the transaction occurred; however, the final consummation of the security transaction and payment has not yet taken place.

Unsettled Trade: A trade which has been executed; however, the final consummation of the security transaction and payment has not yet taken place.

U.S. Treasury: The department of the U.S. government that issues Treasury securities.

Yield: The rate of return based on the current market value, the annual interest receipts, maturity value, and the time period remaining until maturity, stated as a percentage on an annualized basis.

YTM at Cost: The yield to maturity at cost is the expected rate of return based on the original cost, the annual interest receipts, maturity value, and the time period from purchase date to maturity, stated as a percentage on an annualized basis.

YTM at Market: The yield to maturity at market is the rate of return based on the current market value, the annual interest receipts, maturity value, and the time period remaining until maturity, stated as a percentage on an annualized basis.

ATTACHMENT A
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CHANDLER ASSET MANAGEMENT, INC. | 800.317.4747 | www.chandlerasset.com

INVESTMENT REPORT
Period Ending September 30, 2022
City of Stockton

ATTACHMENT A
89 SECTION 1 Economic Update
SECTION 2 Account Profile
SECTION 3 Portfolio Holdings
SECTION 4 Transactions
Table of Contents As of September 30, 2022
1 ATTACHMENT A
90 SECTION |
Section 1 |
Economic Update
2 ATTACHMENT A
91 Economic Update



Market volatility has intensified as finan cial conditions tighten and globalcentral banks pursuemonetary policies to combat persistently high inflation and maintain financial market stability. Labor markets and consumer balance sheets remain strong; however, inflation is weighing heavily on consumer sentiment and beginning to impact discretionary spending.

Corporate earnings have generally performed better than expected, but warnings are growing along with wider credit spreads. While evidence of slower economicconditions has begun to mount, we expect the Federal Reserve to continue to raise rates until a sustainable improvement in inflationary conditions has been achieved. Over the near-term, we expect financial market volatility to remain intensified and conditions tighter with persistent inflation, geopolitical risk, and the Fed's hawkish monetary policy.

At the September meeting, the Federal Open Market Committee (FOMC) delivered the third 75-basis point increase to the Fed Funds Rate, increasing the range to 3.00% to 3.25%. The FOMC acknowledged spending and production are experiencing modest growth, offset by a robust labor market and elevated inflation metrics. Weexpect the Fed to continue to increase the federal funds rate in the near term until inflationary pressures weaken.

In September, yields rose significantly across the curve. The 2-year Treasury yield increased 79 basis points to 4.28%, the 5- year Treasury yield rose 74 basis points to 4.09%, and the 10-year Treasury yield gained 64 basis points to 3.83%. The spread between the 2-year Treasury yield and 10-year Treasury yield became more inverted at -45 basis points at September month-end versus -30 basis points at August month-end. The spread was a positive 121 basis points one year ago. The spread between 3-month and 10-year treasuries widened to 56 basis points in September compared to just 27 basis points in August. The shape of the curve does not necessarily indicate an imminent recession but bears watching as a better predictor of recession over the medium-term.
3 ATTACHMENT A
92 Source: US Department of Labor Source: US Department of Labor Employment
The U.S. economy added 263,000job s in September, surpassing market expectations of 255,000,and gainswere revised upward by11,000for the prior two months. Trends in employment remain strong, with the three-month moving average payrolls at 372,000and the six-month moving average at 360,000. Hiring was widespread, with solid increases in education and health services, leisure and hospitality, and professional and business services. The unemployment rate fell to 3.5% from 3.7%, as the labor participation rate edged down to 62.3% in September from 62.4% in August. The U-6 underemployment rate, which includes those who are marginally attached to the labor force and employed part time for economic reasons dropped to 6.7% from 7.0% last month. Average hourly earnings rose 5.0% year-over-year in September compared to 5.2% year-over-year in August, a constructive development for the inflation outlook. The strong September labor report bolsters the case for the Fed to continue raising the federal funds rate. -200
0 200
400
600
800
1,000
1,200
1,400
MOM Change In (000's)
Nonfarm Payroll (000's)
Non-farm Payroll (000's)
3 month average (000's)

0.0%

4.0%

8.0%

12.0%

16.0%
Unemployment Rate
Underemployment Rate (U6)
Unemployment Rate (U3)
Rate (%)
4 ATTACHMENT A
93 Source: US Department of Labor Source: US Department of Commerce Inflation
The Consumer Price Index (CPI ) increased more than expected in September, up 8.2% year-over-year versus consensus expectations for 8.1%, but down slightly from 8.3% in August. The Core CPI, which excludes volatile food and energy components, jumped to 6.6% year-over-year, up from 6.3% in August and the highest level since 1982. The report included widespread increases, particularly infood, shelter, and medical care services. Owners’ equivalent rent, which is a major contributor to CPI and tends to lag, was up 6.7% year-over-year. The Personal Consumption Expenditures (PCE) index rose 6.2% in August, higher than consensus estimates of up 6.0%, but down from a 6.4% increase last month. Core PCE was up 4.9% year-over-year in August, versus up 4.7% year-over-year in July. Persistently elevated inflation is likely to keep the Federal Reserve on the path of tightening monetary policy as long as it continues to run well above the Fed’s longer-run targetof around

2.0%.

0.0%

1.0%

2.0%

3.0%

4.0%

5.0%

6.0%

7.0%

8.0%

9.0%

10.0%
Personal Consumption Expenditures (PCE)
PCE Price Deflator YOY % Change
PCE Cor e Deflator Y OY % Change
YOY( %) Change

0.0%

1.0%

2.0%

3.0%

4.0%

5.0%

6.0%

7.0%

8.0%

9.0%

10.0%
Consumer Price Index (CPI)
CPI YOY % Change
Core CPI YOY % Change
YOY( %) Change
5 ATTACHMENT A
94 Advance retail sales were flat for the monthbut up8.2% year-over-year in September, slowing from August’s 9.4% year-over-year gain that surprised to theupside. Retail sales growth is starting toreflect the headwinds from higher prices as consumers dipinto savings andassume more debt. The Conference Board’s Consumer Confidence Indexrose for the second month in a row to 108.0 in September, with gains in both the present situation and future expectations components. The strength was tied directly to theconsumer's assessment of the labor market, which continues to reflect the demand for labor outstripping supply.

Source: US Department of Commerce Source: The Conference Board

0.0%

10.0%

20.0%

30.0%

40.0%

50.0%

60.0%
Retail Sales YOY % Change
YOY (%) Change
80 90
100
110
120
130
140
Index Level
Consumer Confidence
Consumer
6 ATTACHMENT A
95 Source: The Conference Board Source: Federal Reserve Bank of Chicago Economic Activity
The Conference Board’s Leading Econ omic Index (LEI) remained in negative territory at -0.3% in August, following a decline to -0.5% in July.

This is the sixth straight month-over-month decline for the index. With the year-over-year index now at -1.0% in August and average workweek in manufacturing having contracted for four of the last six months, the Conference Board stated that US economic activity is expected to continue to slow more broadly and is likely to contract. The Chicago Fed National Activity Index (CFNAI) fell to zero in August from +0.29 in July indicating a moderation in economic growth over the month. On a 3-month moving average basis, the CFNAI increased to 0.01in August from -.08 in each of the last two months.
-2.00
-1.00

0.00 1.00

2.00 3.00

4.00 Chicago Fed National Activity Index (CFNAI)
3 Month Average
-0.8%
-0.6%
-0.4%
-0.2%

0.0%

0.2%

0.4%

0.6%

0.8%

1.0%

1.2%
Leading Economic Indicators (LEI)
MOM ( %) Change
7 ATTACHMENT A
96 Source: US Department of Commerce Source: S&P
Housing
0 200
400
600
800
1000
1200
1400
1600
1800
2000
MOM Change (In Thousands of Units)
Housing Starts
Multi Family Housing Starts
Single Family Housing Starts

0.0%

3.0%

6.0%

9.0%

12.0%

15.0%

18.0%

21.0%

24.0%
S&P/Case-Shiller 20 City Composite Home Price Index
YOY( %) Change
Total housing starts increased 12.2% to an annua l rate of 1,575,000in August, from a revised 1,404,000units in July. Single-family home starts increased 3.4% and multi-family homes increased 28% month-over-month. On a year-over-year basis, total housing starts decreased 0.1% reflecting a shift from single-family units to more affordable multi-family units as homebuyers struggle with a combination ofelevated prices and higher mortgage rates. Mortgage rates for a 30-year fixed-rate loan are higher than they have been since 2007at 6.7%. According to the Case-Shiller 20-City Home PriceIndex, the year-over-year increase receded from 18.7%in June to 16.1%in July, clearly displaying the impact of higher mortgage rates which have reduced demand for homebuying as affordability has declined. 8 ATTACHMENT A
97 Source: Institute for Supply Management Source: Federal Reserve Manufacturing
The Institute for Supply Manag ement (ISM) manufacturing index plungednearly two points to 50.9 in September, the lowest since May 2020 and disappointing relative to consensus expectations of 52.0. Readings above 50.0 are indicative of expansion in the manufacturing sector.

New orders declined significantly, reflecting lower demand for goodsas consumers shiftto spending on services. Total industrial production declined by-0.2% in August, following a downwardly revised increase of 0.5% in July. Capacity utilization fell to 80.0%in August from 80.2%in July, a rate that is 0.4 percentage points above its long-run (1972-2021) average. 40 42
44 46
48 50
52 54
56 58
60 62
64 66
Institute of Supply Management Purchasing Manager Index

EXPANDING

CONTRACTING
-10.0%
-5.0%

0.0%

5.0%

10.0%

15.0%

20.0%
Industrial Production
YOY( %) Change
9 ATTACHMENT A
98 Source: US Department of Commerce Source: US Department of Commerce 9/21 12/21 3/22 6/22

2.0% 2.1% 0.9% 1.4%

1.8% 5.1% 1.0% -2.8%
-1.1% -0.2% -3.1% 1.2%
-0.5% 0.0% -0.4% -0.2%

0.5% -0.2% 0.0% -0.1%

2.7% 7.0% -1.6% -0.6%
Gross Private Domestic Investment
Personal Consumption Expenditures
Components of GDP
Federal Government Expenditures
State and Local (Consumption and Gross
Investment)
Net Exports and Imports
Total
-35.0%
-30.0%
-25.0%
-20.0%
-15.0%
-10.0%
-5.0%

0.0%

5.0%

10.0%

15.0%

20.0%

25.0%

30.0%

35.0%

40.0%
Gross Domestic Product (GDP)
GDP QOQ % Change
GDP YOY % Change
Gross Domestic Product (GDP)
According to thethird estimate, U.S . GDP was unrevised at -0.6% annualized in the second quarter. Personalconsumption expenditures rose, primarily due to spending on services. The largest negative contribution was from a drop in gross residential investment as the housing sector diminished sharply. The second quarter decline followed a first quarter contraction of -1.6%. Although many market participants link two quarters in a row of negative GDP growth with a recession, an official declaration by the National Bureau of Economic Research is unlikely given the mosaic of data and the strength of the labor market. The consensus estimate calls for 1.9% growth in the third quarter and 1.7% growth for the full year 2022.
10 ATTACHMENT A
99 Federal Reserve
Source: Federal Reserve Source: Bloomberg
At the September meet ing, the Federal Open Market Committee (FOMC) delivered the third 75-basis point increase to the Fed Funds Rate, increasing the range to 3.00% to 3.25%. The FOMC acknowledged spending and production are experiencing modest growth, offset by robust labor market and elevated inflation metrics. The FOMC remains data dependent to meet its long-term 2% inflation objective. The Fed also released new economic projections showing a significant slowdown in the economy later in 2022and 2023.The Fed has reduced its $9 trillion balance sheet holdings by $87.1 billion since the start of the program and will increase the rate of decrease to $95 billion a month in September. As inflation metrics begin to moderate, we believe the Federal Reserve will decelerate their pace of tightening, but a material decline in inflation in the short-term is unlikely.

0.00%

0.50%

1.00%

1.50%

2.00%

2.50%

3.00%

3.50%
Effective Federal Funds Rate
Yield (%)
2,000,000
3,000,000
4,000,000
5,000,000
6,000,000
7,000,000
8,000,000
9,000,000
10,000,000
Federal Reserve Balance Sheet Assets
In $ millions
11 ATTACHMENT A
100
Source: Bloomberg Source: Bloomberg

0.0%

0.5%

1.0%

1.5%

2.0%

2.5%

3.0%

3.5%

4.0%

4.5%
US Treasury Note Yields
2-Year
5-Year
10-Year
Yield (%)

0.0%

0.5%

1.0%

1.5%

2.0%

2.5%

3.0%

3.5%

4.0%

4.5%
US Treasury Yield Curve
Sep-22
Jun-22
Sep-21
Yield (%)
Bond Yields
At the end of September, the 2-year Treasury yield was 400 basis points higher, and the 10-Year Treasury yield was about 234 basis points higher, year-over-year. The spread between the 2-year Treasury yield and 10-year Treasury yield became more inverted at -45 basis points at September month-end versus -30 basis points at August month-end. The average historical spread (since 2003) is about 130basis points. The spread between 3-month and 10-year treasuries widened to 56 basis points in September compared to just 27 basis points in August. The shape of the yield curve does not indicate an imminent recession but bears watching as a better predictor of recession over the medium-term. 12 ATTACHMENT A
101
Section 2|SECTION |
Section 2 |
Account Profile
13 ATTACHMENT A
102
Objectives
Chandler Asset Management Performance Objective
The performance objective for the portfolio is to earn a total rate of return through a marketcycle that is equal to or above the return on the benchmark index.

Investment Objectives
Safety of principal is the foremost objective of the investment program. The investment portfolio shall remain sufficiently liquid to meet all requirements that may be reasonably anticipated. The investment portfolio shall bedesigned with the objective of attaining a marketrate of return throughout budgetary and econmiccycles, taking into account the investment risk constraints and liquidity needs.

Strategy
In order to achieve thisobjective, the portfolio invests in high-quality fixed income securities that comply with theinvestment policy and all regulationsgoverning the funds.

As of September 30, 2022
14 ATTACHMENT A
103
Compliance As of September 30, 2022
Category Standard Comment
U.S. Treasuri es No l i mi t; 10 years max maturi ty Complies Federal Agenci es No limit in Federal Agencies or Government Sponsored Enterprises (GSEs), provided that: 20% max in Federal Agency or GSE issued mortgage-backed securities, mortgage pass-through securities, and collateralized mortgage obligations; 10 years max maturity Complies Supranational Obligations "AA" rating category or higher by a NRSRO; 30% max; 10% max per issuer; 5 years max maturity; USD denominated senior unsecured unsubordinated obligations issued or unconditionally guaranteed by IBRD, IFC, or IADB Complies Municipal Securities (CA, Other States) "A" rating category or better by a NRSRO; 30% max; 5% max per issuer; 5 years max maturity Complies Corporate Medi um Term Notes
"A" rating category or higher by a NRSRO; 30% max; 5% max per issuer; 5 years max maturity; Corporate and depository institution debt securities; Issued by corporations organized and operating within the U.S. or by depository institutions licensed by the U.S. or any state and operating within the U.S.

Complies
Asset-Backed, Mortgage-Backed,
Mortgage Pass-Through Securities, and
Collate ralize d Mortgage Obligations
"AA" rating category or higher by a NRSRO; "A" issuer long-term debt rating category or higher by a NRSRO; 20% max (combined ABS/MBS/CMO); 5% max per Asset-Backed securi ty i ssuer; 5 years max maturi ty Complies Negoti abl e Certi fi cates of Deposi t
(NCD)
The amount of NCD insured up to the FDIC limit does not require any credit ratings; Any amount above FDIC insured limit must be issued by institutions with "A-1" short-term debt rating or better by a NRSRO; or "A" long-term rating category or better by a NRSRO; 30% max; 5% max per issuer; 5 years max maturity
Complies
Certi fi cate of Deposi t Pl acement
Servi ce (CDARS) 20% m ax (com bination of FDIC & Collate ralize d Tim e De posits, and CDA RS; 5 ye ars m ax m aturity Complies Ti me Deposi ts (Non-negoti abl e CD/TD)20% m ax (com bination of FDIC & Collate ralize d Tim e De posits, and CDA RS; 5 ye ars m ax m aturity Complies Collate ralize d Bank De posits De posits with financial institutions will be collate ralize d with ple dge d se curitie s pe r California Gove rnm e nt Code Complies Banker’s Acceptances A-1 short-term debt rated or better by a NRSRO; or "A" long-term debt rating category or better by a NRSRO; 40% max; 5% max per issuer; 180 days max maturity Complies
Commerci al Paper
25% max; 5% max per issuer; 270 days maturity; 10% max of the outstanding commercial paper of any single issuer; "Prime" quality of the highest rating by a NRSRO; The entity that issues the commercial paper shall either be:
(1) organized and operating within the U.S. as a general corporation with assets > $500 million; "A" rating category or higher by a NRSRO, if issuer has debt obligations; or
(2) organized within the U.S. as a special purpose corporation, trust, or limited liability company; has program-wide credit enhancements including, but not limited to, overcollateralization, letters of credit, or a surety bond; has commercial paper that is "A-1" rated or higher by a NRSRO
Complies
Money Market Mutual Funds
20% max in Money Market Mutual Funds; Meet either of the following criteria: (i) Attained highest rating by two NRSROs; or (ii) Retained an investment adviser registered or exempt from SEC registration with > 5 years experience investing in securities authorized by CGC and with A UM > $500 m illion
Complies
Local Agency Investment Fund (LAIF) Maximum amount permitted by LAIF; Not used by investment adviser Complies California Asset Management Program CAMP; Not used by investment adviser Complies Repurchase Agreements 1 year max maturity; 102% Collateralized; Not used by investment adviser Complies Maxi mum Maturi ty
10 years max maturity; Donated securities are not subject to maturity limits; 15% max for Investments maturing beyond a five-year horizon; Investments greater than 5 years shall be permitted for U.S. Treasuries, U.S. Agencies, as described in the policy; Investments in City Variable Rate obligations, with maturities greater than 5 years, may be made when IRS & SEC guidelines permit Complies
City of Stockton Reserve Portfolio
Assets managed by Chandler Asset Management are in full compliance with state law and the Client's investment policy. 15 ATTACHMENT A
104
Portfolio Characteristics
City of Stockton Reserve Portfolio
09/30/22
Benchmark* Portfolio
Average Maturity (yrs) 2.64 2.36
Average Modified Duration 2.50 2.23
Average Purchase Yield n/a 1.21%
Average Market Yield 4.35% 4.35%
Average Quality** AAA AA/Aa1
Total Market Value 278,810,328
*ICE BofA 1-5 Yr AAA-A US Corp & Govt Index
**Benchmark is a blended rating of S&P, Moody’s, and Fitch. Portfolio is S&P and Moody’s respectively.

As of September 30, 2022
16 ATTACHMENT A
105
City of Stockton Reserve Portfolio
Sector Distribution
ABS

2.1%
Agency

25.5%
CMO

0.3%
Corporate

20.2%
Money Market
Fund

0.0%
Municipal Bonds

2.8%
Negotiable CD

2.5%
Supranational

2.0%
US Treasury

44.6%
September 30, 2022
As of September 30, 2022
17 ATTACHMENT A
106
Issue Name Investment Type % Portfolio
Government of United States US Treasury 44.58%
Federal National Mortgage Association Agency 17.16%
Federal Home Loan Mortgage Corp Agency 5.91%
Wal-Mart Stores Corporate 1.44%
Amazon.com Inc Corporate 1.42%
Federal Home Loan Bank Agency 1.42%
Inter-American Dev Bank Supranational 1.40%
Bank of America Corp Corporate 1.30%
United Health Group Inc Corporate 1.28%
Novartis Capital Corp Corporate 1.24%
Bank of New York Corporate 1.20%
Morgan Stanley Corporate 1.20%
Pfizer Inc. Corporate 1.12%
JP Morgan Chase & Co Corporate 1.06%
Barclays Bank Negotiable CD 1.05%
Federal Farm Credit Bank Agency 0.98%
US Bancorp Corporate 0.95%
Microsoft Corporate 0.92%
Merck & Company Corporate 0.81%
Deere & Company Corporate 0.79%
State of California Municipal Bonds 0.78%
Northern Trust Corp Corporate 0.77%
MasterCard Inc Corporate 0.76%
Credit Suisse Group Negotiable CD 0.72%
Target Corp Corporate 0.69%
DNB NOR BANK ASA NY Negotiable CD 0.69%
Honeywell Corp Corporate 0.66%
Intl Bank Recon and Development Supranational 0.64%
Goldman Sachs Inc. Corporate 0.63%
Toyota Motor Corp Corporate 0.63%
Honda Motor Corporation Corporate 0.63%
Florida Hurricane Catastrophe Municipal Bonds 0.61%
Carmax Auto Owner Trust ABS 0.59%
Toyota ABS ABS 0.55%
Citigroup Inc Corporate 0.45%
Hyundai Auto Receivables ABS 0.37%
Federal National Mortgage Association CMO 0.33%
Los Angeles Cmnty College Dis Municipal Bonds 0.31%
Issuers
City of Stockton Reserve Portfolio – Account #10020
As of September 30, 2022
18 ATTACHMENT A
107
Issue Name Investment Type % Portfolio
Discover Card Execution Note Trust ABS 0.26%
San Diego Community College District Municipal Bonds 0.25% University of California Municipal Bonds 0.25%
Honda ABS ABS 0.22%
Maryland State Municipal Bonds 0.22%
California Edl Facs Auth Rev Municipal Bonds 0.21%
New Jersey State Turnpike Authority Municipal Bonds 0.18% State Street Bank Corporate 0.15%
Paccar Financial Corporate 0.08%
Nissan ABS ABS 0.08%
California State Dept Water Municipal Bonds 0.03%
Federated GOVT Obligation MMF Money Market Fund 0.02%
Federal Home Loan Mortgage Corp CMO 0.00%
Capital One Prime Auto Receivables Trust ABS 0.00%
TOTAL 100.00%
Issuers
City of Stockton Reserve Portfolio – Account #10020
As of September 30, 2022

ATTACHMENT A
108
AAA AA A <A NR
09/30/22 5.3% 78.2% 14.8% 1.1% 0.6%
Source: S&P Ratings
September 30, 2022

0.0%

10.0%

20.0%

30.0%

40.0%

50.0%

60.0%

70.0%

80.0%

90.0%
AAA AA A <A NR
09/30/22
Quality Distribution
City of Stockton Reserve Portfolio
As of September 30, 2022
20 ATTACHMENT A
109

0.0%

5.0%

10.0%

15.0%

20.0%

25.0%

30.0%

35.0%

40.0%
0 - 0.25 0.25 - 0.50 0.50 - 1 1 - 2 2 - 3 3 - 4 4 - 5 5+ City of Stockton Reserve Portfolio ICE BofA 1-5 Yr AAA-A US Corp & Govt Index Portfolio Compared to the Benchmark
0 - 0.25 0.25 - 0.50 0.50 - 1 1 - 2 2 - 3 3 - 4 4 - 5 5+ Portfolio 0.8% 2.2% 13.0% 27.5% 28.1% 24.8% 2.3% 1.3%
Benchmark* 0.0% 0.0% 1.6% 36.2% 26.8% 21.6% 13.7% 0.0%
*ICE BofA 1-5 Yr AAA-A US Corp & Govt Index
Duration Distribution
City of Stockton Reserve Portfolio
As of September 30, 2022
21 ATTACHMENT A
110
-3.50%
-3.00%
-2.50%
-2.00%
-1.50%
-1.00%
-0.50%

0.00%
Since Inception
City of Stockton Reserve Portfolio ICE BofA 1-5 Yr AAA-A US Corp & Gov Index Net of Fees Total Rate of Return Since Inception July 31, 2022
MARKET VALUE BASIS EARNINGS Since Inception
Interest Earned $561,128
Change in Market Value ($8,023,719)
TOTAL DOLLAR RETURN ($7,462,591)
TOTAL RATE OF RETURN Since Inception
City of Stockton Reserve Portfolio -2.46%
ICE BofA 1-5 Yr AAA-A US Corp & Gov Index -2.99%
Basis Point Fee* 0.00
Net of Fee Return -2.46%
Investment Performance
City of Stockton Reserve Portfolio
Total rate of return: A measure of a portfolio’s performance overtime. It is the internal rate of return, which equates the beginning value of the portfolio with the ending value; it includes interest earnings, realized and unrealized gains andlosses in the portfolio. *fees had not yet beencharged during thisperiod
As of September 30, 2022
22 ATTACHMENT A
111
Purchase Yield as of 09/30/22 = 1.21%

1.08 1.10

1.12 1.14

1.16 1.18

1.20 1.22
Percent (%)
Historical Average Purchase Yield
City of Stockton Reserve Portfolio
As of September 30, 2022
23 ATTACHMENT A
112
SECTION |
Section 3 |
Portfolio Holdings
24 ATTACHMENT A
113
Holdings Report
City of Stockton Reserve Portfolio - Account #10020
CUSIP Security Description Par Value/Units Purchase Date Book Yield
Cost Value
Book Value
Mkt Price
Mkt YTM
Market Value
Accrued Int.
% of Port.

Gain/Loss
Moody/S&P
Fitch
Maturity
Duration
ABS
65479HAC1 Nissan Auto Receivables Trust 2019-B A3

2.500% Due 11/15/2023
56,750.82 05/28/2019

2.52%
56,737.99
56,747.60

99.96 3.50%
56,726.81

63.06 0.02%
(20.79)
Aaa / NR
AAA

1.13 0.04
14042WAC4 Capital One Prime Auto Trust 2019-1 A3

2.510% Due 11/15/2023

0.01 05/30/2019

2.52%

0.01 0.01
100.00

2.52%

0.01 0.00

0.00%

0.00 Aaa / AAA
AAA

1.13 0.50
14316LAC7 CarMax Auto Owner Trust 2019-2 A3

2.680% Due 03/15/2024
57,740.89 04/17/2019

2.70%
57,734.99
57,739.14

99.95 3.38%
57,709.71

68.78 0.02%
(29.43)

NR / AAA
AAA

1.46 0.08
89232HAC9 Toyota Auto Receivable Own 2020-A A3

1.660% Due 05/15/2024
580,430.98 02/12/2020

1.67%
580,389.07
580,415.01

99.39 3.93%
576,870.62
428.23

0.21%
(3,544.39)
Aaa / AAA
NR

1.62 0.27
65479CAD0 Nissan Auto Receivables Owner 2020-B A3

0.550% Due 07/15/2024
173,871.91 06/30/2020

0.55%
173,867.15
173,870.88

98.99 3.97%
172,114.59

42.50 0.06%
(1,756.29)
Aaa / AAA
NR

1.79 0.29
14315XAC2 CarMax Auto Owner Trust 2020-1 A3

1.890% Due 12/16/2024
375,242.15 01/22/2020

1.90%
375,168.52
375,224.15

99.01 4.36%
371,514.12
315.20

0.13%
(3,710.03)

NR / AAA
AAA

2.21 0.40
43813GAC5 Honda Auto Receivables Trust 2021-1 A3

0.270% Due 04/21/2025
629,786.74 02/24/2021

0.27%
629,775.22
629,781.22

97.08 4.95%
611,415.24

47.23 0.22%
(18,365.98)
Aaa / NR
AAA

2.56 0.62
44933LAC7 Hyundai Auto Receivables Trust 2021-A A3

0.380% Due 09/15/2025
572,500.00 04/28/2021

0.38%
572,439.77
572,467.96

96.68 4.59%
553,473.53

96.69 0.20%
(18,994.43)

NR / AAA
AAA

2.96 0.79
14316NAC3 CarMax Auto Owner Trust 2021-1 A3

0.340% Due 12/15/2025
379,813.11 01/27/2021

0.35%
379,738.05
379,783.00

96.78 5.40%
367,596.42

57.39 0.13%
(12,186.58)

NR / AAA
AAA

3.21 0.63
89239BAC5 Toyota Auto Receivables Trust 2021-C A3

0.430% Due 01/15/2026
1,000,000.00 09/27/2021

0.43%
999,920.30
999,945.98

94.89 5.08%
948,899.00
191.11

0.34%
(51,046.98)
Aaa / AAA
NR

3.30 1.11
14314QAC8 CarMax Auto Owner Trust 2021-2 A3

0.520% Due 02/17/2026
862,500.00 04/21/2021

0.53%
862,314.13
862,404.17

96.69 5.16%
833,953.84
199.33

0.30%
(28,450.33)

NR / AAA
AAA

3.39 0.71
44935FAD6 Hyundai Auto Receivables Trust 2021-C A3

0.740% Due 05/15/2026
495,000.00 11/17/2021

0.75%
494,889.51
494,919.93

94.36 4.93%
467,102.30
162.80

0.17%
(27,817.63)

NR / AAA
AAA

3.62 1.37
254683CP8 Discover Card Execution Trust 2021-A1 A1

0.580% Due 09/15/2026
797,500.00 09/27/2021

0.59%
797,329.25
797,387.37

92.56 4.62%
738,196.31
205.58

0.26%
(59,191.06)
Aaa / AAA
NR

3.96 1.89
TOTAL ABS 5,981,136.61 0.72%
5,980,303.96
5,980,686.42 4.75%
5,755,572.50
1,877.90

2.07%
(225,113.92)
Aaa / AAA
Aaa

2.98 0.89
Agency
3137EAER6 FHLMC Note

0.375% Due 05/05/2023
3,630,000.00 Various

0.22%
3,645,114.40
3,633,234.54

97.79 4.16%
3,549,838.71
5,520.62

1.28%
(83,395.83)
Aaa / AA+
AAA

0.59 0.58
3135G04Q3 FNMA Note

0.250% Due 05/22/2023
3,800,000.00 05/20/2020

0.35%
3,788,562.00
3,797,566.16

97.61 4.04%
3,709,320.60
3,404.17

1.33%
(88,245.56)
Aaa / AA+
AAA

0.64 0.63
As of September 30, 2022
25 ATTACHMENT A
114
Holdings Report
City of Stockton Reserve Portfolio - Account #10020
CUSIP Security Description Par Value/Units Purchase Date Book Yield
Cost Value
Book Value
Mkt Price
Mkt YTM
Market Value
Accrued Int.
% of Port.

Gain/Loss
Moody/S&P
Fitch
Maturity
Duration
3137EAES4 FHLMC Note

0.250% Due 06/26/2023
3,452,500.00 06/24/2020

0.35%
3,442,418.70
3,450,032.61

97.21 4.13%
3,356,002.63
2,277.69

1.20%
(94,029.98)
Aaa / AA+
AAA

0.74 0.72
3135G05G4 FNMA Note

0.250% Due 07/10/2023
4,285,000.00 07/08/2020

0.32%
4,275,787.25
4,282,627.40

97.13 4.04%
4,161,917.66
2,410.31

1.49%
(120,709.74)
Aaa / AA+
AAA

0.78 0.76
3137EAEV7 FHLMC Note

0.250% Due 08/24/2023
2,292,500.00 08/19/2020

0.28%
2,290,161.65
2,291,803.61

96.54 4.21%
2,213,232.23
589.05

0.79%
(78,571.38)
Aaa / AA+
AAA

0.90 0.88
3135G0U43 FNMA Note

2.875% Due 09/12/2023
6,162,500.00 11/29/2018

2.97%
6,136,124.50
6,157,276.23

98.59 4.41%
6,075,590.26
9,350.74

2.18%
(81,685.97)
Aaa / AA+
AAA

0.95 0.92
3135G06H1 FNMA Note

0.250% Due 11/27/2023
3,047,500.00 Various

0.24%
3,048,317.20
3,047,844.23

95.55 4.22%
2,911,974.63
2,624.23

1.05%
(135,869.60)
Aaa / AA+
AAA

1.16 1.13
3137EAFA2 FHLMC Note

0.250% Due 12/04/2023
2,222,500.00 12/02/2020

0.28%
2,220,299.72
2,221,637.97

95.43 4.27%
2,120,856.19
1,805.78

0.76%
(100,781.78)
Aaa / AA+
AAA

1.18 1.15
3130A0F70 FHLB Note

3.375% Due 12/08/2023
1,712,500.00 01/30/2019

2.71%
1,763,703.75
1,725,011.98

98.80 4.42%
1,691,869.51
18,141.80

0.61%
(33,142.47)
Aaa / AA+
AAA

1.19 1.14
3133ELVX9 FFCB Callable Note Cont 4/8/2022

0.875% Due 04/08/2024
750,000.00 04/07/2020

0.88%
750,000.00
750,000.00

94.67 4.54%
709,996.50
3,153.65

0.26%
(40,003.50)
Aaa / AA+
AAA

1.52 1.48
3135G0X24 FNMA Note

1.625% Due 01/07/2025
4,380,000.00 03/04/2020

0.84%
4,542,673.20
4,456,232.95

94.36 4.26%
4,132,867.26
16,607.50

1.49%
(323,365.69)
Aaa / AA+
AAA

2.27 2.18
3130AJHU6 FHLB Note

0.500% Due 04/14/2025
2,460,000.00 04/15/2020

0.60%
2,447,798.40
2,453,805.55

90.78 4.37%
2,233,274.10
5,705.83

0.80%
(220,531.45)
Aaa / AA+
AAA

2.54 2.46
3135G03U5 FNMA Note

0.625% Due 04/22/2025
10,880,000.00 Various

0.63%
10,879,060.80
10,879,600.23

91.14 4.32%
9,916,097.28
30,033.33

3.57%
(963,502.95)
Aaa / AA+
AAA

2.56 2.48
3135G04Z3 FNMA Note

0.500% Due 06/17/2025
6,642,500.00 06/17/2020

0.54%
6,628,750.02
6,635,045.19

90.39 4.29%
6,004,441.38
9,594.72

2.16%
(630,603.81)
Aaa / AA+
AAA

2.72 2.64
3137EAEU9 FHLMC Note

0.375% Due 07/21/2025
2,310,000.00 07/21/2020

0.48%
2,298,496.20
2,303,541.73

89.73 4.30%
2,072,746.83
1,684.38

0.74%
(230,794.90)
Aaa / AA+
AAA

2.81 2.73
3135G05X7 FNMA Note

0.375% Due 08/25/2025
3,995,000.00 08/25/2020

0.47%
3,976,303.40
3,984,156.79

89.43 4.29%
3,572,712.52
1,498.13

1.28%
(411,444.27)
Aaa / AA+
AAA

2.90 2.83
3137EAEX3 FHLMC Note

0.375% Due 09/23/2025
3,545,000.00 09/23/2020

0.44%
3,534,329.55
3,538,635.17

89.25 4.25%
3,163,986.95
295.42

1.13%
(374,648.22)
Aaa / AA+
AAA

2.98 2.90
3133EMBH4 FFCB Callable Note Cont 9/29/2021

0.530% Due 09/29/2025
2,265,000.00 10/07/2020

0.57%
2,261,036.25
2,262,612.15

88.93 4.52%
2,014,266.77

66.69 0.72%
(248,345.38)
Aaa / AA+
AAA

3.00 2.91
As of September 30, 2022
26 ATTACHMENT A
115
Holdings Report
City of Stockton Reserve Portfolio - Account #10020
CUSIP Security Description Par Value/Units Purchase Date Book Yield
Cost Value
Book Value
Mkt Price
Mkt YTM
Market Value
Accrued Int.
% of Port.

Gain/Loss
Moody/S&P
Fitch
Maturity
Duration
3135G06G3 FNMA Note

0.500% Due 11/07/2025
8,145,000.00 Various

0.54%
8,127,104.90
8,133,879.66

89.07 4.30%
7,254,670.05
16,290.00

2.61%
(879,209.61)
Aaa / AA+
AAA

3.11 3.01
TOTAL Agency 75,977,500.00 0.74%
76,056,041.89
76,004,544.15 4.27%
70,865,662.06
131,054.04

25.46%
(5,138,882.09)
Aaa / AA+
Aaa

1.95 1.89
CMO
3136AJB54 FNMA 2014-M4 A2

3.346% Due 03/25/2024
939,150.64 12/18/2019

2.04%
984,787.49
954,521.49

98.05 4.74%
920,871.01
2,618.54

0.33%
(33,650.48)

NR / NR
NR

1.48 1.27
3137FQ3V3 FHLMC KJ27 A1

2.092% Due 07/25/2024
7,214.01 11/26/2019

2.04%
7,213.83
7,213.94

99.38 4.13%
7,169.41

12.58 0.00%
(44.53)

NR / NR
NR

1.82 0.24
TOTAL CMO 946,364.65 2.04%
992,001.32
961,735.43 4.73%
928,040.42
2,631.12

0.33%
(33,695.01)

NR / NR
NR

1.49 1.26
Corporate
02665WDH1 American Honda Finance Note

1.950% Due 05/10/2023
1,775,000.00 01/07/2020

1.96%
1,774,343.25
1,774,880.64

98.65 4.20%
1,751,090.75
13,556.56

0.63%
(23,789.89)
A3 / A-
A

0.61 0.59
06406RAJ6 Bank of NY Mellon Corp Note

3.450% Due 08/11/2023
3,367,500.00 01/30/2019

3.17%
3,407,371.20
3,375,073.84

99.24 4.36%
3,341,752.10
16,135.94

1.20%
(33,321.74)
A1 / A
AA-

0.86 0.84
69371RQ90 Paccar Financial Corp Note

0.350% Due 08/11/2023
242,500.00 08/04/2020

0.39%
242,182.32
242,408.90

96.63 4.37%
234,320.23
117.88

0.08%
(8,088.67)
A1 / A+
NR

0.86 0.84
91159HHV5 US Bancorp Callable Note Cont 1/5/2024

3.375% Due 02/05/2024
1,062,500.00 04/02/2019

2.88%
1,085,598.75
1,068,630.41

98.24 4.73%
1,043,841.44
5,578.13

0.38%
(24,788.97)
A2 / A+
A+

1.35 1.29
58933YAU9 Merck & Co Callable Note Cont 2/7/2024

2.900% Due 03/07/2024
2,312,500.00 11/19/2021

0.78%
2,419,591.87
2,378,136.95

97.75 4.53%
2,260,542.75
4,470.83

0.81%
(117,594.20)
A1 / A+
A+

1.44 1.38
717081ES8 Pfizer Inc. Callable Note Cont 2/15/2024

2.950% Due 03/15/2024
3,200,000.00 06/03/2019

2.37%
3,281,376.00
3,223,805.80

97.87 4.47%
3,131,961.60
4,195.56

1.12%
(91,844.20)
A2 / A+
A

1.46 1.40
57636QAB0 MasterCard Inc Note

3.375% Due 04/01/2024
2,125,000.00 04/02/2019

2.67%
2,194,381.25
2,145,844.81

98.26 4.58%
2,088,118.50
35,859.38

0.76%
(57,726.31)
A1 / A+
NR

1.50 1.42
61772BAA1 Morgan Stanley Callable Note Cont 4/5/2023

0.731% Due 04/05/2024
1,332,500.00 Various

0.70%
1,333,334.75
1,332,717.15

97.59 4.31%
1,300,430.72
4,762.06

0.47%
(32,286.43)
A1 / A-
A

1.52 1.45
023135BW5 Amazon.com Inc Note

0.450% Due 05/12/2024
1,542,500.00 05/10/2021

0.50%
1,540,247.95
1,541,289.73

93.77 4.49%
1,446,325.13
2,680.09

0.52%
(94,964.60)
A1 / AA
AA-

1.62 1.57
931142EL3 Wal-Mart Stores Callable Note Cont 6/8/2024

2.850% Due 07/08/2024
4,100,000.00 05/12/2020

0.90%
4,418,693.00
4,232,109.62

97.17 4.52%
3,984,142.20
26,940.42

1.44%
(247,967.42)
Aa2 / AA
AA

1.77 1.69
As of September 30, 2022
27 ATTACHMENT A
116
Holdings Report
City of Stockton Reserve Portfolio - Account #10020
CUSIP Security Description Par Value/Units Purchase Date Book Yield
Cost Value
Book Value
Mkt Price
Mkt YTM
Market Value
Accrued Int.
% of Port.

Gain/Loss
Moody/S&P
Fitch
Maturity
Duration
91159HHX1 US Bancorp Callable Note Cont 6/28/2024

2.400% Due 07/30/2024
1,650,000.00 08/01/2019

2.38%
1,651,369.50
1,650,486.87

95.95 4.73%
1,583,206.35
6,710.00

0.57%
(67,280.52)
A2 / A+
A+

1.83 1.76
46647PBS4 JP Morgan Chase & Co Callable Note Cont 9/16/2023

0.653% Due 09/16/2024
1,467,500.00 09/09/2020

0.65%
1,467,500.00
1,467,500.00

95.38 4.64%
1,399,763.14
399.28

0.50%
(67,736.86)
A1 / A-
AA-

1.96 1.90
06051GJH3 Bank of America Corp Callable Note Cont 10/24/2023

0.810% Due 10/24/2024
1,907,500.00 10/16/2020

0.81%
1,907,500.00
1,907,500.00

95.09 4.74%
1,813,931.40
6,738.24

0.65%
(93,568.60)
A2 / A-
AA-

2.07 1.99
24422EVY2 John Deere Capital Corp Note

1.250% Due 01/10/2025
2,357,500.00 03/08/2022

2.17%
2,298,067.42
2,309,816.39

92.69 4.67%
2,185,251.62
6,630.47

0.79%
(124,564.77)
A2 / A
A

2.28 2.19
594918BB9 Microsoft Callable Note Cont 11/12/2024

2.700% Due 02/12/2025
2,675,000.00 03/04/2021

0.75%
2,863,881.75
2,783,554.34

95.87 4.56%
2,564,410.15
9,830.63

0.92%
(219,144.19)
Aaa / AAA
AAA

2.37 2.25
89236TGT6 Toyota Motor Credit Corp Note

1.800% Due 02/13/2025
1,887,500.00 05/20/2020

1.58%
1,905,940.87
1,896,731.09

93.35 4.80%
1,761,890.65
4,530.00

0.63%
(134,840.44)
A1 / A+
A+

2.38 2.27
66989HAP3 Novartis Capital Corp Callable Note Cont 1/14/2025

1.750% Due 02/14/2025
3,680,000.00 05/08/2020

0.98%
3,809,756.80
3,743,510.94

93.72 4.57%
3,448,951.20
8,407.78

1.24%
(294,559.74)
A1 / AA-
AA-

2.38 2.28
023135CE4 Amazon.com Inc Note

3.000% Due 04/13/2025
2,567,500.00 04/11/2022

3.06%
2,563,417.67
2,564,054.60

96.56 4.45%
2,479,301.24
35,945.00

0.90%
(84,753.36)
A1 / AA
AA-

2.54 2.37
172967MX6 Citigroup Inc Callable Note Cont 5/1/2024

0.981% Due 05/01/2025
1,355,000.00 Various

0.97%
1,355,119.25
1,355,062.72

92.68 5.06%
1,255,754.38
5,538.57

0.45%
(99,308.34)
A3 / BBB+
A

2.59 2.47
38148LAE6 Goldman Sachs Group Inc. Callable Note Cont
2/22/2025

3.750% Due 05/22/2025
1,817,500.00 02/12/2021

0.78%
2,030,474.65
1,944,616.52

95.87 5.45%
1,742,375.46
24,422.66

0.63%
(202,241.06)
A2 / BBB+
A

2.64 2.44
438516CB0 Honeywell Intl Callable Note Cont 5/1/2025

1.350% Due 06/01/2025
2,000,000.00 09/03/2021

0.80%
2,039,160.00
2,027,744.46

92.05 4.54%
1,841,026.00
9,000.00

0.66%
(186,718.46)
A2 / A
A

2.67 2.56
46647PCM6 JP Morgan Chase & Co Callable Note Cont 8/9/2024

0.768% Due 08/09/2025
1,680,000.00 08/03/2021

0.77%
1,680,000.00
1,680,000.00

91.70 4.84%
1,540,539.84
1,863.68

0.55%
(139,460.16)
A1 / A-
AA-

2.86 2.75
857477BR3 State Street Bank Callable Note Cont 2/6/2025

1.746% Due 02/06/2026
437,500.00 02/02/2022

1.75%
437,500.00
437,500.00

93.15 4.85%
407,548.75
1,167.03

0.15%
(29,951.25)
A1 / A
AA-

3.36 3.17
06051GKM0 Bank of America Corp Callable Note Cont 4/2/2025

3.384% Due 04/02/2026
1,875,000.00 03/17/2022

3.38%
1,875,000.00
1,875,000.00

94.48 5.40%
1,771,453.13
33,311.25

0.65%
(103,546.87)
A2 / A-
AA-

3.51 3.18
6174468Q5 Morgan Stanley Callable Note Cont 4/28/2025

2.188% Due 04/28/2026
2,200,000.00 08/24/2022

4.66%
2,072,268.00
2,075,697.05

91.74 5.51%
2,018,291.00
20,457.80

0.73%
(57,406.05)
A1 / A-
A

3.58 3.32
As of September 30, 2022
28 ATTACHMENT A
117
Holdings Report
City of Stockton Reserve Portfolio - Account #10020
CUSIP Security Description Par Value/Units Purchase Date Book Yield
Cost Value
Book Value
Mkt Price
Mkt YTM
Market Value
Accrued Int.
% of Port.

Gain/Loss
Moody/S&P
Fitch
Maturity
Duration
91324PEC2 United Health Group Inc Callable Note Cont 4/15/2026

1.150% Due 05/15/2026
4,000,000.00 09/19/2022

4.19%
3,592,560.00
3,595,618.86

88.53 4.62%
3,541,256.00
17,377.78

1.28%
(54,362.86)
A3 / A+
A

3.62 3.46
87612EBM7 Target Corp Callable Note Cont 12/15/2026

1.950% Due 01/15/2027
2,140,000.00 Various

1.97%
2,137,844.40
2,138,142.94

89.69 4.62%
1,919,432.34
8,809.67

0.69%
(218,710.60)
A2 / A
A

4.30 4.02
665859AW4 Northern Trust Company Callable Note Cont 4/10/2027

4.000% Due 05/10/2027
2,200,000.00 08/24/2022

3.93%
2,206,402.00
2,206,265.46

96.47 4.86%
2,122,362.00
34,466.67

0.77%
(83,903.46)
A2 / A+
A+

4.61 4.08
TOTAL Corporate 58,957,500.00 1.98%
59,590,882.65
58,973,700.09 4.67%
55,979,270.07
349,903.36

20.20%
(2,994,430.02)
A1 / A+
A+

2.32 2.19
Money Market Fund
60934N104 Federated Investors Government Obligations Fund 66,325.93 Various

2.80%
66,325.93
66,325.93

1.00 2.80%
66,325.93

0.00 0.02%

0.00 Aaa / AAA
AAA

0.00 0.00
TOTAL Money Market Fund 66,325.93 2.80%
66,325.93
66,325.93 2.80%
66,325.93

0.00 0.02%

0.00 Aaa / AAA
Aaa

0.00 0.00
Municipal Bonds
13063DRJ9 California State TE-GO

2.400% Due 10/01/2023
2,192,500.00 10/16/2019

1.87%
2,236,371.92
2,203,635.78

98.40 4.05%
2,157,376.15
26,310.00

0.78%
(46,259.63)
Aa2 / AA-
AA

1.00 0.97
797272QP9 San Diego Cmnty College Dist TE-GO

2.046% Due 08/01/2024
725,000.00 09/18/2019

2.05%
725,000.00
725,000.00

95.86 4.42%
694,948.75
2,472.25

0.25%
(30,051.25)
Aaa / AAA
NR

1.84 1.77
574193TQ1 Maryland State STE-GO

0.510% Due 08/01/2024
647,500.00 07/23/2020

0.52%
647,318.70
647,416.63

93.56 4.19%
605,788.05
550.38

0.22%
(41,628.58)
Aaa / AAA
AAA

1.84 1.79
13077DNC2 California State University TE-REV

0.685% Due 11/01/2024
625,000.00 08/27/2020

0.69%
625,000.00
625,000.00

92.42 4.53%
577,631.25
1,783.85

0.21%
(47,368.75)
Aa2 / AA-
NR

2.09 2.02
13067WRB0 California St Dept of Water TE-REV

0.560% Due 12/01/2024
77,500.00 07/30/2020

0.56%
77,500.00
77,500.00

92.05 4.45%
71,337.20
144.67

0.03%
(6,162.80)
Aa1 / AAA
NR

2.17 2.11
91412HGE7 University of California Callable STE-REV 1X 4/15/2025

0.883% Due 05/15/2025
760,000.00 07/10/2020

0.88%
760,000.00
760,000.00

91.04 4.54%
691,873.60
2,535.19

0.25%
(68,126.40)
Aa2 / AA
AA

2.62 2.53
341271AD6 Florida State Brd of Admin Fin ST TE-REV

1.258% Due 07/01/2025
1,875,000.00 09/03/2020

1.17%
1,882,423.50
1,879,229.96

90.54 4.98%
1,697,531.25
5,896.88

0.61%
(181,698.71)
Aa3 / AA
AA

2.75 2.64
54438CYK2 Los Angeles Cmnty College Dist STE-GO

0.773% Due 08/01/2025
965,000.00 10/30/2020

0.77%
965,000.00
965,000.00

89.77 4.67%
866,232.25
1,243.24

0.31%
(98,767.75)
Aaa / AA+
NR

2.84 2.74
As of September 30, 2022
29 ATTACHMENT A
118
Holdings Report
City of Stockton Reserve Portfolio - Account #10020
CUSIP Security Description Par Value/Units Purchase Date Book Yield
Cost Value
Book Value
Mkt Price
Mkt YTM
Market Value
Accrued Int.
% of Port.

Gain/Loss
Moody/S&P
Fitch
Maturity
Duration
646140DP5 New jersey St Turnpike Auth TE-REV

1.047% Due 01/01/2026
557,500.00 01/22/2021

1.05%
557,500.00
557,500.00

88.57 4.89%
493,755.45
1,459.26

0.18%
(63,744.55)
A1 / AA-
A+

3.26 3.12
TOTAL Municipal Bonds 8,425,000.00 1.26%
8,476,114.12
8,440,282.37 4.50%
7,856,473.95
42,395.72

2.83%
(583,808.42)
Aa2 / AA
AA

2.09 2.02
Negotiable CD
23341VZT1 DNB NOR BANK ASA NY Yankee CD

2.040% Due 12/02/2022
1,810,000.00 12/05/2019

2.04%
1,810,000.00
1,810,000.00

99.77 3.20%
1,805,748.31
105,746.23

0.69%
(4,251.69)
Aa2 / AA-
NR

0.17 0.17
06742TG34 Barclays Bank Yankee CD

1.050% Due 02/01/2023
2,942,500.00 02/03/2022

1.05%
2,942,500.00
2,942,500.00

99.05 3.81%
2,914,610.99
20,597.50

1.05%
(27,889.01)
P-1 / A-1
F-1

0.34 0.33
22552G3C2 Credit Suisse New York Yankee CD

0.590% Due 03/17/2023
2,032,500.00 03/19/2021

0.59%
2,032,500.00
2,032,500.00

98.28 4.34%
1,997,508.48
6,595.46

0.72%
(34,991.52)
Aa3 / A+
A

0.46 0.46
TOTAL Negotiable CD 6,785,000.00 1.18%
6,785,000.00
6,785,000.00 3.80%
6,717,867.78
132,939.19

2.46%
(67,132.22)
Aa1 / AA-
AA-

0.33 0.32
Supranational
459058JM6 Intl. Bank Recon & Development Note

0.250% Due 11/24/2023
1,870,000.00 11/17/2020

0.32%
1,865,979.50
1,868,461.56

95.45 4.35%
1,784,847.68
1,649.24

0.64%
(83,613.88)
Aaa / AAA
AAA

1.15 1.12
4581X0DZ8 Inter-American Dev Bank Note

0.500% Due 09/23/2024
4,190,000.00 09/15/2021

0.52%
4,186,899.40
4,187,954.62

92.88 4.29%
3,891,839.60
465.56

1.40%
(296,115.02)
Aaa / AAA
NR

1.98 1.93
TOTAL Supranational 6,060,000.00 0.46%
6,052,878.90
6,056,416.18 4.31%
5,676,687.28
2,114.80

2.04%
(379,728.90)
Aaa / AAA
Aaa

1.72 1.68
US Treasury
912828S92 US Treasury Note

1.250% Due 07/31/2023
807,500.00 04/02/2019

2.28%
773,307.42
800,938.66

97.58 4.23%
787,974.65
1,700.58

0.28%
(12,964.01)
Aaa / AA+
AAA

0.83 0.81
912828T26 US Treasury Note

1.375% Due 09/30/2023
2,500,000.00 08/07/2019

1.46%
2,491,503.90
2,497,957.34

97.17 4.30%
2,429,200.00

94.44 0.87%
(68,757.34)
Aaa / AA+
AAA

1.00 0.98
912828WE6 US Treasury Note

2.750% Due 11/15/2023
5,462,500.00 03/06/2019

2.52%
5,517,765.13
5,475,727.50

98.27 4.34%
5,367,758.40
56,740.23

1.95%
(107,969.10)
Aaa / AA+
AAA

1.13 1.08
91282CAW1 US Treasury Note

0.250% Due 11/15/2023
1,572,500.00 10/04/2021

0.30%
1,570,780.08
1,571,584.20

95.59 4.31%
1,503,088.28
1,484.90

0.54%
(68,495.92)
Aaa / AA+
AAA

1.13 1.10
912828U57 US Treasury Note

2.125% Due 11/30/2023
4,257,500.00 01/07/2019

2.52%
4,181,330.66
4,239,374.60

97.57 4.28%
4,153,889.48
30,404.48

1.50%
(85,485.12)
Aaa / AA+
AAA

1.17 1.13
9128285U0 US Treasury Note

2.625% Due 12/31/2023
230,000.00 01/30/2019

2.56%
230,682.81
230,173.46

97.98 4.30%
225,346.18
1,525.78

0.08%
(4,827.28)
Aaa / AA+
AAA

1.25 1.20
As of September 30, 2022
30 ATTACHMENT A
119
Holdings Report
City of Stockton Reserve Portfolio - Account #10020
CUSIP Security Description Par Value/Units Purchase Date Book Yield
Cost Value
Book Value
Mkt Price
Mkt YTM
Market Value
Accrued Int.
% of Port.

Gain/Loss
Moody/S&P
Fitch
Maturity
Duration
9128286G0 US Treasury Note

2.375% Due 02/29/2024
1,709,500.00 08/11/2021

0.35%
1,797,579.32
1,758,264.95

97.38 4.30%
1,664,625.63
3,476.85

0.60%
(93,639.32)
Aaa / AA+
AAA

1.42 1.37
912828W71 US Treasury Note

2.125% Due 03/31/2024
2,965,000.00 01/05/2022

0.88%
3,046,537.50
3,019,725.17

96.84 4.32%
2,871,418.67
173.09

1.03%
(148,306.50)
Aaa / AA+
AAA

1.50 1.45
91282CBV2 US Treasury Note

0.375% Due 04/15/2024
1,570,000.00 10/04/2021

0.40%
1,569,141.40
1,569,476.65

94.18 4.32%
1,478,682.52
2,718.55

0.53%
(90,794.13)
Aaa / AA+
AAA

1.54 1.50
912828X70 US Treasury Note

2.000% Due 04/30/2024
2,257,500.00 06/03/2019

1.90%
2,267,729.29
2,260,795.53

96.48 4.32%
2,178,047.29
18,894.29

0.79%
(82,748.24)
Aaa / AA+
AAA

1.58 1.52
912828XX3 US Treasury Note

2.000% Due 06/30/2024
5,715,000.00 07/01/2019

1.78%
5,773,935.94
5,735,614.65

96.18 4.29%
5,496,669.86
28,885.60

1.98%
(238,944.79)
Aaa / AA+
AAA

1.75 1.68
9128282N9 US Treasury Note

2.125% Due 07/31/2024
1,250,000.00 08/07/2019

1.47%
1,289,453.12
1,264,510.25

96.23 4.28%
1,202,881.25
4,475.20

0.43%
(61,629.00)
Aaa / AA+
AAA

1.84 1.76
91282CCT6 US Treasury Note

0.375% Due 08/15/2024
3,010,000.00 08/19/2021

0.42%
3,006,002.34
3,007,493.68

93.06 4.27%
2,801,063.86
1,441.61

1.01%
(206,429.82)
Aaa / AA+
AAA

1.88 1.83
9128282U3 US Treasury Note

1.875% Due 08/31/2024
7,137,500.00 Various

1.28%
7,335,869.62
7,216,366.80

95.66 4.26%
6,827,461.28
11,460.42

2.45%
(388,905.52)
Aaa / AA+
AAA

1.92 1.85
91282CCX7 US Treasury Note

0.375% Due 09/15/2024
1,577,500.00 10/04/2021

0.50%
1,571,769.24
1,573,688.38

92.80 4.25%
1,463,871.10
261.46

0.53%
(109,817.28)
Aaa / AA+
AAA

1.96 1.91
9128283D0 US Treasury Note

2.250% Due 10/31/2024
1,700,000.00 11/01/2019

1.57%
1,755,582.03
1,723,215.11

96.06 4.24%
1,633,062.50
16,006.79

0.59%
(90,152.61)
Aaa / AA+
AAA

2.09 1.99
912828YM6 US Treasury Note

1.500% Due 10/31/2024
1,060,000.00 01/12/2021

0.35%
1,106,043.75
1,085,262.65

94.59 4.24%
1,002,651.88
6,653.80

0.36%
(82,610.77)
Aaa / AA+
AAA

2.09 2.00
9128283J7 US Treasury Note

2.125% Due 11/30/2024
5,457,500.00 Various

1.66%
5,578,317.09
5,510,459.55

95.62 4.26%
5,218,308.69
38,974.15

1.89%
(292,150.86)
Aaa / AA+
AAA

2.17 2.07
912828ZC7 US Treasury Note

1.125% Due 02/28/2025
4,472,500.00 08/19/2021

0.53%
4,565,793.56
4,536,263.87

92.89 4.25%
4,154,706.51
4,308.80

1.49%
(381,557.36)
Aaa / AA+
AAA

2.42 2.34
912828ZL7 US Treasury Note

0.375% Due 04/30/2025
2,997,500.00 04/05/2021

0.70%
2,958,391.99
2,972,675.37

90.60 4.25%
2,715,782.96
4,703.96

0.98%
(256,892.41)
Aaa / AA+
AAA

2.58 2.52
912828ZW3 US Treasury Note

0.250% Due 06/30/2025
1,597,500.00 10/04/2021

0.70%
1,571,103.81
1,578,075.66

89.78 4.22%
1,434,254.67
1,009.29

0.51%
(143,820.99)
Aaa / AA+
AAA

2.75 2.68
91282CAJ0 US Treasury Note

0.250% Due 08/31/2025
8,820,000.00 Various

0.56%
8,710,250.00
8,741,240.04

89.11 4.26%
7,859,105.10
1,888.26

2.82%
(882,134.94)
Aaa / AA+
AAA

2.92 2.85
91282CAT8 US Treasury Note

0.250% Due 10/31/2025
3,500,000.00 10/04/2021

0.78%
3,425,898.44
3,443,850.37

88.57 4.24%
3,100,097.00
3,661.68

1.11%
(343,753.37)
Aaa / AA+
AAA

3.09 3.01
91282CAZ4 US Treasury Note

0.375% Due 11/30/2025
6,772,500.00 Various

0.94%
6,619,508.79
6,654,608.96

88.68 4.23%
6,005,568.56
8,535.02

2.16%
(649,040.40)
Aaa / AA+
AAA

3.17 3.08
As of September 30, 2022
31 ATTACHMENT A
120
Holdings Report
City of Stockton Reserve Portfolio - Account #10020
CUSIP Security Description Par Value/Units Purchase Date Book Yield
Cost Value
Book Value
Mkt Price
Mkt YTM
Market Value
Accrued Int.
% of Port.

Gain/Loss
Moody/S&P
Fitch
Maturity
Duration
91282CBC4 US Treasury Note

0.375% Due 12/31/2025
6,400,000.00 01/11/2021

0.49%
6,363,250.00
6,375,965.70

88.44 4.22%
5,660,249.60
6,065.22

2.03%
(715,716.10)
Aaa / AA+
AAA

3.25 3.16
9128286A3 US Treasury Note

2.625% Due 01/31/2026
1,707,500.00 02/04/2021

0.46%
1,890,055.76
1,829,537.82

95.06 4.23%
1,623,125.60
7,551.51

0.58%
(206,412.22)
Aaa / AA+
AAA

3.34 3.13
91282CBH3 US Treasury Note

0.375% Due 01/31/2026
17,305,000.00 Various

0.79%
16,971,456.65
17,069,586.89

88.09 4.24%
15,244,632.09
10,933.19

5.47%
(1,824,954.80)
Aaa / AA+
AAA

3.34 3.24
91282CBQ3 US Treasury Note

0.500% Due 02/28/2026
12,670,000.00 Various

0.94%
12,437,181.06
12,485,386.59

88.25 4.23%
11,181,769.14
5,425.00

4.01%
(1,303,617.45)
Aaa / AA+
AAA

3.42 3.32
91282CCF6 US Treasury Note

0.750% Due 05/31/2026
8,320,000.00 Various

0.80%
8,301,545.71
8,306,447.94

88.34 4.22%
7,349,871.36
20,970.49

2.64%
(956,576.58)
Aaa / AA+
AAA

3.67 3.54
91282CCZ2 US Treasury Note

0.875% Due 09/30/2026
3,700,000.00 04/05/2022

2.77%
3,406,746.09
3,438,454.06

88.01 4.16%
3,256,432.90

88.94 1.17%
(182,021.16)
Aaa / AA+
AAA

4.00 3.85
912828V98 US Treasury Note

2.250% Due 02/15/2027
2,650,000.00 09/30/2022

4.07%
2,458,185.55
2,458,305.51

92.48 4.15%
2,450,836.60
7,615.15

0.88%
(7,468.91)
Aaa / AA+
AAA

4.38 4.09
91282CBJ9 US Treasury Note

0.750% Due 01/31/2028
540,000.00 03/14/2022

2.15%
498,382.03
502,257.07

84.23 4.07%
454,823.64
682.34

0.16%
(47,433.43)
Aaa / AA+
AAA

5.34 5.12
91282CCY5 US Treasury Note

1.250% Due 09/30/2028
525,000.00 03/14/2022

2.17%
495,591.79
498,051.70

85.17 4.06%
447,152.48

18.03 0.16%
(50,899.22)
Aaa / AA+
AAA

6.01 5.66
9128286B1 US Treasury Note

2.625% Due 02/15/2029
500,000.00 03/21/2022

2.33%
509,433.59
508,711.67

92.18 4.03%
460,918.00
1,676.29

0.17%
(47,793.67)
Aaa / AA+
AAA

6.38 5.75
912828YB0 US Treasury Note

1.625% Due 08/15/2029
520,000.00 03/21/2022

2.29%
496,518.75
498,195.36

86.27 3.92%
448,581.12
1,079.21

0.16%
(49,614.24)
Aaa / AA+
AAA

6.88 6.36
912828Z94 US Treasury Note

1.500% Due 02/15/2030
542,500.00 04/06/2022

2.66%
498,040.43
500,723.20

84.89 3.87%
460,552.66
1,039.30

0.17%
(40,170.54)
Aaa / AA+
AAA

7.38 6.82
91282CAE1 US Treasury Note

0.625% Due 08/15/2030
587,500.00 04/06/2022

2.65%
498,755.37
503,792.38

78.35 3.84%
460,292.74
468.96

0.17%
(43,499.64)
Aaa / AA+
AAA

7.88 7.51
91282CBL4 US Treasury Note

1.125% Due 02/15/2031
565,000.00 04/06/2022

2.63%
498,104.88
501,685.59

80.96 3.80%
457,407.05
811.80

0.16%
(44,278.54)
Aaa / AA+
AAA

8.38 7.80
91282CCS8 US Treasury Note

1.250% Due 08/15/2031
562,500.00 04/06/2022

2.63%
498,515.62
501,758.90

80.81 3.82%
454,548.38
898.01

0.16%
(47,210.52)
Aaa / AA+
AAA

8.88 8.19
TOTAL US Treasury 135,494,500.00 1.18%
134,536,040.51
134,446,203.78 4.24%
123,986,709.68
314,802.67

44.58%
(10,459,494.10)
Aaa / AA+
Aaa

2.75 2.65
TOTAL PORTFOLIO 298,693,327.19 1.21%
298,535,589.28
297,714,894.35 4.35%
277,832,609.67
977,718.80
100.00%
(19,882,284.68)
Aa1 / AA
Aaa

2.36 2.23
TOTAL MARKET VALUE PLUS ACCRUALS 278,810,328.47
As of September 30, 2022
32 ATTACHMENT A
121
SECTION |
Section 4 |
Transactions
33 ATTACHMENT A
122
Transaction Ledger
City of Stockton Reserve Portfolio - Account #10020
Transaction
Type
Settlement
Date CUSIP Quantity Security Description Price Acq/Disp Yield Amount Interest
Pur/Sold Total Amount Gain/Loss

ACQUISITIONS
Purchase 08/26/2022 6174468Q5 2,200,000.00 Morgan Stanley Callable Note Cont 4/28/2025

2.188% Due: 04/28/2026

94.194 4.66% 2,072,268.00 15,777.91 2,088,045.91 0.00
Purchase 08/26/2022 665859AW4 2,200,000.00 Northern Trust Company Callable Note Cont 4/10/2027
4% Due: 05/10/2027
100.291 3.93% 2,206,402.00 25,911.11 2,232,313.11 0.00
Purchase 09/21/2022
91324PEC2 4,000,000.00 United Health Group Inc Callable Note Cont 4/15/2026

1.15% Due: 05/15/2026

89.814 4.19% 3,592,560.00 16,100.00 3,608,660.00 0.00
Purchase 09/30/2022
912828V98 2,650,000.00 US Treasury Note

2.25% Due: 02/15/2027

92.762 4.07% 2,458,185.55 7,453.13 2,465,638.68 0.00
Subtotal 11,050,000.00 10,329,415.55 65,242.15 10,394,657.70 0.00 Security
Contribution
07/29/2022
06742TG34 2,942,500.00 Barclays Bank Yankee CD

1.05% Due: 02/01/2023
100.000 2,942,500.00 0.00 2,942,500.00 0.00
Security
Contribution
07/29/2022
14042WAC4 27,664.17 Capital One Prime Auto Trust 2019-1 A3

2.51% Due: 11/15/2023

99.980 27,658.57 0.00 27,658.57 0.00
Security
Contribution
07/29/2022
14314QAC8 862,500.00 CarMax Auto Owner Trust 2021-2 A3

0.52% Due: 02/17/2026

99.978 862,314.13 0.00 862,314.13 0.00
Security
Contribution
07/29/2022
14315XAC2 452,954.56 CarMax Auto Owner Trust 2020-1 A3

1.89% Due: 12/16/2024

99.980 452,865.68 0.00 452,865.68 0.00
Security
Contribution
07/29/2022
14316LAC7 112,187.56 CarMax Auto Owner Trust 2019-2 A3

2.68% Due: 03/15/2024

99.990 112,176.09 0.00 112,176.09 0.00
Security
Contribution
07/29/2022
14316NAC3 427,686.99 CarMax Auto Owner Trust 2021-1 A3

0.34% Due: 12/15/2025

99.980 427,602.47 0.00 427,602.47 0.00
Security
Contribution
07/29/2022
172967MX6 1,310,000.00 Citigroup Inc Callable Note Cont 5/1/2024

0.981% Due: 05/01/2025
100.000 1,310,000.00 0.00 1,310,000.00 0.00
June 30, 2022 through September 30, 2022
As of September 30, 2022
34 ATTACHMENT A
123
Transaction Ledger
City of Stockton Reserve Portfolio - Account #10020
Transaction
Type
Settlement
Date CUSIP Quantity Security Description Price Acq/Disp Yield Amount Interest
Pur/Sold Total Amount Gain/Loss
Security
Contribution
07/29/2022
172967MX6 45,000.00 Citigroup Inc Callable Note Cont 5/1/2024

0.981% Due: 05/01/2025
100.265 45,119.25 0.00 45,119.25 0.00
Security
Contribution
07/29/2022
254683CP8 797,500.00 Discover Card Execution Trust 2021-A1 A1

0.58% Due: 09/15/2026

99.979 797,329.25 0.00 797,329.25 0.00
Security
Contribution
07/29/2022
3135G03U5 6,600,000.00 FNMA Note

0.625% Due: 04/22/2025

99.794 6,586,404.00 0.00 6,586,404.00 0.00
Security
Contribution
07/29/2022
3135G03U5 3,035,000.00 FNMA Note

0.625% Due: 04/22/2025
100.209 3,041,343.15 0.00 3,041,343.15 0.00
Security
Contribution
07/29/2022
3135G03U5 525,000.00 FNMA Note

0.625% Due: 04/22/2025
100.329 526,727.25 0.00 526,727.25 0.00
Security
Contribution
07/29/2022
3135G03U5 720,000.00 FNMA Note

0.625% Due: 04/22/2025
100.637 724,586.40 0.00 724,586.40 0.00
Security
Contribution
07/29/2022
3135G04Z3 6,642,500.00 FNMA Note

0.5% Due: 06/17/2025

99.793 6,628,750.02 0.00 6,628,750.02 0.00
Security
Contribution
07/29/2022
3135G05X7 3,995,000.00 FNMA Note

0.375% Due: 08/25/2025

99.532 3,976,303.40 0.00 3,976,303.40 0.00
Security
Contribution
07/29/2022
3135G06G3 4,625,000.00 FNMA Note

0.5% Due: 11/07/2025

99.642 4,608,442.50 0.00 4,608,442.50 0.00
Security
Contribution
07/29/2022
3135G06G3 3,520,000.00 FNMA Note

0.5% Due: 11/07/2025

99.962 3,518,662.40 0.00 3,518,662.40 0.00
Security
Contribution
07/29/2022
3135G06H1 2,180,000.00 FNMA Note

0.25% Due: 11/27/2023

99.977 2,179,498.60 0.00 2,179,498.60 0.00
June 30, 2022 through September 30, 2022
As of September 30, 2022
35 ATTACHMENT A
124
Transaction Ledger
City of Stockton Reserve Portfolio - Account #10020
Transaction
Type
Settlement
Date CUSIP Quantity Security Description Price Acq/Disp Yield Amount Interest
Pur/Sold Total Amount Gain/Loss
Security
Contribution
07/29/2022
3135G06H1 867,500.00 FNMA Note

0.25% Due: 11/27/2023
100.152 868,818.60 0.00 868,818.60 0.00
Security
Contribution
07/29/2022
3136AJB54 942,924.89 FNMA 2014-M4 A2
Due: 03/25/2024
104.859 988,745.15 0.00 988,745.15 0.00
Security
Contribution
07/29/2022
3137AWQH1 159,819.87 FHLMC K023 A2

2.307% Due: 08/25/2022
101.477 162,179.71 0.00 162,179.71 0.00
Security
Contribution
07/29/2022
3137BM6P6 12,141.58 FHLMC K721 A2
Due: 08/25/2022
100.852 12,244.98 0.00 12,244.98 0.00
Security
Contribution
07/29/2022
3137EAER6 830,000.00 FHLMC Note

0.375% Due: 05/05/2023
100.168 831,394.40 0.00 831,394.40 0.00
Security
Contribution
07/29/2022
3137EAER6 2,800,000.00 FHLMC Note

0.375% Due: 05/05/2023
100.490 2,813,720.00 0.00 2,813,720.00 0.00
Security
Contribution
07/29/2022
3137FQ3V3 32,933.20 FHLMC KJ27 A1

2.092% Due: 07/25/2024

99.998 32,932.41 0.00 32,932.41 0.00
Security
Contribution
07/29/2022
341271AD6 1,050,000.00 Florida State Brd of Admin Fin ST TE-REV

1.258% Due: 07/01/2025
100.707 1,057,423.50 0.00 1,057,423.50 0.00
Security
Contribution
07/29/2022
341271AD6 825,000.00 Florida State Brd of Admin Fin ST TE-REV

1.258% Due: 07/01/2025
100.000 825,000.00 0.00 825,000.00 0.00
Security
Contribution
07/29/2022
43813GAC5 722,500.00 Honda Auto Receivables Trust 2021-1 A3

0.27% Due: 04/21/2025

99.998 722,486.78 0.00 722,486.78 0.00
Security
Contribution
07/29/2022
43815MAC0 64,880.66 Honda Auto Receivables Trust 2019-2 A3

2.52% Due: 06/21/2023

99.996 64,878.24 0.00 64,878.24 0.00
June 30, 2022 through September 30, 2022
As of September 30, 2022
36 ATTACHMENT A
125
Transaction Ledger
City of Stockton Reserve Portfolio - Account #10020
Transaction
Type
Settlement
Date CUSIP Quantity Security Description Price Acq/Disp Yield Amount Interest
Pur/Sold Total Amount Gain/Loss
Security
Contribution
07/29/2022
44933LAC7 572,500.00 Hyundai Auto Receivables Trust 2021-A A3

0.38% Due: 09/15/2025

99.989 572,439.77 0.00 572,439.77 0.00
Security
Contribution
07/29/2022
44935FAD6 495,000.00 Hyundai Auto Receivables Trust 2021-C A3

0.74% Due: 05/15/2026

99.978 494,889.51 0.00 494,889.51 0.00
Security
Contribution
07/29/2022
61772BAA1 670,000.00 Morgan Stanley Callable Note Cont 4/5/2023

0.731% Due: 04/05/2024
100.000 670,000.00 0.00 670,000.00 0.00
Security
Contribution
07/29/2022
61772BAA1 662,500.00 Morgan Stanley Callable Note Cont 4/5/2023

0.731% Due: 04/05/2024
100.126 663,334.75 0.00 663,334.75 0.00
Security
Contribution
07/29/2022
65479CAD0 223,829.38 Nissan Auto Receivables Owner 2020-B A3

0.55% Due: 07/15/2024

99.997 223,823.25 47.87 223,871.12 0.00
Security
Contribution
07/29/2022
65479HAC1 139,208.47 Nissan Auto Receivables Trust 2019-B A3

2.5% Due: 11/15/2023

99.977 139,176.99 135.34 139,312.33 0.00
Security
Contribution
07/29/2022
65479KAD2 48,680.96 Nissan Auto Receivables Trust 2019-A A3

2.9% Due: 10/16/2023

99.985 48,673.58 54.90 48,728.48 0.00
Security
Contribution
07/29/2022
87612EBM7 780,000.00 Target Corp Callable Note Cont 12/15/2026

1.95% Due: 01/15/2027

99.830 778,674.00 0.00 778,674.00 0.00
Security
Contribution
07/29/2022
87612EBM7 1,360,000.00 Target Corp Callable Note Cont 12/15/2026

1.95% Due: 01/15/2027

99.939 1,359,170.40 0.00 1,359,170.40 0.00
Security
Contribution
07/29/2022
89232HAC9 759,227.75 Toyota Auto Receivable Own 2020-A A3

1.66% Due: 05/15/2024

99.993 759,172.93 0.00 759,172.93 0.00
Security
Contribution
07/29/2022
89236TGT6 1,887,500.00 Toyota Motor Credit Corp Note

1.8% Due: 02/13/2025
100.977 1,905,940.87 0.00 1,905,940.87 0.00
June 30, 2022 through September 30, 2022
As of September 30, 2022
37 ATTACHMENT A
126
Transaction Ledger
City of Stockton Reserve Portfolio - Account #10020
Transaction
Type
Settlement
Date CUSIP Quantity Security Description Price Acq/Disp Yield Amount Interest
Pur/Sold Total Amount Gain/Loss
Security
Contribution
07/29/2022
89239BAC5 1,000,000.00 Toyota Auto Receivables Trust 2021-C A3

0.43% Due: 01/15/2026

99.992 999,920.30 0.00 999,920.30 0.00
Security
Contribution
07/29/2022
9128282U3 6,775,000.00 US Treasury Note

1.875% Due: 08/31/2024
102.605 6,951,520.50 0.00 6,951,520.50 0.00
Security
Contribution
07/29/2022
9128282U3 362,500.00 US Treasury Note

1.875% Due: 08/31/2024
106.027 384,349.12 0.00 384,349.12 0.00
Security
Contribution
07/29/2022
9128283J7 2,140,000.00 US Treasury Note

2.125% Due: 11/30/2024
102.055 2,183,970.31 0.00 2,183,970.31 0.00
Security
Contribution
07/29/2022
9128283J7 3,317,500.00 US Treasury Note

2.125% Due: 11/30/2024
102.316 3,394,346.78 0.00 3,394,346.78 0.00
Security
Contribution
07/29/2022
9128286G0 1,709,500.00 US Treasury Note

2.375% Due: 02/29/2024
105.152 1,797,579.32 0.00 1,797,579.32 0.00
Security
Contribution
07/29/2022
912828ZC7 4,472,500.00 US Treasury Note

1.125% Due: 02/28/2025
102.086 4,565,793.56 0.00 4,565,793.56 0.00
Security
Contribution
07/29/2022
91282CAJ0 4,140,000.00 US Treasury Note

0.25% Due: 08/31/2025

98.891 4,094,071.88 0.00 4,094,071.88 0.00
Security
Contribution
07/29/2022
91282CAJ0 1,840,000.00 US Treasury Note

0.25% Due: 08/31/2025

98.883 1,819,443.75 0.00 1,819,443.75 0.00
Security
Contribution
07/29/2022
91282CAJ0 2,840,000.00 US Treasury Note

0.25% Due: 08/31/2025

98.477 2,796,734.37 0.00 2,796,734.37 0.00
Security
Contribution
07/29/2022
91282CAZ4 3,195,000.00 US Treasury Note

0.375% Due: 11/30/2025

98.238 3,138,713.09 0.00 3,138,713.09 0.00
June 30, 2022 through September 30, 2022
As of September 30, 2022
38 ATTACHMENT A
127
Transaction Ledger
City of Stockton Reserve Portfolio - Account #10020
Transaction
Type
Settlement
Date CUSIP Quantity Security Description Price Acq/Disp Yield Amount Interest
Pur/Sold Total Amount Gain/Loss
Security
Contribution
07/29/2022
91282CAZ4 3,577,500.00 US Treasury Note

0.375% Due: 11/30/2025

97.297 3,480,795.70 0.00 3,480,795.70 0.00
Security
Contribution
07/29/2022
91282CBC4 6,400,000.00 US Treasury Note

0.375% Due: 12/31/2025

99.426 6,363,250.00 0.00 6,363,250.00 0.00
Security
Contribution
07/29/2022
91282CBH3 4,075,000.00 US Treasury Note

0.375% Due: 01/31/2026

97.930 3,990,634.77 0.00 3,990,634.77 0.00
Security
Contribution
07/29/2022
91282CBH3 5,425,000.00 US Treasury Note

0.375% Due: 01/31/2026

98.172 5,325,824.22 0.00 5,325,824.22 0.00
Security
Contribution
07/29/2022
91282CBH3 7,805,000.00 US Treasury Note

0.375% Due: 01/31/2026

98.078 7,654,997.66 0.00 7,654,997.66 0.00
Security
Contribution
07/29/2022
91282CBQ3 6,035,000.00 US Treasury Note

0.5% Due: 02/28/2026

99.105 5,981,015.04 0.00 5,981,015.04 0.00
Security
Contribution
07/29/2022
91282CBQ3 6,635,000.00 US Treasury Note

0.5% Due: 02/28/2026

97.305 6,456,166.02 0.00 6,456,166.02 0.00
Security
Contribution
07/29/2022
91282CCF6 5,065,000.00 US Treasury Note

0.75% Due: 05/31/2026

99.781 5,053,920.32 0.00 5,053,920.32 0.00
Security
Contribution
07/29/2022
91282CCF6 3,255,000.00 US Treasury Note

0.75% Due: 05/31/2026

99.773 3,247,625.39 0.00 3,247,625.39 0.00
June 30, 2022 through September 30, 2022
As of September 30, 2022
39 ATTACHMENT A
128
Transaction Ledger
City of Stockton Reserve Portfolio - Account #10020
Transaction
Type
Settlement
Date CUSIP Quantity Security Description Price Acq/Disp Yield Amount Interest
Pur/Sold Total Amount Gain/Loss
Security
Contribution
07/29/2022
91412HGE7 760,000.00 University of California Callable STE-REV 1X 4/15/2025

0.883% Due: 05/15/2025
100.000 760,000.00 0.00 760,000.00 0.00
Subtotal 135,551,140.04 135,204,075.08 238.11 135,204,313.19 0.00 TOTAL ACQUISITIONS 146,601,140.04 145,533,490.6
3 65,480.26 145,598,970.89 0.00

DISPOSITIONS
Sale 09/21/2022
88579YBM2 1,450,000.00 3M Co. Callable Note Cont 3/15/2025

2.65% Due: 04/15/2025

95.363 3.32% 1,382,763.50 16,650.83 1,399,414.33 -43,591.49 Subtotal 1,450,000.00 1,382,763.50 16,650.83 1,399,414.33 -43,591.49 Maturity 08/26/2022 83050PDR7 3,682,500.00 Skandinav Enskilda BK NY Yankee CD

1.86% Due: 08/26/2022
100.000 3,682,500.00 0.00 3,682,500.00 0.00
Maturity 09/12/2022
19423KJC9 1,925,000.00 Collateralized CP Flex CO LLC Discount CP

2.53% Due: 09/12/2022

99.529 1,925,000.00 0.00 1,925,000.00 0.00
Maturity 09/16/2022
53127UJG6 1,625,000.00 Liberty Street Funding LLC Discount CP

2.15% Due: 09/16/2022

99.457 1,625,000.00 0.00 1,625,000.00 0.00
Subtotal 7,232,500.00 7,232,500.00 0.00 7,232,500.00 0.00 TOTAL DISPOSITIONS 8,682,500.00 8,615,263.50 16,650.83 8,631,914.33 -43,591.49 June 30, 2022 through September 30, 2022
As of September 30, 2022
40 ATTACHMENT A
129
Important Disclosures
2022 Chandler Asset Management, Inc, An IndependentRegistered Investment Adviser.

Information containedherein is confidential. Prices are provided byICE Data Services Inc (“IDS”), an independentpricing source. In the event IDS does notprovide a price or if the price provided is not reflective of fair market value, Chandler will obtain pricing from an alternative approved third party pricing source in accordance withour written valuation policy and procedures. Our valuation procedures are also disclosed inItem 5 of ourForm ADVPart 2A.

Performance results arepresented gross-of-advisory fees and represent the client’s Total Return. The deduction of advisory fees lowers performance results. These results include the reinvestment of dividends andother earnings. Past performance maynot be indicativeof future results. Therefore, clients should not assume that future performance of any specific investment or investment strategy will be profitable or equal to past performance levels. All investment strategies have the potential for profit or loss. Economic factors, market conditions or changes in investment strategies, contributions or withdrawals maymaterially alterthe performance andresults of your portfolio.

Index returns assume reinvestment of all distributions. Historical performance results for investment indexes generally do not reflect the deduction of transaction and/or custodial charges or the deduction of an investment management fee, the incurrence of which would have the effect of decreasing historical performance results. It is not possible to invest directly inan index.

Source ICE Data Indices, LLC ("ICE"), used with permission. ICEpermits use of the ICEindices and related data on an "as is" basis; ICE, its affiliates and their respective third partysuppliers disclaim any and all warrantiesand representations, expressand/or implied, including any warranties of merchantability or fitness for a particular purpose or use, including the indices, index data and anydata included in, related to, or derived therefrom. Neither ICE data, its affiliates or their respective third party providersguarantee the quality, adequacy, accuracy,timeliness or completeness of the indices or the index dataor any component thereof, and the indices and index data andall components thereof areprovided on an "as is" basis andlicensee's use it at licensee's own risk. ICE data, its affiliates and their respective third partydo not sponsor,endorse, or recommend chandlerasset management, or any of its products or services.

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Fixed income investments are subject to interest, credit and market risk. Interest rate risk: the value of fixed income investments will decline as interest rates rise. Credit risk: the possibility that the borrower may not be ableto repay interest and principal. Low rated bonds generally have to pay higherinterest rates to attract investors willing to take on greater risk. Market risk: the bond marketin general could declinedue to economic conditions, especiallyduring periodsof rising interest rates.

Ratings information havebeen provided byMoody’s, S&P and Fitch through data feeds we believe to be reliable as of the date of this statement, however we cannot guaranteeits accuracy.

Security level ratings for U.S. Agency issued mortgage-backed securities (“MBS”) reflectthe issuer rating becausethe securities themselves are not rated. The issuing U.S. Agency guaranteesthe full and timely payment of both principal andinterest and carries a AA+/Aaa/AAA byS&P, Moody’s and Fitch respectively.

As of September 30, 2022
41 ATTACHMENT A
130
Benchmark Disclosures
ICE BofA 1-5 Yr US Treasury & Agency Index
The ICE BofA 1-5 Year US Treasury & Agency Index tracks the performance of US dollar denominated US Treasury and nonsubordinatedUS agency debt issued in the US domesticmarket. Qualifying securities must have aninvestment grade rating (based on an averageof Moody’s, S&Pand Fitch). Qualifying securities must have atleast one yearremaining termto final maturity and less than five years remaining term to final maturity, atleast 18 months to maturityat time of issuance, a fixed coupon schedule, and a minimum amount outstandingof $1billion for sovereigns and$250 million for agencies.

ICE BofA 1-5 Yr AAA-A US Corp & Govt Index
The ICE BofA US 1-5 Year AAA-A US Corporate & Government Index tracks the performance of US dollar denominated investment grade debt publicly issued in the US domestic market, including US Treasury, US agency, foreign government, supranational, andcorporate securities. Qualifying securities must be issued fromUS issuers and berated AAA through A3 (based on an averageof Moody’s, S&P and Fitch). In addition, qualifying securities must have atleast one year remaining term to final maturity and less than five years remaining termto final maturity, atleast 18 months to final maturity at point of issuance, a fixed coupon schedule, anda minimum amount outstandingof $1billion for US Treasuries and $250 million for all other securities.

As of September 30, 2022
42 ATTACHMENT A
131

ATTACHMENT B
132
City of Stockton
Legislation Text
File #: 22-1112, Version: 1
2023 CITY COUNCIL/SUCCESSOR AGENCY/STOCKTON PUBLIC FINANCING AUTHORITY/

STOCKTON PARKING AUTHORITY MEETING CALENDAR

DISCUSSION
Background
City Council Policy outlines that the City Council/Successor Agency/Stockton Public Financing Authority/Stockton Parking Authority meets regularly on Tuesday evenings to conduct business in the designated City Council Chamber. An annual calendar is adopted each year, designating the meeting schedule.

Present Situation
The attached Meeting Calendar (Attachment A) for 2023 is consistent with the existing meeting pattern established by City Council for the 2022 calendar year, with two regular business meetings scheduled each month, except for February, July, and August. February has one regular meeting due to the City Council Workshop and ARPA Study Session that will be scheduled in place of the second business meeting. July and August are reduced to allow for summer recess.

With Council concurrence, regular City Council meetings will be held the following Tuesdays in 2023:

January 10 May 2 September 26
January 24 May 23 October 17
February 7 June 6 October 24
March 7 June 20 November 7
March 21 July 11 November 14
April 4 August 22 December 5
April 18 September 12 December 12
This schedule is subject to change based on any revisions to the 9/80 schedule, or material changes brought about by agreements with bargaining units. Change to this schedule may also occur as Council considers business needs, scheduling conflicts, the need for special meetings or study sessions.

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File #: 22-1112, Version: 1
The attached Meeting Calendar for 2023, which is also subject to change, depicts regular meetings, some special meetings, holidays, and the existing 9/80 schedule.

FINANCIAL SUMMARY
There is no direct financial impact to the City of Stockton with this action.

Attachment A - 2023 Stockton City Council Meeting Calendar City of Stockton Printed on 11/10/2022Page 2 of 2
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May

S M T W T F S
1 2 3 4 5 6
7 8 9 10 11 12 13
14 15 16 17 18 19 20
21 22 23 24 25 26 27
28 29 30 31
June

S M T W T F S
1 2 3
4 5 6 7 8 9 10
11 12 13 14 15 16 17
18 19 20 21 22 23 24
25 26 27 28 29 30
August

S M T W T F S
1 2 3 4 5
6 7 8 9 10 11 12
13 14 15 16 17 18 19
20 21 22 23 24 25 26
27 28 29 30 31
September

S M T W T F S
1 2
3 4 5 6 7 8 9
10 11 12 13 14 15 16
17 18 19 20 21 22 23
24 25 26 27 28 29 30
2023 STOCKTON CITY COUNCIL
MEETING CALENDAR*
January

S M T W T F S
1 2 3 4 5 6 7
8 9 10 11 12 13 14
15 16 17 18 19 20 21
22 23 24 25 26 27 28
29 30 31
Holidays (box) Council meeting (circle) City Hall closed (every other Friday) Possible Study Session (star) No Council meeting scheduled (slash) *Subject to change; special meetings scheduled as needed February

S M T W T F S
1 2 3 4
5 6 7 8 9 10 11
12 13 14 15 16 17 18
19 20 21 22 23 24 25
26 27 28
December

S M T W T F S
1 2
3 4 5 6 7 8 9
10 11 12 13 14 15 16
17 18 19 20 21 22 23
24 25 26 27 28 29 30
31 April

S M T W T F S
1 2 3 4 5 6 7 8
9 10 11 12 13 14 15
16 17 18 19 20 21 22
23 24 25 26 27 28 29
30 March

S M T W T F S
1 2 3 4
5 6 7 8 9 10 11
12 13 14 15 16 17 18
19 20 21 22 23 24 25
26 27 28 29 30 31
July

S M T W T F S
1 2 3 4 5 6 7 8
9 10 11 12 13 14 15
16 17 18 19 20 21 22
23 24 25 26 27 28 29
November

S M T W T F S
1 2 3 4
5 6 7 8 9 10 11
12 13 14 15 16 17 18
19 20 21 22 23 24 25
26 27 28 29 30
October

S M T W T F S
1 2 3 4 5 6 7
8 9 10 11 12 13 14
15 16 17 18 19 20 21
22 23 24 25 26 27 28
29 30 31

ATTACHMENT A DRAFT
135
City of Stockton
Legislation Text
File #: 22-1011, Version: 1
AMENDING, DELETING, AND ADDING VARIOUS CHAPTERS AND SECTIONS OF TITLE 15 OF THE STOCKTON MUNICIPAL CODE BY INCORPORATING THE 2022 EDITION OF CALIFORNIA CODE OF REGULATIONS, TITLE 24, INCLUDING APPLICABLE APPENDICES (CALIFORNIA MODEL BUILDING AND FIRE CODES), AND ADDING CHAPTER 15.90 ESTABLISHING AN

EXPEDITED, STREAMLINED PERMITTING PROCESS FOR ELECTRIC VEHICLE CHARGING STATIONS.

15.12, 15.16, 15.20, 15.36, 15.40, 15.44, 15.64, 15.72, 15.82, 15.86, and 15.90 to incorporate the 2022 Edition of the California Code of Regulations, Title 24, as amended, and establish an expedited, streamlined permitting process for electric vehicle charging stations.

Summary
In accordance with State law, local jurisdictions are mandated to adopt and enforce the most recent model building and fire codes published by the California Building Standards Commission, effective January 1, 2023. The building and fire codes are modified every three years. City staff received and reviewed the California amended code books in August 2022 and developed the proposed local code amendments in conformance with these model codes.

It is recommended that the Council adopt and incorporate the latest version of the California Model Building and Fire Codes (California Code of Regulations, 2022 Edition), as amended, into Title 15 of the SMC (Attachment A - California Building and Fire Code - Redline). The proposed amendments to the SMC include updating outdated code references, aligning with state law requirements for permit expirations, clarifying code requirements for electrical installations, and amending the building and fire code for local fire sprinkler and alarm requirements.

Additionally, in accordance with State law, local jurisdictions are required to establish procedures for expedited, streamlined processes for permitting of electric vehicle charging stations. This process mandates that a jurisdiction adopt a checklist of requirements to verify a permit application is eligible for expedited review and allow for electronic submittal of plans. The City currently has the required checklist, allows for electronic submittals, and has an expedited review process. The inclusion of required language into Title 15 of the SMC brings the City into full compliance with applicable state law.

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File #: 22-1011, Version: 1

DISCUSSION
Background
The California Administrative Code, California Code of Regulations, Title 24 requires that all local jurisdictions enforce and adopt the State model codes in accordance with the requirements of the California Building Standards Commission. Local jurisdictions can make amendments to the codes that are more restrictive, but not less restrictive than the model codes based on topographic, geological, and climatic conditions. Accordingly, it is recommended that the City Council adopt local code amendments to facilitate the implementation of the State codes.

The California Building Standards Commission promulgates, amends, and publishes new editions of the various model codes reflecting changing technology, best practices and products in the construction industry. The Commission updated and published revised construction regulations in July 2022, and these regulations will be effective January 1, 2023. Local jurisdictions must review, and if necessary, amend their municipal codes to conform with State regulations within six months following the publication date of the amended State model codes (January 2023).

By order of the California State Legislature, the California Building Standards Commission is required to adopt, amend, and repeal regulations in the California Code of Regulations, Title 24, also referred to as the California Building Standards Code or Administrative Code. The California Legislature delegates, through the California Building Standards Commission, to various state agencies, boards, commissions and departments, the responsibility to create building regulations to implement the State statutes. Agencies contributing to collaborative efforts to develop the California Building Standards Code consists of the Department of Housing and Community Development, the Division of the State Architect, the Office of the State Fire Marshal, the Department of Health Care Access and Information, the California Energy Commission and the Commission’s Code Advisory Committees.

The California Building Standards Code is modeled after the International Building Code developed by the International Code Council, with amendments made by the California Building Standards Commission. These codes are triennially adopted. The adoption process goes through extensive hearings with input by all parties, public and private, that have any concerns with the built environment. Those hearings are conducted during the development of the International Code and again at the State level. Accordingly, representatives of the building trades, developers, architects, engineers, and the general public have had opportunities to review and provide input to the California Building Standards Commission prior to their adoption of the 2022 Edition of the California Building Standards in the California Code of Regulations, Title 24, which is adopted by the State Legislature.

Additionally, Assembly Bill (AB) 1236 adopted on October 8, 2015, amended Government Code Section 65850.7 to require jurisdictions with a population of 200,000 or more residents to establish procedures for expedited, streamlined processes for permitting of electric vehicle charging stations.

The amendments to Section 65850.7 require a jurisdiction to adopt an ordinance for the expedited, streamlined permitting process on or before September 30, 2016, however the City has not established said ordinance. The ordinance mandates that a jurisdiction adopt a checklist of requirements to verify a permit application is eligible for expedited review. State regulation further mandates that a jurisdiction adopt a checklist of requirements to verify a permit application is eligible for expedited review.

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This process includes the establishment of a checklist containing objective requirements for the installation of an electric vehicle charging station and a process for electronic submittal of permit applications. The content of the checklist requires the permit applicant to check the features of the existing electrical service such as rating in amperes, system voltage, connected or calculated load, spare capacity in amperes, voltage and ampere rating of the electric vehicle supply equipment, circuit rating of the electric vehicle supply equipment, location of the electric vehicle supply equipment, if ventilation is/or is not required, and clearances of the charging equipment to comply with all applicable building and fire safety laws. The checklist also assists the applicant in confirming that the location of the electric vehicle supply equipment will comply with any vehicle clearance requirements in the local jurisdiction’s zoning code. Section 65850.7 requires that the checklist be based on the “Plug-In Electric Vehicle Infrastructure Permitting Checklist” of the “Zero-Emission Vehicles in California: Community Readiness Guidebook” of the Governor’s Office of Planning and Research.

AB 1236 also clarifies that a jurisdiction shall not condition approval of a permit for an electric vehicle charging station based on the approval of a homeowners’ association.

Present Situation
The City is required to adopt and enforce the most recent model building and fire codes. City staff received and reviewed the final model code books in August 2022 and developed the proposed local code amendments. Adoption of the proposed ordinance will bring the City into compliance with this requirement and also bring the City into compliance with AB 1236. The proposed adoptions to the SMC are primarily procedural and renumbering, but also include required language to establish an expedited, streamlined permitting process for electric vehicle charging stations in accordance with State law.

The purpose and effect of the new State-mandated building and fire codes is to improve public health and safety. Some of the State mandated provisions will increase the cost of construction. It should be noted that these State requirements are effective statewide January 1, 2023. The State’s construction and fire codes can be amended by local enforcement jurisdictions to mitigate climatic, topographical, and geological conditions that are unique to the local jurisdiction. Such local amendments relative to building standards require express findings and justifications as to the local climatic, topographical, or geological condition to be mitigated. Adoption of the proposed ordinance includes the required express findings necessary to make the local amendments enforceable. Local amendments of an administrative nature do not require express findings.

Additionally, the State continues to promote green energy and the development of more electric vehicles by requiring jurisdictions to have an established expedited, streamlined permitting process.

The City has the required procedures in place including residential and commercial checklists, electronic submittal of plans, and an expedited review process as required by the Assembly Bill. The added language to the SMC codifies the current process for electric vehicle charging permit submittals and brings the City into full compliance with State law.

It is recommended that the Council adopt an ordinance incorporating and amending the latest version of the California Model Building and Fire Codes (2022 Editions of the California Code of Regulations), as amended, into Title 15 of the SMC as specified in Attachment A and add Chapter

15.90 to establish an expedited, streamlined permitting process for electric vehicle charging stations.

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File #: 22-1011, Version: 1
Attachment A outlines the detailed amendments to Title 15 including administrative amendments and amendments necessary to mitigate local climatic, topographical, and geological conditions. A summary of the proposed substantive amendments to the SMC are provided hereafter.

SMC Title 15, Chapter 15.04:
· Various administrative and numerical amendments relative to permits, inspections, and fees to align with the administrative requirements of the 2022 Editions of the California Code of Regulations including increasing the validity period for building permits from 180-days to 365- days for all permit types.

SMC Title 15, Chapter 15.08:
· Adopt the 2022 Edition of the California Building Code with Appendices F (Rodent Proofing), G (Flood Resistant Construction), H (Signs), I (Patio Covers), J (Grading), K (Group R-3 and Group R-3.1 Occupancies Protected by the Facilities of the Central Valley Flood Protection Plan), and P (Emergency Housing) with amendments.
· Amend, rename, and renumber Section 15.08.070 Fire protection systems to align the California Building Code with the requirements identified in the California Fire Code amendments relative to fire sprinkler and fire alarm requirements. · Add Section 15.08.090 Address identification amending the premise identification requirements of the California Building Code to ensure adequate premise identification for emergency response.

SMC Title 15, Chapter 15.10:
· Adopt the 2022 Edition of the California Residential Code with Appendices AH (Patio Covers), AJ (Existing Buildings and Structures), AK (Sound Transmission), AO (Automatic Vehicular Gates), AQ (Tiny Houses), AX (Swimming Pool Safety Act), AY (Areas Protected by the Facilities of the Central Valley Flood Protection Plan), and AZ (Emergency Housing) with amendments.
· Add Section 15.10.040 Amendments to align the California Residential Code with the requirements identified in the California Fire Code amendments related to fire sprinkler systems.

SMC Title 15, Chapter 15.12:
· Adopt the 2022 Edition of the California Fire Code with Appendices A (Board of Appeals), B (Fire-Flow Requirements for Buildings), BB (Fire-Flow Requirements for School Buildings), C (Fire Hydrant Locations and Distribution), CC (Fire Hydrant Locations and Distribution for Schools), D (Fire Apparatus Access Roads), E (Hazard Categories), F (Hazard Ranking), G (Cryogenic Fluids), H (Hazardous Materials Management Plans and Inventory), I (Fire Protection Systems - Noncompliant Conditions), J (Building Information Sign), K (Construction Requirements for Existing Ambulatory Care Facilities), L (Requirements for Fire Fighter Air Replenishment Systems), M (High-Rise Building Retroactive Automatic Sprinkler Requirement), N (Indoor Trade Shows and Exhibitions), O (Temporary Haunted Houses, City of Stockton Printed on 11/10/2022Page 4 of 5
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File #: 22-1011, Version: 1
Ghost Walks and Similar Amusement Uses), and P (Community Wildland-Urban Interface Fire Hazard Evaluation Framework) with amendments.
· The appendices proposed for adoption provide for detailed fire and life safety requirements for specific events and situations not otherwise covered in the base code requirements. · Various other administrative and local code amendments relative to operational fire permit requirements for certain business types and fire sprinkler and fire alarm requirements for new and existing buildings.
· Sections 15.12.050 through 15.12.110 are not changed and contain substantially the same amendments to the 2022 California Fire Code as previously approved by Council for the 2019 California Fire Code adoption.

SMC Title 15, Chapters 15.16 through 15.86:
· Adopt the 2022 Edition of the California Plumbing Code, Mechanical Code, Electrical Code, Existing Building Code, Green Building Standards Code, Historical Building Code, Energy Code, and 2021 Edition of the International Swimming Pool and Spa Code with minor administrative and local amendments.

SMC Title 15, Chapter 15.90 Electric Vehicle Charging Stations:
· This chapter was added to conform with mandatory state law requirements relative to streamlining permitting for electrical vehicle charging stations.

FINANCIAL SUMMARY
Funds to purchase the necessary code books and training were approved in the FY 2022-23 Annual Budget for the Community Development Department in Account Nos. 5530-000-650006-220-221-20- 55-000-000 (Development Services Building Division - Library Materials) and 5530-000-660001-220- 221-20-55-000-000 (Development Services Building Division - Training). There is no other financial impact on City departments or the general fund.

Attachment A - California Building and Fire Code - Redline City of Stockton Printed on 11/10/2022Page 5 of 5
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ATTACHMENT A
1 ORDINANCE NO.

ORDINANCE AMENDING, DELETING, AND ADDING VARIOUS CHAPTERS AND SECTIONS OF TITLE 15 OF THE STOCKTON MUNICIPA L CODE BY INCORPORATING THE 2022 EDITION OF CALIFORNIA CODE OF REGULATIONS, TITLE 24, INCLUDING APPLICABLE

APPENDICES (CALIFORNIA MODEL BUILDING AND FIRE CODE), AND ADDING CHAPTER

15.90 ESTABLISHING AN EXPEDITED, STREAMLINED PERMITTING PROCESS FOR ELECTRIC VEHICLE CHARGING STATIONS.

BE IT ORDAINED BY THE CITY COUNCIL OF THE CITY OF STOCKTON, AS FOLLOWS:

SECTION I. FINDINGS AND INTENT

The City Council of the City of Stockton fi nds that the building standards, rules, and regulations established in Title 24 of the 2022 Edition of the California Co de of Regulations, including applicable appendices, shall be adopted and incorporated by reference into the Stockton Municipal Code, Title 15, Chapters 15.04, 15.08, 15.10, 15.12, 15.16, 15.20, 15.36, 15.40, 15.44,

15.64, 15.72, 15.82, and 15.86.

In connection with the local amendments to the 2022 Edition of the California Code of Regulations, Title 24, including applicable appendices set forth below, and pursuant to California Health and Safety Code sections 17958, 17958. 5, 17958.7, and 18941.5, the City Council finds that:

A. The location of Stockton within an area of expansive clay soils, the proximity of the City to the San Joaquin River Delta system, and the extreme hot summer temperatures with very low humidity, seasonal winds of high velocities, extreme seasonal visibility reduction due to thick fog, and the current pattern of development in relation to the location of emergency services require the following amendments, additions, and deletions to the standards, rules, and regulations to mitigate unique local climatic, geological, or topographical conditions.

B. Under this adopting ordinance, specific amendments are established that are more restrictive than those adopted by the State of California under the State Buildings Standards Code, Title 24 of the California Code of Regulations, Title 24.

C. Express Finding Number 1: Climatic

Climate has the greatest impact on fire behavior and other natural disasters. Stockton has significant variations in weather patterns. Summers are arid and hot, winters are cool to freezing, fall and spring can bring any combination of w eather patterns together. These variations in weather patterns can result in weather events such as above average rainfall and rapid melting of the Sierra snowpack that causes flooding in the low-lying areas of San Joaquin County.

Additionally, the proximity of the City to the San Joaquin River Delta system leaves the City prone to flooding.

Average yearly rainfall in St ockton is approximately 17 inches, however the City occasionally has storm events where rainfall rate s can be as much as 2 inches per hour. The rainfall normally occurs from October to April. Low-level dense fog (Tule fog) is present throughout 141

ATTACHMENT A
2 winter months, which brings visibility to nearly zero feet. The fog can also cause freezing and slick roadways contributing to vehicular accidents.

During summer months there is generally no measurable precipitat ion. Temperatures during the hot and dry summer range from 70 to 115 degrees Fahrenheit. The relative humidity in summer months is low. The City contains many acres of undeveloped grass lands and vacant infill lots with overgrown vegetation, which, in conjunction with occasional high velocity winds, creates a hazardous situation for fire conflagration. High velocity winds al so contribute to hazardous fire behavior in urban fire events.

The following building standards in the Stockton Municipal Code are added or amend the 2022 Edition of the California Code of Regulations, Title 24, based upon this express finding:

Stockton Municipal Code Sect ions 15.08.070 fire protecti on systems, 15.08.090 address identification, 15.10. 040 amendments to the California Re sidential Code, 15.12.010 through

15.12.110 amendments to th e California Fire Code, 15.16. 020 amendments to the California Plumbing Code, 15.36.030 through 15.36.050 additions to the California Electrical Code, and

15.44.150 standards of construction for flood damage prevention.

D. Express Finding Number 2: Geological

Stockton is subject to seismic events as the Cit y is located is Seismic Design Category D, which relates to a high risk of earthquakes. The high seismic zone is based on proximity to known fault lines and soil type. Significant portions within Stockton are known to have poor soil conditions, mainly expansive clay soils. Additionally, the low elevations of the City are subject to a high water table. Structural designs based on minimum model codes, not accounting for these soil conditions, may result in differential settlement and moisture penetration within buildings.

The following building standards in the Stockton Municipal Code are added or amend the 2022 Edition of the California Code of Regulations, Title 24, based upon this express finding:

Stockton Municipal Code Sect ions 15.08.040 local soil conditions, 15.08.080 plain concrete, and 15.44.150 standards of construction for flood damage prevention.

E. Express Finding Number 3: Topographical

Stockton is impacted by several topographical features, including major rivers, creeks and streams, lakes, sloughs, natur al parkways, bridges and overpa sses, the Port of Stockton, freeways, railroad lines, and drainage canals. Traffic congestion through and around these features delays emergency respons e. In the event of an emerg ency at a main thoroughfare, portions of the city could be isolated due to t hese topographical features, sufficiently delaying emergency response increasing the risk of injury or damage.

Preservation of wetland areas, natural parkw ays, riparian corridors along rivers and streams, open space, and endangered species habitat all contribute to access problems as well as exemption from vegetation abatement programs. These sit uations, though environmentally important, increase the demands on the fire service due to extreme fire hazard created by fuel loading and limited access.
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3 The following building standards in the Stockton Municipal Code are added or amend the 2022 Edition of the California Code of Regulations, Title 24, based upon this express finding:

Stockton Municipal Code Sect ions 15.08.070 fire protecti on systems, 15.08.090 address identification, 15.10.040 amendments to the California Resi dential Code, 15.12.010 through

15.12.110 amendments to the California Fire Code, 15.36.030 through 15.36.050 additions to the California Electrical Code, and 15.44.150 standards of construction for flood damage prevention.

The City Council also finds those existing prov isions of Title 15 of the Stockton Municipal Code which are not hereby adopt ed, amended, or repealed are amendments, additions, or deletions to the standards, rule s, and regulations of the Un iform Model Codes which are necessary to mitigate the above-noted unique lo cal conditions and continue to impose substantially the same requirem ents of the 2022 Editio n of the California Code of Regulations, Title 24, including applicable appendices.

The City Council also finds that creating an expedited, streamlined permitting process for electric vehicle charging stations would facilitate convenient charging of electric vehicles and help reduce the City’s reliance on environmentally damaging fossil fuels.

The City Council further finds that Assemb ly Bill 1236 amended California Government Code Section 65850.7 to require jurisdictions with a population of 200,000 or more residents to establish procedures for expedited, streamlined processes for permitting of electric vehicle charging stations and that Chapter 15.90 shall be adopted and added into the Stockton Municipal Code, Title 15, in compliance with Section 65850.7(g)(1).

SECTION II. AMENDMENT OF CODE

Only the following sections of Title 15, Chapters 15.04 of the Stockton Municipal Code are hereby amended to read as follows:

15.04.070 Alternate materials and methods of construction.

Section R104.11, Chapter 1 of the California Residential Code and Section 104.11, Chapter 1 of the California Building Code, 2019 2022 Edition is are hereby amended to read:

The provisions of the adopted administrative provisions and model codes are not intended to prevent the use of any materi al or method of construction not specifically prescribed by the adopted model codes, provided any such alternate has been approved by the Building Official.

The Building Official, as provided in Sect ion 15.04.110, may approve any such alternate provided he finds that the proposed design is satisfactory and complies with the provisions of the model codes and that the material, method, or work offered is, for the purpose intended, at least the equivalent of that prescribed in the model codes in quality, strength, effectiveness, fire resistance, durability, safety, and sanitation.

The Building Official, as provided in Section 15.04.110, shall require that sufficient evidence or proof be submitted to substantiate any claims that may be made regarding its use. 143

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4 15.04.090 Tests.

Section R104.11.2, Chapt er 1 of the California Residential Code and Section 104.11.2, Chapter 1 of the California Building Code, 2019 2022 Edition is hereby amended to read:

Whenever there is insufficient evidence of co mpliance with the provisions of the adopted model codes or evidence that any materials or any construction does not conform to the requirements of the adopted model codes, or in order to substantiate claims for alternate materials or methods of construction, the Building Official , as provided in Section 15.04.110, may require tests as proof of compliance to be made at the expense of the owner or his agent by an approved agency.

Test methods shall be as specified by the adopted model codes for the material in question.

If there are no appropriate test methods specified in the adopted model codes, the Building Official shall determine the test procedures.

All tests shall be made by an agency. Reports of such tests shall be retained by the Building Official for the period required for the retention of public records.

Article IV. Permits, Inspections, and Fees

15.04.250 Permits.

Section R105.1, Chapter 1 of the California Residential Code and Section 105.1, Chapter 1 of the California Building Code, 2019 2022 Edition is hereby amended to read.

Permits Required. It shall be unlawful for any person, firm, or corporation to erect, construct, enlarge, alter, repair, move, improve, remove, convert, or demolish any building or structure, any boathouse, nonregistered houseboat, wharf, boat dock, or other water-related structure or make any installation, alteration, repair, replacement, or remodel of any equipment, system, or private parking lot regulated by the adopt ed administrative provisions and model codes, without first obtaining a permit for each building, structure, equipment, system, or private parking lot from the Building Official.

Section R105.2, Item 2 of the California Residential Code and Section 105.2, Item 2 of the California Building Code, 2022 Edition is hereby amended to read.

2. Fences meeting all of the following:
a. Not over 7 feet high.
b. Not used as a pool, spa, or hot tub barrier.
c. When constructed of concrete or masonry not over 4 feet in height above adjacent finished grade.

15.04.260 Application for permit.

Section R106.1.1 of the California Residential Code, and Section 107.2.1 of the California 144

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5 Building Code, 2019 2022 Edition is hereby amended to read.

Information on Plans and Specifications: Plans and specifications shall be drawn to scale upon suitable material or electronic media and formatted as approved by the building official.

Construction documents shall be of sufficient clarity to indicate the location, nature and extent of the work proposed and show in detail that it will conform to the provisions of the model codes, relevant laws, ordinances, rules, and regulat ions as determined by the Building Official. The first page of each set of plans shall give the street address of the work and the name and address of the owner and person who prepared them. Plans for buildings and structures shall include a plot plan showing the location of the proposed building and of every existing building on the property.

In lieu of detailed specifications, the Building Of ficial may approve references on the plans to a specific section or part of these codes or other ordinances or laws.

15.04.270 Permit issuance.

Sections R105.5, R106.3, R106.3.1, R106.3.3, R106.4, and R106.5, Chapter 1, of the California Residential Code and Sections 105.5, 107.3, 107.3.1, 107.3.3, and 107.4, and 107.5, Chapter 1, of the California Building Code, 2019 2022 Edition, are hereby amended to read.

A. Procedure for Issuance.

1. Review of Plans: The appl ication, plans, specifications, computations, and other data filed by an applicant for a permit shall be reviewed by the Building Official. Such plans may be reviewed by other departments of the City of St ockton and other enforcement agencies to verify complianc e with the applicable laws under their jurisdiction. If the Building Official is satisfied that the work described in the application for a permit and the plans, specif ications, and other data filed therewith conform to the requirements of these c odes and other pertinent laws, ordinances, and resolutions, and that the fees specified in Section 15.04.280 and Title 16 et seq., and accompanying resolutions have been paid, a permit shall be issued to the applicant.

2. Endorsement; Modification of Approved Plans: When a permit for which plans are required is issued, the Building Official shall endorse in writing or stamp on two electronic sets of plans and specifications " ApprovedReviewed for Code Compliance." Such approved plans and specif ications shall not be changed, modified, or altered without prior written authorization from the Building Official, and all work regulated by these codes shall be done in accordance with the approved plans.

3. Permits for Partial Construction: The Building Official may issue a permit for the construction of part of a building, struct ure, or system befor e the entire plans and specifications for the whol e building, structure, or system have been submitted or approved, provided adequate information and det ailed statements have been filed complying with all pertinent requirements of these codes. The holder of such permit shall proceed at their ow n risk without assurance that the permit for the entire building, structure, equipment, or system will be granted.

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6 B. Denial of Permit: A permit shall not be issued for work on property within an area which has been determined by the Building Official to be unsafe for such work, and because of the hazard there is no way in wh ich the structure can be erected on such land so that it will be safe.

C. Retention of Construction Documents: One set of approv ed plans, specifications, and computations shall be retained by the Building Official for a period of time set forth in State and local statutes, and one set of pl ans and specifications shall be returned to the applicant and said set shall be kept on the site of the building or work at all times during which the work authorized thereby is in progress.

D. Expiration of Permit.

1. Every permit issued by the Building Offici al under the provisions of these codes shall expire by limitation and become null and void in the following circumstances:

a. If the building or work authorized by such permit for a nonresidential project is not commenced and at least one approved inspection recorded on the permit within one hundred eighty (180)three hundred sixty-five (365) days from the date of issuance of such permit or;

b. If the building or work authorized by such permit for a residential project is not commenced and at least one approved inspection recorded on the permit within three hundred sixty-five (365) days from the date of issuance of such permit or;

cb. If the building or work authoriz ed by such permit is suspended or abandoned at any time after the work is commenced for a period of one hundred eighty (180) days. Work shall be deemed abandoned or suspended if one hundred eighty (180) days has ex pired between inspections recorded on the permit.

2. Before such work can be recommended a new permit shall be first obtained to do so, and the fee therefore s hall be one-third (1/3) the amount required for a new permit for such work, provided no c hanges have been made or will be made in the original plans and specifications for such work and provided further that such suspension or abandonment has not exceeded three (3) years.

3. Any permittee holding an unexpired permit may apply for an extension of the time within which work may be commenced under that permit when the permittee is unable to commence work within the time required by this section for good and satisfactory reasons. The Building Official may extend the time for action by the permittee for a period not exceeding one hundred eighty (180) days upon written request by the permittee showing that ci rcumstances beyond the control of the permittee have prevented action from being taken. The Building Official is authorized to grant, in writing, one or more extensions of time, for a period of not more than one hundred eighty (180) days each.
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7 E. Notwithstanding any ot her provisions of this Code to the contrary, in the event, after issuance of a Building Permit, the Building Official finds that work has been suspended or not prosecuted diligently during the validity period, then upon recommendation to the Building Board of Appeals and upon majority vote of the Building Board of Appeals, the Board may terminate the permit, add conditions to said permit, including the requirement of a fait hful performance bond guaranteeing completion of the structure within a reasonable time as specified by the Board if the permit is renewed or extended, or impose other penalties and sanctions as it may deem appropriate. A copy of the Building Official's re commendation shall be sent to the holder of the building permit at the same time that said re commendation is sent to the Building Board of Appeals.

Any action taken by the Building Board of A ppeals as herein provided shall be taken only after a public hearing, in accordance with the proc edures set forth in Titl e 15 of the Stockton Municipal Code. At least ten (10) days' written notice shall be given to the holder of the Building Permit prior to the date set for public hearing.

15.04.280 Fees.

Section R108, Chapter 1, of the California Residential Code and Section 109, Chapter 1, of the California Building Code, 2019 2022 Edition is hereby amended to read.

A. Establishment of Fees: Pe rmit fees shall be establis hed from time to time by resolution of the Council of the City of Stockton.

B. Determination of Value:

The applicant for a permit shall provide an esti mated permit value at time of application.

The value to be used in computing the building pe rmit and building plan review fees shall be the total of all construction work for which the permit is being issued, as well as finish work, painting, roofing, electrical, plumbing, gas, heating, air condi tioning, elevators, fire extinguishing systems, and any other permanent equipment and systems. Value for donated and/or discounted materials and labor shall be established at typical market value and rates. The permit shall include additional valuation for work on the project site such as lighting, sewer, water service, and other items requiring inspection. In no case shall the valuation for new construction or additions be less than determined by the International Code Council based cost tables . When permitted work includes an alteration to an existing structure or includes work outside of the standard calculated fee areas determined by the International Code Council based square footage cost tables, the applicant shall provide actual/contracted project costs to establish the additional non-calculated valuation of the total permitted project. If, in the opi nion of the Building Offici al, the valuation is underestimated on the application, the permit s hall be denied unless the applicant can show detailed estimates to meet the approval of the Building Official. Final building permit valuation shall be set by the Building Official.

C. Work Without a Permit-Investigation Fee: Where work for which a permit is required is started or proceeded prior to obtaining said permit, a special investigation shall be made before a permit may be issued for such work. An investigation fee shall be collected at the time the permit is issued. The investigation fee shall total twic e the amount of the permit fee. The investigation 147

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8 fee shall be in addition to the permit fee.

The payment of the investigation fee shall not relieve any person from fully complying with the requirements of this Code in the execution of the work or from any other penalties prescribed by law.

D. Investigation Fee-Appeal: Any person r equired to pay an investigation fee under subsection C above, may appeal the imposition of such investigation fee to the Board of Appeals.

Such appeal shall be filed according to the rules and regulations of the Board of Appeals.

Whenever the Board of Appeals finds that there is a reasonable excuse for the failure to obtain a building permit, the Board of Appeals may reduce the amount of the investigation fee to one-ninth (1/9) of the amount of the investigation fee as set forth in subsection C above.

In determining whether there is a reasonable excuse for the fa ilure to obtain a permit, the Board of Appeals may consider such factors as unfamiliarity with the Code or demonstrable negligence on the part of an employee.

E. Record Fees Collected: The Director s hall keep a permanent, accurate account of all fees collected and give the name of each of the persons upon whose account the same were paid, the date and amount thereof, together with the location of the building or premises to which they relate.

F. Plan Review Fees: When a plan or other data is required to be submitted, a plan review fee shall be paid. Said plan review fee s hall be collected either at the time of submitting plans and specifications or at the time of issuance of the permit, at the discretion of the Building Official. Said plan review fees for buildings or st ructures shall be those established by resolution of the Council of the City of Stockton.

The plan review fees specified in this subs ection are separate fees from the permit fees specified in subsection A of this section and are in addition to the permit fees.

The plan review fees for electrical, mechanical, and plumbing work shall be charged at the rate established by resolution of the Council of the City of Stockton.

Where plans are incomplete or changed so as to require additional plan review, an additional plan review fee shall be charged at the rate established by resolution of the Council of the City of Stockton.

G. Combination Permit: Combi nation permits are required for any project for which there is more than one trade invo lved in the construction of a project, including building, mechanical, plumbing, and/or electrical.

ATTACHMENT A
9 beyond the control of the applicant have prevented action from being taken. The Building Official is authorized to grant one or more extensions of time for additional periods not exceeding ninety (90) days each. In order to renew action on an application after expiration, the applicant shall resubmit plans and pay a new plan review fee.

I. Fee Refunds:

1. The Building Official may authorize the refunding of any fee paid hereunder which was erroneously paid or collected.

2. The Building Official may authorize the refunding of the permit fee paid when no work has been done under a permit issued in accordance with this Code. The plan review fee shall be retained.

3. The Building Official may authorize the refunding of not more than eighty percent (80%) of the plan review fee paid when an appl ication for a permit for which a plan review fee has been paid is withdrawn or canceled before any plan reviewing is done.

The Building Official shall not authorize the refunding of any f ee paid except upon written application filed by the original permittee no t later than one hundred eighty (180) days after the date of fee payment.

15.04.310 Inspections.

Section R109, Chapter 1, of the California Residential Code and Section 110, Chapter 1, of the California Building Code, 2019 2022 Edition is hereby amended to read.

A. General. All construction or work for whic h a permit is required shall be subject to inspection by the Building Official and all such construction or work shall remain accessible and exposed for inspection purposes until approved by the Building Official. In addition, certain types of construction shall be subject to continuous inspections as specified in Section 15.04.320.

Approval as a result of an inspection shall not be construed to be an approval of a violation of the provisions of these Code s or of other ordinances of th e City of Stockton. Inspections purporting to waive or authorize violation of any provisions of these Codes or of other ordinances of the City of Stockton shall be void.

It shall be the duty of the permit applicant to cause the work to remain accessible and exposed for inspection purposes. Neither the Building Official nor the City of Stockton shall be liable for any expense entailed in the removal or replacement of any mate rial required to allow inspection.

A survey of the lot may be required by the Building Official to verify that the structure is located in accordance with the approved plans.

B. Inspection Requests. It shall be the duty of the person doing the work authorized by a permit to notify the Building Official that such work is ready for inspection. The Building Official 149

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10 may require that every request for inspection be fil ed at least twenty-four (24) hours before such inspection is scheduled. Such request may be online or by telephone at the option of the Building Official.

It shall be the duty of the person requesting any inspection required by these Codes to provide access to and means for proper inspection of such work.

C. Inspection RecordPermit Card. Work requiring a building permit shall not be commenced until the permit holder or their agent shall have posted an inspectionthe official permit record card in a conspicuous place on the front premises and in such a position as to allow approved by the Building Official . to conveniently make the r equired entries thereon regarding inspection of the work. This card shall be maintained in such position by the permit holder until final approval has been issued by the Building Official.

D. Approvals Required; Conf ormity with Approved Plans. No work shall be done on any part of the building, structure, or private parking lot beyond the point indicated in each successive inspection without first obtaining the written approval of the Building Official. The Building Official, upon notification, shall make the requested inspections and shall either indicate that portion of the construction is satisfactory as completed or sha ll notify the permit holder or their agent wherein the same fails to comply with these Codes and the approved plans, specifications, and permit conditions. Any portions which do not comply shall be corrected and such portions shall not be covered or concealed until authorized by the Building Official. Such written approval shall be given only after an inspection shall have been made of each successive step in the construction as indicated by each of the inspections required in subsection E, below.

There shall be a final inspection and approval of all bu ildings and building service equipment when completed and ready for occupancy.

E. Required Inspections. Reinforcing steel or structural framewor k of any part of any building or structure shall not be covered or concealed without first obtaining the approval of the Building Official.

The Building Official shall make the following inspections upon notification by the permit holder or their agent providing all other requirements of this section have been met. The Building Official shall either approve that portion of the construction as completed or shall notify the permit holder or their agent wherein the same fails to comply with these Codes, the approved plans and specifications, or other permit conditions.

1. Foundation Inspection: To be made af ter trenches are excavated and forms erected and when all materials for the f oundation are delivered on the job. Where concrete from a central mixing plant (commonly termed "transit mixed") is to be used, materials need not be on the job.

2. Concrete Slab or Underfloor Inspection: To be made after all in-slab or underfloor building service equipment, conduit, piping accessories, and other auxiliary equipment items are in place, inspected, and approved but before any concrete is poured or floor sheathing installed, including the subfloor.

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11 3. Frame Inspection: To be made after the roof, all framing, fire blocking, and bracing are in place and all pipes, chimneys, and vents are complete and rough electrical, plumbing, heating wires, pipes, and ducts are approved.

4. Insulation Inspection: To be made after all insulation has been installed.

5. Fireplace Inspection: To be made when any masonry fireplace has been constructed to mantel height with reinforc ing steel, combustion air openings, and dampers in place.

6. Hollow Concrete Block Masonry: To be made after first block courses are laid up with the first bond beam course steel in place and before bond beam blocks are grouted.

7. Lath and/or Wallboard Inspection: To be made after all lathing and/or wallboard, interior and exterior, is in place but bef ore any plastering is applied or before wallboard joints and fasteners are taped and finished.

8. Final Inspection: To be made after building is complete and ready for occupancy, and public improvements have ei ther been accepted by acti on of the City Council, or upon application of City Pub lic Works, when the subdivision is otherwise in compliance with all pertinent regulations.

F. Plumbing, Electrical, Mechanical, and Private Parking Lot Inspections.

1. General: All equipment, systems, or priv ate parking lots for which a permit is required under these codes shall be inspected by the Building Official. No portion of any equipment, system, or private parking lot intended to be concealed by any permanent portion of the building or priv ate parking lot shall be concealed until inspected and approved. When the installa tion of any equipment or system is complete, a second or final inspection shall be made. Equi pment or systems regulated by these codes shall not be connec ted to the fuel or power supply until authorized by the Building Official.

2. Operation of Equipment: The requirements of this section shall not be considered to prohibit the operation of any equipment or systems inst alled to replace existing equipment or systems serving an occupied portion of the building if a request for inspection of such equipment or system has been filed with the Department not more than forty-eight (48) hours after such replacement work is completed and before any portion of such equipment or system is c oncealed by any permanent portion of the building.

3. Final Inspection Revoked: A final in spection approval may, upon notice, be revoked by the Building Official if it is found that the equipment or system fails in any respect to comply with the requirements of these codes, plans, or specifications or that the installation is unsafe, dangerous, or a hazard to life or property.

G. Other Inspections. In addition to the calle d inspections specified above, the Building 151

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12 Official may make or require other inspections of any construction work or of any existing building to ascertain compliance with the provisions of these codes and other laws which are enforced by the Department Building Official.

For the purpose of determining compliance wit h Section 15.04.040, the Building Official may cause any structure to be inspected.

H. Reinspection. A reinspection fee ma y be assessed for each inspection or reinspection when such portion of work for which inspection is called is not complete or when corrections called for are not made.

This subsection is not to be interpreted as requiring reinspection fees the first time a job is rejected for failure to comply with the requirements of these codes, but as controlling the practice of calling for inspections before the job is ready for such inspection or reinspection.

Reinspection fees may be assessed when the permit card is not properly posted on the work site, the approved plans are not readily available to the inspector, for failure to provide access on the date for which inspection is requested, or for deviating from plans requiring the approval of the Building Official.

To obtain a reinspection, the app licant shall file an application therefore in writing upon a form furnished for the purpose and pay the reinspection fee in accordance with Section 15.04.280.

In instances where reinspection fees have been assessed, no additional inspection of the work will be performed until the required fees have been paid.

15.04.320 Special inspections.

In addition to the inspections to be made as s pecified in section 15. 04.310, the owner or the engineer or architect acting as the owner's agent shall employ one or more approved special inspectors who shall provide the special inspections as follows: noted in

A. As specifically require d by the Building Official.

B. As required by Chapter 17 of the 2019 2022 California Building Code.

C. Electrical Special Inspection: In additi on to the inspections required by the 2022 California Electrical Code (CEC), electrical special inspection shall be provided for the following items:

1. Installation or alteration of high vo ltage electrical systems and equipment which fall within the scope of CEC, Article 490.

2. Installation or alteration of that portion of a healthcare facilities electrical system which falls within the scope of CEC, Article 517, including such systems installed in facilities where outpatient surgical procedures are performed (OSHPD 3).

3. Installation or alteration of electric al systems within locations classified as hazardous by provisions of the CEC, except for gasoline dispensing installations and systems located within storage garages, repair garages or lubritoriums. 152

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13 4. Installation of Critical Operations Power Systems (COPS) which fall within the scope of CEC, Article 708.

5. Installation of Solar Photovoltaic Systems greater than 100 kW which fall within the scope of CEC, Article 690.

6. Installation of unlisted equipment.

1.7. Where required by the Registered Design Professional in responsible charge for the electrical design.

15.04.330 Certificate of occupancy.

Sections 111 and 111.2 Chapter 1 of the California Building Code, 2019 2022 Edition, are hereby amended to read.

A. Change in Occupancy. Changes in the character of use of a building shall not be made except as specified in Section 506 of the California Existing Building Code.

B. Certificate Issued. After fi nal inspection when it is found that the building or structure complies with the provisions of these codes, the Building Official shall issue a Certificate of Occupancy which shall contain the following.

1. The building permit number.

2. The address of the structure.

3. The name and addres s of the owner.

4. A description of that port ion of the structure for which the certificate is issued.

5. A statement that the described portion of the st ructure complies with the requirements of these codes for group and division of occupancy as classified.

6. The name of the Building Official.

7. The edition of the code under which the permit was issued.

8. The use and occupancy, in accordanc e with the provisions of Chapter 3.

9. The type of construction as defined in Chapter 6.

10. The design occupant load.

11. If Where an automatic sprinkler system is provided, whether the sprinkler system is required.

11.12. Any special stipulations and conditions of the building permit.

C. Posting. The Certificate of Occupancy shall be posted in a conspicuous place on the premises and shall not be removed except by the Building Official.

Only the following sections of Title 15, Chapter 15.08 of the Stockton Municipal Code are hereby amended to read as follows:

15.08.010 Adoption of California Building Code.

On January 1, 20202023, there was filed in the Office of the City Clerk, one (1) copy of the California Building Code, 2019 2022 Edition including appendice s F, G, H, I, J, K, and OP, as published by the California Buil ding Standards Commission and whic h incorporates by adoption the 2018 2021 Edition of the Internati onal Building Code adopted by the International Code Council. Said code is hereby incorporated in this code by reference. 153

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14 15.08.020 Effect of code provisions.

The provisions of this chapter are supplementary to the provisions of the California Building Code 2019 2022 Edition as adopted in Section 15.08.010.

15.08.070 Smoke Alarms.

Section 907.2.10.8 of the California Building Code is hereby added to read as follows.

1. Additions, alterations or repairs to Group R-3 Occupancies. Where alterations, repairs or additions requiring a permit occu r, the individual dwelling un it shall be equi pped with smoke alarms in accordance with Section R314 of the California Residential Code, 2019 Edition.

15.08.080 070 Automatic Fire Extinguishing protection systems.

Section 9013.1.12 of the 2019 2022 California Building Code is hereby added and shall read as follows.

Section 9013.1.12 of the 2019 2022 California Building Code.

A. Automatic Fire Extingui shing Systems. An automatic sprinkler system shall be installed in all new construction, regardless of occupancy classification, where the total floor area is 6,000 square feet or more. Exception. Mini-storage facilities of any size shall be protected with an automatic sprinkler system designed per extra hazard and conforming to National Fire Protection Standard 13. This does not include occupa ncy classes of A-2/H, I, F-1 (Upholstered Furniture and Mattress Manufacturing and/or Wood Working Operations) and S-1 (Upholstered Furniture and Mattress Storage, Storage of Commercial Motor Vehicles, Repair Garages for Commercial Motor Vehicles). These occupancies shall be protected as per the California Building and Fire Codes.

B. Basements. A fire protection system shall be required in bas ements, regardless of square footage, of all buildings when the basement is used for any purpose other than service to the building. Service to the building includes utilities such as electricity, gas, telephone, cable TV, elevator equipment, HVAC equipment, and water heaters. In lieu of the requirements for basement sprinklers, alternative fire protection may be provided in existing buildings if approved by the Chief.

C. NFPA 13R Sprinkler Systems. Wherever in the code an NFPA 13R sprinkler system is allowed, an NFPA 13 sprinkler system shall be used.

D. NFPA 13D Sprinkler Systems. Automatic fire sprinkler systems installed in one- and two-family dwellings; Group R3; and townhouses shall be permitted to be installed throughout in accordance with NFPA 13D, as amended in Chapter 80.

1. Pre-manufactured homes shall not apply.

2. Fire damage repair or other natura lly caused damage to R3 occupancies shall not require an automatic fire sprinkler system unless the structure is to be demolished and rebuilt.
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15 3. Residential additions that exceeds 50 percent of the ov erall area of the existing structure shall require an automatic fire sprinkler system be installed throughout the building per NFPA 13D. 4. Detached mother-in-law quarters/guest houses shall require fire sprinklers if constructed with a kitchen.

54. Attic spaces in Group R3 occupancies shall have pilot heads installed in each roof pitch of a compartmentalized attic in addition to the forced air unit (FAU).

65. Passive purge connection required in lieu of a backflow prevention device.

76. Spare sprinkler head box shall be re quired with minimum three (3) spare sprinkler heads, and/or one (1) each per type of sprinkler head provided and a wrench.

87. An electric bell shall be installe d on the exterior of the building and have a dedicated circuit with lockout on breaker.

8. Fire sprinkler heads shall be required under any stairwell where a compartment, room, and/or closet is located.

9. Newly constructed single-family homes: Covered and enclosed patios, California rooms and/or similar outdoor rooms or living spaces where a natural gas line for a fuel-fired appliance is permanently installed shall have fire sprinkler protection.

E. Quick-Response and Residential Sprinklers. Where automatic sprinkler systems are required by this code, quick-response or residential automatic sprink lers shall be installed in the following areas in accordance with Section 903.3.2 of the California Fire Code (2019 2022 Edition) and their listings:

1. Throughout all spaces within a smoke co mpartment containing patient sleeping units in Group 1-2 in accordance with the California Building Code.

2. Throughout all spaces wit hin a smoke compartment containing treatment rooms in ambulatory care facilities.

3. Dwelling units and sleeping un its in Group R occupancies.

4. Light-hazard occupancies as defined in NFPA 13.

F. Existing Group R1 and R2 Buildings.

1. Upon an improvement requiring a buildi ng permit and the valuation exceeds 50 percent of the assessed property value, buildings of four (4) or fewer stories in height will be required to install an automatic fire sprinkler system shall be installed in accordance wit h the most currently adopted edition of the National Fire Protection Association (NFPA) 13 “Standard for the Installation of Sprinkler Systems.”

2. Upon an improvement requiring a bu ilding permit and the valuation exceeds 50 percent of the assessed property va lue, buildings of five (5) or more stories in height will be required to install an automatic fire sprinkler system installed in accordance with the most currently adopted edition of the NFPA 13 “Standard for the Installation of Sprinkler Systems.”

G. Commercial/Industrial Building Additions.

1. Any new addition to an existing buildi ng that places the building’s total square 155

ATTACHMENT A
16 footage above 6,000 square feet shall require an automatic fire sprinkler system.

Exception: When the existing buildi ng exceeds 6,000 s quare feet and the addition is less than 6,000 square feet. This does not include the occupancy classes of A-2, H, I, F-1 (Upholstered Furniture and Mattress Manufacturing and/or Wood Working Operations) and S-1 (Upholstered Furniture and Mattress Storage, Storage of Comm ercial Motor Vehicles, Repair Garages for Commercial Motor Vehicles). Fire sprinklers will not be required for the existing building or the addition if a fire wall (generally four (4) hours) without openings is installed.

2. Change of Use. In an existing building where a change of use occurs and the new use is more restrictive than the previous use or the original intended use of the building changes, an automatic sprinkler system shall be installed. 3. Percentage of Repair. In existing buildings, other than residential, greater than 6,000 square feet in ar ea, and the repair and/or alterations are performed in excess of 10 percent, an automatic fire sprinkler system shall be installed within the building.

3. Valuation of Project. In existing buildings where the valuation of improvement is in excess of more than 50 percent of the assessed valuation of the property, an automatic fire sprinkler system shall be installed.

H. Fi re Alarm Systems.

1. Where Required—New and Existing Buil dings and Structures. An approved fire alarm system installed in accordance with the provisions of this code and NFPA 72 shall be provided in new and existing buildings and structures in accordance with Sections 907.2.1 thr ough 907.2.29 of the Califor nia Fire Code (2022 Edition) and provide occupant notifica tion in accordance with Section 907.5, unless other requirements are provided by another section of this code. a. All fire alarm and detection systems required by subsection (H)(1) above, shall require central station serv ice monitoring as defined by and in accordance with the 2022 Edition of NFPA 72, Chapter 26. An Underwriters Laboratories (UL) Certificate or Factory Mutual (FM) Placard, in accordance with 2022 Edit ion of NFPA 72, Chapter 26, shall be issued by the UL Listed or FM Approved prime contractor for all newly installed fire alarm systems in comme rcial occupancies. This regulation shall apply to all fire alarm systems that are newly installed in commercial occupancies for which permits are required by the Stockton Fire Department, Fire Prevention Division, on or after, January 1, 2023. b. Any existing fire alarm system in a commercial occupancy wherein the fire alarm control panel and alarm system components require replacement, shall be considered newly installed fo r the purposes of this section and shall require central station service in accordance with the 2022 Edition of NFPA 72, Chapter 26.
c. Any existing fire alarm system where f our (4) or more “faulty” false alarms, determined to be from a system malfunction, occur in a one (1) month period shall be subject to the same certification requirement as a new fire alarm system or replacement of an existing alarm system—Central station service in accordance with the 2022 Edition of NFPA 72, Chapter 26. 156

ATTACHMENT A
17 d. Central Station service in full co mpliance with the 2 022 Edition of NFPA 72, Chapter 26, shall be maintained at the protected property, so long as the requirement for the fire alarm system exists.
e. Exception. Supervisory service is not required for:
i. Single- and multiple-stati on smoke alarms required by California Fire Code Section 907.2.11.
ii. Smoke detectors in Group I-3 occupancies.
iii. Automatic sprinkler systems in one- and two-family dwellings. f. Definitions.
i. A faulty false alarm is an alarm caused by a malfunction of a system or accidental setoff and such an alarm will be
evaluated on a case-by-case basis at the discretion of the Fire Marshal or designee.
ii. Commercial occupancies are defined as those occupancies in use groups A (Assembly); B (Business); E (Educational); F (Factory); H (High Hazard); I (I nstitutional); R-1, R-2, R-4 (Residential).
iii. R-3 (Residential) is defined as one- and two-family dwellings.

2. In new and existing buildings, manual pu ll stations are required at every public- accessible door and every employee service door within a building to initiate a fire alarm signal for fire alarm systems employing automatic fire detectors or fire sprinkler water-flow detection devices.

3. Groups A, B, E, F, M, and R occupancy exceptions that indicate omissions of manual fire alarm boxes shall not apply.

4. Alarms. One exterior approved audible/vis ual device, located on the exterior of each building in an approved location, s hall be connected to each automatic sprinkler system. Such sprinkler waterflo w alarm devices shall be activated by water flow equivalent to the flow of a singl e sprinkler of the smallest orifice size installed in the system. Where a fire ala rm system is installed, actuation of the automatic sprinkler system shall actuate the building fire alarm system. Visible alarm notification appliances shall be required.

I. Remote Test Switches. Where in-duct smoke detectors are in stalled in concealed locations more than 10 feet (3 m) above the finished floor or in arrangements where the detector’s alarm indicator is not visible to responding personnel, the detectors shall be provided with remote alarm indicators and test switch plates. Remote al arm indicators and test switch plates shall be installed in an accessible location and shall be clearly labeled to indicate both their functions and the air-handling unit(s) associated with each detector and test switch plate (for example, In-duct Smoke Detector Alarm and test switch plate for In-duct Smoke Detector).

J. Private Fire Hydrant s. All private fire hydrant s shall be annually inspected, maintained, and tested in accordance with NFPA 25 and the 2022 California Fire Code Sections 507.5.2 and 507.5.3. Additionally, all private hydrants shall receive a five-year inspection and flow test. The inspection, maintenance, testing, and repair of all private fire hydrants shall be the sole responsibility of the owner of the property where the private fire hydrants are located

15.08.090 080 Plain concrete.
157

ATTACHMENT A
18 Plain concrete construction shall not be utilized as a structural building component within the City.

15.08.090 Address identification.

A. Section 502.1 of the 2022 California Building Code is hereby amended and shall read as follows:

New and existing buildings shall be provided with approved address identification. The address identification shall be legible and placed in a position that is visible from the street or road fronting the property. A ddress identification characters shall contrast with their background. Address numbers shall be Arabic numbers or alphabetical letters. Numbers shall not be spelled out. Numbers shall be a mi nimum of four (4) inches high for single- family residential properties. Commercial and Industrial properties shall be a minimum of twelve (12) inches high on the building and six (6) inches high on the suite. Where required by the fire code official, address identificati on shall be provided in additional approved locations and/or required to be larger than 12-inches to facilitate emergency response.

Where access is by means of a private r oad and the building cannot be viewed from the public way, a monument, pole or other sign or means shall be used to identify the structure.

Address identification shall be maintained.

Only the following sections of Title 15, Chapter 15.10 of the Stockton Municipal Code, are hereby amended and added to read as follows:

15.10.010 Adoption of California Residential Code.

On January 1, 20202023, there was filed in the Office of the City Clerk, one (1) copy of the California Residential Code, 2019 2022 Edition including appendices AH, AJ, AK, AO, AQ, and AX, AY, and AZ as published by the California Bu ilding Standards Co mmission and which incorporates by adoption the 2018 2021 Edition of the International Residential Code adopted by the International Code Council. Said code is hereby incorporated in this code by reference.

15.10.030 Scope.

The 2019 2022 California Residential Code, Title 24, Pa rt 2.5 of the California Code of Regulations, a portion of the California Building Standards Code as defined in the California State Health and Safety Code sections 17922 and 18901 et. seq. (hereinafter referred to as the Residential Code), and any rules and regulations promulgated pursuant thereto and as defined in California Health and Safety Code secti on 18938.3, including Residential Code Appendix AH (Patio Covers), Appendix AJ (Existing Buildings and Structures), and Appendix AK (Sound Transmission), AO (Automatic Vehicular Gates), AQ (Tiny Houses), AX (Swimming Pool Safety Act), AY (Areas Protected by the Facilities of the C entral Valley Flood Protection Plan), and AZ (Emergency Housing) are hereby adopted and incorporated by reference herein. Except as otherwise provided by this Chapter and Chapters 15.04 and 15.08 of the Stockton Municipal Code, all construction, alteration, moving, demolition, repairs, and use of any building or structure within this jurisdiction shall be made in conformance with the Residential Code and any rules and 158

ATTACHMENT A
19 regulations promulgated pursuant thereto.

15.10.040 Amendments.

Notwithstanding the provisions of Section 15.10.010, the California Residential Code is amended as follows:

A. Section R313.2.1 of t he 2022 California Residential Code is hereby amended and shall read as follows:

Automatic sprinkler systems shall be designed and installed in accordance with Section R313 or NFPA 13D. Automatic fire sprinkler systems installed in one- and two-family dwellings; Group R3; and townhouses shall be pe rmitted to be installed throughout in accordance with NFPA 13D, as amended in Chapter 80 of the California Fire Code.

1. Pre-manufactured homes shall not apply.

2. Fire damage repair or other naturally caused damage to R3 occupancies shall not require an automatic fire sprinkler system unless the structure is to be demolished and rebuilt.

3. Residential additions that exceeds 50 percent of the overall area of the existing structure shall require an automatic fire sprinkler system be installed throughout the building per NFPA 13D.

4. Attic spaces in Group R3 occupancies shall have pilot heads installed in each roof pitch of a compartmentalized attic in addition to the forced air unit (FAU).

5. Passive purge connection required in lieu of a backflow prevention device.

6. Spare sprinkler head box shall be required with minimum three (3) spare sprinkler heads, and/or one (1) each per type of sprinkler head provided and a wrench.

7. An electric bell shall be installed on the exterior of the building and have a dedicated circuit with lockout on breaker.

8. Fire sprinkler heads shall be required under any stairwell where a compartment, room, and/or closet is located.

9. Newly constructed single-family homes: Covered an d enclosed patios, California rooms and/or similar outdoor rooms or living spaces where a natural gas line for a fuel-fired appliance is permanently installed shall have fire sprinkler protection.

B. Section R313.2.1.1 of t he 2022 California Residential Code is hereby added and shall read as follows:

Quick-Response and Residential Sprinklers . Where automatic sp rinkler systems are required by this code, quick-response or residential automatic sprinklers shall be installed in dwelling units and sleeping units in Group R occupancies in accordance with Section 903.3.2 of the California Fire Code (2022 Edition) and their listings.

Only the following sections of Title 15, Chapter 15.12 of the Stockton Municipal Code, are hereby amended to read as follows:
159

ATTACHMENT A
20 15.12.010 Adoption of California Fire Code, 2019 Edition.

On January 1, 20202023, there was filed in the office of the City Clerk one (1) copy of the California Fire Code, 2019 2022 Edition including Appendix Chapter 4, A, B, BB, C, CC, D, E, F, G, H, I, J, K, L, M, N, O , P (see California Fire Code Section 101.2.1, 2019 2022 Edition), as published by the International Code Council. Said code is hereby adopted and incorporated in this code by reference, regulating and governing the safeguarding of life and pr operty from fire and explosion hazards arising from the storage, handling, and use of hazardous substances, materials, and devices, and from conditions hazardous to life or property in the occupancy of buildings and premises as herein provided; providing for the issuance of permits and collection of fees therefor; and each and all of the regulations, provisions, penalties, conditions, and terms of said Fire Code on file in the office of the City of Stockton and hereby referred to, adopted, and made a part hereof, as if fully set out in this chapter, with the addi tions, insertions, deletions, and changes, if any, prescribed in this chapter.

15.12.020 Scope and administration.

A. Title. These regul ations shall be known as the Fire Code of the Cit y of Stockton, hereinafter referred to as “this code.”

B. Additional Permits. In addition to the permits required by Section 105.6, the following permits shall be obtained from the Stockton Fire Department, Fire Prevention Bureau prior to engaging in the following activities, operations, practices, or functions:

1. Medical Gas Systems. An operational fi re permit is required for any medical gas system installed in a commercial building.

2. Christmas Tree Lot. An operational fire permit is required to operate a seasonal outdoor Christmas tree lot and/or conduct Christmas tree sales at any site.

3. Multi-Family Dwelling. An operational fi re permit is required to operate a multi- family dwelling of three (3) units or more.

4. Hood & Duct. An operational fire permi t is required for a hood & duct fire extinguishing system in a building.

5. Rubber Tire Storage. An oper ational fire permit is required for the storage of tires indoors/outdoors in excess of more than 1,000 cubic feet.

6. Monitored Fire Sprinkled Buildings. An operational fire permit is required for buildings that have an automatic fire sprinkler system and no other operational fire permits.

7. Battery Systems. An operational fire permit is required for any building that has a stationary battery storage capacity of more than 100 gallons.

7. 8Cannabis Cultivation. An operational fi re permit is required for cannabis cultivation in a building.

8. 9General Cannabis (Retail Sales). An oper ational fire permit is required for businesses conducting retail sales of cannabis products.

9. 10Electric Fences. An operational fire permit is required for any business and/or property that has an electrified fence installed.

10. 11Self-Storage/Mini-Storage Facilities. An operational fire permit is required for any self-storage or mini-storage facility.
160

ATTACHMENT A
21 11. 12Private Fire Hydrants. An operational fire permit is required for any fire hydrant located on private property or supplied by a private water main.

12. Mobile Food Preparation Vehicles. An operational fire permit is required for any mobile food preparation vehi cle that is equipped with appliances that produce smoke or grease-laden vapors.

13. Carbon Dioxide Systems for Beverage Dispensing. An operational fire permit is required for carbon dioxide systems for beverage dispensing with more than 100 lbs. of carbon dioxide inside and/or outside of a building.

14. Energy Storage Systems. An operational permit is requ ired for stationary and mobile energy storage systems regulated by Section 1207 for any building that has stationary energy storage or battery storage capacity of more than 100 gallons.

C. Bundled Permits. For specific busines ses requiring multiple permits, Operational Fire Permits are allowed to be combined as one permit:

1. Auto Wrecking Yard/Junk Yard—Cutti ng/Welding/ Hot Works/Flammable and Combustible Liquid Storage.

2. Auto Body Shop—Cutting/Welding/Ho t Works/Flammable and Combustible Liquid Storage/Spray Painting.

3. Repair Garage/Service Garage—Cutti ng/ Welding/Hot Works/Flammable and Combustible Liquid Storage.

4. Food Service (B Occupancy)—Hoo d and Duct Fire Extinguishing System/Carbon Dioxide Beverage Dispensing System.

5. Place of Assembly (A Occupan cy)—Assembly/ Hood and Duct Fire Extinguishing System/Carbon Dioxide Beverage Dispensing System.

6. Self-Service Motor Fuel Dispensing Fa cility with Convenience Store—Motor Fuel Dispensing/Carbon Dioxide Beve rage Dispensing System/LP-Gas Storage/Hood and Duct Fire Extinguishing System.

7. High Pile Storage with Idle Wood/Plastic Pallets (Indoors).

8. Miscellaneous Combustible Storage with Idle Wood/Plastic Pallets (Indoors).

9. Cutting and/or Welding with Compressed Gases.

D. Violation Penalties. Persons who violate a provision of this code or fail to comply with any of the requirements thereof or who erect, install, alter, repair, or do work in violation of the approved construction documents or directive of the fire code official, or of a permit or certificate used under provisions of this code, shall be guilty of a misdemeanor, punishable by a fine of not more than $500.00 fines based on the current fee schedule or by imprisonment not exceeding six (6) months, or both such fine and imprisonment. Each day that a violation continues after due notice has been served shall be deemed a separate offense (excludes weekends and holidays).

E. False Alarms.

1. It is unlawful for any property owner, licensed contractor, or other responsible party to fail to notify th e Fire Department Emergency Communications Division prior to any test, installation, repair, modification, addition, or maintenance of any fire alarm or fire extinguishing system which could result in the transmission of a 161

ATTACHMENT A
22 false alarm.

2. The Fire Department may charge fees that reasonably constitute the cost of response to false alarms when it is det ermined that the reported alarm is: (a) malicious; or (b) results from failure to maintain the alarm system; or (c) failure to properly notify the Fire Department that the system is being tested or worked on. The Fire Department will bill the property owner, licensed contractor, or other responsible party for the third and any subsequent false alarm responses in a calendar year.

F. Failure to Comply. Any person who shall continue any work after having been served with a stop work order, except such work as that person is directed to perform to remove a violation or unsafe condition, shall be liable for a fine of not more than $500.00 fines based on the current fee schedule.

15.12.030 Fire service features.

A. Address Identification. New and existing buildings shall be provided with approved address identification. The address identification shall be legible and placed in a position that is visible from the street or road fronting the property. Address identification characters shall contrast with their background. Address numbers shall be Arabic numbers or alphabetical letters. Numbers shall not be spelled out. Numbers shall be a minimum of four (4) inches high for single-family residential properties. Commercial and Industrial properties shall be a minimum of twelve (12) inches high on the building and six (6) inches high on the suite. Where required by the fire code official, address identification shall be provided in additional approved locations and/or required to be larger than 12-inches to facilitate emergency response. Where access is by means of a private road and the building cannot be viewed from the pub lic way, a monument, pole or other sign or means shall be used to identify the structure. Address identification shall be maintained.

B. Electric (Automated) Gates. Newly inst alled electric (automated) gates as of the inception date of the or dinance codified in this chapter s hall be equipped with battery back-up. and shall have Click-To-Enter feature as part of the gate operator components.

15.12.040 Fire protection systems.

A. Automatic Fire Extinguishing Systems. An automatic sprink ler system shall be installed in all new construction, regardless of occupancy classification, where the total floor area is 6,000 square feet or more. Exception. Mini-storage facilities of any size shall be protected with an automatic sprinkler system designed per extra hazard and conforming to National Fire Protection Standard 13. This does not include occupa ncy classes of A-2/H, I, F-1 (Upholstered Furniture and Mattress Manufacturing and/or Wood Working Operations) and S-1 (Upholstered Furniture and Mattress Storage, Storage of Commercial Motor Vehicles, Repair Garages for Commercial Motor Vehicles). These occupancies shall be protected as per the California Building and Fire Codes.

ATTACHMENT A
23 sprinklers, alternative fire protection may be provided in existing buildings if approved by the Chief.

C. NFPA 13R Sprinkler Systems. Wherever in the code an NFPA 13R sprinkler system is allowed, an NFPA 13 sprinkler system shall be used.

1. Pre-manufactured homes shall not apply.

2. Fire damage repair or other naturally caused damage to R3 occupancies shall not require an automatic fire sprinkler system unless the structure is to be demolished and rebuilt.

3. Residential additions that exceeds 50 percent of the overall area of the existing structure shall require an automatic fire sprinkler system be installed throughout the building per NFPA 13D. 4. Detached mother-in-law quarters/guest houses shall require fire sprinklers if constructed with a kitchen.

4. 5Attic spaces in Group R3 occupancies shall have pilot heads installed in each roof pitch of a compartmentalized attic in addition to the forced air unit (FAU).

5. 6Passive purge connection required in lieu of a backflow prevention device.

6. 7Spare sprinkler head box shall be r equired with minimum three (3) spare sprinkler heads, and/or one (1) each per type of sprinkler head provided and a wrench.

7. 8An electric bell shall be installe d on the exterior of the building and have a dedicated circuit with lockout on breaker.

8. Fire sprinkler heads shall be required under any stairwell where a compartment, room, and/or closet is located.

9. Newly constructed single-family hom es: Covered and enclosed patios, California rooms and/or similar outdoor rooms or living spaces where a natural gas line for a fuel-fired appliance is permanently installed shall have fire sprinkler protection.

1. Throughout all spaces within a smoke co mpartment containing patient sleeping units in Group 1-2 in accordance with the California Building Code.

2. Throughout all spaces wit hin a smoke compartment containing treatment rooms in ambulatory care facilities.

3. Dwelling units and sleeping un its in Group R occupancies.

4. Light-hazard occupancies as defined in NFPA 13.

F. Existing Group R1 and R2 Buildings.

163

ATTACHMENT A
24 1. Upon an improvement requiring a buildi ng permit and the valuation exceeds 50 percent of the assessed property value, buildings of four (4) or fewer stories in height will be required to install an automatic fire sprinkler system shall be installed in accordance wit h the most currently adopted edition of the National Fire Protection Association (NFPA) 13 “Standard for the Installation of Sprinkler Systems.”

G. Commercial/Industrial Building Additions.

1. Any new addition to an existing buildi ng that places the building’s total square footage above 6,000 square feet shall require an automatic fire sprinkler system.

3. 4Valuation of Project. In existing buildi ngs where the valuat ion of improvement is in excess of more than 50 percent of the assessed valuation of the property, an automatic fire sprinkler system shall be installed.

H. Fire Alarm Systems.

ATTACHMENT A
25 Placard, in accordance with 2019 2022 Edition of NFPA 72, Chapter 26, shall be issued by the UL Listed or FM Approved prime contractor for all newly installed fire alarm systems in commercial occupancies. This regulation shall apply to all fire ala rm systems that are newly installed in commercial occupancies for which permits are required by the Stockton Fire Department, Fire Prevention Divis ion, on or after, January 1, 2020 2023.
b. Any existing fire alarm system in a commercial occupancy wherein the fire alarm control panel and alarm system components require replacement, shall be considered newly installed fo r the purposes of this section and shall require central station service in accordance with the 2019 2022 Edition of NFPA 72, Chapter 26.
c. Any existing fire alarm system where f our (4) or more “faulty” false alarms, determined to be from a system malfunction, occur in a one (1) month period shall be subject to the same certification requirement as a new fire alarm system or replacement of an existing alarm system—Central station service in accordance with the 2019 2022 Edition of NFPA 72, Chapter

26. d. Central Station service in full compliance with the 2019 2022 Edition of NFPA 72, Chapter 26, shall be maintai ned at the protected property, so long as the requirement for the fire alarm system exists. e. Exception. Supervisory service is not required for:
i. Single- and multiple-station smoke alarms required by California Fire Code Section 907.2.1011.
ii. Smoke detectors in Group I-3 occupancies.
iii. Automatic sprinkler systems in one- and two-family dwellings. f. Definitions.
i. A faulty false alarm is an alarm caused by a malfunction of a system or accidental setoff and such an alarm will be evaluated on a case-by-case basis at the discretion of the Fire Marshal or designee.
ii. Commercial occupancies are defined as those occupancies in use groups A (Assembly); B (Bus iness); E (Educational); F (Factory); H (High Hazard); I (Institutional); R-1, R-2, R-4 (Residential).
iii. R-3 (Residential) is defined as one- and two-family dwellings.

2. In new and existing buildings, Mmanual pull stations are required at every public- accessible door and every employee service door within a building to initiate a fire alarm signal for fire alarm systems employing automatic fire detectors or fire sprinkler water-flow detection devices.

3. Groups A, B, E, F, M, and R occupancy exceptions that indicate omissions of manual fire alarm boxes shall not apply.

3.4. One exterior approved audible/visual device, located on the exterior of each building in an approved location, shall be connected to each automatic sprinkler system. Such sprinkler waterflow alarm devices shall be activated by water flow equivalent to the flow of a single sprinkler of the smallest orifice size installed in the system. Where a fire alarm system is installed, actuation of the automatic sprinkler system shall actuate the build ing fire alarm syst em. Visible alarm 165

ATTACHMENT A
26 notification appliances shall be required.

J. Private Fire Hydrant s. All private fire hydrant s shall be annually inspected, maintained, and tested in accordance with NFPA 25 and the 2019 2022 California Fire Code Sections 507.5.2 and 507.5.3. Additionally, all private hydrants shall receive a five-year inspection and flow test. The inspection, maintenance, testing, and repair of all private fire hydrants shall be the sole responsibility of the owner of the property where the private fire hydrants are located.

Only the following sections of Title 15, Chapter 15.16 of the Stockton Municipal Code, are hereby amended to read as follows:

15.16.010 Adoption of California Plumbing Code.

On January 1, 20202023, there was filed in the office of the City Clerk one (1) copy of the California Plumbing Code, 2019 2022 Edition, including all appendices and installation standards adopted by the International Asso ciation of Plumbing and Mechani cal Officials. Said code is hereby incorporated in this code by reference.

15.16.020 Amendments.

Notwithstanding the provisi ons of Section 15.16.010, the California Plumbing Code , including Chapter 1 Division II and Appendix K, are is amended as follows:

A. Chapter 1, Division II, Section 104.5 “Fees” is not adopted.

B. C hapter 2, Section 218.0 definition “Pri vate Sewage Disposal Systems” is added amended as follows:

A septic tank with the effluent discharging into a subsurface disposal field, into one or more seepage pits, or into a combination of subsurface disposal field and seepage pit or of such other facilities as may be permitted under the procedures set forth elsewhere in this code.

The installation of private sewage disposal is under the jurisdiction of the San Joaquin County Environmental Health Department.

C. Section 713.4 is amended as follows:

713.4 Public Sewer Availability. The public sewer may be considered as not being available when public sewer is not available within 200 feet of the property line.

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ATTACHMENT A
27 D. Section D 102, Appendix D, “Sizing Storm Water Drainage Systemsby Flow Rate ” is amended as follows:

Section D 102.1 General., Roof drainage, roof drains, and roofs shall be designed to carry away rainfall at the rate of at least 2 inches of rainfall per hour.

E. The provisions of the California Plumbing Code in reference to Food Waste Disposal Sections 714.4 and 1014.1.3 shall be amended as per Stockton Municipal Code Section

13.40.070(B) prohibiting the installation of food grinder in a food service establishment.

Only the following sections of Title 15, Chapter 15.20 of the Stockton Municipal Code, are hereby amended and added to read as follows:

15.20.010 Adoption of California Mechanical Code.

On January 1, 20202023, there was filed in the office of the City Clerk one (1) copy of the California Mechanical Code, 2019 2022 Edition including all appendi ces jointly published by the International Association of Plumbing and Mechanical Conference of Building Officials. Said code is hereby incorporated in this code by reference.

15.20.020 Amendments.

Notwithstanding the provisions of Section 15.20.010, the California Mechanical Code is amended as follows:

A. Chapter 1, Division II, Section 104.5 “Fees” is not adopted.

Only the following sections of Title 15, Chapter 15.36 of the Stockton Municipal Code, are hereby amended to read as follows:

15.36.010 Adoption of California Electrical Code.

On January 1, 20202023, there was filed in the office of the City Clerk one (1) copy of the California Electrical Code, 2019 2022 Edition, as adopted by the Na tional Fire Protection Association. Said code is hereby incorporated in this code by reference.

15.36.020 Effect of code provisions.

The provisions of this chapter are supplement ary to the provisions of the California Electrical Code, 2019 2022 Edition, as adopted in Section 15. 36.010. The provisions of this chapter control over the provisions of the California Elec trical Code Article 90, to the extent that any conflict or contradiction exists.

15.36.030 Main disconnecting switches and meters.

A. Main disconnecting switches must be placed in the immediate vicinity of meters in all cases. On all new buildings or major service changes of all types of work, the meters and main switches shall be located on the exterior of the building at an approved 167

ATTACHMENT A
28 location.

B. Exceptions:

1. A shunt trip switch may be installed on the exterior of the building at an approved location.

2. Installation of an electrical service r oom with a door on the exterior wall of the building permanently labeled “Electrical Room” may be permitted.

C. Disconnecting means for Energy Stor age Systems (ESS), as defined in the California Electrical Code, shall be located in the immediate vicinity of the main service disconnect.

The location of the disconnecting means shall be field marked on or immediately adjacent to the ESS.

15.36.040 Conduits – Nonresidential building.

For the purposes of this Section, nonresiden tial shall mean any building type used for commercial purposes regardless of the occupancy classification assigned to the building in accordance with Chapter 3 of the California Buil ding Code including, but not limited to, hotels, motels, assisted living facilities, and social rehabilitation facilities.

A. In all new nonresidential types of build ings, the wiring method shall be wired in raceway approved for purpose and use. Nonmetallic-Sheathed Cable, as defined in the California Electrical Code, shall not be permitted.

B. In existing residential or nonresidential types of building converting or changing to another use, the type of wiring method shall be approved by the Building Official.

15.36.050 Photovoltaic systems.

A. In addition to the labeling requirement s of other applicable codes, whenever the main breaker is de-rated or otherwise must maintain a particular rating to comply California Electrical Code Article 705.12(B), a permanent label in conformance with California Electrical Code Article 110.21(B) shall be located on the main service panel and shall include the following words:
“DO NOT UPSIZE MAIN BREAKER”; or
alternatively state the maximum rating allowed by the aforementioned code section with a label stating:
“MAXIMUM MAIN BREAKER ALLOWED IS ____A”

Only the following section of Title 15, Chapter 15.40 of the Stockton Muni cipal Code, is hereby amended to read as follows:

15.40.010 Adoption of California Existing Building Code. 168

ATTACHMENT A
29 On January 1, 20202023, there was filed in the office of the City Clerk one (1) copy of the California Existing Building Code, 2019 2022 Edition, as published by the California Building Standards Commission and which incorporates by adoption the 2018 Edition of the International Existing Building Code adopted by the International Code Council. Said code is hereby incorporated in this code by reference.

Only the following section of Title 15, Chapter 15.44 of the Stockton Muni cipal Code, is hereby amended to read as follows:

15.44.150 Standards of construction.

In all areas of special flood hazards, the following standards are required:

A. Anchorin g. All new construction and substant ial improvements of structures, including manufactured homes, s hall be adequately anchored to prevent flotation, collapse, or lateral movement of the structure resulting fr om hydrodynamic and hydrostatic loads, including the effects of buoyancy.

B. Constr uction Materials and Methods. All new construction and substantial improvements of structures, including manufactured homes, shall be constructed:

1. With flood resistant ma terials and utility equipment resistant to flood damage for areas below the base flood elevation;

2. Using methods and practices that minimize flood damage;

3. With electrical, heating, ventilation, plumbing, and air conditioning equipment and other service facilities that are desig ned and/or located so as to prevent water from entering or accumulating within the components during conditions of flooding; and

4. Within Zones AH or AO so that there are adequate drainage paths around structures on slopes to guide flood wa ters around and away from proposed structures.

C. El evation and Floodproofing.

1. Residential Construction. All new cons truction or substant ial improvements of residential structures shall have the lowest floor, including basement , and all machinery and equipment servicing the building:
a. In AE, AH, A1-30 Zones, elevated at least two (2) feet above the base flood elevation;
b. In an AO zone, elevated above the hi ghest adjacent grade to a height two (2) feet above the depth number specified in feet on the FIRM, or elevated at least four (4) feet above the highest adjacent grade if no depth number is specified;
c. In an A zone, without BFEs spec ified on the FIRM [unnumbered A zone], elevated to orat least two (2) feet above the base flood elevation; as determined under Section 15.44.120(C).

169

ATTACHMENT A
30 Upon the completion of the structure, the elevation of the lowest floor, including basement, and all machinery and equipmen t servicing the building shall be certified by a registered civil engineer or licensed land surveyor, and verified by the community building inspector to be properly elevated. Such certification and verification shall be provided to the Floodplain Administrator.

2. Nonresidential Construc tion. All new construction or substantial improvements of nonresidential structures shall either be elevat ed to conform with Section

15.44.150(C)(1) or:
a. Be floodproofed, together with attendant utility and sanitary facilities, below the elevation recommended under Secti on 15.44.150(C)(1), so that the structure is watertight with walls substantially impermeable to the passage of water;
b. Have structural components capable of resisting hydrostatic and hydrodynamic loads and effects of buoyancy; and
c. Be certified by a registered civil engineer or architect that the standards of Sections 15.44.150(C)(2)(a) and (b) are sa tisfied. Such certification shall be provided to the Floodplain Administrator.

a. For Nonengineered Openings.
i. Have a minimum of two (2) openings on different sides having a total net area of not less than one (1) square inch for every square foot of enclosed area subject to flooding,
ii. The bottom of all openings shall be no higher than one (1) foot above grade,
iii. Openings may be equipped with screens, louvers, valves, or other coverings or devices pr ovided that they permit the automatic entry and exit of floodwater, and
iv. Buildings with more than one (1) enclosed area must have openings on exterior walls for each area to allow flood water to directly enter; or
b. Be certified by a registered civil engineer or architect.

4. Manufactured Homes. See Section 15.44.180.

5. Garages and Low Cost Accessory Structures.
a. Attached Garages.
i. A garage attached to a residentia l structure, constructed with the garage floor slab below the BFE, must be designed to allow for the automatic entry of flood waters. See Section

15.44.150(C)(3). Areas of the garage below the BFE must be constructed with flood resistant materials. See Section 170

ATTACHMENT A
31 15.44.150(B);
ii. A garage attached to a nonresidential struct ure must meet the above requirements or be dry floodproofed. For guidance on below grade parking areas, see FEMA Technical Bulletin TB-6. b. Detached Garages and Accessory Structures.
i. “Accessory structures” used solely for parking (two (2) car detached garages or smaller) or limited storage (small, low-cost sheds), as defined in Section 15.44.040, may be constructed such that its floor is below t he BFE, provided th e structure is designed and constructed in a ccordance with the following requirements:
(A) Use of the accessory struct ure must be limited to parking or limited storage,
(B) The portions of the accessory structure located below the BFE must be built using flood-resistant materials,
(C) The accessory structure must be adequately anchored to prevent flotation, collapse, and lateral movement,
(D) Any mechanical and utility equipment in the accessory structure must be elevated or floodproofed to or above the BFE, (E) The accessory structure mu st comply with floodplain encroachment provisions in Section 15.44.200, and
(F) The accessory structure must be designed to allow for the automatic entry of flood wate rs in accordance with Section

15.44.150(C)(3);

6. Detached garages and accessory structures not meeting the above standards must be constructed in accordance wit h all applicable standards in Section

15.44.150.

Only the following section of Title 15, Chapter 15.64 of the Stockton Muni cipal Code, is hereby amended to read as follows:

15.64.010 Adoption of the International Swimming Pool and Spa Code.

On January 1, 20202023, there were filed in the office of the City Clerk, one (1), copy of the International Swimming Pool and Spa Code, 2018 2021 Edition, as published by the International Code Council. Said code is hereby incorporated in this code by reference.

Only the following sections of Title 15, Chapter 15.72 of the Stockton Municipal Code, are hereby amended to read as follows:

15.72.020 Adoption of California Green Building Standards Code.

On January 1, 20202023, there was filed in the office of the City Clerk one (1) copy of the California Green Building Standards Code, 2019 2022 Edition, as published by the California Building Standards Commission. Said code is hereby incorporated in this code by reference.

15.72.030 General Provisions – Applicability.
171

ATTACHMENT A
32 A. Th is chapter shall not in any manner a ffect the permissible use of property, density/intensity of developmen t, design and improvement standard s, design review and other applicable standards or require ments of this code, all of which shall be operative and remain in full force and effect without limitation.

B. This title shall not in any manner preclude any applicant from implementing additional green strategies or to earn certification per t he Leadership in Energy and Environmental Design (LEED), Green Point Rated, Living Building Challenge or other sim ilar third-party verified green building rating systems, provided that these rati ng systems meet or exce ed the requirements of the California Building Standards Code, Title 24, Part 4 (Energy Code) and Part 11 (CALGreen).

C. All new construction, additions, alterations, and repairs shall demonstrate compliance with the applicable re quirements of the 2019 2022 California Energy Code, Title 24, Part 6 and the 2019 2022 California Green Building Standards Code.

When conditions warrant the City Council may request that staff propose for adoption of an enhanced green building program (ordinance).

Only the following section of Title 15 of the Stockton Municipal Code, is hereby amended to read as follows:

Chapter 15.82 HISTORICAL CODE

15.82.010 Adoption of California Historical Building Code.

On January 1, 20202023, there was filed in the office of the City Clerk one (1) copy of the California Historical Building Code, 2019 2022 Edition, as published by the California Building Standards Commission. Said code is hereby incorporated in this code by reference.

Only the following section of Title 15 of the Stockton Municipal Code, is hereby amended to read as follows:

Chapter 15.86 ENERGY CODE

15.86.010 Adoption of California Energy Code.

On January 1, 20202023, there was filed in the office of the City Clerk one (1) copy of the California Energy Code, 2019 2022 Edition, as published by the California Building Standards Commission.

Said code is hereby incorporated in this code by reference.

The following section of Title 15 of the Stockton Municipal Code, is hereby added to read as follows:

Chapter 15.90 Electric Vehicle Charging Stations

15.90.010 Purpose.

172

ATTACHMENT A
33 The purpose of this Chapter is to promote and encourage the us e of electric vehicles by creating an expedited, streamlined permitting process for electric vehicle charging stations while promoting public health and safety and preventing specific adverse impacts in the installation and use of such charging stations. This Chapter is also purposed to comply with California Government Code Section 65850.7.

15.90.020 Definitions.

The following words and phrases as used in this section are defined as follows:

“Electric vehicle charging stati on” or “charging station” means any level of electric vehicle supply equipment station that is designed and built in compliance with Article 625 of the California Electrical Code, as it reads on the effective date of this Chapt er, and delivers electricity from a source outside an electric vehicle into a plug-in electric vehicle.

“Specific, adverse impact” means a significan t, quantifiable, direct, and unavoidable impact, based on objective, identified, and written public health or safety standards, policies, or conditions as they existed on the date the application was deemed complete.

“Electronic submittal” m eans the utilization of one or more of the following:

1. Electronic mail or E-mail;

2. The internet;

3. Facsimile.

15.90.030 Expedited permitting process.

Consistent with Government Code Section 65850. 7, the Building Official shall implement an expedited, streamlined permitting process for electric vehicle charging stations, and adopt a checklist of all requirements with which electric vehicle charging stations shall comply with in order to be eligible for expedited review. The expedited, streamlined permitting process and checklist may refer to the recommendations contained in the most current version of the “Plug-In Electric Vehicle Infrastructure Permitting Checklist” of the “Zero-Emission Vehicles in California:

Community Readiness Guidebook” as published by the Governor’s Office of Planning and Research. The City’s adopted checklist shall be published on the City’s website.

15.90.040 Permit application processing.

A. Prior to submitting an application for processing, the applicant shall verify that the installation of an electric vehicle charging station will not have specific, adverse impact to public health and safety and building occupants. Verification by the applicant includes but is not limited to electrical system capacity and loads; electrical system wiring, bonding and overcurrent protection; building infrastructure affected by charging station equipment and associated conduits; areas of charging station equipment and vehicle parking.

ATTACHMENT A
34 requirements of the City adopted checklist, and is consistent with all applicable laws and health and safety standards, the Building Official shall, consistent with Government Code Section 65850.7, approve the application and issue all necessary permits. Such approval does not authorize an applicant to energize or utilize the electric vehicle charging station until approval is granted by the City. If the Building Official determines that the permit application is incomplete, he or she shall issue a written correction notice to the applicant, detailing all deficiencies in the application and any additional information required to be eligible for expedited permit issuance.

C. Consistent with Government Code Sect ion 65850.7, the Building Official shall allow for electronic submittal of permit applications covered by this Ordinance and associated supporting documentations. In accepting such permit applications, the Building Official shall also accept electronic signatures on all forms, applications, and other documentation in lieu of a wet signature by any applicant.

15.90.050 Technical review.

A. It is the intent of this Ordinance to encourage the installation of electric vehicle charging stations by removing obstacles to permitting for charging stations so long as the action does not supersede the Building Official’s authority to address higher priority life-safety situations. If the Building Official makes a finding based on substantial evidence that the electric vehicle charging station could have a specific adverse impact upon the public health or safety, as defined in this Chapter, the City may require the applicant to apply for a use permit.

B. In the technical review of a charging station, consistent with Government Code Section 65850.7, the Building Official shall not condition the approval for any electric vehicle charging station permit on the approval of such a system by an association, as that term is defined by Civil Code Section 4080.

15.90.060 Electric vehicle charging station installation requirements.

A. Electric vehicle charging station equipm ent shall meet the requirements of the California Electrical Code, the Society of Automotive Engineers, the National Electrical Manufacturers Association, and accredited testing laboratories such as Underwriters Laboratories, and rules of the Public Utilities Commission or a Municipal Electric Utility Company regarding safety and reliability.

B. Installation of electric vehicle charging stations and associated wiring, bonding, disconnecting means and overcurrent protective devices shall meet the requirements of Article 625 and all applicable provisions of the California Electrical Code.

C. Installation of electric v ehicle charging stations shall be incorporated into the load calculations of all new or existing electrical services and shall meet the requirements of the California Electrical Code. Electric vehicle charging equipment shall be considered a continuous load.

D. Anchorage of either fl oor-mounted or wall-mounted electric vehicle charging stations shall meet the requirements of the California Building or Residential Code as applicable per occupancy, and the provisions of the manufacturer’s installation instructions. Mounting of 174

ATTACHMENT A
35 charging stations shall not adversely affect building elements.

SECTION III. SEVERABILITY.

If any provision of this ordinance or the applic ation thereof to any person or circumstance is held invalid, that invalidity shall not affect other provisions or applications of the act which can be given without the invalid provision or application, and to this end the provisions of this act are severable.

SECTION IV. EFFECTIVE DATE.

This ordinance shall take effect and be in full force on January 1, 2023 after its passage.

ADOPTED:

EFFECTIVE:

KEVIN J. LINCOLN II
Mayor of the City of Stockton
ATTEST:

ELIZA R. GARZA, CMC
City Clerk of the City of Stockton

175

1 ORDINANCE NO.

ORDINANCE AMENDING, DELETING, AND ADDING VARIOUS CHAPTERS AND SECTIONS OF TITLE 15 OF THE STOCKTON MUNICIPAL COD E BY INCORPORATING THE 2022 EDITION OF CALIFORNIA CODE OF REGULATIONS, TITLE 24, INCLUDING APPLICABLE

APPENDICES (CALIFORNIA MODEL BUILDING AND FIRE CODE), AND ADDING CHAPTER

15.90 ESTABLISHING AN EXPEDITED, STREAMLINED PERMITTING PROCESS FOR

ELECTRIC VEHICLE CHARGING STATIONS

BE IT ORDAINED BY THE CITY COUNCIL OF THE CITY OF STOCKTON, AS FOLLOWS:

SECTION I. FINDINGS AND INTENT

The City Council of the City of Stockton finds that the building standards, rules, and regulations established in Title 24 of the 2022 Edition of the Cal ifornia Code of Regulations, including applicable appendices, shall be adopted and incorporated by reference into the Stockton Municipal Code, Title 15, Chapters 15.04, 15.08, 15.10, 15.12, 15.16, 15.20, 15.36, 15.40, 15.44,

15.64, 15.72, 15.82, and 15.86.

In connection with the local amendments to the 2022 Edition of the California Code of Regulations, Title 24, including applicable appendices set forth below, and pursuant to California Health and Safety Code sections 17958, 1795 8.5, 17958.7, and 18941.5, the City Council finds that:

C. Express Finding Number 1: Climatic

Climate has the greatest impact on fire behavior and other natural disasters. Stockton has significant variations in weather patterns. Summers are arid and hot, winters are cool to freezing, fall and spring can bring any combination of weather patterns together. These variations in weather patterns can result in weather events such as above average rainfall and rapid melting of the Sierra snowpack that causes fl ooding in the low -lying areas of San Joaquin County.

Additionally, the proximity of the City to the San Joaquin River Delta system leaves the City prone to flooding.

Average yearly rainfall in Stockton is approximately 17 inches , however the City occasionally has storm events where rainfall rates can be as much as 2 inches per hour. The rainfall normally occurs from October to April. Low-level dense fog (Tule fog) is present throughout 176

2 winter months, which brings visibility to nearly zero feet. The fog can also cause freezing and slick roadways contributing to vehicular accidents.

During summer months there is generally no measurable precipitation. Temperatures during the hot and dry summer range from 70 to 115 degrees Fahrenheit. The relative humidity in summer months is low. The City contains many acres of undeveloped grass lands and vacant infill lots with overgrown vegetation, which, in conjunction with occasional high velocity winds, creates a hazardous situation for fire conflagration. High velocity winds also contribute to hazardous fire behavior in urban fire events.

The following building standards in the Stockton Municipal Code are added or amend the 2022 Edition of the California Code of Regulations, Title 24, based upon this express finding:

Stockton Municipal Code Section s 15.08.070 fire protection systems, 15.08.090 address identification, 15.10.040 amendments to the California Residential Code, 15.12.010 through

15.12.110 amendments to the California Fire Code, 15.16.020 amendments to the California Plumbing Code , 15.36.030 through 15.36.050 additions to the California Electrical Code , and

15.44.150 standards of construction for flood damage prevention.

D. Express Finding Number 2: Geological

Stockton is subject to seismic events as the City is located is Seismic Design Category D, which relates to a high risk of earthquakes. The high seismic zone is based on proximity to known fault lines and soil type. Significant portions within Stockton are known to have poor soil conditions, mainly expansive clay soils. Additionally, the low elevations of the City are subject to a high water table. Structural designs based on minimum model codes, not accounting for these soil conditions, may result in differential settlement and moisture penetration within buildings.

The following building standards in the Stockton Municipal Code are added or amend the 2022 Edition of the California Code of Regulations, Title 24, based upon this express finding:

Stockton Municipal Code Sections 15.08.040 local soil conditions , 15.08.080 plain concrete, and 15.44.150 standards of construction for flood damage prevention.

E. Express Finding Number 3: Topographical

Stockton is impacted by several topographical features, including major rivers, creeks and streams, lakes, sloughs, natural parkways, bridges and overpasses, the Port of Stockton, freeways, railroad lines , and drainage canals. Traffic congestion through and around these features delays emergency response. In the event of an emergency at a main thoroughfare , portions of the city could be isolated due to these topographical features , sufficiently delaying emergency response increasing the risk of injury or damage.

Preservation of wetland areas, natural parkways, riparian corridors along rivers and streams, open space, and endangered species habitat all contribute to access problems as well as exemption from vegetation abatement programs. These situ ations, though environmentally important, increase the demands on the fire service due to extreme fire hazard created by fuel loading and limited access.
177

3 The following building standards in the Stockton Municipal Code are added or amend the 2022 Edition of the California Code of Regulations, Title 24, based upon this express finding:

Stockton Municipal Code Sections 15.08.070 fire protection systems, 15.08.090 address identification, 15.10.040 amendments to the California Residential Code, 15.12.010 thro ugh

15.12.110 amendments to the California Fire Code, 15.36.030 through 15.36.050 additions to the California Electrical Code, and 15.44.150 standards of construction for flood damage prevention.

The City Council also finds those existing provisions of Title 15 of the Stockton Municipal Code which are not hereby adopted, amended, or repealed are amendments, additions, or deletions to the standards, rules, and regulations of the Uniform Model Codes which are necessary to mitigate the above -noted unique l ocal conditions and continue to impose substantially the same requirements of the 2022 Edition of the California Code of Regulations, Title 24, including applicable appendices.

The City Council further finds that Assembly Bill 1236 amended California Government Code section 65850.7 to require jurisdictions with a population of 200,000 or more residents to establish procedures for expedited, streamlined processes for permitting of electric vehicle charging stations and that Chapter 15.90 shall be adopted and added into the Stockton Municipal Code, Title 15, in compliance with section 65850.7(g)(1).

SECTION II. AMENDMENT OF CODE

Only the following sections of Title 15, Chapter 15.04 of the Stockton Municipal Code are amended to read as follows:

15.04.070 Alternate materials and methods of construction.

Be
Section R104.11, Chapter 1 of the California Residential Code and Section 104.11, Chapter 1 of the California Building Code, 2022 Edition is hereby amended to read:

The provisions of the adopted administrative provisions and model codes are not intended to prevent the use of any material or method of construction not specifically prescribed by the adopted model codes, provided any such alternate has been approved by the Building Official.

The Building Official, as provided in Section 15.04.110, may approve any such alternate provided he finds that the proposed design is satisfactory and complies with the provisions of the model codes and that the material, method, or work offered is, for the purpose intended, at least the equivalent of that prescribed in the model codes in quality, strength, effectiveness, fire resistance, durability, safety, and sanitation.

The Building Official, as provided in Section 15.04.110, shall require that sufficient evidence or proof be submitted to substantiate any claims that may be made regarding its use. 178

4 15.04.090 Tests.

Section R104.11.2, Chapter 1 of the California Residential Code and Section 104.11.2, Chapter 1 of the California Building Code, 2022 Edition is hereby amended to read:

Whenever there is insufficient evidence of compliance with the provisions of the adopted model codes or evidence that any materials or any construction does not conform to the requirements of the adopted model codes, or in order to substantiate claims for alternate materials or methods of construction, the Building Official, as provided in Section 15.04.110, may require tests as proof of compliance to be made at the expense of the owner or his agent by an approved agency.

Test methods shall be as specified by the adopted model codes for the material in question.

If there are no appropriate test methods specified in the adopted model codes, the Building Official shall determine the test procedures.

All tests shall be made by an agency. Reports of such tests shall be retained by the Building Official for the period required for the retention of public records.

Article IV. Permits, Inspections, and Fees

15.04.250 Permits.

Section R105.1, Chapter 1 of the California Residential Code and Section 105.1, Chapter 1 of the California Building Code, 2022 Edition is hereby amended to read.

Permits Required. It shall be unlawful for any person, firm, or corporation to erect, construct, enlarge, alter, repair, move, improve, remove, convert, or demolish any building or structure, any boathouse, nonregistered houseboat, wharf, boat dock, or other water -related structure or make any installation, alteration, repair, replacement, or remodel of any equipment, system, or private parking lot regulated by the adopted administrative provisions and model codes, without first obtaining a permit for each building, structure, equipment, system, or private parking lot from the Building Official.

Section R105.2, Item 2 of the California Residential Code and Section 105.2, Item 2 of the California Building Code, 2022 Edition is hereby amended to read.

15.04.260 Application for permit.

Section R106.1.1 of the California Residential Code, and Section 107.2.1 of the California Building Code, 2022 Edition is hereby amended to read.
179

5 Information on Plans and Specifications: Plans and specifications shall be drawn to scale upon suitable material or electronic media and formatted as approved by the building official.

Construction documents shall be of sufficient clarity to indicate the location, nature and extent of the work proposed and show in detail that it will conform to the provisions of the model codes , relevant laws, ordinances, rules, and regulations as determined by the Building Official. The first page of each set of plans shall give the street address of the work and the name and address of the owner and person who prepared them. Plans for buildings and structures shall include a plot plan showing the location of the proposed building and of every existing building on the property.

In lieu of detailed specifications, the Building Official may approve references on the plans to a specific section or part of these codes or other ordinances or laws.

15.04.270 Permit issuance.

Sections R105.5, R 106.3, R106.3.1, R106.3.3, R106.4, and R106.5, Chapter 1, of the California Residential Code and Sections 105.5, 107.3, 107.3.1, 107.3.3, 107.4 , and 107.5, Chapter 1, of the California Building Code, 2022 Edition, are hereby amended to read.

A. Procedure for Issuance.

1. Review of Plans: The application, plans, specifications, computations, and other data filed by an applicant for a permit shall be reviewed by the Building Official. Such plans may be reviewed by other departments of the City of Stockton and other enforcement agencies to verify compliance with the applicable laws under their jurisdiction. If the Building Official is satisfied that the work d escribed in the application for a permit and the plans, specifications, and other data filed therewith conform to the requirements of these codes and other pertinent laws, ordinances, and resolutions, and that the fees specified in Section 15.04.280 and Title 16 et seq., and accompanying resolutions have been paid, a permit shall be issued to the applicant.

2. Endorsement; Modification of Approved Plans: When a permit for which plans are required is issued, the Building Official shall endorse in writing or stamp on electronic sets of plans and specifications " Reviewed for Code Compliance ." Such approved plans and specifications shall not be changed, modified, or altered without prior written authorization from the Building Official, and all work regulated by these codes shall be done in accordance with the approved plans.

3. Permits for Partial Construction: The Building Official may issue a permit for the construction of part of a building, structure, or system before the entire plans and specifications for the whole building, structure, or system have been submitted or approved, provided adequate information and detailed statements have been filed complying with all pertinent requirements of these codes. The holder of such permit shall proceed at their ow n risk without assurance that the permit for the entire building, structure, equipment, or system will be granted.

B. Denial of Permit: A permit shall not be issued for work on property within an area which has been determined by the Building Official to be unsafe for such work, and because of 180

6 the hazard there is no way in which the structure can be erected on such land so that it will be safe.

C. Retention of Construction Documents: One set of approved plans, specifications, and computations shall be ret ained by the Building Official for a period of time set forth in State and local statutes, and one set of plans and specifications shall be returned to the applicant and said set shall be kept on the site of the building or work at all times during which t he work authorized thereby is in progress.

D. Expiration of Permit.

1. Every permit issued by the Building Official under the provisions of these codes shall expire by limitation and become null and void in the following circumstances:

a. If the buildi ng or work authorized by such permit for a project is not commenced and at least one approved inspection recorded on the permit within three hundred sixty-five (365) days from the date of issuance of such permit or;

b. If the building or work authorized by such permit is suspended or abandoned at any time after the work is commenced for a period of one hundred eighty (180) days. Work shall be deemed abandoned or suspended if one hundred eighty (180) days has expired between inspections recorded on the permit.

2. Before such work can be recommended a new permit shall be first obtained to do so, and the fee therefore shall be one -third (1/3) the amount required for a new permit for such work, provided no changes have been made or will be made in the original plans and specifications for such work and provided further that such suspension or abandonment has not exceeded three (3) years.

3. Any permittee holding an unexpired permit may apply for an extension of the time within which work may be commenc ed under that permit when the permittee is unable to commence work within the time required by this section for good and satisfactory reasons. The Building Official may extend the time for action by the permittee for a period not exceeding one hundred eigh ty (180) days upon written request by the permittee showing that circumstances beyond the control of the permittee have prevented action from being taken. The Building Official is authorized to grant, in writing, one or more extensions of time, for a period of not more than one hundred eighty (180) days each.

E. Notwithstanding any other provisions of this Code to the contrary, in the event, after issuance of a Building Permit, the Building Official finds that work has been suspended or not prosecuted diligently during the validity period, then upon recommendation to the Building Board of Appeals and upon majority vote of the Building Board of Appeals, the Board may terminate the permit, add conditions to said permit, including the requirement of a faithfu l performance bond guaranteeing completion of the structure within a reasonable time as specified by the Board if the 181

7 permit is renewed or extended, or impose other penalties and sanctions as it may deem appropriate. A copy of the Building Official's recom mendation shall be sent to the holder of the building permit at the same time that said recommendation is sent to the Building Board of Appeals.

Any action taken by the Building Board of Appeals as herein provided shall be taken only after a public hearin g, in accordance with the procedures set forth in Title 15 of the Stockton Municipal Code. At least ten (10) days' written notice shall be given to the holder of the Building Permit prior to the date set for public hearing.

15.04.280 Fees.

Section R108, Chapter 1, of the California Residential Code and Section 109, Chapter 1, of the California Building Code, 2022 Edition is hereby amended to read.

A. Establishment of Fees: Permit fees shall be established from time to time by resolution of the Council of the City of Stockton.

B. Determination of Value:

The applicant for a permit shall provide an estimated permit value at time of application.

The value to be used in computing the building permit and building plan review fees shall be the total of all co nstruction work for which the permit is being issued, as well as roofing, electrical, plumbing, gas, heating, air conditioning, elevators, fire extinguishing systems, and any other permanent equipment and systems. Value for donated and/or discounted materials and labor shall be established at typical market value and rates. The permit shall include additional valuation for work on the project site such as lighting, sewer, water service, and other items requiring inspection. In no case shall the valuation for new construction or additions be less than determined by the International Code Council based cost tables. When permitted work includes an alteration to an existing structure, or includes work outside of the standard calculated fee areas determined by the International Code Council based square footage cost tables, the applicant shall provide actual/contracted project costs to establish the additional non -calculated valuation of the total permitted project. If, in the opinion of the Building Official, the valuation is underestimated on the application, the permit shall be denied unless the applicant can show detailed estimates to meet the approval of the Building Official. Final building permit valuation shall be set by the Building Official.

C. Work Without a Permit-Investigation Fee: Where work for which a permit is required is started or proceeded prior to obtaining said permit, a special investigation shall be made before a permit may be issued for such work. An investigation fee shall be collected at the time the permit is issued. The investigation fee shall total twice the amount of the permit fee. The investigation fee shall be in addition to the permit fee.

The payment of the investigation fee shall not relieve any person from fully complying with the requirements of this Code in the execution of the work or from any other penalties prescribed by law.

D. Investigation Fee -Appeal: Any person required to pay an investigation fee under 182

8 subsection C above, may appeal the imposition of such investigation fee to the Board of Appeals.

Such appeal shall be filed according to the rules and regulations of the Board of Appeals.

In determining whether there is a reasonable excuse for the failure to obtain a permit, the Board o f Appeals may consider such factors as unfamiliarity with the Code or demonstrable negligence on the part of an employee.

E. Record Fees Collected: The Director shall keep a permanent, accurate account of all fees collected and give the name of each of th e persons upon whose account the same were paid, the date and amount thereof, together with the location of the building or premises to which they relate.

F. Plan Review Fees: When a plan or other data is required to be submitted, a plan review fee shall be paid. Said plan review fee shall be collected either at the time of submitting plans and specifications or at the time of issuance of the permit, at the discretion of the Building Official. Said plan review fees for buildings or structures shall be thos e established by resolution of the Council of the City of Stockton.

The plan review fees specified in this subsection are separate fees from the permit fees specified in subsection A of this section and are in addition to the permit fees.

The plan review fees for electrical, mechanical, and plumbing work shall be charged at the rate established by resolution of the Council of the City of Stockton.

G. Combination Permit: Combination permits are required for any project for which there is more than one trade involved in the construction of a project, inclu ding building, mechanical, plumbing, and/or electrical.

H. Expiration of Plan Review: Applications for which no permit is issued within one hundred eighty (180) days following the date of application shall expire by limitation, and plans and other data su bmitted for review may thereafter be returned to the applicant or destroyed by the Building Official. The Building Official may extend the time for action by the applicant for a period not exceeding ninety (90) days upon request by the applicant allowing that circumstances beyond the control of the applicant have prevented action from being taken. The Building Official is authorized to grant one or more extensions of time for additional periods not exceeding ninety (90) days each. In order to renew action o n an application after expiration, the applicant shall resubmit plans and pay a new plan review fee.

I. Fee Refunds:

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9 1. The Building Official may authorize the refunding of any fee paid hereunder which was erroneously paid or collected.

2. The Building Official may authorize the refunding of the permit fee paid when no work has been done under a permit issued in accordance with this Code. The plan review fee shall be retained.

3. The Building Official may authorize the refunding of not more than eighty percent (80%) of the plan review fee paid when an application for a permit for which a plan review fee has been paid is withdrawn or canceled before any plan reviewing is done.

The Building Official shall not authorize the refunding of any fee paid except upon written application filed by the original permittee not later than one hundred eighty (180) days after the date of fee payment.

15.04.310 Inspections.

Section R109, Chapter 1, of the California Residential Code and Section 110, Chapter 1, of the California Building Code, 2022 Edition is hereby amended to read.

A. General. All construction or work for which a permit is required shall be subject to inspection by the Building Official and all such construction or work shall remain accessible and exposed for inspection purposes until approved by the Building Official. In addition, certain types of construction shall be subject to continuous inspections as specified in Section 15.04.320.

Approval as a result of an inspection shall not be construed to be an approval of a violation of the provisions of these Codes or of other ordinances of the City of Stockton. Inspections purporting to waive or authorize violation of any provisions of these Codes or of other ordinances of the City of Stockton shall be void.

It shall be the duty of the permit applicant to cause the work to remain accessible and exposed for inspection purposes. Neither the Building Official nor the City of Stockt on shall be liable for any expense entailed in the removal or replacement of any material required to allow inspection.

A survey of the lot may be required by the Building Official to verify that the structure is located in accordance with the approved plans.

B. Inspection Requests. It shall be the duty of the person doing the work authorized by a permit to notify the Building Official that such work is ready for inspection. The Building Official may require that every request for inspection be filed at least twenty-four (24) hours before such inspection is scheduled. Such request may be online or by telephone at the option of the Building Official.

It shall be the duty of the person requesting any inspection required by these Codes to provide access to and means for proper inspection of such work.

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10 C. Permit Card. Work requiring a building permit shall not be commenced until the permit holder or their agent shall have posted the official permit record card in a conspicuous place on the front premises an d in such a position as approved by the Building Official.This card shall be maintained in such position by the permit holder until final approval has been issued by the Building Official.

D. Approvals Required; Conformity with Approved Plans. No work shall be done on any part of the building, structure, or private parking lot beyond the point indicated in each successive inspection without first obtaining the written approval of the Building Official. The Building Official, upon notification, shall make the requested inspections and shall either indicate that portion of the construction is satisfactory as completed or shall notify the permit holder or their agent wherein the same fails to comply with these Codes and the approved plans, specifications, and permit conditions. Any portions which do not comply shall be corrected and such portions shall not be covered or concealed until authorized by the Building Official. Such written approval shall be given only after an inspection shall have been made of each successive step in the construction as indicated by each of the inspections required in subsection E, below.

There shall be a final inspection and approval of all buildings and building service equipment when completed and ready for occupancy.

E. Required Inspections. Reinforcing steel or structural framework of any part of any building or structure shall not be covered or concealed without first obtaining the approval of the Building Official.

The Building Official shall make the following inspec tions upon notification by the permit holder or their agent providing all other requirements of this section have been met. The Building Official shall either approve that portion of the construction as completed or shall notify the permit holder or their agent wherein the same fails to comply with these Codes, the approved plans and specifications, or other permit conditions.

1. Foundation Inspection: To be made after trenches are excavated and forms erected and when all materials for the foundation are d elivered on the job. Where concrete from a central mixing plant (commonly termed "transit mixed") is to be used, materials need not be on the job.

2. Concrete Slab or Underfloor Inspection: To be made after all in-slab or underfloor building service equip ment, conduit, piping accessories, and other auxiliary equipment items are in place, inspected, and approved but before any concrete is poured or floor sheathing installed, including the subfloor.

3. Frame Inspection: To be made after the roof, all framing, fire blocking, and bracing are in place and all pipes, chimneys, and vents are complete and rough electrical, plumbing, heating wires, pipes, and ducts are approved.

4. Insulation Inspection: To be made after all insulation has been installed.

5. Fire place Inspection: To be made when any masonry fireplace has been constructed to mantel height with reinforcing steel, combustion air openings, and 185

11 dampers in place.

6. Hollow Concrete Block Masonry: To be made after first block courses are laid up with the first bond beam course steel in place and before bond beam blocks are grouted.

7. Lath and/or Wallboard Inspection: To be made after all lathing and/or wallboard, interior and exterior, is in place but before any plastering is applied or before wallboard joints and fasteners are taped and finished.

8. Final Inspection: To be made after building is complete and ready for occupancy, and public improvements have either been accepted by action of the City Council, or upon application of City Public Works, w hen the subdivision is otherwise in compliance with all pertinent regulations.

F. Plumbing, Electrical, Mechanical, and Private Parking Lot Inspections.

1. General: All equipment, systems, or private parking lots for which a permit is required under these codes shall be inspected by the Building Official. No portion of any equipment, system, or private parking lot intended to be concealed by any permanent portion of the building or private parking lot shall be concealed until inspected and approved. When the installation of any equipment or system is complete, a second or final inspection shall be made. Equipment or systems regulated by these codes shall not be connected to the fuel or power supply until authorized by the Building Official.

2. Operation of Equipment: The requirements of this section shall not be considered to prohibit the operation of any equipment or systems installed to replace existing equipment or systems serving an occupied portion of the building if a request for inspection of such equipment or system has been filed with the Department not more than forty-eight (48) hours after such replacement work is completed and before any portion of such equipment or system is concealed by any permanent portion of the building.

3. Final Inspect ion Revoked: A final inspection approval may, upon notice, be revoked by the Building Official if it is found that the equipment or system fails in any respect to comply with the requirements of these codes, plans, or specifications or that the installation is unsafe, dangerous, or a hazard to life or property.

G. Other Inspections. In addition to the called inspections specified above, the Building Official may make or require other inspections of any construction work or of any existing building to ascertain compliance with the provisions of these codes and other laws which are enforced by the Department Building Official.

For the purpose of determining compliance with Section 15.04.040, the Building Official may cause any structure to be inspected.

H. Reinspections. A reinspection fee may be assessed for each inspection or 186

12 reinspection when such portion of work for which inspection is called is not complete or when corrections called for are not made.

To obtain a reinspection, the applicant shall file an application therefore in writing upon a form furnished for the purpose and pay the reinspection fee in accordance with Section 15.04.280.

In instances where reinspection fees have been assessed, no additional inspection of the work will be performed until the required fees have been paid.

15.04.320 Special inspections.

In addition to the inspections to be made as specified in section 15.04.310, the owner or the engineer or architect acting as the owner's agent shall employ one or more approved special inspectors who shall provide the special inspections as follows:

A. As specifically required by the Building Official.

B. As required by Chapter 17 of the 2022 California Building Code.

C. Electrical Special Inspection: In addition to the inspections required by the 2022 California Electrical Code (CEC), electrical special inspection shall be provided for the following items:

1. Installation or alteration of high voltage electrical systems and equipment which fall within the scope of CEC, Article 490.

3. Installation or alteration of electrical systems within locations classified as hazardous by provisions of the CEC, except for gasoline dispensing installations and systems located within storage garages, repair garages or lubritoriums.

4. Installation of Critical Operations Power Systems (COPS) which fall within the scope of CEC, Article 708.

5. Installation of Solar Photovoltaic Systems greater than 100 k W which fall within the scope of CEC, Article 690.

6. Installation of unlisted equipment.

7. Where required by the Registered Design Professional in responsible charge for the electrical design.

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13 15.04.330 Certificate of occupancy.

Sections 111 and 111.2 Chapter 1 of the California Building Code, 2022 Edition, are hereby amended to read.

A. Change in Occupancy. Changes in the character of use of a building shall not be made except as specified in Section 506 of the California Existing Building Code.

B. Certificate Issued. After final inspection when it is found that the building or structure complies with the provisions of these codes, the Building Official shall issue a Certificate of Occupancy which shall contain the following.

1. The building permit number.

2. The address of the structure.

3. The name and address of the owner.

4. A description of that portion of the structure for which the certificate is issued.

5. A statement that the described portion of the structure complies with the requirements of these codes for group and division of occupancy as classified.

6. The name of the Building Official.

7. The edition of the code under which the permit was issued.

8. The use and occupancy, in accordance with the provisions of Chapter 3.

9. The type of construction as defined in Chapter 6.

10. The design occupant load.

11. Where an automatic sprinkler system is provided , whether the sprinkler system is required.

12. Any special stipulations and conditions of the building permit.

C. Posting. The Certificate of Occupancy shall be posted in a conspicuous place on the premises and shall not be removed except by the Building Official.

Only the following sections of Title 15, Chapter 15.08 of the Stockton Municipal Code are hereby amended to read as follows:

15.08.010 Adoption of California Building Code.

On January 1, 2023, there w as filed in the Office of the City Clerk, one (1) copy of the California Building Code, 2022 Edition including appendices F, G, H, I, J, K, and P, as published by the California Building Standards Commission and which incorporates by adoption the 2021 Edition of the International Building Code adopted by the International Code Council. Said code is hereby incorporated in this code by reference.

15.08.020 Effect of code provisions.

The provisions of this chapter are supplementary to the provisions of the California Building Code 2022 Edition as adopted in Section 15.08.010.

15.08.070 Fire protection systems.

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14 Section 901.1.1 of the 2022 California Building Code is hereby added and shall read as follows.

Section 901.1.1 of the 2022 California Building Code.

A. Automatic Fire Extinguishing Systems. An automatic sprinkler system shall be installed in all new construction, regardless of occupancy classification, where the total floor area is 6,000 square feet or more. Exception. Mini-storage facilities of any size shall be protected with an automatic sprinkler system designed per extra hazard and conforming to National Fire Protection Standard 13. This does not include occupancy classes of A -2/H, I, F -1 (Upholstered Furniture and Mattress Manufacturing and/or Wood Working Operations) and S -1 (Upholstered Furniture and Mattress Storage, Storage of Commercial Moto r Vehicles, Repair Garages for Commercial Motor Vehicles). These occupancies shall be protected as per the California Building and Fire Codes.

B. Basements. A fire protection system shall be required in basements, regardless of square footage, of all buildings when the basement is used for any purpose other than service to the building. Service to the building includes utilities such as electricity, gas, telephone, cable TV, elevator equipment, HVAC equipment, and water heaters. In lieu of the requirements for basement sprinklers, alternative fire protection may be provided in existing buildings if approved by the Chief.

C. NFPA 13R Sprinkler Systems. Wherever in the code an NFPA 13R sprinkler system is allowed, an NFPA 13 sprinkler system shall be used.

1. Pre-manufactured homes shall not apply.

2. Fire damage repair or other naturally caused damage to R3 occupancies shall not require an automatic fire sprinkler system unless the structure is to be demolished and rebuilt.

3. Residential additions that exceeds 50 percent of the overall area of the existing structure shall require an automatic fire sprinkler system be installed throughout the building per NFPA 13D.

4. Attic spaces in Group R3 occupancies shall have pilot h eads installed in each roof pitch of a compartmentalized attic in addition to the forced air unit (FAU).

5. Passive purge connection required in lieu of a backflow prevention device.

6. Spare sprinkler head box shall be required with minimum three (3) spare sprinkler heads, and/or one (1) each per type of sprinkler head provided and a wrench.

7. An electric bell shall be installed on the exterior of the building and have a dedicated circuit with lockout on breaker.

8. Fire sprinkler heads shall be required under any stairwell where a compartment, room, and/or closet is located.

E. Quick-Response and Residential Sprinklers. Where automatic sprinkler systems are 189

15 required by this code, quick -response or residential automatic sprinklers shall be ins talled in the following areas in accordance with Section 903.3.2 of the California Fire Code (2022 Edition) and their listings:

1. Throughout all spaces within a smoke compartment containing patient sleeping units in Group 1-2 in accordance with the California Building Code.

2. Throughout all spaces within a smoke compartment containing treatment rooms in ambulatory care facilities.

3. Dwelling units and sleeping units in Group R occupancies.

4. Light-hazard occupancies as defined in NFPA 13.

F. Existing Group R1 and R2 Buildings.

1. Upon an improvement requiring a building permit and the valuation exceeds 50 percent of the assessed property value, an automatic fire sprinkler system shall be installed in accordance with the most currently adopted edition of the National Fire Protection Association (NFPA) 13 “Standard for the Installation of Sprinkler Systems.”

G. Commercial/Industrial Building Additions.

1. Any new addition to an existing building that places the building’s total square footage above 6,000 square feet shall require an automatic fire sprinkler system.

This does not include the occupancy classes of A -2, H, I, F -1 (Upholstered Furniture and Mattress Manufacturing and/or Wood Working Operations) and S- 1 (Upholstered Furniture and Mattress Storage, Storage of Commercial Motor Vehicles, Repair Garages for Commercial Motor Vehicles). Fire sprinklers will not be required for the existing building or the addition if a fire wall (generally four (4) hours) without openings is installed.

3. Valuation of Project. In existing buildings where the valuation of improvement is more than 50 percent of the assessed valuation of the property, an automatic fire sprinkler system shall be installed.

H. Fire Alarm Systems.

a. All fire alarm and detection systems required by subsection (H)(1) above, 190

16 shall require central station service monitoring as defined by and in accordance with the 2022 Edition of NFPA 72, Chapter 26. An Underwriters Laboratories (UL) Certificate or Factory Mutual (FM) Placard, in accordance with 2022 Edition of NFPA 72, Chapter 26, shall be issued by the UL Listed or FM Approved prime contractor for all newly installed fire alarm systems in commercial occupancies. This regulation shall apply to all fire alarm systems that are newly installed in commercial occupancies for which permits are required by the Stockton Fire Department, Fire Prevention Division, on or after, January 1, 2023.

b. Any existing fire alarm system in a commercial occupancy wherein the fire alarm control panel and alarm system components require replacement, shall be considered newly installed for the purposes of this section and shall require central station service in accordance with the 2022 Edition of NFPA 72, Chapter 26.

c. Any existing fire alarm system where four (4) or more “faulty” false alarms, determined to be from a system m alfunction, occur in a one (1) month period shall be subject to the same certification requirement as a new fire alarm system or replacement of an existing alarm system—Central station service in accordance with the 2022 Edition of NFPA 72, Chapter 26.

d. Central Station service in full compliance with the 2022 Edition of NFPA 72, Chapter 26, shall be maintained at the protected property, so long as the requirement for the fire alarm system exists.

e. Exception. Supervisory service is not required for:
i. Single- and multiple -station smoke alarms required by California Fire Code Section 907.2.11.
ii. Smoke detectors in Group I-3 occupancies.
iii. Automatic sprinkler systems in one- and two-family dwellings.

f. Definitions.
i. A faulty false alarm is an al arm caused by a malfunction of a system or accidental setoff and such an alarm will be
evaluated on a case-by-case basis at the discretion of the Fire Marshal or designee.
ii. Commercial occupancies are defined as those occupancies in use groups A (Assembly); B (Business); E (Educational); F (Factory); H (High Hazard); I (Institutional); R -1, R -2, R -4 (Residential).
iii. R-3 (Residential) is defined as one- and two-family dwellings.

2. In new and existing buildings, manual pull stations are required at every public - accessible door and every employee service door within a building to initiate a fire alarm signal for fire alarm systems employing automatic fire detectors or fire sprinkler water-flow detection devices.

191

17 3. Groups A, B, E, F, M, and R occupancy exceptions that indicate omissions of manual fire alarm boxes shall not apply.

4. Alarms. One exterior approved audible/visual device, located on the exterior of each building in an approved location, shall be connected to each automatic sprinkler system. Such sprinkler waterflow alarm devices shall be activated by water flow equivalent to the flow of a single sprinkler of the smallest orifice size installed in the system. Where a fire alarm system is installed, actuation of the automatic sprinkler system shall actuate the building fire alarm system. Visible alarm notification appliances shall be required.

I. Remote Test Switches. Where in -duct smoke detectors are installed in concealed locations more than 10 feet (3 m) above the finished floor or in arrangements where the detector’s alarm indicator is not visible to responding personnel, the detectors shall be provided with remote alarm indicators and test switch plates. Remote alarm indicators and test switch plates shall be installed in an accessible location and shall be clearly labeled to indicate both their functions and the air-handling unit(s) associated with each detector and test switch plate (for example, In -duct Smoke Detector Alarm and test switch plate for In-duct Smoke Detector).

J. Private Fire Hydrants. All private fire hydrants shall be annually inspected, maintained, and tested in accordance with NFPA 25 and the 2022 California Fire Code Sections 507.5.2 and 507.5.3. Additionally, all private hydrants shall receive a five-year inspection and flow test. The inspection, maintenance, testing, and repair of all private fire hydrants shall be the sole responsibility of the owner of the property where the private fire hydrants are located

15.08.080 Plain concrete.

Plain concrete construction shall not be utilized as a structural building component within the City.

15.08.090 Address identification.

A. Section 502.1 of the 2022 California Building Code is hereby amended and shall read as follows:

New and existing buildings shall be provided with approved address identification. The address identification shall be legible and placed in a position that is visible from the street or road fronting the property. Address identification characters shall contrast with thei r background. Address numbers shall be Arabic numbers or alphabetical letters. Numbers shall not be spelled out. Numbers shall be a minimum of four (4) inches high for single - family residential properties. Commercial and Industrial properties shall be a mi nimum of twelve (12) inches high on the building and six (6) inches high on the suite. Where required by the fire code official, address identification shall be provided in additional approved locations and/or required to be larger than 12 -inches to facili tate emergency response.

Where access is by means of a private road and the building cannot be viewed from the public way, a monument, pole or other sign or means shall be used to identify the structure.

Address identification shall be maintained.

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18 Only the following sections of Title 15, Chapter 15.10 of the Stockton Municipal Code, are hereby amended and added to read as follows:

15.10.010 Adoption of California Residential Code.

On January 1, 2023, there w as filed in the Office of the City Clerk, one (1) copy of the California Residential Code, 2022 Edition including appendices AH, AJ, AK, AO, AQ, AX, AY, and AZ as published by the California Building Standards Commission and which incorporates by adoption the 2021 Edition of the International Residential Code adopted by the International Code Council. Said code is hereby incorporated in this code by reference.

15.10.030 Scope.

The 2022 California Residential Code, Title 24, Part 2.5 of the California Code of Regulations, a portion of the California Building Standards Code as defined in the California State Health and Safety Code sections 17922 and 18901 et. seq. (hereinafter referred to as the Residential Code), and any rules and regulations promulgated pursuant thereto and as defined in California Health and Safety Code section 18938.3, including Residential Code Appendix AH (Patio Covers) , Appendix AJ (Existing Buildings and Structures) , Appendix AK (Sound Transmission), AO (Automatic Vehicular Gates), AQ (Tiny Houses), AX (Swimming Pool Safety Act), AY (Areas Protected by the Facilities of the Central Valley Flood Protection Plan), and AZ (Emergency Housing) are hereby adopted and incor porated by reference herein. Except as otherwise provided by this Chapter and Chapters 15.04 and 15.08 of the Stockton Municipal Code, all construction, alteration, moving, demolition, repairs, and use of any building or structure within this jurisdiction shall be made in conformance with the Residential Code and any rules and regulations promulgated pursuant thereto.

15.10.040 Amendments.

Notwithstanding the provisions of Section 15.10.010, the California Residential Code is amended as follows:

A. Section R313.2.1 of the 2022 California Residential Code is hereby amended and shall read as follows:

Automatic sprinkler systems shall be designed and installed in accordance with Section R313 or NFPA 13D. Automatic fire sprinkler systems installed in one - and two-family dwellings; Group R3; and townhouses shall be permitted to be installed throughout in accordance with NFPA 13D, as amended in Chapter 80 of the California Fire Code.

1. Pre-manufactured homes shall not apply.

2. Fire damage repair or other naturally caused damage to R3 occupancies shall not require an automatic fire sprinkler system unless the structure is to be demolished and rebuilt.

3. Residential additions that exceed 50 percent of the overall area of the existing structure shall require an automatic fire sprinkler system be installed throughout the building per NFPA 13D.

4. Attic spaces in Group R3 occupancies shall have pilot heads installed in each 193

19 roof pitch of a compartmentalized attic in addition to the forced air unit (FAU).

5. Passive purge connection required in lieu of a backflow prevention device.

6. Spare sprinkler head box shall be required with minimum three (3) spare sprinkler heads, and/or one (1) each per type of sprinkler head provided and a wrench.

7. An electric bell shall be installed on the e xterior of the building and have a dedicated circuit with lockout on breaker.

8. Fire sprinkler heads shall be required under any stairwell where a compartment, room, and/or closet is located.

9. Newly constructed single -family homes: Covered and enclosed patio s, California rooms and/or similar outdoor rooms or living spaces where a natural gas line for a fuel-fired appliance is permanently installed shall have fire sprinkler protection.

B. Section R313.2.1.1 of the 2022 California Residential Code is hereby a dded and shall read as follows:

Quick-Response and Residential Sprinklers. Where automatic sprinkler systems are required by this code, quick-response or residential automatic sprinklers shall be installed in dwelling units and sleeping units in Group R occup ancies in accordance with Section 903.3.2 of the California Fire Code (2022 Edition) and their listings.

Only the following sections of Title 15, Chapter 15.12 of the Stockton Municipal Code, are hereby amended to read as follows:

15.12.010 Adoption of California Fire Code.

On January 1, 2023, there was filed in the office of the City Clerk one (1) copy of the California Fire Code, 2022 Edition including Appendix A, B, BB, C, CC, D, E, F, G, H, I, J, K, L, M, N, O, P (see California Fire Code Section 101.2.1, 2022 Edition), as published by the International Code Council. Said code is hereby adopted and incorporated in this code by reference, regulating and governing the safeguarding of life and property from fire and explosion hazards arising f rom the storage, handling, and use of hazardous substances, materials, and devices, and from conditions hazardous to life or property in the occupancy of buildings and premises as herein provided; providing for the issuance of permits and collection of fee s therefor; and each and all of the regulations, provisions, penalties, conditions, and terms of said Fire Code on file in the office of the City of Stockton and hereby referred to, adopted, and made a part hereof, as if fully set out in this chapter, with the additions, insertions, deletions, and changes, if any, prescribed in this chapter.

15.12.020 Scope and administration.

A. Title. These regulations shall be known as the Fire Code of the City of Stockton, hereinafter referred to as “this code.”

20 1. Medical Gas Systems. An operational fire permit is required for any medical gas system installed in a commercial building.

2. Christmas Tree Lot. An operational fire permit is required to operate a seasonal outdoor Christmas tree lot and/or conduct Christmas tree sales at any site.

3. Multi-Family Dwelling. An operational fire permit is required to operate a multi - family dwelling of three (3) units or more.

4. Hood & Duct. An operational fire permit is required for a hood & duct fire extinguishing system in a building.

5. Rubber Tire Storage. An operational fire permit is required for the storage of tires indoors/outdoors more than 1,000 cubic feet.

6. Monitored Fire Sprinkled Buildings. An operational fire permit is required for buildings that have an automatic fire sprinkler system and no other operational fire permits.

7. Cannabis Cultivation. An operational fire permit is required for cannabis cultivation in a building.

8. General Cannabis (Retail Sales). An operational fire permit is required for businesses conducting retail sales of cannabis products.

9. Electric Fences. An operational fire permit is required for any business and/or property that has an electrified fence installed.

10. Self-Storage/Mini-Storage Facilities. An operational fire permit is required for any self-storage or mini-storage facility.

11. Private Fire Hydrants. An operational fire permit is required for any fire hydrant located on private property or supplied by a private water main.

12. Mobile Food Preparation Vehicles. An operational fire pe rmit is required for any mobile food preparation vehicle that is equipped with appliances that produce smoke or grease-laden vapors.

14. Energy Storage Systems. An operational permit is required for stationary and mobile energy storage systems regulated by Section 1207 for any building that has st ationary energy storage or battery storage capacity of more than 100 gallons.

C. Bundled Permits. For specific businesses requiring multiple permits, Operational Fire Permits are allowed to be combined as one permit:

1. Auto Wrecking Yard/Junk Yard —Cutting/Welding/ Hot Works/Flammable and Combustible Liquid Storage.

2. Auto Body Shop —Cutting/Welding/Hot Works/Flammable and Combustible Liquid Storage/Spray Painting.

3. Repair Garage/Service Garage —Cutting/ Welding/Hot Works/Flammable and Combustible Liquid Storage.

4. Food Service (B Occupancy) —Hood and Duct Fire Extinguishing System/Carbon Dioxide Beverage Dispensing System.

5. Place of Assembly (A Occupancy) —Assembly/ Hood and Duct Fire Extinguishing System/Carbon Dioxide Beverage Dispensing System. 195

21 6. Self-Service Motor Fuel Dispensing Facility with Convenience Store—Motor Fuel Dispensing/Carbon Dioxide Beverage Dispensing System/LP -Gas Storage/Hood and Duct Fire Extinguishing System.

7. High Pile Storage with Idle Wood/Plastic Pallets (Indoors).

8. Miscellaneous Combustible Storage with Idle Wood/Plastic Pallets (Indoors).

9. Cutting and/or Welding with Compressed Gases.

D. Violation Penalties. Persons who violate a provision of this code or fail to comply with any of the requirements thereo f or who erect, install, alter, repair, or do work in violation of the approved construction documents or directive of the fire code official, or of a permit or certificate used under provisions of this code, shall be guilty of a misdemeanor, punishable by a fine of not more than fines based on the current fee schedule or by imprisonment not exceeding six (6) months, or both such fine and imprisonment. Each day that a violation continues after due notice has been served shall be deemed a separate offense (excludes weekends and holidays).

E. False Alarms.

1. It is unlawful for any property owner, licensed contractor, or other responsible party to fail to notify the Fire Department Emergency Communications Division prior to any test, installation, repair, modification, addition, or maintenance of any fire alarm or fire extinguishing system which could result in the transmission of a false alarm.

2. The Fire Department may charge fees that reasonably constitute the cost of response to false alarms when it is determined that the reported alarm is: (a) malicious; or (b) results from failure to maintain the alarm system; or (c) failure to properly notify the Fire Department that the system is being tested or worked on. The Fire Department will bill the property owner, licensed contractor, or other responsible party for the third and any subsequent false alarm responses in a calendar year.

15.12.030 Fire service features.

A. Address Identification. New and existing buildings shall be provided with approved address identification. The address identification shall be legible and placed in a position that is visible from the street or road fronting the property. Address identification characters shall contrast with their background. Address numbers shall be Arabic numbers or alphabetical letters. Numbers shall not be spelled out. Numbers shall be a minimum of four (4) inches high for single -family residential properties. Commercial and In dustrial properties shall be a minimum of twelve (12) inches high on the building and six (6) inches high on the suite. Where required by the fire code official, address identification shall be provided in additional approved locations and/or required to be larger than 12-inches to facilitate emergency response. Where access is by means of a private road and the building cannot be viewed from the public way, a monument, pole or other sign or means shall be used to identify the structure. Address identification shall be maintained. 196

22 B. Electric (Automated) Gates. Newly installed electric (automated) gates as of the inception date of the ordinance codified in this chapter shall be equipped with battery back-up.

15.12.040 Fire protection systems.

A. Automatic Fire Extinguishing Systems. An automatic sprinkler system shall be installed in all new construction, regardless of occupancy classification, where the total floor area is 6,000 square feet or more. Exception. Mini-storage facilities of any size shall be protected with an automatic sprinkler system designed per extra hazard and conforming to National Fire Protection Standard 13. This does not include occupancy classes of A -2/H, I, F -1 (Upholstered Furniture and Mattress Manufacturing and/or Wood Working Operations) and S -1 (Upholstered Furniture and Mattress Storage, Storage of Commercial Motor Vehicles, Repair Garages for Commercial Motor Vehicles). These occupancies shall be protected as per the California Building and Fire Codes.

B. Basements. A fire protection system shall be required in basements, regardless of square footage, of all buildings when the basement is used for any purpose other than service to the building. Service to the building includes utilities such as electricity, gas, telephone, cable TV, elevator equipment, HVAC equipment, and water heaters. In lieu of the requirements for basement sprinklers, alternative fire protection may be provided in existing buildings if approved by the Chief.

C. NFPA 13R Sprinkler Systems. Wherever in the code an NFPA 13R sprinkler system is allowed, an NFPA 13 sprinkler system shall be used.

1. Pre-manufactured homes shall not apply.

2. Fire damage repair or other naturally caused damage to R3 oc cupancies shall not require an automatic fire sprinkler system unless the structure is to be demolished and rebuilt.

3. Residential additions that exceeds 50 percent of the overall area of the existing structure shall require an automatic fire sprinkler system be installed throughout the building per NFPA 13D.

4. Attic spaces in Group R3 occupancies shall have pilot heads installed in each roof pitch of a compartmentalized attic in addition to the forced air unit (FAU).

5. Passive purge connection required in lieu of a backflow prevention device.

6. Spare sprinkler head box shall be required with minimum three (3) spare sprinkler heads, and/or one (1) each per type of sprinkler head provided and a wrench.

7. An electric bell shall be installed on the exterior of the b uilding and have a dedicated circuit with lockout on breaker.

8. Fire sprinkler heads shall be required under any stairwell where a compartment, room, and/or closet is located.

9. Newly constructed single -family homes: Covered and enclosed patios, California rooms and/or similar outdoor rooms or living spaces where a natural 197

23 gas line for a fuel-fired appliance is permanently installed shall have fire sprinkler protection.

E. Quick-Response and Residential Sprinklers. Where automatic sprinkler systems are required by this code, quick -response or residential automatic sprinklers shall be installed in the following areas in accordance with Section 903.3.2 of the California Fire Code (2022 Edition) and their listings:

1. Throughout all spaces within a smoke compartment containing patient sleeping units in Group 1-2 in accordance with the California Building Code.

2. Throughout all spaces within a smoke compartment containing treatment rooms in ambulatory care facilities.

3. Dwelling units and sleeping units in Group R occupancies.

4. Light-hazard occupancies as defined in NFPA 13.

F. Existing Group R1 and R2 Buildings.

1. Upon an improvement requiring a building permit and the valuation exceeds 50 percent of the assessed property value, an automa tic fire sprinkler system shall be installed in accordance with the most currently adopted edition of the National Fire Protection Association (NFPA) 13 “Standard for the Installation of Sprinkler Systems.”

G. Commercial/Industrial Building Additions.

1. Any new addition to an existing building that places the building’s total square footage above 6,000 square feet shall require an automatic fire sprinkler system.

H. Fire Alarm Systems.

24 Edition) and provide occupant notification in accordance with Section 907.5, unless other requirements are provided by another section of this code.

a. All fire alarm and detection systems required by subsection (H)(1) above, shall require central station service monitoring as defined by and in accordance with the 2022 Edition of NFPA 72, Chapter 26. An Underwriters Laboratories (UL) Certificat e or Factory Mutual (FM) Placard, in accordance with 2022 Edition of NFPA 72, Chapter 26, shall be issued by the UL Listed or FM Approved prime contractor for all newly installed fire alarm systems in commercial occupancies. This regulation shall apply to all fire alarm systems that are newly installed in commercial occupancies for which permits are required by the Stockton Fire Department, Fire Prevention Division, on or after, January 1, 2023.

c. Any existing fire alarm system where four (4) or more “faulty” false alarms, determined to be from a system malfunction, occur in a one (1) month period shall be subject to the same certification requirement as a new fire alarm system or replacement of an existing alarm system—Central station service in accordance with the 2022 Edition of NFPA 72, Chapter 26.

d. Central Station service in full compliance with the 2022 Edition of NFPA 72, Chapter 26, shall be maintained at the protected property, so long as the requirement for the fire alarm system exists.

f. Definitions.
i. A faulty false alarm is an alarm caused by a malfunction of a system or accidental setoff and such an alarm will be evaluated on a case-by-case basis at the discretion of the Fire Marshal or designee.
ii. Commercial occupancies are defined as those occupancies in use groups A (Assembly); B (Business); E (Educational); F (Factory); H (High Hazard); I (Institutional); R -1, R -2, R -4 (Residential).
iii. R-3 (Residential) is defined as one- and two-family dwellings.

2. In new and existing buildings, manual pull stations are required at every public - 199

25 accessible door and every employee service door within a building to initiate a fire alarm signal for fire alarm systems employing automatic fire detectors or fire sprinkler water-flow detection devices.

3. Groups A, B, E, F, M, and R occupancy exceptions that indicate omissions of manual fire alarm boxes shall not apply.

4. One exterior approved audible/visual device, located on the exterior of each building in an approved location, shall be connected to each automatic sprinkler system. Such sprinkler waterflow alarm devices shall be activated by water flow equivalent to the flow of a single sprinkler of the smallest orifice size installed in the system. Where a fire alarm system is installed, actuation of the automatic sprinkler system shall actuate the building fire alarm system. Visible alarm notification appliances shall be required.

I. Remote Test Switches. Where in -duct smoke detectors are installed in concealed locations more than 10 feet (3 m) above the finished floor or in arrangements where the detector’s alarm indicator is not visible to responding personnel, the detectors shall be provided with remote alarm indicators and test switch plates. Remote alarm indicators and test switch plates shall be installed in an accessible location and shall be clearly labeled to indicate both their functions and the air-handling unit(s) associated with each detector and test switch plate (for example, In -duct Smoke Detector Alarm and test switch plate for In-duct Smoke Detector).

J. Private Fire Hydrants. All private fire hydrants shall be annua lly inspected, maintained, and tested in accordance with NFPA 25 and the 2022 California Fire Code Sections 507.5.2 and 507.5.3. Additionally, all private hydrants shall receive a five-year inspection and flow test. The inspection, maintenance, testing, and repair of all private fire hydrants shall be the sole responsibility of the owner of the property where the private fire hydrants are located

Only the following sections of Title 15, Chapter 15.16 of the Stockton Municipal Code, are hereby amended to read as follows:

15.16.010 Adoption of California Plumbing Code.

On January 1, 2023, there w as filed in the office of the City Clerk one (1) cop y of the California Plumbing Code, 2022 Edition, including all appendices and installation standards adopted by the International Association of Plumbing and Mechanical Officials. Said code is hereby incorporated in this code by reference.

15.16.020 Amendments.

Notwithstanding the provisions of Section 15.16.010, the California Plumbing Code is amended as follows:

A. Chapter 1, Division II, Section 104.5 “Fees” is not adopted.

B. Chapter 2, Section 218.0 definition “Private Sewage Disposal Systems” is amended as follows:
200

26 A septic tank with the effluent discharging into a subsurface disposal field, into one or more seepage pits, or into a combination of subsurface disposal field and seepage pit or of such other facilities as may be permitted under the procedures set forth elsewhere in this code. The installation of private sewage disposal is under the jurisdiction of the San Joaquin County Environmental Health Department.

C. Section 713.4 is amended as follows:

713.4 Public Sewer Availability. The public sewer may be considered as not being available when public sewer is not available within 200 feet of the property line.

D. Section D 102, Appendix D, “Sizing by Flow Rate” is amended as follows:

Section D 102.1 General. Roof drainage, roof drains, and roofs shall be designed to carry away rainfall at the rate of at least 2 inches of rainfall per hour.

E. The provisions of the California Plumbing Code in reference to Food Waste Disposal Sections 714.4 and 1014.1.3 shall be amended as per Stockton Municipal Code Section

13.40.070(B) prohibiting the installation of food grinder in a food service establishment.

Only the following sections of Title 15, Chapter 15.20 of the Stockton Municipal Code, are hereby amended to read as follows:

15.20.010 Adoption of California Mechanical Code.

On January 1, 2023, there w as filed in the office of the City Clerk one (1) cop y of the California Mechanical Code, 2022 Edition including all appendices jointly published by the International Association of Plumbing and Mechanical Officials. Said code is hereby incorporated in this code by reference.

15.20.020 Amendments.

Notwithstanding the provisions of Section 15.20.010, the California Mechanical Code is amended as follows:

A. Chapter 1, Division II, Section 104.5 “Fees” is not adopted.

Only the following sections of Title 15, Chapter 15.36 of the Stockton Municipal Code, are hereby amended to read as follows:

15.36.010 Adoption of California Electrical Code.

On January 1, 2023, there w as filed in the office of the City Clerk one (1) cop y of the California Electrical Code, 2022 Edition, as adopted by the National Fire Protection Association.

Said code is hereby incorporated in this code by reference.

15.36.020 Effect of code provisions.
201

27 The provisions of this chapter are supplementary to the prov isions of the California Electrical Code, 2022 Edition, as adopted in Section 15.36.010. The provisions of this chapter control over the provisions of the California Electrical Code Article 90, to the extent that any conflict or contradiction exists.

15.36.030 Main disconnecting switches and meters.

B. Exceptions:

1. A shunt trip switch may be installed on the exterior of the building at an approved location.

2. Installation of an electrical service room with a door on the exterior wall of the building permanently labeled “Electrical Room” may be permitted.

C. Disconnecting means for Energy Storage Systems (ESS), as defined in the California Electrical Code, shall be located in the immediate vicinity of the main service disconnect.

The location of the disconnecting means shall be field marked on or immediately adjacent to the ESS.

15.36.040 Conduits – Nonresidential building.

For the purposes of this Section, nonresidential shall mean any building type used for commercial purposes regardless of the occupancy class ification assigned to the building in accordance with Chapter 3 of the California Building Code including, but not limited to, hotels, motels, assisted living facilities, and social rehabilitation facilities.

A. In all new nonresidential types of buildings, the wiring method shall be wired in raceway approved for purpose and use. Nonmetallic-Sheathed Cable, as defined in the California Electrical Code, shall not be permitted.

B. In existing residential or nonresidential types of building converting or changing to another use, the type of wiring method shall be approved by the Building Official.

15.36.050 Photovoltaic systems.

A. In addition to the labeling requirements of other applicable codes, whenever the main breaker is de-rated or otherwise must maintain a particular rating to comply California Electrical Code Article 705.12(B), a permanent label in conformance with California Electrical Code Article 110.21(B) shall be located on the main service panel and shall include the following words:
“DO NOT UPSIZE MAIN BREAKER”; or
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28 alternatively state the maximum rating allowed by the aforementioned code section with a label stating:
“MAXIMUM MAIN BREAKER ALLOWED IS ____A”
Only the following sections of Title 15, Chapter 15. 40 of the Stockton Municipal Code, is hereby amended to read as follows:

15.40.010 Adoption of California Existing Building Code.

On January 1, 2023, there w as filed in the office of the City C lerk one (1) cop y of the California Existing Building Code, 2022 Edition, as published by the California Building Standards Commission and which incorporates by adoption the 2018 Edition of the International Existing Building Code adopted by the International Code Council. Said code is hereby incorporated in this code by reference.

Only the following sections of Title 15, Chapter 15.44 of the Stockton Municipal Code, are hereby amended to read as follows:

15.44.150 Standards of construction.

In all areas of special flood hazards, the following standards are required:

A. Anchoring. All new construction and substantial improvements of structures, including manufactured homes, shall be adequately anchored to prevent flotation, collapse, or lateral movement of the structure resulting from hydrodynamic and hydrostatic loads, including the effects of buoyancy.

B. Construction Materials and Methods. All new construction and substantial improvements of structures, including manufactured homes, shall be constructed:

1. With flood resistant materials and utility equipment resistant to flood damage for areas below the base flood elevation;

2. Using methods and practices that minimize flood damage;

3. With electrical, heating, ventilation, plumbing, and air conditioning equipment and other service facilities that are designed and/or located so as to prevent water from entering or accumulating within the components during conditions of flooding; and

4. Within Zo nes AH or AO so that there are adequate drainage paths around structures on slopes to guide flood waters around and away from proposed structures.

C. Elevation and Floodproofing.

29 flood elevation;
b. In an AO zone, elevated above the highest adjacent grade to a height two (2) feet above the depth number specified in feet on the FIRM, or elevated at least four (4) feet above the highest adjacent grade if no depth number is specified;
c. In an A zone, without BFEs specified on the FIRM [unnumbered A zone], elevated at least two (2) feet above the base flood elevation; as determined under Section 15.44.120(C).

Upon the completion of the structure, the elevation of the lowest floor, including basement, and all machinery a nd equipment servicing the building shall be certified by a registered civil engineer or licensed land surveyor, and verified by the community building inspector to be properly elevated. Such certification and verification shall be provided to the Floodplain Administrator.

2. Nonresidential Construction. All new construction or substantial improvements of nonresidential structures shall either be elevated to conform with Section

15.44.150(C)(1) or:
a. Be floodproofed, together with attendant utility and sanitary facilities, below the elevation recommended under Section 15.44.150(C)(1), so that the structure is watertight with walls substantially impermeable to the passage of water;
b. Have structural components capable of resisting hydrostatic and hydrodynamic loads and effects of buoyancy; and
c. Be certified by a registered civil engineer or architect that the standards of Sections 15.44.150(C)(2)(a) and (b) are satisfied. Such certification shall be provided to the Floodplain Administrator.

3. Flood Openings. A ll new construction and substantial improvements of structures with fully enclosed areas below the lowest floor (excluding basements) that are usable solely for parking of vehicles, building access or storage, and which are subject to flooding, shall be de signed to automatically equalize hydrostatic flood forces on exterior walls by allowing for the entry and exit of floodwater. Designs for meeting this requirement must meet the following minimum criteria:
a. For Nonengineered Openings.
i. Have a minimum of two (2) openings on different sides having a total net area of not less than one (1) square inch for every square foot of enclosed area subject to flooding,
ii. The bottom of all openings shall be no higher than one (1) foot above grade,
iii. Openings may be equipped w ith screens, louvers, valves, or other coverings or devices provided that they permit the automatic entry and exit of floodwater, and
iv. Buildings with more than one (1) enclosed area must have openings on exterior walls for each area to allow flood water to directly enter; or
b. Be certified by a registered civil engineer or architect.

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30 4. Manufactured Homes. See Section 15.44.180.

5. Garages and Low Cost Accessory Structures.
a. Attached Garages.
i. A garage attached to a residential structure, constructed with the garage floor slab below the BFE, must be designed to allow for the automatic entry of flood waters. See Section

15.44.150(C)(3). Areas of the garage below the BFE must be constructed with flood resistant materials. See Section

15.44.150(B);
ii. A garage attached to a nonresidential structure must meet the above requirements or be dry floodproofed. For guidance on below grade parking areas, see FEMA Technical Bulletin TB-6. b. Detached Garages and Accessory Structures.
i. “Accessory structures” used solely for parking (two (2) car detached garages or smaller) or limited storage (small, low-cost sheds), as defined in Section 15.44.040, may be constructed such that its floor is below the BFE, provided the structure is designed and const ructed in accordance with the following requirements:
(A) Use of the accessory structure must be limited to parking or limited storage,
(B) The portions of the accessory structure located below the BFE must be built using flood-resistant materials,
(C) The accessory structure must be adequately anchored to prevent flotation, collapse, and lateral movement,
(D) Any mechanical and utility equipment in the accessory structure must be elevated or floodproofed to or above the BFE, (E) The accessory structure mu st comply with floodplain encroachment provisions in Section 15.44.200, and
(F) The accessory structure must be designed to allow for the automatic entry of flood waters in accordance with Section

15.44.150(C)(3);

6. Detached garages and accessory structures not meeting the above standards must be constructed in accordance with all applicable standards in Section

15.44.150.

Only the following section of Title 15, Chapter 15.64 of the Stockton Municipal Code, is hereby amended to read as follows:

15.64.010 Adoption of the International Swimming Pool and Spa Code.

On January 1, 2023, there were filed in the office of the City Clerk, one (1), copy of the International Swimming Pool and Spa Code, 2021 Edition, as published by the International Code Council. Said code is hereby incorporated in this code by reference.

Only the following sections of Title 15, Chapter 15.72 of the Stockton Municipal Code, are hereby 205

31 amended to read as follows:

15.72.020 Adoption of California Green Building Standards Code.

On January 1, 2023, there w as filed in the office of the City Clerk one (1) cop y of the California Green Building Standards Code, 2022 Edition, as published by the California Building Standards Commission. Said code is hereby incorporated in this code by reference.

15.72.030 General Provisions – Applicability.

A. This chapter shall not in any manner affect the permissible use of property, density/intensity of development, design and improvement standards, design review and other applicable standards or requirements of this code, all of which sha ll be operative and remain in full force and effect without limitation.

B. This title shall not in any manner preclude any applicant from implementing additional green strategies or to earn certification per the Leadership in Energy and E nvironmental Design (LEED), Green Point Rated, Living Building Challenge or other similar third -party verified green building rating systems, provided that these rating systems meet or exceed the requirements of the California Building Standards Code, Title 24, Part 4 (Energy Code) and Part 11 (CALGreen).

C. All new construction, additions, alterations, and repairs shall demonstrate compliance with the applicable requirements of the 2022 California Energy Code, Title 24, Part 6 and the 2022 California Green Building Standards Code.

When conditions warrant the City Council may request that staff propose for adoption of an enhanced green building program (ordinance).

Only the following section of Title 15 of the Stockton Municipal Code, is hereby amended to read as follows:

Chapter 15.82 HISTORICAL CODE

15.82.010 Adoption of California Historical Building Code.

On January 1, 2023, there was filed in the office of the City Clerk one (1) copy of the California Historical Building Code, 2022 Edition, as published by the California Building Standards Commission. Said code is hereby incorporated in this code by reference.

Only the following section of Title 15 of the Stockton Municipal Code, is hereby amended to read as follows:

Chapter 15.86 ENERGY CODE

15.86.010 Adoption of California Energy Code.

On January 1, 2023, there was filed in the office of the City Clerk one (1) copy of the California Energy Code, 2022 Edition, as published by the California Building Standards Commission. Said 206

32 code is hereby incorporated in this code by reference.

The following section of Title 15 of the Stockton Municipal Code, is hereby a dded to read as follows:

Chapter 15.90 Electric Vehicle Charging Stations

15.90.010 Purpose.

The purpose of this Chapter is to promote and encourage the use of electric vehicles by creating an expedited, streamlined permitting process for electric vehicle charging stations while promoting public health and safety and preventing specific adverse impacts in the installation and use of such charging stations. This Chapter is also purposed to comply with California Government Code Section 65850.7.

15.90.020 Definitions.

The following words and phrases as used in this section are defined as follows:

“Electric vehicle charging station” or “charging station” means any level of electric vehicle supply equipment station that is designed and built in compliance with Article 625 of the California Electrical Code, as it reads on the effective date of this Chapter, and delivers electricity from a source outside an electric vehicle into a plug-in electric vehicle.

“Specific, adverse impact” means a significant, quantifiable, direct, and unavoidable impact, based on objective, identified, and written public health or safety standards, policies, or conditions as they existed on the date the application was deemed complete.

“Electronic submittal” means the utilization of one or more of the following:

1. Electronic mail or E-mail;

2. The internet;

3. Facsimile.

15.90.030 Expedited permitting process.

Consistent with Government Code Section 65850.7, the Building Official shall implement an expedited, streamlined permitting process for electric vehicle charging stations, and adopt a checklist of all requirements with which electric vehicle charging stations shall comply with in order to be eligible for expedited review. The expedited, streamlined permitting process and checklist may refer to the recommendation s contained in the most current version of the “Plug -In Electric Vehicle Infrastructure Permitting Checklist” of the “Zero -Emission Vehicles in California:

Community Readiness Guidebook” as published by the Governor’s Office of Planning and Research. The City’s adopted checklist shall be published on the City’s website.

15.90.040 Permit application processing.

A. Prior to submitting an application for processing, the applicant shall verify that the 207

33 installation of an electric vehicle charging station will not have specific, adverse impact to public health and safety and building occupants. Verification by the applicant includes but is not limited to electrical system capacity and loads; electrical s ystem wiring, bonding and overcurrent protection; building infrastructure affected by charging station equipment and associated conduits; areas of charging station equipment and vehicle parking.

B. A permit application that satisfies the information requirements in the City’s adopted checklist shall be deemed complete and be promptly processed. Upon confirmation by the Building Official that the permit application and supporting documents meets the requirements of the City adopted checklist, and is consiste nt with all applicable laws and health and safety standards, the Building Official shall, consistent with Government Code Section 65850.7, approve the application and issue all necessary permits. Such approval does not authorize an applicant to energize or utilize the electric vehicle charging station until approval is granted by the C ity. If the Building Official determines that the permit application is incomplete, he or she shall issue a written correction notice to the applicant, detailing all deficie ncies in the application and any additional information required to be eligible for expedited permit issuance.

C. Consistent with Government Code Section 65850.7, the Building Official shall allow for electronic submittal of permit applications covered by th is Ordinance and associated supporting documentations. In accepting such permit applications, the Building Official shall also accept electronic signatures on all forms, applications, and other documentation in lieu of a wet signature by any applicant.

15.90.050 Technical review.

If the Building Official makes a finding based on substantial evidence that the electric vehicle charging station could have a specific adverse impact upon the public health or safety, as defined in this Chapter, the City may require the applicant to apply for a use permit.

15.90.060 Electric vehicle charging station installation requirements.

A. Electric vehicle charging station equipment shall meet the requirements of the California Electrical Code, the Society of Automotive Engineers, the National Electrical Manufacturers Association, and accredited testing laboratories such as Underwriters Laboratories, and rules of the Public Utilities Commission or a Municipal Electric Utility Company regarding safety and reliability.

34 C. Installation of electric vehicle charging stations shall be incorporated into the load calculations of all new or existing electrical services and shall meet the requirements of the California Electrical Code. Electric vehicle charging equipment shall be considered a continuous load.

D. Anchorage of either floor-mounted or wall-mounted electric vehicle charging stations shall meet the requirements of the California Building or Residential Code as applicable per occupancy, and the provisions of the manufacturer’s in stallation instructions. Mounting of charging stations shall not adversely affect building elements.

SECTION III. SEVERABILITY

If any provision of this ordinance or the application thereof to any person or circumstance is held invalid, that invalidity shall not affect other provisions or applications of the act which can be given without the invalid provision or application, and to this end the provisions of this act are severable.

SECTION IV. EFFECTIVE DATE

This ordinance shall take effect and be in full force on January 1, 2023 after its passage.

ADOPTED:

EFFECTIVE:

KEVIN J. LINCOLN II
Mayor of the City of Stockton
ATTEST:

ELIZA R. GARZA, CMC
City Clerk of the City of Stockton

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City of Stockton
Legislation Text
File #: 22-1018, Version: 1

APPROVE A RESOLUTION AUTHORIZING THE PURCHASE OF LIBRARY FURNITURE FOR

TRACY AND MANTECA BRANCH LIBRARIES UTILIZING THE COOPERATIVE AGREEMENTS

WITH NATIONAL COOPERATIVE PURCHASING ALLIANCE, AND AMENDING THE FISCAL YEAR 2022-23 BUDGET FOR THE TRACY AND MANTECA BRANCHES OF STOCKTON SAN JOAQUIN COUNTY LIBRARY SYSTEM, TO REALLOCATE $200,930 FROM CITY-HELD COUNTY

FUND BALANCE

RECOMMENDATION
It is recommended that the City Council approve a resolution to:

1. Approve the use of a Cooperative Agreement through the National Cooperative Purchasing Alliance (“NCPA”) Contract Number 07-85 with Demco, Inc. to acquire furniture, fixtures, and equipment for each of the Tracy and Manteca branch libraries.

4. Approve findings that support and justify an exception to the competitive bidding process.

5. Amend the Fiscal Year 2022-23 Annual Budget to appropriate $200,930 from City-Held County Fund Balance to the Manteca Branch Library ($34,930) and Tracy Branch Library ($166,000) accounts.

6. Authorize the City Manager, or designee, to take necessary and appropriate actions to carry out the purpose and intent of this resolution.

Summary
The City of Stockton operates the Stockton-San Joaquin County Public Library System (“Library”).

The Library received funding from the County of San Joaquin to made improvements at Tracy and Manteca branches. The Community Services Department staff recommend entering into two new Cooperative Purchasing Agreements with Demco, Inc. to purchase furniture, fixtures, and equipment (“FF&E”) for each of the two County branch library projects using the Cooperative Purchasing Agreement with NCPA. The proposed purchase will be for the Tracy adult and teen access points, which is scheduled to start November 2022. The Manteca children’s department design process will City of Stockton Printed on 11/10/2022Page 1 of 4
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begin later in the winter. The proposed contract term through October 31, 2025. The Manteca Branch refresh will not exceed $88,000 and the Tracy Branch refresh will not exceed $394,606.58.

DISCUSSION
Background
The City of Stockton operates the Stockton-San Joaquin County Public Library System (“Library”) which is made up of eight City branches/micro libraries and eight County branches.

The Manteca Library, located at 320 W Center Street, is owned, and maintained, by the City of Manteca. The original branch was built and dedicated in 1962 and underwent an extensive remodel in 1979 that tripled the square footage. The Manteca branch has not had any meaningful updates since 1979. In FY2020-21 the County budgeted $45,000 for updating service points for ADA compliance. Once the project was reviewed, the County approved an additional $190,000 in FY 2021-22 to completely update the Adult and Teen area furnishings along with critical service points.

The improvements allowed for new shelving, new seating options, and charging for personal devices.

The Tracy Library is located at 20 E Eaton Ave and is owned and maintained by the City of Tracy.

The building was dedicated in 1961 and was remodeled and expanded in 1987. The County and Friends of the Library funded improvements for safe and welcoming spaces for $45,000 in 2020.

Improvements to the Children’s area were approved in 2021 for $50,000. This provided shelving updates for uniformity, new tables and chairs, and an ADA-compliant reference desk.

Patron use of libraries is evolving and as use changes, refresh/remodel projects are enacted to create welcoming spaces, encourage collaboration, and the ability to use and charge personal devices.

Present Situation
City staff recommends the purchase of furniture and fixtures from Demco, Inc. utilizing a Cooperative Purchasing Agreement with NCPA. The Tracy Library quote is incorporated into Exhibit 1 of the proposed resolution. If approved, staff will work with Demco to identify products and services, and prepare a quote for the City Manager’s approval. The Manteca branch project, Exhibit 2 of the proposed resolution, is within the City Manager’s authority, but both projects are being brought forward for transparency and for budget allocation and appropriation under the Proposed Resolution to utilize City-held County Fund Balance.

The National Cooperative Purchasing Alliance is a national government purchasing cooperative that leverages the purchasing power of public agencies. Master contracts are competitively solicited by lead agencies, advertised, and noticed for 30 days, and evaluated based on quality, performance, and pricing. These cooperative purchasing contracts are optional and available to state and local municipal agencies.

The recommended resolution authorizes the City Manager or designee to execute two Cooperative Purchasing Agreements through NCPA: $394,606.58 and $88,000 with DEMCO, Inc. for each of the projects. The NCPA agreement not to exceed amount includes a 10% contingency for each project, for potential cost increases related to supply chain issues.

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The FF&E products will require related services: Project Management, delivery, and installation that complies with City municipal code and California prevailing wage requirements. Those items are considered “on contract” and included in the quote. Demco is utilizing a qualified subcontractor which has been vetted for compliance. for installation.

Findings
Pursuant to the Stockton Municipal Code (SMC) section 3.68.070, City Council may approve findings that support an exception to the competitive bidding process. These findings include:

1. City staff seeks a cost-effective, competitive process to purchase FF&E for the branch projects. The City has an existing procurement process as an exception to the competitive bidding process using a cooperative purchasing agreement. The cooperative purchasing agreement provides an efficient, streamlined approach to procurement.

2. NCPA established a Cooperative Purchasing Agreement with Demco through the local Demco distributor to purchase library furniture, fixtures, and equipment.

3. The NCPA agreement is based on an RFP with Region 14 ESC as the lead public agency.

The terms of that RFP and the resulting contract allow other public agencies to benefit from that contract.

4. The NCPA Cooperative Purchasing Agreement provides better pricing based on aggregated purchasing volume than the City’s singular procurement process.

5. Taking advantage of leveraged procurement agreements negotiated by NCPA is efficient and cost-effective. It reduces the administrative expenses of City staff conducting RFPs to source, award, and administer the contracts. The use of this contract lessens the workload of procurement staff.

6. The specifications of furniture, fixtures, and equipment through NCPA contracts meet the City’s procurement requirements.

7. Demco provides well-constructed, unique, and hard-to-find solutions for library spaces. The products ordered for this facility will match the City’s standard requirements for this project and deliver FF&E that improves space utilization.

FINANCIAL SUMMARY
The County Library Branches are funded by San Joaquin County.

Renovation costs for the Tracy and Manteca branches were included in the Fiscal Year 2022-23 Adopted Budget, however due to inflation, estimates are significantly higher than anticipated.

A proposed Council Resolution is attached to reallocate funding from the City-held County Fund Balance to supplement the adopted budget. If approved, the resolution will provide sufficient funds for the Demco purchases as well as other branch refresh expense (cabling, flooring, etc.) City of Stockton Printed on 11/10/2022Page 3 of 4
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A $50,000 donation to the Tracy Library will supplement funding for the Demco Agreement. This amount is currently in fund balance in account 0000-000-39000-260-262-00-00-000-000 (originally in HTE account 644-0202-283.70-04). Staff will activate account 5000-815-650008-260-263-40-50-000- 000 with the donation plus accrued interest and apply Demco invoices to this account.

It is recommended the Library utilize the Cooperative Purchasing Agreements with Demco for the procurement of furniture for the following libraries.

Library Improvements in FY 2022-23
Branch
Amount Account
Tracy $344,606.58 5012-815-650008-100-120-40-50-000-000 Tracy (Donation) $ 50,000.00 5000-815-650008-260-263-40-50-000-000 Manteca $ 88,000.00 5012-811-650008-100-120-40-50-000-000 Total FY2022-23 $482,606.58
If approved, staff will implement the attached quote which is incorporated into the contract for Tracy Branch Library and work with Demco to space plan, identify products, and obtain quotes for the Manteca Branch Library project. Those quotes and invoices will be approved through Munis.

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Resolution No.

STOCKTON CITY COUNCIL

RESOLUTION AUTHORIZING THE PURCHASE OF LIBRARY FURNITURE FOR

TRACY AND MANTECA BRANCH LIBRARIES UTILIZING THE COOPERATIVE

AGREEMENT WITH NATIONAL COOPERATIVE PURCHASING ALLIANCE, AND AMENDING THE FISCAL YEAR 2022-23 BUDGET FOR THE TRACY AND MANTECA

BRANCHES OF STOCKTON SAN JOAQUIN COUNTY L IBRARY SYSTEM , TO REALLOCATE $200,930.00 FROM CITY-HELD COUNTY FUND BALANCE

City staff recommends the purchase of furniture and fixtures from Demco, Inc. utilizing a Cooperative Purchasing Agreement with NCPA for the Tracy and Manteca branch libraries; and

The National Cooperative Purchasing Alliance is a national government purchasing cooperative that leverages the purchasing power of public agencie s. Master contracts are competitively solicited by lead agencies, advertised , and noticed for 30 days, and evaluated based on quality, performance , and pricing. These cooperative purchasing contracts are optional and available to state and local municipal agencies; and

The FF&E products will require related services: Project Management, delivery and installation that complies with City municipal code and California prevailing wage requirements. Those items are considered “on contract” and included in the quote. Demco is using a qualified subcontractor for installation which has been vetted for compliance ; and

Due to inflation, the revised estimates for the Manteca and Tracy Library Branch furniture refresh projects require a dditional budget allocations in the amounts of $34,930.00 for Manteca and $ 166,000.00 for Tracy, totaling $ 2 00,930.00 above the adopted budget; and

This budget amendment request includes contingency funding for Demco furnishings, as well as other refresh/remodel expenses (cabling, flooring, etc.); and

San Joaquin County does not need to appropriate or otherwise authorize budget amendments to reallocate funds from the City-Held County Fund Balance; now, therefore,

BE IT RESOLVED BY THE CITY COUNCIL OF THE CITY OF STOCKTON, AS FOLLOWS:

1. The City Council hereby approves the following findings in support of granting an exception to the competitive bid process pursuant to Stockton Municipal Code section 3.68.070.
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a. City staff seeks a cost-effective, competitive process to purchase FF&E for the branch library projects. The City has an existing procurement process as an exception to the competitive bidding process using a cooperative purchasing agreement. The cooperative purchasing agreement provides an efficient, streamlined approach to procurement.

b. NCPA established a Cooperative Purchasing Agreement with Demco through the local Demco distributor to purchase library furniture, fixtures, and equipment.

c. The NCPA agreement is based on an RFP with Region 14 ESC as the lead public agency. The terms of that RFP and the resulting contract allow other public agencies to benefit from that contract.

d. The NCPA Cooperative Purchasing Agreement provides better pricing based on aggregated purchasing volume than the City’s singular procurement process.

e. Taking advantage of leveraged procurement agreements negotiated by NCPA is efficient and cost -effective. It reduces the administrative expenses of City staff conducting RFPs to source, award, and administer the contracts. The use of this contract lessen s the workload of procurement staff.

f. The specifications of furniture, fixtures, and equipment through NCPA contracts meet the City’s procurement requirements.

g. Demco provides well-constructed, unique, and hard-to-find solutions for library spaces. The products ordered for this facility will match the City’s standard requirements for this project and deliver FF&E that improves space utilization.

2. The City Manager or designee is authorized to execute a multi -year Cooperative Purchasing Agreement for the Tra cy Branch Library, in the amount of $394,606.58 with Demco, Inc, attached as Exhibit 1 and incorporated herein by this reference.

3. The City Manager or designee is authorized to execute a multi -year Cooperative Purchasing Agreement for the Manteca Branc h Library, in the amount of $88,000.00 with Demco, Inc. attached as Exhibit 2 and incorporated by this reference.

//
//

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4. The Fiscal Year 2022 -23 Annual Budget is amended to appropriate $200,930.00 from City Held County Fund Balance to the Manteca Branch Library ($34,930.00) and Tracy Branch Library ($ 166,000.00) accounts as needed to carry out the purpose and intent of this resolution. The City Manager is hereby authorized to take whatever actions are necessary and appropriate to carry out the purpose and intent of this Resolution.

PASSED, APPROVED, and ADOPTED November 15, 2022 .

KEVIN J. LINCOLN II
Mayor of the City of Stockton
ATTEST:

ELIZA R. GARZA, CMC
City Clerk of the City of Stockton

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DRAFT COOPERATIVE/PIGGYBACK PURCHASE

AGREEMENT
AGREEMENT SUMMARY:

1. Cooperative/Piggyback
Name:

National Cooperative Purchasing Alliance (“NCPA”)

2. Contractor: DEMCO, Inc.

3. Cooperative Agency
Agreement Name and
Agreement Number:

NCPA 07-85

4. Cooperative Agency Initial
Agreement Term:

Start Date: September 1, 2022
End Date: September 30, 2025

5. Cooperative Agency’s
Agreement-Options to
extend:

May be renewed for up to five (5) additional one (1)
year terms, however, the Agreement, including any
extensions, shall not go beyond the eight years as a
total term.

6. Cooperative Agency
Amended Term:

Agreement is in initial term.

7. Cooperative Agency
Remaining Options to
Renew:

Up to five (5) additional one-year terms.

8. City of Stockton
Cooperative Purchase
Agreement Term:

Start Date: September 1, 2022
End Date: September 30, 2025

9. City of Stockton
Cooperative/ Piggyback
Purchase Agreement
Amount:

Not to Exceed $394,606.58 for the term of the
Agreement.

AGREEMENT
The City of Stockton, a California municipal corporation on behalf of itself and its associated entities ("City"), and the above-named Contractor (“Contractor”), do hereby agree that City shall be granted the pricing, terms, and conditions under the above referenced NCPA 07-85 (Demco Code 20601) (“COOP”) as such may be amended from time to time. The COOP and associated documents referenced in the agreement are incorporated herein as Exhibit A to this City Cooperative/Piggyback Purchase Agreement (“Agreement”).

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2 (Rev. 6.14.21)
Contractor shall grant such pricing, terms, and conditions to City for all procurements of goods and services, whether taking place on a City purchase order, purchasing card (credit card), or other purchasing modality, whether via telephone, via the Contractor website, or via direct purchase at a Contractor retail location.

1. Agreement Term: The Term of this Agreement shall remain in effect from September 1, 2022 through September 30, 2025 unless terminated earlier by the City.

2. Insurance and Hold Harmless: In addition to the pricing, terms and conditions stated in the COOP and the associated documents incorporated herein as Exhibit A, Contractor shall, at Contractor’s sole cost and expense and for the full term of the Agreement or any extension thereof, obtain and maintain at least all the insurance requirements listed in attached Exhibit B.

To the fullest extent permitted by law, Contractor shall hold harmless, defend and indemnify City of Stockton and its officers, officials, employees and volunteers from and against any and all liability, loss, damage, expense, costs (including without limitation costs and fees of litigation) of every nature arising out of or in connection with Contractor’s performance of work hereunder or its failure to comply with any of its obligations contained in the agreement, except such loss or damage which was caused by the sole negligence or willful misconduct of the City of Stockton. This obligation is independent of, and shall not in any way be limited by, the minimum Insurance obligations contained in this agreement. These obligations shall survive the completion or termination of this agreement.

3. Compensation: City and Contractor do hereby enter into this Agreement for Furniture, Fixtures, and Equipment and related services (project management, delivery, and prevailing wage installation) for the Tracy Branch Library refresh available in the above-named COOP and associated documents incorporated herein as Exhibit A and referenced in the attached quote Exhibit C. In no way, shall payment to the Contractor during the term of this Agreement exceed $394,606.58 for the purchase of furniture, fixtures, equipment, and related services (project management, delivery, and prevailing wage installation) for the Tracy Branch Library refresh. Any person signing this Agreement on behalf of City or Contractor does warrants that he or she has full authority to do so.

4. Governing Law. California law shall govern any legal action pursuant to this Agreement with venue for all claims in the Superior Court of the County of San Joaquin, Stockton Branch or, where applicable, in the Federal District Court of California, Eastern District, Sacramento Division.

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3 (Rev. 6.14.21)
This Agreement may be amended only by a written amendment, consistent with the COOP, signed by Contractor and City.

CITY OF STOCKTON CONTRACTOR NAME.

By: __________________________
Harry Black, City Manager Signature
____________________________
Print name
ATTEST: Title: ________________________
____________________________ [If Contractor is a corporation, signatures must Eliza R. Garza CMC, City Clerk comply with Corporations Code §313] APPROVED AS TO FORM:

By: __________________________
___________________________ Signature
City Attorney,
__________________________
Print name
Title: _______________________
EXHIBIT 1
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4 (Rev. 6.14.21)

EXHIBIT A
NCPA 07-85

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DEMCO NCPA
Contract Number 07-85
Lead Agency – Region 14 ESC
Contract Term: Three (3) year term starting September 1, 2022 to September 30, 2025 Option to renew for five (5) additional one (1) year periods

Items:

RFP for Furniture
Awarded Response to RFP
Evaluation: Bid Tab & Request for RFP List
Region 14 Award Letter
Advertisements (3)
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Request for Proposal (RFP) for Furniture
Solicitation Number: 24-22
Publication Date: Tuesday, June 7th, 2022
Notice to Respondent:

Submittal Deadline: Thursday, July 21st, 2022 2:00 pm CST Questions regarding this solicitation must be submitted to [email protected] no later than Thursday, July 14th 2022. All questions and answers will be posted to http://www.ncpa.us/solicitations.

It is the intention of Region 14 Education Service Center (herein “Region 14 ESC”) to establish a Master Agreement for Furniture for use by Region 14 ESC and other public agencies supported under this contract. This Request for Proposal is issued on behalf of the National Cooperative Purchasing Alliance through a public agency clause, which provides that any county, city, special district, local government, school district, private K-12 school, higher education institution, state, other government agency, healthcare organization or nonprofit organization may purchase Products and Services through this contract. Respondents will be required to execute the NCPA Administration Agreement upon award.

This contract will allow agencies to purchase on an “as needed” basis from a competitively awarded contract. Respondents are requested to submit their total line of available products and services. While this solicitation specifically covers Furniture, respondents are encouraged to submit an offering on any or and all products and services available that they currently perform in their normal course of business.

Responses shall be received electronically no later than the submittal deadline via our online Bonfire portal at ncpa.bonfirehub.com
Immediately following the deadline, all responses will be publicly opened and the respondents recorded.

Any response received later than the specified deadline will be disqualified.

Responses will remain sealed by our online Bonfire portal until the bid opening time specified.

Responses received outside our online Bonfire portal will not be accepted. Sealed responses may be submitted on any or all items, unless stated otherwise. Proposal may be rejected for failure to comply with the requirements set forth in this invitation.

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Competitive Solicitation by
Region 14 Education Service Center
For
Furniture
On behalf of itself and other Government Agencies
And made available through the
National Cooperative Purchasing Alliance
RFP # 24-22

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Introduction / Scope
¨ Region 14 ESC on behalf of itself and all states, local governments, school districts, and higher education institutions in the United States of America, and other government agencies and non- profit organizations (herein “Public Agency” or collectively “Public Agencies”) is soliciting proposals from qualified vendors to enter into a Master Agreement for a complete line of Furniture.

¨ Region 14 ESC, as the lead public agency, has partnered with NCPA to make the resultant contract available to all participating agencies in the United States. NCPA provides marketing and administrative support for the awarded vendor that promotes the successful vendor’s products and services to Public Agencies nationwide. The Vendor will execute the NCPA Administration Agreement (Tab 2) upon award. Vendor should thoroughly review all documents and note any exceptions to NCPA terms and conditions in their proposal.

¨ Awarded vendor(s) shall perform covered product or services under the terms of this agreement.

Respondents shall provide pricing based on a discount from their standard pricing schedules for products and/or services offered. Electronic Catalog and/or price lists must accompany the proposal. Multiple percentage discount structure is also acceptable. Please specify where different percentage discounts apply. Additional pricing and/or discounts may be included.

¨ Each product or service proposed is to be priced separately with all ineligible items identified.

Services may be awarded to multiple vendors. Respondents may elect to limit their proposals to a single product or service within any category, or multiple products or services within any and all categories.

¨ National Cooperative Purchasing Alliance (NCPA)
Ø The National Cooperative Purchasing Alliance (herein “NCPA”) assists public agencies to increase their efficiency and reduce their costs when procuring goods and services. This is accomplished by awarding competitively solicited contracts that are leveraged nationally by combining the volumes and purchasing power of entities nationwide. Our contracts are available for use by any entity that complies with procurement laws and regulations.

¨ It is the intention of Region 14 ESC and NCPA to achieve the following objectives through this RFP.

Ø Provide a comprehensive competitively solicited Master Agreement offering Products and Services to Public Agencies;
Ø Achieve cost savings of Vendors and Public Agencies through a single competitive solicitation process that eliminates the need for multiple proposals; Ø Combine the purchasing power of Public Agencies to achieve cost effective pricing; Ø Reduce the administrative and overhead costs of Vendors and Public Agencies through state of the art purchasing procedures.

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Instructions to Respondents
¨ Submission of Response
Ø Only responses received via our online Bonfire portal will be accepted. Faxed or mailed responses will not be accepted.

Ø Responses may be submitted on any or all items, unless stated otherwise. Region 14 ESC reserves the right to reject or accept any response.

Ø Deviations to the terms, conditions and/or specifications shall be conspicuously noted in writing by the respondent and shall be included with the response.

Ø Withdrawal of response will not be allowed for a period of 120 days following the opening.

Pricing will remain firm for 120 days from submittal.

¨ Public Bid Opening
Ø The public bid opening will be held via Zoom meeting. Interested parties who wish to attend the bid opening should email [email protected] by 4:00 pm the day before the bid opening date to receive an invitation.

¨ Required Proposal Format
Ø Responses shall be provided electronically via our online Bonfire portal. Tabs should be used to separate the proposal into sections, as identified below. Respondents failing to organize in the manner listed may be considered non-responsive and may not be evaluated.

It’s recommended that all tabs, with the exception of Tab 7 (Pricing), be submitted in Portable Document Format (PDF). Please note pricing can be submitted separately in a alternate format (e.g. xlsx, xls, csv).

¨ Tabs
Ø Tab 1 – Master Agreement / Signature Form
Ø Tab 2 – NCPA Administration Agreement
Ø Tab 3 – Vendor Questionnaire
Ø Tab 4 – Vendor Profile
Ø Tab 5 – Products and Services / Scope
Ø Tab 6 - References
Ø Tab 7 - Pricing
Ø Tab 8 – Value Added Products and Services
Ø Tab 9 – Innovation
Ø Tab 10 – Required Documents

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Tab 1 – Master Agreement
General Terms and Conditions
¨ Customer Support
Ø The vendor shall provide timely and accurate technical advice and sales support. The vendor shall respond to such requests within one (1) working day after receipt of the request.

¨ Disclosures
Ø Respondent affirms that he/she has not given, offered to give, nor intends to give at any time hereafter any economic opportunity, future employment, gift, loan, gratuity, special discount, trip, favor or service to a public servant in connection with this contract.

Ø The respondent affirms that, to the best of his/her knowledge, the offer has been arrived at independently, and is submitted without collusion with anyone to obtain information or gain any favoritism that would in any way limit competition or give an unfair advantage over other vendors in the award of this contract.

¨ Renewal of Contract
Ø Unless otherwise stated, all contracts are for a period of three (3) years with an option to renew for up to five (5) additional one-year terms or any combination of time equally not more than 5 years if agreed to by Region 14 ESC and the vendor.

¨ Funding Out Clause
Ø Any/all contracts exceeding one (1) year shall include a standard “funding out” clause. A contract for the acquisition, including lease, of real or personal property is a commitment of the entity’s current revenue only, provided the contract contains either or both of the following provisions:

Ø Retains to the entity the continuing right to terminate the contract at the expiration of each budget period during the term of the contract and is conditioned on a best efforts attempt by the entity to obtain appropriate funds for payment of the contract.

¨ Shipments (if applicable)
Ø The awarded vendor shall ship ordered products within seven (7) working days for goods available and within four (4) to six (6) weeks for specialty items after the receipt of the order unless modified. If a product cannot be shipped within that time, the awarded vendor shall notify the entity placing the order as to why the product has not shipped and shall provide an estimated shipping date. At this point the participating entity may cancel the order if estimated shipping time is not acceptable. ¨ Tax Exempt Status
Ø Since this is a national contract, knowing the tax laws in each state is the sole responsibility of the vendor.

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¨ Payments
Ø The entity using the contract will make payments directly to the awarded vendor or their affiliates (distributors/business partners/resellers) as long as written request and approval by NCPA is provided to the awarded vendor.
¨ Adding authorized distributors/dealers
Ø Awarded vendors may submit a list of distributors/partners/resellers to sell under their contract throughout the life of the contract. Vendor must receive written approval from NCPA before such distributors/partners/resellers considered authorized.

Ø Purchase orders and payment can only be made to awarded vendor or distributors/business partners/resellers previously approved by NCPA.

Ø Pricing provided to members by added distributors or dealers must also be less than or equal to the pricing offered by the awarded contract holder.

Ø All distributors/partners/resellers are required to abide by the Terms and Conditions of the vendor's agreement with NCPA.

¨ Pricing
Ø All pricing submitted shall include the administrative fee to be remitted to NCPA by the awarded vendor. It is the awarded vendor’s responsibility to keep all pricing up to date and on file with NCPA.

Ø All deliveries shall be freight prepaid, F.O.B. destination and shall be included in all pricing offered unless otherwise clearly stated in writing
¨ Warranty
Ø Proposal should address the following warranty information:
§ Applicable warranty and/or guarantees of equipment and installations including any conditions and response time for repair and/or replacement of any components during the warranty period.
§ Availability of replacement parts
§ Life expectancy of equipment under normal use
§ Detailed information as to proposed return policy on all equipment Ø Products
§ Vendor shall provide equipment, materials and products that are new unless otherwise specified, of good quality and free of defects Ø Construction
§ Vendor shall perform services in a good and workmanlike manner and in accordance with industry standards for the service provided. ¨ Safety
Ø Vendors performing services shall comply with occupational safety and health rules and regulations. Also all vendors and subcontractors shall be held responsible for the safety of their employees and any conditions that may cause injury or damage to persons or property.

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¨ Permits
Ø Since this is a national contract, knowing the permit laws in each state is the sole responsibility of the vendor.
¨ Indemnity
Ø The awarded vendor shall protect, indemnify, and hold harmless Region 14 ESC and its participants, administrators, employees and agents against all claims, damages, losses and expenses arising out of or resulting from the actions of the vendor, vendor employees or vendor subcontractors in the preparation of the solicitation and the later execution of the contract.

¨ Franchise Tax
Ø The respondent hereby certifies that he/she is not currently delinquent in the payment of any franchise taxes.

¨ Supplemental Agreements
Ø The entity participating in this contract and awarded vendor may enter into a separate supplemental agreement to further define the level of service requirements over and above the minimum defined in this contract i.e. invoice requirements, ordering requirements, specialized delivery, etc. Any supplemental agreement developed as a result of this contract is exclusively between the participating entity and awarded vendor.

¨ Certificates of Insurance
Ø Certificates of insurance shall be delivered to the Public Agency prior to commencement of work. The insurance company shall be licensed in the applicable state in which work is being conducted. The awarded vendor shall give the participating entity a minimum of ten (10) days notice prior to any modifications or cancellation of policies. The awarded vendor shall require all subcontractors performing any work to maintain coverage as specified. ¨ Legal Obligations
Ø It is the Respondent’s responsibility to be aware of and comply with all local, state, and federal laws governing the sale of products/services identified in this RFP and any awarded contract and shall comply with all while fulfilling the RFP. Applicable laws and regulation must be followed even if not specifically identified herein. ¨ Protest
Ø A protest of an award or proposed award must be filed in writing within ten (10) days from the date of the official award notification and must be received by 5:00 pm CST. Protests shall be filed with Region 14 ESC and shall include the following:
§ Name, address and telephone number of protester
§ Original signature of protester or its representative § Identification of the solicitation by RFP number
§ Detailed statement of legal and factual grounds including copies of relevant documents and the form of relief requested
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Ø Any protest review and action shall be considered final with no further formalities being considered.

¨ Force Majeure
Ø If by reason of Force Majeure, either party hereto shall be rendered unable wholly or in part to carry out its obligations under this Agreement then such party shall give notice and full particulars of Force Majeure in writing to the other party within a reasonable time after occurrence of the event or cause relied upon, and the obligation of the party giving such notice, so far as it is affected by such Force Majeure, shall be suspended during the continuance of the inability then claimed, except as hereinafter provided, but for no longer period, and such party shall endeavor to remove or overcome such inability with all reasonable dispatch.

Ø The term Force Majeure as employed herein, shall mean acts of God, strikes, lockouts, or other industrial disturbances, act of public enemy, orders and regulation of any kind of government of the United States or any civil or military authority; insurrections; riots; epidemics; pandemics; landslides; lighting; earthquake; fires; hurricanes; storms; floods; washouts; droughts; arrests; restraint of government and people; civil disturbances; explosions, breakage or accidents to machinery, pipelines or canals, or other causes not reasonably within the control of the party claiming such inability. It is understood and agreed that the settlement of strikes and lockouts shall be entirely within the discretion of the party having the difficulty, and that the above requirement that any Force Majeure shall be remedied with all reasonable dispatch shall not require the settlement of strikes and lockouts by acceding to the demands of the opposing party or parties when such settlement is unfavorable in the judgment of the party having the difficulty ¨ Prevailing Wage
Ø It shall be the responsibility of the Vendor to comply, when applicable, with the prevailing wage legislation in effect in the jurisdiction of the purchaser. It shall further be the responsibility of the Vendor to monitor the prevailing wage rates as established by the appropriate department of labor for any increase in rates during the term of this contract and adjust wage rates accordingly.
¨ Termination
Ø Either party may cancel this contract in whole or in part by providing written notice. The cancellation will take effect 30 business days after the other party receives the notice of cancellation. After the 30th business day all work will cease following completion of final purchase order.
¨ Open Records Policy
Ø Because Region 14 ESC is a governmental entity responses submitted are subject to release as public information after contracts are executed. If a vendor believes that its response, or parts of its response, may be exempted from disclosure, the vendor must specify page-by- page and line-by-line the parts of the response, which it believes, are exempt. In addition, EXHIBIT 1
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the respondent must specify which exception(s) are applicable and provide detailed reasons to substantiate the exception(s).

Ø The determination of whether information is confidential and not subject to disclosure is the duty of the Office of Attorney General (OAG). Region 14 ESC must provide the OAG sufficient information to render an opinion and therefore, vague and general claims to confidentiality by the respondent are not acceptable. Region 14 ESC must comply with the opinions of the OAG. Region14 ESC assumes no responsibility for asserting legal arguments on behalf of any vendor. Respondent are advised to consult with their legal counsel concerning disclosure issues resulting from this procurement process and to take precautions to safeguard trade secrets and other proprietary information.

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Process
Region 14 ESC will evaluate proposals in accordance with, and subject to, the relevant statutes, ordinances, rules, and regulations that govern its procurement practices. NCPA will assist Region 14 ESC in evaluating proposals. Award(s) will be made to the prospective vendor whose response is determined to be the most advantageous to Region 14 ESC, NCPA, and its participating agencies. To qualify for evaluation, response must have been submitted on time, and satisfy all mandatory requirements identified in this document.

¨ Contract Administration
Ø The contract will be administered by Region 14 ESC. The National Program will be administered by NCPA on behalf of Region 14 ESC.
¨ Contract Term
Ø The contract term will be for three (3) year starting from the date of the award. The contract may be renewed for up to five (5) additional one-year terms or any combination of time equally not more than 5 years.

Ø It should be noted that maintenance/service agreements may be issued for up to (5) years under this contract even if the contract only lasts for the initial term of the contract. NCPA will monitor any maintenance agreements for the term of the agreement provided they are signed prior to the termination or expiration of this contract. ¨ Contract Waiver
Ø Any waiver of any provision of this contract shall be in writing and shall be signed by the duly authorized agent of Region 14 ESC. The waiver by either party of any term or condition of this contract shall not be deemed to constitute waiver thereof nor a waiver of any further or additional right that such party may hold under this contract. ¨ Price Increases
Ø Should it become necessary, price increase requests may be submitted at any point during the term of the contract by written amendment. Included with the request must be documentation and/or formal cost justification for these changes. Requests will be formally reviewed, and if justified, the amendment will be approved. ¨ Products and Services Additions
Ø New Products and/or Services may be added to the resulting contract at any time during the term by written amendment, to the extent that those products and/or services are within the scope of this RFP.
¨ Competitive Range
Ø It may be necessary for Region 14 ESC to establish a competitive range. Responses not in the competitive range are unacceptable and do not receive further award consideration. ¨ Deviations and Exceptions
Ø Deviations or exceptions stipulated in response may result in disqualification. It is the intent of Region 14 ESC to award a vendor’s complete line of products and/or services, when possible.
¨ Estimated Quantities
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Ø While no minimum volume is guaranteed, the estimated (but not limited to) annual volume for Products and Services purchased under the proposed Master Agreement is $150 million dollars annually. This estimate is based on the anticipated volume of Region 14 ESC and current sales within the NCPA program.
¨ Evaluation
Ø Region 14 ESC will review and evaluate all responses in accordance with, and subject to, the relevant statutes, ordinances, rules and regulations that govern its procurement practices. NCPA will assist the lead agency in evaluating proposals. Recommendations for contract awards will be based on multiple factors, each factor being assigned a point value based on its importance.
¨ Formation of Contract
Ø A response to this solicitation is an offer to contract with Region 14 ESC based upon the terms, conditions, scope of work, and specifications contained in this request. A solicitation does not become a contract until it is accepted by Region 14 ESC. The prospective vendor must submit a signed Signature Form with the response thus, eliminating the need for a formal signing process. Contract award letter issued by Region 14 ESC is the counter- signature document establishing acceptance of the contract. ¨ NCPA Administrative Agreement
Ø The vendor will be required to enter and execute the National Cooperative Purchasing Alliance Administration Agreement with NCPA upon award with Region 14 ESC. The agreement establishes the requirements of the vendor with respect to a nationwide contract effort.
¨ Clarifications / Discussions
Ø Region 14 ESC may request additional information or clarification from any of the respondents after review of the proposals received for the sole purpose of elimination minor irregularities, informalities, or apparent clerical mistakes in the proposal.

Clarification does not give respondent an opportunity to revise or modify its proposal, except to the extent that correction of apparent clerical mistakes results in a revision. After the initial receipt of proposals, Region 14 ESC reserves the right to conduct discussions with those respondent’s whose proposals are determined to be reasonably susceptible of being selected for award. Discussions occur when oral or written communications between Region 14 ESC and respondent’s are conducted for the purpose clarifications involving information essential for determining the acceptability of a proposal or that provides respondent an opportunity to revise or modify its proposal. Region 14 ESC will not assist respondent bring its proposal up to the level of other proposals through discussions. Region 14 ESC will not indicate to respondent a cost or price that it must meet to neither obtain further consideration nor will it provide any information about other respondents’ proposals or prices.
¨ Multiple Awards
Ø Multiple Contracts may be awarded as a result of the solicitation. Multiple Awards will ensure that any ensuing contracts fulfill current and future requirements of the diverse and large number of participating public agencies.

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¨ Past Performance
Ø Past performance is relevant information regarding a vendor’s actions under previously awarded contracts; including the administrative aspects of performance; the vendor’s history of reasonable and cooperative behavior and commitment to customer satisfaction; and generally, the vendor’s businesslike concern for the interests of the customer.

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Evaluation Criteria

¨ Pricing (40 points)
Ø Electronic Price Lists
§ Products, Services, Warranties, etc. price list
§ Prices listed will be used to establish both the extent of a vendor’s product lines, services, warranties, etc. available from a particular bidder and the pricing per item.

¨ Ability to Provide and Perform the Required Services for the Contract (25 points) Ø Product Delivery within participating entities specified parameters Ø Number of line items delivered complete within the normal delivery time as a percentage of line items ordered.

Ø Vendor’s ability to perform towards above requirements and desired specifications.

Ø Past Cooperative Program Performance
Ø Quantity of line items available that are commonly purchased by the entity.

Ø Quality of line items available compared to normal participating entity standards.

¨ References and Experience (15 points)
Ø A minimum of ten (10) public sector references for product and/or services of similar scope dating within past 3 years
Ø Respondent Reputation in marketplace
Ø Past Experience working with public sector.

Ø Exhibited understanding of cooperative purchasing

¨ Value Added Products/Services Description, (10 points) Ø Additional Products/Services related to the scope of RFP Ø Marketing and Training
Ø Minority and Women Business Enterprise (MWBE) and (HUB) Participation Ø Customer Service

¨ Innovation (10 points)
Ø Past Innovation, how it affected sales
Ø Future Innovation in the pipeline

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Signature Form

The undersigned hereby proposes and agrees to furnish goods and/or services in strict compliance with the terms, specifications and conditions at the prices proposed within response unless noted in writing.

The undersigned further certifies that he/she is an officer of the company and has authority to negotiate and bind the company named below and has not prepared this bid in collusion with any other Respondent and that the contents of this proposal as to prices, terms or conditions of said bid have not been communicated by the undersigned nor by any employee or agent to any person engaged in this type of business prior to the official opening of this proposal.

Prices are guaranteed: 120 days

Company name
Address
City/State/Zip
Telephone No.

Fax No.

Email address
Printed name
Position with company
Authorized signature

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Tab 2 – NCPA Administration Agreement
This Administration Agreement is made as of __________________________________, by and between National Cooperative Purchasing Alliance (“NCPA”) and ____________________________________ (“Vendor”).

Recitals
WHEREAS, Region 14 ESC has entered into a certain Master Agreement dated _______________________, referenced as Contract Number _______________________, by and between Region 14 ESC and Vendor, as may be amended from time to time in accordance with the terms thereof (the “Master Agreement”), for the purchase of Furniture;
WHEREAS, said Master Agreement provides that any state, city, special district, local government, school district, private K-12 school, technical or vocational school, higher education institution, other government agency or nonprofit organization (hereinafter referred to as “public agency” or collectively, “public agencies”) may purchase products and services at the prices indicated in the Master Agreement; WHEREAS, NCPA has the administrative and legal capacity to administer purchases under the Master Agreement to public agencies;
WHEREAS, NCPA serves as the administrative agent for Region 14 ESC in connection with other master agreements offered by NCPA
WHEREAS, Region 14 ESC desires NCPA to proceed with administration of the Master Agreement; WHEREAS, NCPA and Vendor desire to enter into this Agreement to make available the Master Agreement to public agencies on a national basis;
NOW, THEREFORE, in consideration of the payments to be made hereunder and the mutual covenants contained in this Agreement, NCPA and Vendor hereby agree as follows:
¨ General Terms and Conditions
Ø The Master Agreement, attached hereto as Tab 1 and incorporated herein by reference as though fully set forth herein, and the terms and conditions contained therein shall apply to this Agreement except as expressly changed or modified by this Agreement.

Ø NCPA shall be afforded all of the rights, privileges and indemnifications afforded to Region 14 ESC under the Master Agreement, and such rights, privileges and indemnifications shall accrue and apply with equal effect to NCPA under this Agreement including, but not limited to, the Vendor’s obligation to provide appropriate insurance and certain indemnifications to Region 14 ESC.

Ø Vendor shall perform all duties, responsibilities and obligations required under the Master Agreement in the time and manner specified by the Master Agreement.

Ø NCPA shall perform all of its duties, responsibilities, and obligations as administrator of purchases under the Master Agreement as set forth herein, and Vendor acknowledges that NCPA shall act in the capacity of administrator of purchases under the Master Agreement.

Ø With respect to any purchases made by Region 14 ESC or any Public Agency pursuant to the Master Agreement, NCPA (a) shall not be construed as a dealer, re-marketer, representative, partner, or agent of any type of Vendor, Region 14 ESC, or such Public Agency, (b) shall not be obligated, liable or responsible (i) for any orders made by Region EXHIBIT 1
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14 ESC, any Public Agency or any employee of Region 14 ESC or Public Agency under the Master Agreement, or (ii) for any payments required to be made with respect to such order, and (c) shall not be obligated, liable or responsible for any failure by the Public Agency to (i) comply with procedures or requirements of applicable law, or (ii) obtain the due authorization and approval necessary to purchase under the Master Agreement. NCPA makes no representations or guaranties with respect to any minimum purchases required to be made by Region 14 ESC, any Public Agency, or any employee of Region 14 ESC or Public Agency under this Agreement or the Master Agreement.

Ø The Public Agency participating in the NCPA contract and Vendor may enter into a separate supplemental agreement to further define the level of service requirements over and above the minimum defined in this contract i.e. invoice requirements, ordering requirements, specialized delivery, etc. Any supplemental agreement developed as a result of this contract is exclusively between the Public Agency and Vendor. NCPA, its agents, members and employees shall not be made party to any claim for breach of such agreement. ¨ Term of Agreement
Ø This Agreement shall be in effect so long as the Master Agreement remains in effect, provided, however, that the obligation to pay all amounts owed by Vendor to NCPA through the termination of this Agreement and all indemnifications afforded by Vendor to NCPA shall survive the term of this Agreement.

¨ Fees and Reporting
Ø The awarded vendor shall electronically provide NCPA with a detailed quarterly report showing the dollar volume of all sales under the contract for the previous quarter. Reports are due on the fifteenth (15
th) day after the close of the previous quarter. It is the responsibility of the awarded vendor to collect and compile all sales under the contract from participating members and submit one (1) report. The report shall include at least the following information as listed in the example below:

Entity Name Zip Code State PO or Job # Sale Amount

Total ________________

Ø Each quarter NCPA will invoice the vendor based on the total of sale amount(s) reported.

From the invoice the vendor shall pay to NCPA an administrative fee based upon the tiered fee schedule below. Vendor’s annual sales shall be measured on a calendar year basis.

Deadline for term of payment will be included in the invoice NCPA provides.

Annual Sales Through Contract Administrative Fee
0 - $30,000,000 2%
$30,000,001 - $50,000,000 1.5%
$50,000,001+ 1%

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Ø Supplier shall maintain an accounting of all purchases made by Public Agencies under the Master Agreement. NCPA and Region 14 ESC reserve the right to audit the accounting for a period of four (4) years from the date NCPA receives the accounting. In the event of such an audit, the requested materials shall be provided at the location designated by Region 14 ESC or NCPA. In the event such audit reveals an under reporting of Contract Sales and a resulting underpayment of administrative fees, Vendor shall promptly pay NCPA the amount of such underpayment, together with interest on such amount and shall be obligated to reimburse NCPA’s costs and expenses for such audit.

¨ General Provisions
Ø This Agreement supersedes any and all other agreements, either oral or in writing, between the parties hereto with respect to the subject matter hereof, and no other agreement, statement, or promise relating to the subject matter of this Agreement which is not contained herein shall be valid or binding.

Ø Awarded vendor agrees to allow NCPA to use their name and logo within website, marketing materials and advertisement. Any use of NCPA name and logo or any form of publicity regarding this contract by awarded vendor must have prior approval from NCPA.

Ø If any action at law or in equity is brought to enforce or interpret the provisions of this Agreement or to recover any administrative fee and accrued interest, the prevailing party shall be entitled to reasonable attorney’s fees and costs in addition to any other relief to which such party may be entitled.

Ø Neither this Agreement nor any rights or obligations hereunder shall be assignable by Vendor without prior written consent of NCPA, provided, however, that the Vendor may, without such written consent, assign this Agreement and its rights and delegate its obligations hereunder in connection with the transfer or sale of all or substantially all of its assets or business related to this Agreement, or in the event of its merger, consolidation, change in control or similar transaction. Any permitted assignee shall assume all assigned obligations of its assignor under this Agreement.

Ø This Agreement and NCPA’s rights and obligations hereunder may be assigned at NCPA’s sole discretion, to an existing or newly established legal entity that has the authority and capacity to perform NCPA’s obligations hereunder
Ø All written communications given hereunder shall be delivered to the addresses as set forth below.

National Cooperative Purchasing Alliance:

Name: ________________________________________
Title: ________________________________________
Address: ________________________________________
________________________________________
Signature: ________________________________________
Date: ________________________________________
Vendor: ________________________________________
Name: ________________________________________
Title: ________________________________________
Address: ________________________________________
________________________________________
Signature: ________________________________________

Date: ________________________________________

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Tab 3 – Vendor Questionnaire
Please provide responses to the following questions that address your company’s operations, organization, structure, and processes for providing products and services. ¨ States Covered
Ø Bidder must indicate any and all states where products and services can be offered.

Ø Please indicate the price co-efficient for each state if it varies. 50 States & District of Columbia (Selecting this box is equal to checking all boxes below)

Alabama Maryland South Carolina
Alaska Massachusetts South Dakota
Arizona Michigan Tennessee
Arkansas Minnesota Texas
California Mississippi Utah
Colorado Missouri Vermont
Connecticut Montana Virginia
Delaware
District of Columbia
Nebraska
Nevada
Washington
West Virginia
Florida New Hampshire Wisconsin
Georgia New Jersey Wyoming
Hawaii New Mexico
Idaho New York
Illinois North Carolina
Indiana North Dakota
Iowa Ohio
Kansas Oklahoma
Kentucky Oregon
Louisiana Pennsylvania
Maine Rhode Island

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All US Territories and Outlying Areas (Selecting this box is equal to checking all boxes below)

¨ Minority and Women
Business Enterprise (MWBE) and (HUB) Participation
Ø It is the policy of some entities participating in NCPA to involve minority and women business enterprises (MWBE) and historically underutilized businesses (HUB) in the purchase of goods and services. Respondents shall indicate below whether or not they are an M/WBE or HUB certified.
§ Minority / Women Business Enterprise
• Respondent Certifies that this firm is a M/WBE
§ Historically Underutilized Business
• Respondent Certifies that this firm is a HUB
¨ Residency
Ø Responding Company’s principal place of business is in the city of _______________________, State of __________
¨ Felony Conviction Notice
Ø Please Check Applicable Box;
A publically held corporation; therefore, this reporting requirement is not applicable.

Is not owned or operated by anyone who has been convicted of a felony.

Is owned or operated by the following individual(s) who has/have been convicted of a felony
Ø If the 3rd box is checked, a detailed explanation of the names and convictions must be attached.
¨ Distribution Channel
Ø Which best describes your company’s position in the distribution channel:

Manufacturer Direct Certified education/government reseller Authorized Distributor Manufacturer marketing through reseller Value-added reseller Other: ______________________________________ ¨ Processing Information
Ø Provide company contact information for the following:
§ Sales Reports / Accounts Payable
Contact Person: _____________________________________________________________________ Title: _________________________________________________________________________________ Company: ____________________________________________________________________________ Address: _____________________________________________________________________________ City: ____________________________ State: ________________________ Zip: ______________ Phone: _________________________________ Email: ____________________________________

American Somoa Northern Marina Islands
Federated States of Micronesia Puerto Rico
Guam U.S. Virgin Islands
Midway Islands
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§ Purchase Orders
Contact Person: _____________________________________________________________________ Title: _________________________________________________________________________________ Company: ____________________________________________________________________________ Address: _____________________________________________________________________________ City: ____________________________ State: ________________________ Zip: ______________ Phone: _________________________________ Email: ____________________________________ § Sales and Marketing
Contact Person: _____________________________________________________________________ Title: _________________________________________________________________________________ Company: ____________________________________________________________________________ Address: _____________________________________________________________________________ City: ____________________________ State: ________________________ Zip: ______________ Phone: _________________________________ Email: ____________________________________

¨ Pricing Information
Ø In addition to the current typical unit pricing furnished herein, the Vendor agrees to offer all future product introductions at prices that are proportionate to Contract Pricing. § If answer is no, attach a statement detailing how pricing for NCPA participants would be calculated for future product introductions.

Yes No
Ø Pricing submitted includes the required NCPA administrative fee. The NCPA fee is calculated based on the invoice price to the customer.

Yes No

¨ Cooperatives
Ø List any other cooperative or state contracts currently held or in the process of securing.

Cooperative/State Agency Discount
Offered
Expires Annual Sales
Volume

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Tab 4 – Vendor Profile
Please provide the following information about your company:
¨ Company’s official registered name.

¨ Brief history of your company, including the year it was established.

¨ Company’s Dun & Bradstreet (D&B) number.

¨ Company’s organizational chart of those individuals that would be involved in the contract.

¨ Corporate office location.

Ø List the number of sales and services offices for states being bid in solicitation.

Ø List the names of key contacts at each with title, address, phone and e-mail address.

¨ Define your standard terms of payment.

¨ Who is your competition in the marketplace?

¨ Provide Annual Sales for last 3 years broken out into the following categories:

Ø Cities / Counties
Ø K-12
Ø Higher Education
Ø Other government agencies or nonprofit organizations
¨ Provide the revenue that your organization anticipates each year for the first three (3) years of this agreement.
$_________ in year one
$_________ in year two
$_________ in year three

¨ What differentiates your company from competitors?

¨ Describe how your company will market this contract if awarded.

¨ Describe how you intend to introduce NCPA to your company.

¨ Describe your firm’s capabilities and functionality of your on-line catalog / ordering website.

¨ Describe your company’s Customer Service Department (hours of operation, number of service centers, etc.)
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¨ Green Initiatives (if applicable)
Ø As our business grows, we want to make sure we minimize our impact on the Earth’s climate. We are taking every step we can to implement innovative and responsible environmental practices throughout NCPA to reduce our carbon footprint, reduce waste, energy conservation, ensure efficient computing and much more. To that effort we ask respondents to provide their companies environmental policy and/or green initiative.

¨ Anti-Discrimination Policy (if applicable)
Ø Describe your organizations’ anti-discrimination policy.

¨ Vendor Certifications (if applicable)
Ø Provide a copy of all current licenses, registrations and certifications issued by federal, state and local agencies, and any other licenses, registrations or certifications from any other governmental entity with jurisdiction, allowing respondent to perform the covered services including, but not limited to, licenses, registrations, or certifications. Certifications can include M/WBE, HUB, and manufacturer certifications for sales and service.

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Tab 5 – Products and Services
¨ Respondent shall perform and provide these products and/or services under the terms of this agreement. The supplier shall assist the end user with making a determination of their individual needs.
¨ Warranty
Ø Proposal should address the following warranty information:
§ Applicable warranty and/or guarantees of equipment and installations including any conditions and response time for repair and/or replacement of any components during the warranty period.
§ Availability of replacement parts
§ Life expectancy of equipment under normal use
§ Detailed information as to proposed return policy on all equipment Ø Products
§ Vendor shall provide equipment, materials and products that are new unless otherwise specified, of good quality and free of defects Ø Construction
§ Vendor shall perform services in a good and workmanlike manner and in accordance with industry standards for the service provided. ¨ The following is a list of suggested (but not limited to) Furniture categories. List all categories along with manufacturer that you are responding with:

Ø Ancillary Furniture Products
Ø Audio / Visual Furniture
Ø Auditoriums and Theaters
Ø Cafeteria
Ø Classroom / Educational / Dormitory
Ø Conference or Breakroom / Training
Ø Healthcare / Medical / Therapy Practices
Ø Highmark
Ø Lactation Rooms and Furniture Pods
Ø Library
Ø Lighting
Ø Lounge / Reception
Ø Office
Ø Outdoor
Ø Science Lab
Ø Seating / Chairs
Ø Tables / Meeting Conference Room
Ø Work Stations

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Tab 6 – References
¨ Provide at least ten (10) public sector references for products and/or services of similar scope dating within the past three (3) years. Please provide a range of references across all eligible government entity groups including K-12, higher education, city, county, or non-profit entities.

¨ All references should include the following information from the entity:

Ø Entity Name
Ø Contact Name and Title
Ø City and State
Ø Phone
Ø Years Serviced
Ø Description of Services
Ø Annual Volume

¨ NCPA also accepts Procurated review scores to evaluate relationships with their customers.

Vendors without a current Procurated score will be rated based solely on the references provided, and will not be penalized for lack of Procurated scoring. To find out your company’s Procurated score please go to https://www.procurated.com.

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Tab 7 – Pricing
¨ Please submit price list electronically via our online Bonfire portal (pricing can be submitted as Discount off MSRP, cost plus, etc). Products, services, warranties, etc. should be included in price list. Prices submitted will be used to establish the extent of a respondent’s products and services (Tab 5) that are available and also establish pricing per item.

¨ Price lists must contain the following:

Ø Product name and part number (include both manufacturer part number and respondent part number if different from manufacturers).

Ø Description
Ø Vendor’s List Price
Ø Percent Discount to NCPA participating entities

¨ Not To Exceed Pricing
Ø NCPA requests pricing be submitted as “not to exceed pricing” for any participating entity.

Ø The awarded vendor can adjust submitted pricing lower but cannot exceed original pricing submitted for solicitation.

Ø NCPA requests that vendor honor lower pricing for similar size and scope purchases to other members.

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Tab 8 – Value Added Products and Services
¨ Include any additional products and/or services available that vendor currently performs in their normal course of business that is not included in the scope of the solicitation that you think will enhance and add value to this contract for Region 14 ESC and all NCPA participating entities.

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Tab 9 – Innovation
¨ Please provide details of your most recent innovation and how it affected sales in the public sector.
o New categories
o New fabrics and finishes
o New ergonomics
o New safety features
o New performance enhancement
o Other
¨ Please outline your timeline for future innovation.
o New categories
o New fabrics and finishes
o New ergonomics
o New safety features
o New performance enhancement
o Other

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Tab 10 – Required Documents
¨ Federal Funds Certifications

¨ Clean Air and Water Act & Debarment Notice

¨ Contractors Requirements

¨ Antitrust Certification Statements

¨ Required Clauses for Federal Assistance by FTA

¨ State Notice Addendum

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Federal Funds Certifications
Participating Agencies may elect to use federal funds to purchase under the Master Agreement. The following certifications and provisions may be required and apply when a Participating Agency expends federal funds for any purchase resulting from this procurement process. Pursuant to 2 C.F.R. § 200.326, all contracts, including small purchases, awarded by the Participating Agency and the Participating Agency’s subcontractors shall contain the procurement provisions of Appendix II to Part 200, as applicable.

APPENDIX II TO 2 CFR PART 200

(A) Contracts for more than the simplified acquisition threshold currently set at $250,000, which is the inflation adjusted amount determined by the Civilian Agency Acquisition Council and the Defense Acquisition Regulations Council (Councils) as authorized by 41 U.S.C. 1908, must address administrative, contractual, or legal remedies in instances where contractors violate or breach contract terms, and provide for such sanctions and penalties as appropriate. • Pursuant to Federal Rule (A) above, when a Participating Agency expends federal funds, the Participating Agency and Offeror reserves all rights and privileges under the applicable laws and regulations with respect to this procurement in the event of breach of contract by either party.

(B) Termination for cause and for convenience by the grantee or subgrantee including the manner by which it will be effected and the basis for settlement. (All contracts in excess of $10,000) • Pursuant to Federal Rule (B) above, when a Participating Agency expends federal funds, the Participating Agency reserves the right to terminate any agreement in excess of $10,000 resulting from this procurement process in the event of a breach or default of the agreement by Offeror as detailed in the terms of the contract

(C) Equal Employment Opportunity. Except as otherwise provided under 41 CFR Part 60, all contracts that meet the definition of “federally assisted construction contract” in 41 CFR Part 60-1.3 must include the equal opportunity clause provided under 41 CFR 60-1.4(b), in accordance with Executive Order 11246, “Equal Employment Opportunity” (30 CFR 12319, 12935, 3 CFR Part, 1964-1965 Comp., p. 339), as amended by Executive Order 11375, “Amending Executive Order 11246 Relating to Equal Employment Opportunity,” and implementing regulations at 41 CFR part 60, “Office of Federal Contract Compliance Programs, Equal Employment Opportunity, Department of Labor.” • Pursuant to Federal Rule (C) above, when a Participating Agency expends federal funds on any federally assisted construction contract, the equal opportunity clause is incorporated by reference herein.

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(D) Davis-Bacon Act, as amended (40 U.S.C. 3141-3148). When required by Federal program legislation, all prime construction contracts in excess of $2,000 awarded by non-Federal entities must include a provision for compliance with the Davis-Bacon Act (40 U.S.C. 3141-3144, and 3146-3148) as supplemented by Department of Labor regulations (29 CFR Part 5, “Labor Standards Provisions Applicable to Contracts Covering Federally Financed and Assisted Construction”). In accordance with the statute, contractors must be required to pay wages to laborers and mechanics at a rate not less than the prevailing wages specified in a wage determination made by the Secretary of Labor. In addition, contractors must be required to pay wages not less than once a week. The non-Federal entity must place a copy of the current prevailing wage determination issued by the Department of Labor in each solicitation. The decision to award a contract or subcontract must be conditioned upon the acceptance of the wage determination. The non- Federal entity must report all suspected or reported violations to the Federal awarding agency. The contracts must also include a provision for compliance with the Copeland “Anti-Kickback” Act (40 U.S.C. 3145), as supplemented by Department of Labor regulations (29 CFR Part 3, “Contractors and Subcontractors on Public Building or Public Work Financed in Whole or in Part by Loans or Grants from the United States”). The Act provides that each contractor or subrecipient must be prohibited from inducing, by any means, any person employed in the construction, completion, or repair of public work, to give up any part of the compensation to which he or she is otherwise entitled. The non- Federal entity must report all suspected or reported violations to the Federal awarding agency.

• Pursuant to Federal Rule (D) above, when a Participating Agency expends federal funds during the term of an award for all contracts and subgrants for construction or repair, offeror will be in compliance with all applicable Davis-Bacon Act provisions • Any Participating Agency will include any current and applicable prevailing wage determination in each issued solicitation and provide Offeror with any required documentation and/or forms that must be completed by Offeror to remain in compliance the applicable Davis-Bacon Act provisions.

(E) Contract Work Hours and Safety Standards Act (40 U.S.C. 3701-3708). Where applicable, all contracts awarded by the non-Federal entity in excess of $100,000 that involve the employment of mechanics or laborers must include a provision for compliance with 40 U.S.C. 3702 and 3704, as supplemented by Department of Labor regulations (29 CFR Part 5). Under 40 U.S.C. 3702 of the Act, each contractor must be required to compute the wages of every mechanic and laborer on the basis of a standard work week of 40 hours. Work in excess of the standard work week is permissible provided that the worker is compensated at a rate of not less than one and a half times the basic rate of pay for all hours worked in excess of 40 hours in the work week. The requirements of 40 U.S.C. 3704 are applicable to construction work and provide that no laborer or mechanic must be required to work in surroundings or under working conditions which are unsanitary, hazardous or dangerous. These requirements do not apply to the purchases of supplies or materials or articles ordinarily available on the open market, or contracts for transportation or transmission of intelligence.

• Pursuant to Federal Rule (E) above, when a Participating Agency expends federal funds, offeror certifies that offeror will be in compliance with all applicable provisions of the Contract Work Hours and Safety Standards Act during the term of an award for all contracts by Participating Agency resulting from this procurement process.

(F) Rights to Inventions Made Under a Contract or Agreement. If the Federal award meets the definition of “funding agreement” under 37 CFR §401.2 (a) and the recipient or subrecipient wishes to enter into a contract with a small business firm or nonprofit organization regarding the substitution of parties, assignment or performance of experimental, developmental, or research work under that “funding agreement,” the recipient or subrecipient must comply with the requirements of 37 CFR Part 401, “Rights to Inventions Made by Nonprofit Organizations and Small Business Firms Under Government Grants, EXHIBIT 1
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Contracts and Cooperative Agreements,” and any implementing regulations issued by the awarding agency.

• Pursuant to Federal Rule (F) above, when federal funds are expended by Participating Agency, the offeror certifies that during the term of an award for all contracts by Participating Agency resulting from this procurement process, the offeror agrees to comply with all applicable requirements as referenced in Federal Rule (F) above

(G) Clean Air Act (42 U.S.C. 7401-7671q.) and the Federal Water Pollution Control Act (33 U.S.C. 1251- 1387), as amended— Contracts and subgrants of amounts in excess of $150,000 must contain a provision that requires the non- Federal award to agree to comply with all applicable standards, orders or regulations issued pursuant to the Clean Air Act (42 U.S.C. 7401- 7671q) and the Federal Water Pollution Control Act as amended (33 U.S.C. 1251- 1387). Violations must be reported to the Federal awarding agency and the Regional Office of the Environmental Protection Agency (EPA).

• Pursuant to Federal Rule (G) above, when federal funds are expended by Participating Agency, the offeror certifies that during the term of an award for all contracts by Participating Agency member resulting from this procurement process, the offeror agrees to comply with all applicable requirements as referenced in Federal Rule (G) above

(H) Debarment and Suspension (Executive Orders 12549 and 12689)—A contract award (see 2 CFR 180.220) must not be made to parties listed on the government wide exclusions in the System for Award Management (SAM), in accordance with the OMB guidelines at 2 CFR 180 that implement Executive Orders 12549 (3 CFR part 1986 Comp., p. 189) and 12689 (3 CFR part 1989 Comp., p. 235), “Debarment and Suspension.” SAM Exclusions contains the names of parties debarred, suspended, or otherwise excluded by agencies, as well as parties declared ineligible under statutory or regulatory authority other than Executive Order 12549.

• Pursuant to Federal Rule (H) above, when federal funds are expended by Participating Agency, the offeror certifies that during the term of an award for all contracts by Participating Agency resulting from this procurement process, the offeror certifies that neither it nor its principals is presently debarred, suspended, proposed for debarment, declared ineligible, or voluntarily excluded from participation by any federal department or agency. If at any time during the term of an award the offeror or its principals becomes debarred, suspended, proposed for debarment, declared ineligible, or voluntarily excluded from participation by any federal department or agency, the offeror will notify the Participating Agency

(I) Byrd Anti-Lobbying Amendment (31 U.S.C. 1352)—Contractors that apply or bid for an award exceeding $100,000 must file the required certification. Each tier certifies to the tier above that it will not and has not used Federal appropriated funds to pay any person or organization for influencing or attempting to influence an officer or employee of any agency, a member of Congress, officer or employee of Congress, or an employee of a member of Congress in connection with obtaining any Federal contract, grant or any other award covered by 31 U.S.C. 1352. Each tier must also disclose any lobbying with non- Federal funds that takes place in connection with obtaining any Federal award. Such disclosures are forwarded from tier to tier up to the non-Federal award.

• Pursuant to Federal Rule (I) above, when federal funds are expended by Participating Agency, the offeror certifies that during the term and after the awarded term of an award for all contracts by Participating Agency resulting from this procurement process, the offeror certifies that it is in EXHIBIT 1
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compliance with all applicable provisions of the Byrd Anti-Lobbying Amendment (31 U.S.C. 1352).

The undersigned further certifies that:
o No Federal appropriated funds have been paid or will be paid for on behalf of the undersigned, to any person for influencing or attempting to influence an officer or employee of any agency, a Member of Congress, an officer or employee of congress, or an employee of a Member of Congress in connection with the awarding of a Federal contract, the making of a Federal grant, the making of a Federal loan, the entering into a cooperative agreement, and the extension, continuation, renewal, amendment, or modification of a Federal contract, grant, loan, or cooperative agreement. o If any funds other than Federal appropriated funds have been paid or will be paid to any person for influencing or attempting to influence an officer or employee of any agency, a Member of Congress, an officer or employee of congress, or an employee of a Member of Congress in connection with this Federal grant or cooperative agreement, the undersigned shall complete and submit Standard Form-LLL, “Disclosure Form to Report Lobbying”, in accordance with its instructions.
o The undersigned shall require that the language of this certification be included in the award documents for all covered sub-awards exceeding $100,000 in Federal funds at all appropriate tiers and all subrecipients shall certify and disclose accordingly.

RECORD RETENTION REQUIREMENTS FOR CONTRACTS INVOLVING FEDERAL FUNDS When federal funds are expended by Participating Agency for any contract resulting from this procurement process, offeror certifies that it will comply with the record retention requirements detailed in 2 CFR § 200.334. The offeror further certifies that offeror will retain all records as required by 2 CFR § 200.334 for a period of three years after grantees or subgrantees submit final expenditure reports or quarterly or annual financial reports, as applicable, and all other pending matters are closed.

CERTIFICATION OF COMPLIANCE WITH THE ENERGY POLICY AND CONSERVATION ACT When Participating Agency expends federal funds for any contract resulting from this procurement process, offeror certifies that it will comply with the mandatory standards and policies relating to energy efficiency which are contained in the state energy conservation plan issued in compliance with the Energy Policy and Conservation Act (42 U.S.C. 6321 et seq.; 49 C.F.R. Part 18).

CERTIFICATION OF COMPLIANCE WITH BUY AMERICA PROVISIONS To the extent purchases are made with Federal Highway Administration, Federal Railroad Administration, or Federal Transit Administration funds, offeror certifies that its products comply with all applicable provisions of the Buy America Act and agrees to provide such certification or applicable waiver with respect to specific products to any Participating Agency upon request. Participating Agencies will clearly identify whether Buy America Provisions apply in any issued solicitation. Purchases made in accordance with the Buy America Act must still follow the applicable procurement rules calling for free and open competition.

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CERTIFICATION OF ACCESS TO RECORDS
Offeror agrees that the Inspector General of the Agency or any of their duly authorized representatives shall have access to any non-financial documents, papers, or other records of offeror that are pertinent to offeror’s discharge of its obligations under the Contract for the purpose of making audits, examinations, excerpts, and transcriptions. The right also includes timely and reasonable access to offeror’s personnel for the purpose of interview and discussion relating to such documents. This right of access will last only as long as the records are retained.

CERTIFICATION OF APPLICABILITY TO SUBCONTRACTORS

Offeror agrees that all contracts it awards pursuant to the Contract shall be bound by the foregoing terms and conditions.

Offeror certifies compliance with all provisions, laws, acts, regulations, etc. as specifically noted in the pages above. It is further acknowledged that offeror agrees to comply with all federal, state, and local laws, rules, regulations and ordinances as applicable.

Offeror: _____________________________________________________________________________________

Address: _____________________________________________________________________________________

City, State, Zip: _____________________________________________________________________________________

Authorized Signature: _____________________________________________________________________________________

Date: _____________________________________________________________________________________

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Clean Air and Water Act & Debarment Notice
I, the Vendor, am in compliance with all applicable standards, orders or regulations issued pursuant to the Clean Air Act of 1970, as Amended (42 U.S. C. 1857 (h), Section 508 of the Clean Water Act, as amended (33 U.S.C. 1368), Executive Order 117389 and Environmental Protection Agency Regulation, 40 CFR Part 15 as required under OMB Circular A-102, Attachment O, Paragraph 14 (1) regarding reporting violations to the grantor agency and to the United States Environment Protection Agency Assistant Administrator for the Enforcement.

I hereby further certify that my company has not been debarred, suspended or otherwise ineligible for participation in Federal Assistance programs under Executive Order 12549, “Debarment and Suspension”, as described in the Federal Register and Rules and Regulations

Potential Vendor
Print Name
Address
City, Sate, Zip
Authorized signature
Date

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Contractor Requirements
Contractor Certification
Contractor’s Employment Eligibility
By entering the contract, Contractor warrants compliance with the Federal Immigration and Nationality Act (FINA), and all other federal and state immigration laws and regulations. The Contractor further warrants that it is in compliance with the various state statues of the states it is will operate this contract in.

Participating Government Entities including School Districts may request verification of compliance from any Contractor or subcontractor performing work under this Contract. These Entities reserve the right to confirm compliance in accordance with applicable laws.

Should the Participating Entities suspect or find that the Contractor or any of its subcontractors are not in compliance, they may pursue any and all remedies allowed by law, including, but not limited to: suspension of work, termination of the Contract for default, and suspension and/or debarment of the Contractor. All costs necessary to verify compliance are the responsibility of the Contractor.

The offeror complies and maintains compliance with the appropriate statutes which requires compliance with federal immigration laws by State employers, State contractors and State subcontractors in accordance with the E- Verify Employee Eligibility Verification Program.

Contractor shall comply with governing board policy of the NCPA Participating entities in which work is being performed

Fingerprint & Background Checks
If required to provide services on school district property at least five (5) times during a month, contractor shall submit a full set of fingerprints to the school district if requested of each person or employee who may provide such service. Alternately, the school district may fingerprint those persons or employees. An exception to this requirement may be made as authorized in Governing Board policy. The district shall conduct a fingerprint check in accordance with the appropriate state and federal laws of all contractors, subcontractors or vendors and their employees for which fingerprints are submitted to the district. Contractor, subcontractors, vendors and their employees shall not provide services on school district properties until authorized by the District.

The offeror shall comply with fingerprinting requirements in accordance with appropriate statutes in the state in which the work is being performed unless otherwise exempted.

Contractor shall comply with governing board policy in the school district or Participating Entity in which work is being performed
Business Operations in Sudan, Iran

In accordance with A.R.S. 35-391 and A.R.S. 35-393, the Contractor hereby certifies that the contractor does not have scrutinized business operations in Sudan and/or Iran.

Authorized signature
Date
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Antitrust Certification Statements (Tex. Government Code § 2155.005) I affirm under penalty of perjury of the laws of the State of Texas that:
(1) I am duly authorized to execute this contract on my own behalf or on behalf of the company, corporation, firm, partnership or individual (Company) listed below; (2) In connection with this bid, neither I nor any representative of the Company has violated any provision of the Texas Free Enterprise and Antitrust Act, Tex. Bus. & Comm. Code Chapter 15; (3) In connection with this bid, neither I nor any representative of the Company has violated any federal antitrust law; and
(4) Neither I nor any representative of the Company has directly or indirectly communicated any of the contents of this bid to a competitor of the Company or any other company, corporation, firm, partnership or individual engaged in the same line of business as the Company.

Company name
Address
City/State/Zip
Telephone No.

Fax No.

Email address
Printed name
Position with company
Authorized signature

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Required Clauses for Federal Assistance provided by FTA ACCESS TO RECORDS AND REPORTS
Contractor agrees to:
a) Maintain all non-financial books, records, accounts and reports required under this Contract for a period of not less than two (2) years after the date of termination or expiration of this Contract or any extensions thereof except in the event of litigation or settlement of claims arising from the performance of this Contract, in which case Contractor agrees to maintain same until the FTA Administrator, the U.S. DOT Office of the Inspector General, the Comptroller General, or any of their duly authorized representatives, have disposed of all such litigation, appeals, claims or exceptions related thereto.
b) Permit any of the foregoing parties to inspect all non-financial work, materials, and other data and records that pertain to the Project, and to audit the non-financial books, records, and accounts that pertain to the Project and to reproduce by any means whatsoever or to copy excerpts and transcriptions as reasonably needed for the purpose of audit and examination. The right of access detailed in this section continues only as long as the records are retained.

FTA does not require the inclusion of these requirements of Article 1.01 in subcontracts.

CIVIL RIGHTS / TITLE VI REQUIREMENTS
1) Non-discrimination. In accordance with Title VI of the Civil Rights Act of 1964, as amended, 42 U.S.C. § 2000d, Section 303 of the Age Discrimination Act of 1975, as amended, 42 U.S.C. § 6102, Section 202 of the Americans with Disabilities Act of 1990, as amended, 42 U.S.C. § 12132, and Federal Transit Law at 49 U.S.C. § 5332, Contractor or subcontractor agrees that it will not discriminate against any employee or applicant for employment because of race, color, creed, national origin, sex, marital status age, or disability. In addition, Contractor agrees to comply with applicable Federal implementing regulations and other applicable implementing requirements FTA may issue that are flowed to Contractor from Awarding Participating Agency.
2) Equal Employment Opportunity. The following Equal Employment Opportunity requirements apply to this Contract:
a. Race, Color, Creed, National Origin, Sex. In accordance with Title VII of the Civil Rights Act, as amended, 42 U.S.C. § 2000e, and Federal Transit Law at 49 U.S.C. § 5332, the Contractor agrees to comply with all applicable Equal Employment Opportunity requirements of U.S. Dept. of Labor regulations, “Office of Federal Contract Compliance Programs, Equal Employment Opportunity, Department of Labor, 41 CFR, Parts 60 et seq., and with any applicable Federal statutes, executive orders, regulations, and Federal policies that may affect construction activities undertaken in the course of this Project. Contractor agrees to take affirmative action to ensure that applicants are employed, and that employees are treated during employment, without regard to their race, color, creed, national origin, sex, marital status, or age. Such action shall include, but not be limited to, the following: employment, upgrading, demotion or transfer, recruitment or recruitment advertising, layoff or termination, rates of pay or other forms of compensation; and selection for training, including apprenticeship. In addition, Contractor agrees to comply with any implementing requirements FTA may issue that are flowed to Contractor from Awarding Participating Agency. b. Age. In accordance with the Age Discrimination in Employment Act (ADEA) of 1967, as amended, 29 U.S.C. Sections 621 through 634, and Equal Employment Opportunity Commission (EEOC) EXHIBIT 1
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implementing regulations, “Age Discrimination in Employment Act”, 29 CFR Part 1625, prohibit employment discrimination by Contractor against individuals on the basis of age, including present and prospective employees. In addition, Contractor agrees to comply with any implementing requirements FTA may issue that are flowed to Contractor from Awarding Participating Agency. c. Disabilities. In accordance with Section 102 of the Americans with Disabilities Act of 1990, as amended (ADA), 42 U.S.C. Sections 12101 et seq., prohibits discrimination against qualified individuals with disabilities in programs, activities, and services, and imposes specific requirements on public and private entities. Contractor agrees that it will comply with the requirements of the Equal Employment Opportunity Commission (EEOC), “Regulations to Implement the Equal Employment Provisions of the Americans with Disabilities Act,” 29 CFR, Part 1630, pertaining to employment of persons with disabilities and with their responsibilities under Titles I through V of the ADA in employment, public services, public accommodations, telecommunications, and other provisions.
d. Segregated Facilities. Contractor certifies that their company does not and will not maintain or provide for their employees any segregated facilities at any of their establishments, and that they do not and will not permit their employees to perform their services at any location under the Contractor’s control where segregated facilities are maintained. As used in this certification the term “segregated facilities” means any waiting rooms, work areas, restrooms and washrooms, restaurants and other eating areas, parking lots, drinking fountains, recreation or entertainment areas, transportation, and housing facilities provided for employees which are segregated by explicit directive or are in fact segregated on the basis of race, color, religion or national origin because of habit, local custom, or otherwise. Contractor agrees that a breach of this certification will be a violation of this Civil Rights clause.
3) Solicitations for Subcontracts, Including Procurements of Materials and Equipment. In all solicitations, either by competitive bidding or negotiation, made by Contractor for work to be performed under a subcontract, including procurements of materials or leases of equipment, each potential subcontractor or supplier shall be notified by Contractor of Contractor's obligations under this Contract and the regulations relative to non-discrimination on the grounds of race, color, creed, sex, disability, age or national origin.
4) Sanctions of Non-Compliance. In the event of Contractor's non-compliance with the non-discrimination provisions of this Contract, Public Agency shall impose such Contract sanctions as it or the FTA may determine to be appropriate, including, but not limited to: 1) Withholding of payments to Contractor under the Contract until Contractor complies, and/or; 2) Cancellation, termination or suspension of the Contract, in whole or in part.

Contractor agrees to include the requirements of this clause in each subcontract financed in whole or in part with Federal assistance provided by FTA, modified only if necessary to identify the affected parties.

DISADVANTAGED BUSINESS PARTICIPATION
This Contract is subject to the requirements of Title 49, Code of Federal Regulations, Part 26, “Participation by Disadvantaged Business Enterprises in Department of Transportation Financial Assistance Programs”, therefore, it is the policy of the Department of Transportation (DOT) to ensure that Disadvantaged Business Enterprises (DBEs), as defined in 49 CFR Part 26, have an equal opportunity to receive and participate in the performance of DOT-assisted contracts.
1) Non-Discrimination Assurances. Contractor or subcontractor shall not discriminate on the basis of race, color, national origin, or sex in the performance of this Contract. Contractor shall carry out all EXHIBIT 1
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applicable requirements of 49 CFR Part 26 in the award and administration of DOT-assisted contracts.

Failure by Contractor to carry out these requirements is a material breach of this Contract, which may result in the termination of this Contract or other such remedy as public agency deems appropriate.

Each subcontract Contractor signs with a subcontractor must include the assurance in this paragraph. (See 49 CFR 26.13(b)).
2) Prompt Payment. Contractor is required to pay each subcontractor performing Work under this prime Contract for satisfactory performance of that work no later than thirty (30) days after Contractor’s receipt of payment for that Work from public agency. In addition, Contractor is required to return any retainage payments to those subcontractors within thirty (30) days after the subcontractor’s work related to this Contract is satisfactorily completed and any liens have been secured. Any delay or postponement of payment from the above time frames may occur only for good cause following written approval of public agency. This clause applies to both DBE and non-DBE subcontractors. Contractor must promptly notify public agency whenever a DBE subcontractor performing Work related to this Contract is terminated or fails to complete its Work, and must make good faith efforts to engage another DBE subcontractor to perform at least the same amount of work. Contractor may not terminate any DBE subcontractor and perform that Work through its own forces, or those of an affiliate, without prior written consent of public agency.
3) DBE Program. In connection with the performance of this Contract, Contractor will cooperate with public agency in meeting its commitments and goals to ensure that DBEs shall have the maximum practicable opportunity to compete for subcontract work, regardless of whether a contract goal is set for this Contract. Contractor agrees to use good faith efforts to carry out a policy in the award of its subcontracts, agent agreements, and procurement contracts which will, to the fullest extent, utilize DBEs consistent with the efficient performance of the Contract.

ENERGY CONSERVATION REQUIREMENTS
Contractor agrees to comply with mandatory standards and policies relating to energy efficiency which are contained in the State energy conservation plans issued under the Energy Policy and Conservation Act, as amended, 42 U.S.C. Sections 6321 et seq. and 41 CFR Part 301-10.

FEDERAL CHANGES
Contractor shall at all times comply with all applicable FTA regulations, policies, procedures and directives, listed directly or by reference in the Contract between Public Agency and the FTA, and those applicable regulatory and procedural updates that are communicated to Contractor by Public Agency, as they may be amended or promulgated from time to time during the term of this contract. Contractor’s failure to so comply shall constitute a material breach of this Contract.

INCORPORATION OF FEDERAL TRANSIT ADMINISTRATION (FTA) TERMS The provisions include, in part, certain Standard Terms and Conditions required by the U.S. Department of Transportation (DOT), whether or not expressly set forth in the preceding Contract provisions. All contractual provisions required by the DOT and applicable to the scope of a particular Contract awarded to Contractor by a Public Agency as a result of solicitation, as set forth in the most current FTA Circular 4220.1F, published February 8 th, 2016, are hereby incorporated by reference. Anything to the contrary herein notwithstanding, all FTA mandated terms shall be deemed to control in the event of a conflict with other provisions contained in this Contract. Contractor agrees not to knowingly perform any act, knowingly fail to perform any act, or refuse to comply with any reasonable public agency requests that would directly cause public agency to be in violation of the FTA terms and conditions.

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NO FEDERAL GOVERNMENT OBLIGATIONS TO THIRD PARTIES
Agency and Contractor acknowledge and agree that, absent the Federal Government’s express written consent and notwithstanding any concurrence by the Federal Government in or approval of the solicitation or award of the underlying Contract, the Federal Government is not a party to this Contract and shall not be subject to any obligations or liabilities to agency, Contractor, or any other party (whether or not a party to that contract) pertaining to any matter resulting from the underlying Contract.

Contractor agrees to include the above clause in each subcontract financed in whole or in part with federal assistance provided by the FTA. It is further agreed that the clause shall not be modified, except to identify the subcontractor who will be subject to its provisions.

PROGRAM FRAUD AND FALSE OR FRAUDULENT STATEMENTS
Contractor acknowledges that the provisions of the Program Fraud Civil Remedies Act of 1986, as amended, 31 U.S.C. §§ 3801 et seq. and U.S. DOT regulations, “Program Fraud Civil Remedies,” 49 CFR Part 31, apply to its actions pertaining to this Contract. Upon execution of the underlying Contract, Contractor certifies or affirms, to the best of its knowledge, the truthfulness and accuracy of any statement it has made, it makes, it may make, or causes to me made, pertaining to the underlying Contract or the FTA assisted project for which this Contract Work is being performed.

In addition to other penalties that may be applicable, Contractor further acknowledges that if it makes, or causes to be made, a false, fictitious, or fraudulent claim, statement, submission, or certification, the Federal Government reserves the right to impose the penalties of the Program Fraud Civil Remedies Act of 1986 on Contractor to the extent the Federal Government deems appropriate.

Contractor also acknowledges that if it makes, or causes to me made, a false, fictitious, or fraudulent claim, statement, submission, or certification to the Federal Government under a contract connected with a project that is financed in whole or in part with Federal assistance originally awarded by FTA under the authority of 49 U.S.C. § 5307, the Government reserves the right to impose the penalties of 18 U.S.C. § 1001 and 49 U.S.C. § 5307 (n)(1) on the Contractor, to the extent the Federal Government deems appropriate.

Contractor agrees to include the above clauses in each subcontract financed in whole or in part with Federal assistance provided by FTA. It is further agreed that the clauses shall not be modified, except to identify the subcontractor who will be subject to the provisions.

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State Notice Addendum
The National Cooperative Purchasing Alliance (NCPA), on behalf of NCPA and its current and potential participants to include all county, city, special district, local government, school district, private K-12 school, higher education institution, state, tribal government, other government agency, healthcare organization, nonprofit organization and all other Public Agencies located nationally in all fifty states, issues this Request for Proposal (RFP) to result in a national contract.

For your reference, the links below include some, but not all, of the entities included in this proposal:
http://www.usa.gov/Agencies/State_and_Territories.shtml https://www.usa.gov/local-governments

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Ø Purchase orders and payment can only be made to awarded vendor or distributors/business partners/resellers previously approved by NCPA.

Ø Pricing provided to members by added distributors or dealers must also be less than or equal to the pricing offered by the awarded contract holder.

Ø All distributors/partners/resellers are required to abide by the Terms and Conditions of the vendor's agreement with NCPA.

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¨ Franchise Tax
Ø The respondent hereby certifies that he/she is not currently delinquent in the payment of any franchise taxes.

Ø Any protest review and action shall be considered final with no further formalities being considered.

the respondent must specify which exception(s) are applicable and provide detailed reasons to substantiate the exception(s).

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Evaluation Criteria

Ø Vendor’s ability to perform towards above requirements and desired specifications.

Ø Past Cooperative Program Performance
Ø Quantity of line items available that are commonly purchased by the entity.

Ø Quality of line items available compared to normal participating entity standards.

Ø Exhibited understanding of cooperative purchasing

¨ Innovation (10 points)
Ø Past Innovation, how it affected sales
Ø Future Innovation in the pipeline

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Signature Form
The undersigned hereby proposes and agrees to furnish
goods and/or services in strict compliance with
the terms, specifications and conditions at the prices proposed within response unless noted in writing.

Prices are guaranteed: 120 days
Company name
Address
City/State/Zip
Telephone No.

Fax No.

Email address
Printed name
Position with company
Authorized signature
Demco, Inc
4810 Forest Run Rd.

Madison, WI 53704
866-558-9068
888.320.0288
[email protected]
Terry Janes
VP of Finance
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Deviations & Exceptions

• $75 minimum order after discount for all discounts to apply and free shipping on Stock orders from the Demco Annual Full Line catalog.

• Discounts awarded for Specific Manufacturers will be based on the current MSRP pricing available at the time of the quote/order.

• Discounts awarded for the Demco Full Line Catalog & Demco Proprietary Lines, will apply to list pricing found on www.demco.com. We plan to honor them all year, unless economic conditions force us to pass along prices increases. The awarded discounts will not change for the length of the contract.

• Demco will pay regular FedEx Ground Service shipping costs on all stock orders. Express parcel shipping is not included.

• Shipping and Processing will be prepaid and added to all drop ship orders, such as furniture and equipment. This would include Furniture and Equipment items out of our Full line catalog, on demco.com, and from the manufacturers catalog. Demco provides good-faith shipping estimates on all orders.

• Accessorial services are an added charge. See Additional Services page.

• Product exclusions:
o Library Security Equipment – excluded from FOB Destination o Demco Circulation Technology Solutions Equipment & Supplies – excluded from FOB Destination.
o Subscription program products – excluded from discounts.

• Shipping and processing for orders shipping to Alaska/Hawaii will be prepaid and added to invoice for all items.

• Deliveries will be made 7-10 days after receipt of stock item orders and 2-12 weeks for items shipped directly from the manufacturer such as furniture and equipment. No walk-in locations are available.

• Contract discounts are not available for Security Products, Demco Software, littleBits™ products and Licensed Products (Dr. Seuss™, Eric Carle™, etc.). See the attached list of items excluded from discounts.

Deviations & Exceptions
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Return & Exchange Policy
Demco stands behind our products. If your members are not satisfied with an order, you may return or exchange a qualifying item* within 6 months of your invoice date. Furniture, special orders, custom products, and international orders cannot be returned or exchanged unless you receive them damaged or defective. Anything that has been engraved or imprinted is not returnable.

*Not sure if an item qualifies for a return or exchange? A Demco Customer Service representative can help you. Call 800.962.4463 or email [email protected]

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Ø Vendor shall perform all duties, responsibilities and obligations required under the Master Agreement in the time and manner specified by the Master Agreement.

Entity Name Zip Code State PO or Job # Sale Amount

Total ________________

Ø Each quarter NCPA will invoice the vendor based on the total of sale amount(s) reported.

From the invoice the vendor shall pay to NCPA an administrative fee based upon the tiered fee schedule below. Vendor’s annual sales shall be measured on a calendar year basis.

Deadline for term of payment will be included in the invoice NCPA provides.

Annual Sales Through Contract Administrative Fee
0 - $30,000,000 2%
$30,000,001 - $50,000,000 1.5%
$50,000,001+ 1%

*** Please see attached for alternate admin fee tiers proposal EXHIBIT 1
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National Cooperative Purchasing Alliance:

Date: ________________________________________

Demco, Inc
Terry Janes
VP of Finance
4810 Forest Run Rd., PO Box 7488
Madison, WI 53707-7488
July 12th, 2022
Director, Business Development
Matthew Mackel
PO Box 701273
Houston, TX 77270
September 1, 2022
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Ø Please indicate the price co-efficient for each state if it varies. 50 States & District of Columbia (Selecting this box is equal to checking all boxes below)

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All US Territories and Outlying Areas (Selecting this box is equal to checking all boxes below)

Is not owned or operated by anyone who has been convicted of a felony.

American Somoa Northern Marina Islands
Federated States of Micronesia Puerto Rico
Guam U.S. Virgin Islands
Midway Islands
Madison
WI
Kristopher L Snow
Contracts Facilitator
Demco, Inc
4810 Forest Run Rd.

Madison
WI
53704
866.558.9068
[email protected]
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Yes No
Ø Pricing submitted includes the required NCPA administrative fee. The NCPA fee is calculated based on the invoice price to the customer.

Yes No

Order Entry
Order Entry Representative
Demco, Inc
PO Box 7488
Madison
WI
53707
800.356.1200
[email protected]
Kristopher L Snow
Contracts Facilitator
Demco, Inc
4810 Forest Run Rd.

Madison, WI 53704 866.558.9068
[email protected]
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Tab 4 – Vendor Profile
Please provide the following information about your company:
¨ Company’s official registered name.

¨ Brief history of your company, including the year it was established.

¨ Company’s Dun & Bradstreet (D&B) number.

¨ Company’s organizational chart of those individuals that would be involved in the contract.

¨ Corporate office location.

Ø List the number of sales and services offices for states being bid in solicitation.

Ø List the names of key contacts at each with title, address, phone and e-mail address.

¨ Define your standard terms of payment.

¨ Who is your competition in the marketplace?

¨ Provide Annual Sales for last 3 years broken out into the following categories:

¨ What differentiates your company from competitors?

¨ Describe how your company will market this contract if awarded.

¨ Describe how you intend to introduce NCPA to your company.

¨ Describe your firm’s capabilities and functionality of your on-line catalog / ordering website.

¨ Describe your company’s Customer Service Department (hours of operation, number of service centers, etc.)
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¨ Anti-Discrimination Policy (if applicable)
Ø Describe your organizations’ anti-discrimination policy.

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Company’s Official Registered Name

Demco, Inc

Company History

Since 1905, Demco has served the library and education markets. The key to our longevity is our focus on anticipating the changing needs of schools and libraries and creating and supplying innovative solutions to meet those needs.

1905
The Democrat Printing Company in Madison, Wisconsin, creates a Library Department to serve libraries and promote their mission.
1907
Harry Netherwood and Frank Matthews, coworkers in the Library Department, invent the Book Pocket to hold Date Due Slips. Result: While materials and printing have changed, this enduring design has lasted for over a century.
1925
The company is renamed Demco Library Supplies. Norman Bassett, who will eventually purchase the company in 1931, joins the library department and sets a precedent for working with librarians to understand their needs. Results: The development of how-to books and guides, mending materials, cleaners, and standardized catalog cards.
1944
Demco Library Supplies commissions and publishes the Pictorial Library Primer by Winifred Lemon Davis.

Result: A how-to manual to aid untrained librarians.
1951–
1955
Demco Library Supplies develops and introduces Paperfold™ and Durafold™ Book Jacket Covers; Norbond™ Glue; and Fastape to meet librarians’ book protection and repair needs. Result: These solutions continue to be staples for extending the life of library collections today. 1965
The Value Center, a production and warehouse facility, arises on 20 acres in DeForest, Wisconsin. With four more additions, this facility now totals 164,000 square feet. 1968 John Wall becomes president of the newly renamed Demco Educational Corp. 1978
John Wall shortens the company name to Demco and becomes its new owner, making it a subsidiary of Wall Family Enterprises.
1988 Demco relocates to a new 42,000 square foot building in Madison. 1997
Demco launches demco.com. Results: A easy-to-use website that now serves thousands every day and features our complete line of products.
2003
Demco acquires Gaylord and adds interior design services. Results: Demco continues to offer popular Gaylord products today. K–12 schools, public and higher education libraries, and architects can now take advantage of a range of interior services found at demcointeriors.com. 2010
Demco acquires Highsmith. Results: Upstart promotions add a collection of exclusive reading incentives to our offering, including bookmarks, decor, and more to help nurture a lifelong love of learning.

Tab 4 – Response
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2012
Demco launches the Ideas & Inspiration site at ideas.demco.com. Results: Librarians and educators can now access free professional development resources, including webinars, how-to guides, idea galleries, activity calendars, and much more.
2019
Demco launches MakerHub at makerhub.demco.com. Results: Makerspace directors, librarians, and educators now have free access to hundreds of low- and high-tech STEM projects. 2021
Demco introduces the Show & Stow Storage System, FLEXplore Furniture Collection, Tidal Stack Chairs, and new ColorScape® Furniture options. Results: Demco offers over 50,000 products while continually listening to educators and librarians and developing new solutions to meet their evolving needs.

City Council and Concurrent AuthoritiesNovember 15, 2022

City Council and Concurrent Authorities
November 15, 2022