City Council and Concurrent Authorities
August 20, 2024

City Council/Successor Agency to the
Redevelopment Agency/Public
Financing Authority/Parking Authority
Concurrent
City of Stockton
Meeting Agenda - Final
City Council/Successor
Agency of the
Redevelopment
Agency/Public Financing
Authority/Parking Authority
Concurrent Agenda
Kevin J. Lincoln II, Mayor/Chair (At Large)
Kimberly Warmsley, VIce Mayor (District 6)
Michele Padilla (District 1)
Daniel R. Wright (District 2)
Michael Blower (District 3)
Susan Lenz (District 4)
Brando Villapudua (District 5)
Council Chamber, City Hall, 425 N. El Dorado
Street, Stockton CA
Tuesday, August 20, 2024 3:30 PM
Closed Session 3:30 PM :: Regular Session 5:30 PM
Note: Councilmember Lenz will participate in the meeting via teleconference from the following location: Cruise ship Oceania Marina en route to Iceland, Room 10047 Note: Vice Chair Warmsley will participate in the meeting via teleconference from the following location: Hilton Garden Inn Chicago Downtown South Loop, Business Center, 55 E 11th St., Chicago, IL 60605

1. CLOSED SESSION CALL TO ORDER/ROLL CALL

2. ADDITIONS TO CLOSED SESSION AGENDA

3. ANNOUNCEMENT OF CLOSED SESSION

3.1 24-0720 CONFERENCE WITH LEGAL COUNSEL - EXISTING LITIGATION Number of Cases: One
Name of Case: Natasha Aceves-Ballesteros v. The State of California, et al., (San Joaquin County Superior
Court Case No. STK-CV-UPI-2020-4848)
This Closed Session is authorized pursuant to section 54956.9(d)(1) of the Government Code to discuss matters pertaining to existing litigation.

Department: City Attorney

3.2 24-0721 CONFERENCE WITH LABOR NEGOTIATOR
City of Stockton Page 1 Printed on 8/19/2024
City Council/Successor Agency to August 20, 2024
the Redevelopment Agency/Public
Financing Authority/Parking
Authority Concurrent
Meeting Agenda - Final
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 24-0722 PUBLIC EMPLOYEE PERFORMANCE EVALUATION:

Recommended Action: City Manager
This Closed Session is authorized pursuant to Government Code section 54957(b).

Department: City Attorney

3.4 24-0723 PUBLIC EMPLOYEE PERFORMANCE EVALUATION:

Recommended Action: City Attorney
This Closed Session is authorized pursuant to Government Code section 54957(b).

Department: City Attorney

3.5 24-0724 PUBLIC EMPLOYEE PERFORMANCE EVALUATION:

Recommended Action: Interim City Clerk
This Closed Session is authorized pursuant to Government Code section 54957(b).

Department: City Attorney

3.6 24-0778 PUBLIC EMPLOYMENT:

Recommended Action: City Clerk
This Closed Session is authorized pursuant to Government Code section 54957(b).

Department: City Attorney

4. CLOSED SESSION PUBLIC COMMENT*
City of Stockton Page 2 Printed on 8/19/2024
City Council/Successor Agency to August 20, 2024
the Redevelopment Agency/Public
Financing Authority/Parking
Authority Concurrent
Meeting Agenda - Final

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 24-0868 PROCLAMATION - NATIONAL BREASTFEEDING MONTH Department: Office of the Mayor

10.2 24-0869 CERTIFICATE OF RECOGNITION - AMERICAN DESI SOCIETY

FOUNDERS
Department: Office of the Mayor

10.3 24-0870 PROCLAMATION - NATIONAL HEALTH CENTER WEEK Department: Office of the Mayor

11. PUBLIC COMMENTS* – MATTERS NOT ON THE AGENDA

12. CONSENT AGENDA

12.1 24-0853 ADOPT A RESOLUTION APPROVING CITY MANAGER HARRY E.

BLACK’S SECOND AMENDED EMPLOYMENT AGREEMENT,

AUTHORIZE MAYOR TO EXECUTE THE SECOND AMENDED

EMPLOYMENT AGREEMENT, AND AUTHORIZE STAFF TO AMEND

THE CITY OF STOCKTON SALARY SCHEDULE TO REFLECT THE

INCREASE IN CITY MANAGER BASE SALARY AND IMPLEMENT

THE TERMS OF THE SECOND AMENDED EMPLOYMENT

AGREEMENT
City of Stockton Page 3 Printed on 8/19/2024
City Council/Successor Agency to August 20, 2024
the Redevelopment Agency/Public
Financing Authority/Parking
Authority Concurrent
Meeting Agenda - Final
Recommended Action: RECOMMENDATION
It is recommended that the City Council:

1. Adopt a resolution approving the Second Amended Employment Agreement for Harry E. Black, City Manager for the City of Stockton.

2. Authorize the Mayor, on behalf of the City Council, to execute the Second Amended Employment Agreement setting forth the terms and conditions of employment with Mr. Black, effective August 20, 2024.

3. Authorize City Staff to amend the City of Stockton salary schedule to reflect the increase to the City Manager's base salary and implement the other terms and conditions in the Second Amended Employment Agreement.

Department: City Attorney
Proposed Resolution
Exhibit 1 - Second Amended Contract CM
Attachments:

12.2 24-0825 ADOPT THE FISCAL YEAR 2024-25 INTERNAL AUDIT PROGRAM Recommended Action: RECOMMENDATION
The Council Audit Committee recommends that City Council adopt by motion, the Fiscal Year (FY) 2024-25 Internal Audit Program.

Department: City Auditor
Attachments: Attachment A - FY 2024-25 Internal Audit Plan

12.3 24-0765 STOCKTON COMMUNITY WORKFORCE TRAINING AGREEMENT

EXTENSION
Recommended Action: RECOMMENDATION
The Stockton Community Workforce Training Agreement (CWTA) is set to expire on August 25, 2024. Approval of this item, extends the agreement for five (5) years and accepts the terms of the Amendment provided in Attachment C.

Department: Public Works
Attachment A - 2016 CWTA Agreement
Attachment B - 2019 CWTA Extension
Attachment C - 2024 Proposed CWTA Amendment
Attachments:

Note: This item had non substantive edits made by the Public Works Department on August 19, 2024

12.4 24-0645 APPROVE A RESOLUTION AUTHORIZING EXECUTION OF A JOINT

COMMUNITY FACILITIES AGREEMENT WITH THE CALIFORNIA

MUNICIPAL FINANCE AUTHORITY RELATED TO THE LIGURIAN
City of Stockton Page 4 Printed on 8/19/2024
City Council/Successor Agency to August 20, 2024
the Redevelopment Agency/Public
Financing Authority/Parking
Authority Concurrent
Meeting Agenda - Final

VILLAGE PROJECT
Recommended Action: RECOMMENDATION
It is recommended City Council adopt a resolution to:

1. Authorize and approve the use of the Bond Opportunities for Land Development Program to finance improvements related to the Ligurian Village project.

2. Authorize the City Manager, or designee, to enter into the Joint Community Facilities Agreement with the California Municipal Finance Authority.

Department: Administrative Services
Proposed Resolution
Exhibit 1 - Joint Community Facilities Agreement
Attachments:

12.5 24-0797 ACCEPT THE QUARTERLY INVESTMENT REPORT FOR QUARTER ENDED JUNE 30, 2024
Recommended Action: RECOMMENDATION
It is recommended that the City Council accept by motion the Quarterly Investment Report for the quarter ended June 30, 2024.

Department: Administrative Services
Attachment A - Combined Quarterly Investment Reports at 06-30-2024 Attachment B - Certification of Quarterly Investment
Attachments:

12.6 24-0757 ACCEPT COMMITTEE MINUTES FOR FILING
Recommended Action: RECOMMENDATION
Accept for filing minutes from the Council Budget/Finance/Economic Development Commission meeting June 11, 2024
Department: City Clerk
Attachments: Attachment A – 2024-06-11.pdf

12.7 24-0759 APPROVAL OF CITY COUNCIL MINUTES
Recommended Action: RECOMMENDATION
Approve the minutes from the City Council meetings of June 18, 2024 and June 27, 2024, July 9, 2024
Department: City Clerk
Attachment A – 2024-06-18 Minutes.pdf
Attachment B - 2024-06-27 Minutes.pdf
Attachment C – 2024-07-09 Minutes.pdf
Attachments:

City of Stockton Page 5 Printed on 8/19/2024
City Council/Successor Agency to August 20, 2024
the Redevelopment Agency/Public
Financing Authority/Parking
Authority Concurrent
Meeting Agenda - Final

12.8 24-0761 DESIGNATING VOTING DELEGATE AND ALTERNATE FOR THE

LEAGUE OF CALIFORNIA CITIES ANNUAL CONFERENCE TO BE
HELD OCTOBER 16-18, 2024
Recommended Action: RECOMMENDATION
It is recommended that the City Council, by resolution, designate one member to serve as voting delegate and one member to serve as alternate voting delegate representing the City at the League of California Cities Annual Conference, to be held October 16-18, 2024, in Long Beach, California.

Department: City Clerk
Attachments: Proposed Resolution

12.9 24-0710 RESCIND APRIL 28, 1986, COUNCIL ACTION SETTING

INTERPRETER LANGUAGE ON CITY AGENDAS AND DELEGATE

AUTHORITY TO THE CITY CLERK TO UPDATE PUBLIC ACCESS

LANGUAGE ON CITY AGENDAS
Recommended Action: RECOMMENDATION
Staff recommends Council approve a motion:

1. Rescinding the action taken by Council at the April 28, 1986, Council meeting which specified that the City of Stockton does not furnish interpreters at public meetings; and

2. Delegating authority to the City Clerk to make changes to the public access language on future City agendas as needed and consistent with the law.

Department: City Clerk

12.10 24-0838 ACCEPT THE FINAL 2023-24 SAN JOAQUIN COUNTY CIVIL GRAND

JURY REPORT AND APPROVE THE CITY OF STOCKTON

RESPONSES
Recommended Action: RECOMMENDATION
It is recommended that the City Council accept the final 2023-24 San Joaquin County Civil Grand Jury Report and approve by motion the City's responses.

It is also recommended that the City Council authorize the City Manager to submit all approved responses to the San Joaquin County Civil Grand Jury on behalf of the City and Council.

Department: City Manager
City of Stockton Page 6 Printed on 8/19/2024
City Council/Successor Agency to August 20, 2024
the Redevelopment Agency/Public
Financing Authority/Parking
Authority Concurrent
Meeting Agenda - Final
Attachment A - 2023-24 San Joaquin County Grand Jury Final Report Attachment B - City Reponse to Crisis in Government, Case No. 0123 Attachment C - City Response to Cold Cases in SJ County, Case No. 0318 Attachment D - City Response to Illegal Dumping, Case No. 0519 Attachment E - School Safety in San Joaquin, Case No. 0322 Attachments:

12.11 24-0713 APPROVE A MOTION TO AUTHORIZE AN AGREEMENT

EXTENSION FOR ON-CALL ENGINEERING PLAN REVIEW AND

SURVEYOR TECHNICAL REVIEW SERVICES TO BUREAU
VERITAS NORTH AMERICA, INC.

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

1. Authorize the City Manager to execute a one-year and two-month extension to the Professional Service Agreement with Bureau Veritas North America, Inc., in the amount of $460,000, for a new not-to-exceed amount of $890,000 for On-call Engineering Plan Review and Surveyor Technical Review Services; and

2. Approve findings that support an exception to the competitive bidding requirement pursuant to Stockton Municipal Code Section 3.68.070.

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

Department: Community Development
Attachment A - Professional Services Agreement
Attachment B - Amendment No. 1
Attachment C - Amendment No. 2
Attachments:

12.12 24-0753 ADOPT A RESOLUTION APPROVING A FINAL MAP AND

SUBDIVISION AGREEMENT FOR THE WESTLAKE VILLAGES, UNIT
NO. 9 - VILLAGE J (TRACT NO. 3576) PROJECT
City of Stockton Page 7 Printed on 8/19/2024
City Council/Successor Agency to August 20, 2024
the Redevelopment Agency/Public
Financing Authority/Parking
Authority Concurrent
Meeting Agenda - Final
Recommended Action: RECOMMENDATION
It is recommended that the City Council adopt a resolution to:

1. Approve the final map for Westlake Villages, Unit No. 9 - Village J, Tract No. 3576; and

2. Authorize the City Manager to execute the subdivision agreement, accept on behalf of the public all offers of dedication, and record the final map for Westlake Villages, Unit No. 9 - Village J, Tract No. 3576; and

3. Authorize the City Manager to take appropriate and necessary actions to carry out the purpose and intent of the resolution.

Department: Community Development
Attachment A - Vicinity Map
Resolution
Exhibit 1 - Map Agreement
Exhibit 2 - Final Map
Attachments:

12.13 24-0600 RESOLUTION AUTHORIZING THE SUMMARY VACATION OF A

PORTION OF PUBLIC RIGHTS-OF-WAY ALONG WORTH,

JEFFERSON, ANDERSON, JACKSON, CLAY, AND UNION

STREETS, AND AUTHORIZING A QUITCLAIM DEED FOR THE

CONVEYANCE OF THOSE VACATED PORTIONS OF

RIGHTS-OF-WAY TO THE SAN JOAQUIN REGIONAL RAIL

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

1. Approving a summary vacation of a portion of the public rights-of-way at Worth, Jefferson, Anderson, Jackson, Clay, and Union Streets.

2. Authorizing the filing of Notice of Exemption No. 26-24 under the California Environmental Quality Act for the summary vacation of a portion of the public rights-of-way at Worth, Jefferson, Anderson, Jackson, Clay, and Union Streets.

3. Authorizing the portion of the public rights-of-way at Worth, Jefferson, Anderson, Jackson, Clay, and Union Streets to be conveyed to the San Joaquin Regional Rail Commission via quitclaim deed.

4. Authorizing the reservation of a Public Utility Easement.

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

City of Stockton Page 8 Printed on 8/19/2024
City Council/Successor Agency to August 20, 2024
the Redevelopment Agency/Public
Financing Authority/Parking
Authority Concurrent
Meeting Agenda - Final
Department: Economic Development
Attachment A - Vicinity Map
Attachment B - Aerial Map
Proposed Resolution - Stockton Diamond Paper Streets
Exhibit 1 - Quitclaim Deed for Paper Streets
Exhibit 2 - Plat & Legal - Worth Street
Exhibit 3 - Plat & Legal - Jefferson Street
Exhibit 4 - Plat & Legal - Anderson Street
Exhibit 5 - Plat & Legal - Jackson Street
Exhibit 6 - Plat & Legal - Clay Street
Exhibit 7 - Plat & Legal - Union Street
Exhibit 8 - NOE 26-24
Attachments:

12.14 24-0780 APPROVE A MOTION TO AUTHORIZE THE CITY MANAGER TO

ENTER INTO A FIVE-YEAR SUBSCRIPTION AGREEMENT WITH
ESO SOLUTIONS, INC. FOR FIRE INCIDENT AND EMERGENCY

MEDICAL SERVICE RECORDS MANAGEMENT SOFTWARE
Recommended Action: RECOMMENDATION
It is recommended that the City Council approve a motion to:

1. Approve findings that support an exception to the competitive bidding process;

2. Authorize the City Manager to execute a five-year Subscription Agreement with ESO Solutions, Inc. for fire incident and emergency medical service records management software for an amount not to exceed $177,000; and

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

Department: Fire
Attachments: Attachment A - ESO Subscription Agreement

12.15 24-0788 ADOPT A RESOLUTION ACKNOWLEDGING THE FIRE DEPARTMENT’S 2023 ANNUAL INSPECTION STATISTICS FROM

EDUCATIONAL GROUP E AND RESIDENTIAL GROUP R

OCCUPANCIES
Recommended Action: RECOMMENDATION
It is recommended that the City Council adopt a resolution to acknowledge the Fire Department's 2023 annual inspection statistics from Educational Group E and Residential Group R Occupancies per State of California Health and Safety Code Section 13146.4.

City of Stockton Page 9 Printed on 8/19/2024
City Council/Successor Agency to August 20, 2024
the Redevelopment Agency/Public
Financing Authority/Parking
Authority Concurrent
Meeting Agenda - Final
Department: Fire
Attachment A - Cal Health and Safety Code
Proposed Resolution
Exhibit 1 - 2023 Inspections
Attachments:

12.16 24-0795 RESOLUTION TO ADOPT THE UPDATED PUBLICLY AVAILABLE

CITY-WIDE SALARY SCHEDULE AS REQUIRED BY CALPERS FOR
FISCAL YEAR 2024-2025
Recommended Action: RECOMMENDATION
It is recommended that the City Council approve a resolution to adopt the updated version of the publicly available salary schedule effective July 1, 2024, to provide comprehensive information on salary compensation used to determine pension amounts in retirement for all City of Stockton job classifications and make the document available on the City's website.

Department: Human Resources
Proposed Resolution
Exhibit 1 - Salary Schedule
Attachments:

12.17 24-0841 APPROVE A MOTION TO GRANT A CONTRACT EXTENSION FOR

CONSTRUCTION REPRESENTATIVE SERVICES FOR THE

REGIONAL WASTEWATER CONTROL FACILITY MODIFICATIONS

PROJECT
Recommended Action: RECOMMENDATION
It is recommended that the City Council approve a motion authorizing the City Manager to execute a contract extension with Carollo Engineers, Inc. through January 30, 2025, for Construction Representative Services for the Regional Wastewater Control Facility (RWCF) Modifications Project.

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 motion.

Department: Municipal Utilities
Attachment A - Contract with Carollo Engineers, Inc.

Attachment B - Amendment No. 3
Attachments:

12.18 24-0752 ADOPT A RESOLUTION TO AUTHORIZE A PROFESSIONAL

SERVICES AGREEMENT WITH THE HACH COMPANY FOR

MUNICIPAL UTILITY INSTRUMENTATION SERVICES
City of Stockton Page 10 Printed on 8/19/2024
City Council/Successor Agency to August 20, 2024
the Redevelopment Agency/Public
Financing Authority/Parking
Authority Concurrent
Meeting Agenda - Final
Recommended Action: RECOMMENDATION
It is recommended that the City Council adopt a resolution to award a three-year Professional Services Agreement to the Hach Company of Loveland, CO, in the not-to-exceed amount of $683,935.80 for utility instrumentation 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:

12.19 24-0676 ADOPT A RESOLUTION TO AWARD A CONTRACT TO HADRONEX, INC. DBA SMARTCOVER SYSTEMS LLC FOR CITYWIDE

WASTEWATER MONITORING SERVICES
Recommended Action: RECOMMENDATION
It is recommended that the City Council adopt a resolution to:

1. Approve findings pursuant to Stockton Municipal Code section 3.68.070 in support of an exception to the competitive bidding process.

2. Award a three (3) year contract not-to-exceed $269,783.60 to Hadronex Inc, dba SmartCover LLC of Escondido, CA, for H2S and Level Monitoring Systems (PUR 24-006) for citywide wastewater monitoring solutions with one possible two-year extension. (Exhibit 1 to the Resolution).

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 - Standard Agreement
Attachments:

12.20 24-0677 ADOPT A RESOLUTION TO AUTHORIZE A CONTRACT WITH

CHEM-WEED, LLC FOR WASTEWATER TREATMENT POND WEED

MAINTENANCE SERVICES
City of Stockton Page 11 Printed on 8/19/2024
City Council/Successor Agency to August 20, 2024
the Redevelopment Agency/Public
Financing Authority/Parking
Authority Concurrent
Meeting Agenda - Final
Recommended Action: RECOMMENDATION
It is recommended that the City Council adopt a resolution to:

1. Approve the Specifications and Addenda for Pond Weed Maintenance Services (PUR 24-031).

2. Authorize the City Manager to execute a five-year contract for Pond Weed Maintenance Services with Chem-Weed, LLC for the not-to-exceed amount of $1,059,884.81 (Exhibit 2 to the Resolution).

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 - Invitation to Bid
Exhibit 2 - Standard Agreement
Attachments:

12.21 24-0755 ADOPT A RESOLUTION TO APPROVE FINDINGS AND AWARD A

THREE-YEAR AGREEMENT WITH CONSTELLATION NEWENERGY
- GAS DIVISION LLC FOR THE PURCHASE OF NATURAL GAS
Recommended Action: RECOMMENDATION
It is recommended that the City Council adopt a resolution to:

1. Approve findings pursuant to Stockton Municipal Code section 3.68.070 in support of an exception to the competitive bidding process.

2. Authorize the City Manager to execute a three-year agreement with Constellation NewEnergy - Gas Division LLC to purchase natural gas.

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

Department: Municipal Utilities
Proposed Resolution
Exhibit 1 - Constellation Agreement
Exhibit 2 - PGE Noncore Balancing Agreement
Exhibit 3 - Constellation Transaction Confirmation
Attachments:

12.22 24-0741 ADOPT A RESOLUTION TO AUTHORIZE A PUBLIC HEARING TO CONSIDER ADJUSTMENTS IN THE CITY’S WASTEWATER RATES

AND CHARGES AND AUTHORIZING AND DIRECTING THE CITY

MANAGER TO MAIL A NOTICE OF THE PUBLIC HEARING TO

CONSIDER THE PROPOSED ADJUSTMENTS
City of Stockton Page 12 Printed on 8/19/2024
City Council/Successor Agency to August 20, 2024
the Redevelopment Agency/Public
Financing Authority/Parking
Authority Concurrent
Meeting Agenda - Final
Recommended Action: RECOMMENDATION
It is recommended that the City Council adopt a resolution to:

1. Authorize a public hearing to be held in the future to consider adjustments in the City's wastewater rates and charges; and

2. Authorize and direct the City Manager to mail a notice of the future public hearing to all City of Stockton Wastewater Utility customers and the record owners of property upon which the rates and charges are proposed.

The public hearing shall be held at least 45 days after the notice of the public hearing has been mailed.

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 - Draft WW Rate Study
Proposed Resolution
Attachments:

12.23 24-0751 APPROVE MOTION TO EXECUTE AN AMENDMENT TO THE STANDARD AGREEMENT WITH AXON ENTERPRISES INC. IN AN
AMOUNT OF $541,632 FOR THE INTEGRATION OF FUSUS
Recommended Action: RECOMMENDATION
It is recommended that City Council approve a motion to:

1. Authorize the City Manager to approve Standard Agreement Amendment No. 2 with Axon Enterprises Inc. (Axon), at a maximum not to exceed amount of $541,632 for the integration of FUSUS software and;

2. Authorize and direct the City Manager to make any and all expenditures and appropriations on behalf of the City as appropriate and necessary to carry out the purpose and intent of this motion.

Department: Police
Attachment A - Master Services and Purchase Agreement
Attachment B - Amendment 1 - Body Worn Camera
Attachment C - Axon Enterprise - Amendment 2 - Fusus
Attachments:

12.24 24-0826 ADOPT A RESOLUTION APPROVING THE SAN JOAQUIN COUNTY COMMUNITY CORRECTIONS PARTNERSHIP TASK FORCE’S

PROGRAM ENHANCEMENT REQUEST AND AMEND THE FISCAL
YEAR 2024-25 ANNUAL BUDGET
City of Stockton Page 13 Printed on 8/19/2024
City Council/Successor Agency to August 20, 2024
the Redevelopment Agency/Public
Financing Authority/Parking
Authority Concurrent
Meeting Agenda - Final
Recommended Action: RECOMMENDATION
It is recommended that the City Council adopt a resolution to:

1. Authorize the City Manager to execute Amendment 1 to the Independent Contractor Agreement between San Joaquin County and the City of Stockton, Program Enhancement and One-Time Requests;

2. Authorize the City Manager to accept $775,000 in Fiscal Year (FY) 2024-25 AB 109 funding for the San Joaquin County Community Corrections Partnership (CCP) Task Force;

3. Approve an amendment to the FY 2024-25 Annual Budget to increase the Police Other Special Revenue Fund, San Joaquin County Community Corrections Partnership Task Force revenue estimates and expenditure appropriations by $775,000;

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

Department: Police
Proposed Resolution
Exhibit 1 - Amendment 1
Attachments:

12.25 24-0763 ADOPT RESOLUTION TO AUTHORIZE THE STREET FURNITURE

PAINTING PROJECT
Recommended Action: RECOMMENDATION
It is recommended that the City Council adopt a resolution to:

1. Approve Notice of Exemption No. NOE30-24 under the California Environmental Quality Act for the Street Furniture Painting, Project No.

WD23008.

2. Approve the plans and specifications for the Street Furniture Painting, Project No. WD23008.

3. Award a Construction Contract in the amount of $76,316 to Streetlight Restoration Specialists, Inc. of Camarillo, CA, for the Street Furniture Painting, Project No. WD23008.

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: Public Works
Attachment A - Vicinity Map
Proposed Resolution
Exhibit 1 - NOE30-24
Exhibit 2 - Construction Contract
Attachments:

City of Stockton Page 14 Printed on 8/19/2024
City Council/Successor Agency to August 20, 2024
the Redevelopment Agency/Public
Financing Authority/Parking
Authority Concurrent
Meeting Agenda - Final

12.26 24-0764 ADOPT RESOLUTION TO AUTHORIZE THE LOCAL STREET RESURFACING PROGRAM FY 2023-24 SB1 - CRACK SEALING

PROJECT
Recommended Action: RECOMMENDATION
It is recommended that the City Council adopt a resolution to:

1. Approve Notice of Exemption No. NOE29-24 under the California Environmental Quality Act for the Local Street Resurfacing Program FY 2023-24 SB1 - Crack Sealing, Project No. WD24003.

2. Approve the plans and specifications for the Local Street Resurfacing Program FY 2023-24 SB1 - Crack Sealing, Project No. WD24003.

3. Award a Construction Contract in the amount of $286,000 to Graham Contractors, Inc. of San Jose, CA, for the Local Street Resurfacing Program FY 2023-24 SB1 - Crack Sealing, Project No. WD24003.

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: Public Works
Attachment A - Vicinity Map
Proposed Resolution
Exhibit 1 - NOE29-24
Exhibit 2 - Construction Contract
Attachments:

12.27 24-0774 ADOPT A RESOLUTION AND RATIFY THE EMERGENCY

CONSTRUCTION CONTRACT FOR THE VAN BUSKIRK BUILDING

DEMOLITION PROJECT
City of Stockton Page 15 Printed on 8/19/2024
City Council/Successor Agency to August 20, 2024
the Redevelopment Agency/Public
Financing Authority/Parking
Authority Concurrent
Meeting Agenda - Final
Recommended Action: RECOMMENDATION
It is recommended that the City Council adopt a resolution to:

1. Approve Notice of Exemption No. NOE12-24 under the California Environmental Quality Act for the Van Buskirk Building Demolition, Project No. WP24025.

2. Approve findings pursuant to Stockton Municipal Code section 3.68.070 in support of an exception to the competitive bidding process.

3. Approve findings and ratify the City Manager's approval to execute an Emergency Construction Contract to W.C. Maloney, LLC of Stockton, CA, in the amount of $114,550, for the Van Buskirk Building Demolition, Project No. WP24025.

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: Public Works
Proposed Resolution
Exhibit 1 - NOE - signed
Exhibit 2 - Executed Contract
Attachments:

12.28 24-0719 ADOPT RESOLUTION TO AUTHORIZE THE LOCAL STREET RESURFACING PROGRAM FY 2024-25 SB1 - CAPE SEAL PROJECT
Recommended Action: RECOMMENDATION
It is recommended that the City Council adopt a resolution to:

1. Approve Notice of Exemption No. NOE28-24 under the California Environmental Quality Act for the Local Street Resurfacing Program FY 2024-25 SB1 - Cape Seal, Project No. WD25003.

2. Approve the plans and specifications for the Local Street Resurfacing Program FY 2024-25 SB1 - Cape Seal, Project No. WD25003.

3. Award a Construction Contract in the amount of $892,298 to VSS International, Inc. of West Sacramento, CA, for the Local Street Resurfacing Program FY 2024-25 SB1 - Cape Seal, Project No. WD25003.

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: Public Works
City of Stockton Page 16 Printed on 8/19/2024
City Council/Successor Agency to August 20, 2024
the Redevelopment Agency/Public
Financing Authority/Parking
Authority Concurrent
Meeting Agenda - Final
Attachment A - Vicinity Map
Proposed Resolution
Exhibit 1 - Notice of Exemption
Exhibit 2 - Construction Contract - CWTA
Attachments:

12.29 24-0737 ADOPT RESOLUTION TO AUTHORIZE THE CITY STREET RE-STRIPING FY 2023-24 SB1 PROJECT
Recommended Action: RECOMMENDATION
It is recommended that the City Council adopt a resolution to:

1. Approve Notice of Exemption No. NOE24-24 under the California Environmental Quality Act for the City Street Re-Striping FY 2023-24 SB1, Project No. WD24009.

2. Approve the plans and specifications for the City Street Re-Striping FY 2023-24 SB1, Project No. WD24009.

3. Transfer funds in the amount of $100,000 from the Local Streets Resurfacing Program FY 2023-2024 SB1, Project No. WD24003, to the City Street Re-Striping FY 2023-24 SB1, Project No. WD24009.

4. Award a Construction Contract in the amount of $370,010 to WGJ Enterprises, Inc. DBA PCI of Azusa, CA, for the City Street Re-Striping FY 2023-24 SB1, Project No. WD24009.

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: Public Works
Attachment A - Vicinity Map
Proposed Resolution
Exhibit 1 - Notice of Exemption
Exhibit 2 - Construction Contract
Attachments:

12.30 24-0740 APPROVE MOTION TO AWARD A PROFESSIONAL SERVICES

CONTRACT FOR THE GREATER DOWNTOWN BIKE AND

PEDESTRIAN CONNECTIVITY PROJECT
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Recommended Action: RECOMMENDATION
It is recommended that the City Council approve a motion to:

1. Approve findings pursuant to Stockton Municipal Code section 3.68.070 in support of an exception to the competitive bidding process.

2. Award a Professional Services Contract to Willdan Engineering, Inc. of Elk Grove, CA, in the amount of $244,787.81 for design of the Greater Downtown Bike and Pedestrian Connectivity, Project No.

WT22051/ATPSB1L-5008(200).

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 motion.

Department: Public Works
Attachment A - Project Location and Improvement Maps
Attachment B - Professional Services Contract
Attachments:

12.31 24-0688 APPROVE MOTION TO AUTHORIZE PROFESSIONAL SERVICES CONTRACT AMENDMENT NO. 6 FOR THE SECURITY AND

TRAFFIC VIDEO MONITORING SYSTEM
Recommended Action: RECOMMENDATION
It is recommended that the City Council approve a motion to authorize the City Manager to execute Professional Services Contract Amendment No. 6 in the amount of $222,621.69 with Convergint Technologies, LLC for the Security and Traffic Video Monitoring System, Project No. SEB-21-001.

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 motion.

Department: Public Works
Attachments: Attachment A - Amendment No 6

12.32 24-0690 ADOPT A RESOLUTION AND RATIFY THE EMERGENCY

PURCHASE OF POLICE VEHICLES AND ONE DUMP TRUCK, AND
APPROVE CONTRACT CHANGE ORDER NO. 1 WITH STOMMEL

DBA LEHR AUTO ELECTRIC
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Recommended Action: RECOMMENDATION
It is recommended that the City Council adopt a resolution to:

1. Appropriate funds in the amount of $2,231,808.32 from the Fleet Internal Service Fund Balance to the operating Fleet Internal Service Fund, Equipment Acquisition Account.

2. Approve findings pursuant to Stockton Municipal Code section 3.68.070 in support of an exception to the competitive bidding process.

3. Approve findings and ratify the City Manager's approval to execute an Emergency Purchase Order to Phil Long Ford of Denver LLC, of Denver, CO, in the amount of $117,340, for the purchase of two Ford Utility SSV Expeditions for the Police Department.

4. Approve findings and ratify the City Manager's approval to execute an Emergency Purchase Order to Big Valley Ford of Stockton, CA, in the amount of $117,850.70, for the purchase of one 5-yard dump truck for the Municipal Utilities Department.

5. Approve findings and ratify the City Manager's approval to execute an Emergency Purchase Order to Folsom Lake Ford, Inc. of Folsom, CA, in the amount of $5,506,970, for the purchase of 100 Ford Police Interceptor Utility Vehicles for the Police Department.

6. Approve Contract Change Order No. 1 with Stommel DBA Lehr Auto Electric of Sacramento, CA, in the amount of $2,231,808.32 for the upfitting of police vehicles, bringing the contract total to $4,389,854.12.

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: Public Works
Attachment A - Phil Long Ford of Denver
Attachment B - Big Valley Ford
Attachment C - Folsom Lake Ford
Proposed Resolution
Exhibit 1 - CCO No. 1
Attachments:

12.33 24-0691 ADOPT RESOLUTION TO AUTHORIZE A COOPERATIVE

PURCHASE AGREEMENT FOR THE PURCHASE OF GENERATORS

AND AUTOMATIC TRANSFER SWITCHES WITH HOUSING
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Recommended Action: RECOMMENDATION
It is recommended that the City Council adopt a resolution to:

1. Transfer funds in the amount of $625,337.93 from the 5.17 Public Wi-Fi Pilot, Project No. WARP505, to the Citywide Generator Replacements, Project No. WARP507.

2. Transfer funds in the amount of $1,000,000 from the Generator Replacements at Fire, Project No. F024024, to the Citywide Generator Replacements, Project No. WARP507.

3. Approve the use of a Cooperative Purchase Agreement through Sourcewell Contract No. 092222-CAT to provide the City preferential pricing from Caterpillar, Inc. through affiliated vendor Holt of California.

4. Authorize a contract with Caterpillar, Inc. of Irving, TX, through affiliated vendor Holt of California of Stockton, CA, in the amount of $1,317,099.32, for the purchase of eight generators and equivalent automatic transfer switches with housing.

5. Approve findings pursuant to Stockton Municipal Code section 3.68.070 in support of an exception to the competitive bidding process.

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: Public Works
Attachment A - Equipment Replacement List
Attachment B - Fire Stations Quote
Attachment C - Arnold Rue Quote
Proposed Resolution
Exhibit 1 - COOP with Caterpillar including Holt of CA
Attachments:

12.34 24-0625 ADOPT RESOLUTION TO AUTHORIZE THE CENTER STREET WEIR

REPAIR PROJECT
Recommended Action: RECOMMENDATION
It is recommended that the City Council adopt a resolution to approve Notice of Exemption No. NOE23-23 under the California Environmental Quality Act for the Center Street Weir Repair, Project No. WD19008.

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

Department: Public Works
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Meeting Agenda - Final
Attachment A - Vicinity Map
Proposed Resolution
Exhibit 1 - Notice of Exemption
Attachments:

12.35 24-0632 ADOPT RESOLUTION TO AUTHORIZE THE LOCAL STREET RESURFACING PROGRAM FY 2023-24 SB1 - PAVEMENT REPAIR

PROJECT
Recommended Action: RECOMMENDATION
It is recommended that the City Council adopt a resolution to:

1. Approve Notice of Exemption No. NOE23-24 under the California Environmental Quality Act for the Local Street Resurfacing Program FY 2023-24 SB1 - Pavement Repair, Project No. WD24003.

2. Approve the plans and specifications for the Local Street Resurfacing Program FY 2023-24 SB1 - Pavement Repair, Project No. WD24003.

3. Award a Construction Contract in the amount of $305,920 to Dirt Dynasty, Inc. of Farmington, CA, for the Local Street Resurfacing Program FY 2023-24 SB1 - Pavement Repair, Project No. WD24003.

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: Public Works
Attachment A - Vicinity Map
Proposed Resolution
Exhibit 1 - Notice of Exemption
Exhibit 2 - Construction Contract
Attachments:

12.36 24-0644 ADOPT RESOLUTION TO AUTHORIZE THE INSTALLATION OF FIVE

CONTACTLESS PARK RESTROOMS
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Recommended Action: RECOMMENDATION
It is recommended that the City Council adopt a resolution to:

1. Approve findings pursuant to Stockton Municipal Code section 3.68.070 in support of an exception to the competitive bidding process.

2. Approve Notice of Exemption No. NOE 22-24 under the California Environmental Quality Act for the Installation of Five Contactless Park Restrooms, Project No. WP22016.

3. Approve the plans and specifications for the Installation of Five Contactless Park Restrooms, Project No. WP22016.

4. Award a Construction Contract in the amount of $454,663 to Soracco, Inc. of Lodi, CA, for the demolition of four park restrooms and the Installation of Five Contactless Park Restrooms, Project No. WP22016.

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: Public Works
Proposed Resolution
Exhibit 1 - Notice of Exemption
Exhibit 2 – Construction Contract with this Contract
Attachments:

12.37 24-0772 ACCEPT THE SINGLE AUDIT AND INDEPENDENT AUDITORS’

REPORTS AND THE REPORT ON INTERNAL CONTROLS FOR THE
YEAR ENDED JUNE 30, 2023
Recommended Action: RECOMMENDATION
It is recommended that the City Council accept by motion the Single Audit and Independent Auditors' Reports and the Report on Internal Control Related Matters Identified in the Audit for the year ended June 30, 2023.

Department: Administrative Services
Attachments: Attachment A - 2023 Single Audit and Independent Auditors' Reports

13. ADMINISTRATIVE MATTERS

14. UNFINISHED BUSINESS

15. NEW BUSINESS

15.1 24-0816 FIREWORKS TASK FORCE PRESENTATION
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Recommended Action: RECOMMENDATION
This is an informational item only. No action to be taken.

Department: Fire
Attachments: PPT - 15.1 - Fireworks Task Force Presentation

15.2 24-0817 COMPLAINT AND REQUEST FOR CENSURE HEARING
REGARDING ALLEGED VIOLATION OF COUNCIL POLICY 5.10
Recommended Action: RECOMMENDATION
This Complaint and Request for Censure Hearing is presented to the City Council for its review and consideration of whether the censure process will move forward regarding an alleged violation of Council Policy 5.10.

Department: City Clerk
Attachment A - Letter
Attachment B - Council Policy 4.08
Attachment C - Council Policy 5.10
Attachments:

16. HEARINGS**

16.1 24-0709 CONDUCT A PUBLIC HEARING AND ESTABLISH AN

UNDERGROUND UTILITY DISTRICT ALONG LOWER

SACRAMENTO ROAD
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Recommended Action: RECOMMENDATION
It is recommended that the City Council:

1. Conduct a public hearing to determine whether public necessity, health, safety, or welfare requires the formation of an Underground Utility District along Lower Sacramento Road bound between Pixley Slough and Bear Creek.

2. Adopt a resolution authorizing the establishment of an Underground Utility District along Lower Sacramento Road bound between Pixley Slough and Bear Creek.

3. Authorize the City Manager to approve the filing of Notice of Exemption No. NOE65-23 under the California Environmental Quality Act for the Underground Utility District along Lower Sacramento Road.

4. Authorize the City Clerk to notify all affected utilities and real property owners within the Underground Utility District along Lower Sacramento Road by mail of the adoption of the resolution within 10 days of its adoption.

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: Public Works
Attachment A - Master Plan of Underground Utility Districts Attachment B - SMC Chapter 13.36 Regulations
Proposed Resolution
Exhibit 1 - Final Lower Sacramento UUD Map
Exhibit 2 - Notice of Exemption
PPT - 16.1 - Underground Utility District Along Lower Sac Attachments:

17. CITY MANAGER'S UPDATE

18. COUNCIL COMMENTS

19. ADJOURNMENT

INFORMATIONAL ITEMS

1. 24-0850 COUNCIL COMMITTEE/BOARD AND COMMISSION MINUTES Recommended Action: RECOMMENDATION
Information item only. No action required.

Department: City Clerk
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Ad Hoc Homelessness 2024-03-07
WAG 2023-05-03
WAG 2023-10-04
Water Committee 2022-10-13
Water Committee 2023-11-09
Attachments:

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 August 16, 2024 in compliance with the Brown Act.

Katherine Roland, CMC, CPMC
Interim 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 two 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. Email - you may email your comments to [email protected]

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

3. 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 2-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 which such decision becomes final. Any lawsuit or legal challenge, which is not filed within that 90-day period, will City of Stockton Page 26 Printed on 8/19/2024
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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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City of Stockton
Legislation Text
File #: 24-0868, Version: 1

PROCLAMATION - NATIONAL BREASTFEEDING MONTH
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City of Stockton
Legislation Text
File #: 24-0869, Version: 1

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Legislation Text
File #: 24-0870, Version: 1

PROCLAMATION - NATIONAL HEALTH CENTER WEEK
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City of Stockton
Legislation Text
File #: 24-0853, Version: 1
ADOPT A RESOLUTION APPROVING CITY MANAGER HARRY E. BLACK’S SECOND

AMENDED EMPLOYMENT AGREEMENT, AUTHORIZE MAYOR TO EXECUTE THE SECOND

AMENDED EMPLOYMENT AGREEMENT, AND AUTHORIZE STAFF TO AMEND THE CITY OF

STOCKTON SALARY SCHEDULE TO REFLECT THE INCREASE IN CITY MANAGER BASE

SALARY AND IMPLEMENT THE TERMS OF THE SECOND AMENDED EMPLOYMENT

AGREEMENT

RECOMMENDATION
It is recommended that the City Council:

1. Adopt a resolution approving the Second Amended Employment Agreement for Harry E.

Black, City Manager for the City of Stockton.

2. Authorize the Mayor, on behalf of the City Council, to execute the Second Amended Employment Agreement setting forth the terms and conditions of employment with Mr. Black, effective August 20, 2024.

3. Authorize City Staff to amend the City of Stockton salary schedule to reflect the increase to the City Manager’s base salary and implement the other terms and conditions in the Second Amended Employment Agreement.

Summary
The City wishes to remain competitive in the marketplace, to retain Mr. Black’s leadership, maintain continuity and stability for the community, and ensure the City Council’s priorities are being implemented. In acknowledgement of Mr. Black’s valued performance over the past few years, the City Council is asked to consider and approve a Second Amended Employment Agreement for Harry E. Black, City Manager for the City of Stockton.

DISCUSSION
Mr. Black was appointed as the City Manager in Stockton in January 2020 after a nationwide search.

Prior to his tenure in the City of Stockton, Mr. Black was the Finance Director for the City of Baltimore and the City Manager of the City of Cincinnati. Mr. Black has an extensive background and a wealth of experience in public administration.

In the Spring and early Summer of 2024, the City Council authorized an extensive performance evaluation of Mr. Black, facilitated by outside counsel. The evaluation included surveys, interviews with every department head and deputy department head in the city, as well as outreach to the union leadership for feedback on Mr. Black’s performance.

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Mr. Black’s 2020 employment agreement included an initial five-year term, which would conclude in February 2025. The City wishes to remain competitive in the marketplace, to retain Mr. Black’s leadership, maintain continuity and stability for the community and the City Council’s priorities, and acknowledge Mr. Black’s valued performance over the past few years.

The proposed second amendment to the employment agreement includes the following salary and benefit provisions for City Council consideration:
· Increase current base annual salary from $322,285 to $348,068, approximately 8%, effective the first full pay period following adopting of this amendment. · Increase employer contribution from 12.5% to 17% into a 401(a) deferred compensation retirement plan.

All other terms and conditions of the employment agreement would remain unchanged. The terms and conditions of the second employment agreement are similar to other city managers in comparable jurisdictions.

The City Council is cognizant of the proposed increases and this amendment is an acknowledgment of the City Council’s assessment and positive evaluation of the City Manager’s performance.

FINANCIAL SUMMARY
Sufficient funds are available in the Fiscal 2024-2025 budget.

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Resolution No.

STOCKTON CITY COUNCIL
RESOLUTION APPROVING CITY MANAGER HARRY E. BLACK’S SECOND

AMENDED EMPLOYMENT AGREEMENT, AUTHORIZING THE MAYOR TO

EXECUTE THE SECOND AMENDED EMPLOYMENT CONTRACT, AND

AUTHORIZING STAFF TO AMEND THE CITY OF STOCKTON SALARY SCHEDULE

TO REFLECT THE INCREASE IN CITY MANAGER BASE SALARY AND IMPLEMENT

THE TERMS OF THE SECOND AMENDED EMPLOYMENT AGREEMENT
Harry E. Black was appointed as the City Manager in Stockton in January 2020 after a nationwide search; and
In the Spring and early Summer of 2024, the City Council authorized an extensive performance evaluation of Mr. Black. In recognition of the City Council’s assessment and positive evaluation of the City Manager’s performance, the City Council proposes amended terms and conditions of the employment; and
The proposed terms and conditions of the second amendment employment agreement are similar to other city managers in comparable jurisdictions; now, therefore,

BE IT RESOLVED BY THE CITY COUNCIL OF THE CITY OF STOCKTON, AS FOLLOWS:

1. The Second Amended Employment Agreement with Harry E. Black, marked as Exhibit 1, setting forth the terms and conditions of employment effective August 20, 2024, and authorize staff to amend the City of Stockton salary schedule to reflect the increase in City Manager base salary, is approved.

2. The Mayor is authorized, on behalf of the City Council, to execute the attached Second Amended Employment Agreement.

3. The Mayor is further authorized and directed to take whatever actions are necessary and appropriate to carry out the purpose and intent of this Resolution.

PASSED, APPROVED, and ADOPTED August 20, 2024 .

KEVIN J. LINCOLN II
Mayor of the City of Stockton
ATTEST:

KATHERINE ROLAND, CMC, CPMC
Interim City Clerk of the City of Stockton
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EXHIBIT 1

EMPLOYMENT CONTRACT FOR CITY MANAGER
This Employment Contract is made and entered into on August 20, 2024, by and between the CITY OF STOCKTON, STATE OF CALIFORNIA, a municipal corporation, by and through its City Council (EMPLOYER), and HARRY EUGENE BLACK (EMPLOYEE). This employment contract takes effect upon execution.

RECITALS:

1. EMPLOYER is a Chartered City of the State of California;

2. EMPLOYER, in accordance with the provisions of Article XII, Section 1200, of the Charter, desires to employ the services of EMPLOYEE as the City Manager;

3. EMPLOYEE desires to continue employment as the Stockton City Manager;

4. It is the desire of both EMPLOYER and EMPLOYEE to set forth in this Second Amended Employment Contract the terms and conditions of said employment;
NOW THEREFORE, in consideration of the mutual covenants herein contained, the parties agree as follows:

ARTICLE I

TERM OF EMPLOYMENT
Section 1.01 Term: EMPLOYER hereby employs EMPLOYEE as the City Manager and EMPLOYEE hereby accepts said employment for a term of four (4) years.

At least twelve (12) months prior to the Termination Date, the parties shall engage in discussions over an extension, or the City shall give Employee timely notice of no extension.

Section 1.02 At Will Employee: EMPLOYEE serves at the pleasure of EMPLOYER and may be terminated at the will of EMPLOYER, subject only to section 1200 of the City Charter and the notice and severance provisions set forth in Section 5.02 of this Employment Contract. In like manner, nothing in this Contract shall prevent, limit, or otherwise interfere with the right of EMPLOYEE to resign at any time as City Manager, subject only to the notice provisions set forth in Section 5.02 of this Employment Contract.

EMPLOYEE further acknowledges that EMPLOYER has made no implied, expressed, or written assurances of continued employment with the City of Stockton other than as specifically set forth in this Contract.
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EXHIBIT 1

ARTICLE II

DUTIES AND OBLIGATION OF EMPLOYEE
Section 2.01 Duties: EMPLOYER shall employ EMPLOYEE as City Manager of the City of Stockton to perform the functions and duties as specified in the City Charter, Ordinances of the City, California Constitution, and California Statutes, and to perform such other legally permissible and proper duties and functions as EMPLOYER shall from time to time assign to EMPLOYEE which are reasonably related to the duties and functions of a City Manager.

Section 2.02 Devotion to Duties: EMPLOYEE shall devote his entire productive time, ability, and attention to the business of EMPLOYER during the term of this Employment Contract. EMPLOYEE shall not engage in any other public or private employment during the term of this Contract. Notwithstanding the prior sentence, EMPLOYEE may, as authorized by EMPLOYER, teach or provide limited services to charitable or professional organizations where such teaching or services do not conflict or interfere with EMPLOYEE's duties as City Manager.

This Contract shall not be interpreted nor intended to prohibit EMPLOYEE from making passive personal investments.

Section 2.03 Community Outreach: EMPLOYEE acknowledges the benefits of being engaged in the community as a means to provide information to, and gain the confidence of, the community. This outreach is separate and distinct from political outreach and provides EMPLOYEE insights and perspectives to effectively advise the City Council on policy matters.

EMPLOYEE shall create and implement an outreach strategy to specifically capture these benefits.

Section 2.04 Performance Evaluation Procedures: The City Council shall review and evaluate the performance of EMPLOYEE on an annual basis at a time to be determined by the City Council. The evaluation shall include consideration of EMPLOYEE's performance and shall include the presentation of a proposed work plan by the EMPLOYEE. The work plan will be based on an appraisal of the current status or conditions in the City, specific major work program objectives necessary to achieve the City Council's goals, and the resource capability of the City organization. The work plan shall be approved as submitted or as modified by the EMPLOYER, at the sole discretion of the EMPLOYER, and may be altered at any time by the EMPLOYER with input from EMPLOYEE. EMPLOYER shall conduct subsequent evaluations no less frequently than annually and shall include a review and evaluation of the performance of EMPLOYEE in accordance with the approved work plan together with the other duties and functions assigned to EMPLOYEE. As part of the evaluation process, EMPLOYER and EMPLOYEE shall discuss changes and additions to the work plan. If either EMPLOYER or EMPLOYEE requests it, a professional facilitator may be hired to assist in the performance evaluation process. Within a mutually agreed upon time frame between EMPLOYEE and EMPLOYER, the EMPLOYEE shall submit a list of three to five names of proposed facilitators of the evaluation process. The EMPLOYER will select a facilitator from EMPLOYEE’s list. If EMPLOYEE does not submit a list of names of facilitators, the EMPLOYER will select a facilitator of their choice.
- 3 -
ARTICLE Ill

COMPENSATION
Section 3.01 Annual Base Salary: EMPLOYER shall pay EMPLOYEE for services rendered by him pursuant to this Employment Contract an annual base salary of $348,068, payable in installments at the time as other employees of EMPLOYER are paid.

EMPLOYEE shall receive cost of living increases, in accordance with the cost of living increases subsequently provided to other Executive Management employees. EMPLOYER, in its sole and absolute discretion, may adjust the annual base salary of EMPLOYEE at such times and to such extent as EMPLOYER may determine. In exercising its discretionary authority, EMPLOYER shall act fairly and in good faith with EMPLOYEE. In no case shall EMPLOYEE's annual base salary be decreased unless such decrease is a percentage consistent with a decrease applicable to employees of EMPLOYER generally.

Section 3.02 Salary Compaction: If the annual base salaries of EMPLOYER’s Department Heads such as the Chief of Police or the Fire Chief move within five percent (5%) of the EMPLOYEE’s annual base salary, the parties agree to meet to discuss salary compaction.

ARTICLE IV

EMPLOYEE BENEFITS
Section 4.01 Automobile Expense Reimbursement; Insurance: During the term of this Employment Contract, EMPLOYEE, to the extent necessary to perform his duties, shall use his own personal vehicle. EMPLOYEE shall be responsible for the payment of all operating expenses of the vehicle, including, but not limited to, gasoline, oil, service, and repair, and, if necessary, the replacement of his automobile; provided, however, EMPLOYER shall pay to EMPLOYEE a monthly auto allowance of $750.00. EMPLOYEE shall procure and maintain, at his expense, a comprehensive automobile liability insurance policy on the vehicle being used by him in connection with this Employment Contract, in an amount consistent with City policy.

EMPLOYER shall be named as a co-insured by an endorsement to that policy. Any expense related to this endorsement shall be the sole responsibility of EMPLOYER. During the course of this Employment Contract, EMPLOYEE shall provide EMPLOYER with written documentation that said insurance policy is in full force and effect, upon request. Said policy shall also include a provision notifying EMPLOYER prior to the cancellation thereof.

Section 4.02 Deferred Compensation, Health Coverage, Life Insurance, Disability, and Holidays: Except as otherwise provided herein, EMPLOYEE shall be entitled to receive those benefits provided by EMPLOYER to other department heads of the City of Stockton, including those appointed by EMPLOYER, which benefits consist of health, dental, and vision coverage, retirement benefits, life insurance, disability, a voluntary deferred compensation plan and holidays. The benefits so provided are subject to modification during the course of this Employment Contract at the sole and absolute discretion of EMPLOYER at such limes and to such extent as EMPLOYER may deem appropriate, provided, however, there shall be no reduction in benefits unless EMPLOYER implements the same reduction of benefits to all other department heads of the City of Stockton.
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Section 4.03 Vacation and Sick Leave: EMPLOYEE shall be credited with thirty (30) days of vacation as of the commencement of this employment contract and shall receive thirty (30) days of annual vacation leave annually. Annual vacation leave shall be administered in the same manner as vacation is administered for department head employees of EMPLOYER with regard to timing of credits and EMPLOYEE may sell back up to three (3) weeks of vacation per fiscal year. Maximum vacation accrual is one hundred twenty (120) days including the initial vacation credits and existing vacation accrual balances. EMPLOYEE shall be credited with fifteen (15) days of sick leave as of the commencement of employment as City Manager and shall accrue fifteen (15) days of sick leave annually with unlimited accumulation.

Sick leave may be used in accordance with policies applicable to department head employees of EMPLOYER.

Section 4.04 Professional Dues and Subscriptions: EMPLOYER shall pay for professional dues and subscriptions of EMPLOYEE necessary for his continuation and full participation in national, state, and city manager associations (e.g., International City Managers' Association, National League of Cities, League of California Cities, California Public Employer Relations Association, California Association for Local Economic Development, California City Managers' Foundation, Society for Human Resource Management, etc.), subject to budget limitations and prior review and approval by EMPLOYER.

Section 4.05 Expenses: EMPLOYEE shall be entitled to reimbursement for all reasonable expenses necessarily incurred by him in the performance of his duties upon presentation of vouchers indicating the amount and purpose thereof, and further provided that such expenses are in accordance with policies established from time to time by EMPLOYER and consistent with budget allocations adopted by EMPLOYER for that purpose during the term of this Contract.

Section 4.06 Professional Development: EMPLOYER shall pay travel and subsistence expenses of EMPLOYEE for professional and office travel, meetings, and occasions adequate to continue the professional development of EMPLOYEE and to adequately pursue necessary official functions for EMPLOYER , including, but not limited to, the annual conference, departmental meetings, and policy committees of the International City Management Association, League of California Cities, California City Management Foundation, California Public Employers Labor Relations Association, California Association for Local Economic Development, and such other national, regional, state, and local government groups and committees thereof which EMPLOYEE serves as a member, provided provisions for such costs are contained in the annual budget. EMPLOYER also shall pay tuition, travel, and subsistence expenses of EMPLOYEE for short courses, institutes, and seminars that are necessary for his professional development and for the good of the City (i.e., Harvard Kennedy School for Senior Executives in State and Local Government, University of Virginia Senior Executives Institute, etc.), subject to budget limitations. EMPLOYEE may utilize the services of an executive coach, paid for by EMPLOYER, up to a maximum amount of $10,000 per fiscal year.

Section 4.07 Technology Allowance: EMPLOYER shall pay to EMPLOYEE a technology allowance of $400.00 per month. EMPLOYEE shall purchase and maintain his own cellular/smart phone and home/travel computer and related telecommunications and broadband services at EMPLOYEE's expense.
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Section 4.08 Deferred Compensation (401(a)): EMPLOYER hereby agrees to contribute to EMPLOYEE's 401(a), or equivalent, deferred compensation plan an amount equal to seventeen (17) percent of EMPLOYEE's annual salary.

ARTICLE V

SUSPENSION, RESIGNATION AND TERMINATION
Section 5.01 Suspension: EMPLOYER may suspend EMPLOYEE with full pay and benefits at any time during the term of this Contract, but only if the required number of affirmative votes of a majority of members of the City Council, as specified in the Charter, agree that it is necessary for the good of the City to suspend EMPLOYEE's providing services in order to allow EMPLOYER time to consider whether or not it wishes to permanently terminate EMPLOYEE's services. If EMPLOYER acts to suspend EMPLOYEE's services hereunder for any period or combination of periods in excess of a total of thirty (30) workdays during the Initial Term or any subsequent term of this Employment Contract, EMPLOYEE may declare, at his option , that he has been terminated within the meaning and context of the herein severance pay provision.

Section 5.02 Resignation, Termination, and Severance Pay: In the event EMPLOYEE is terminated by EMPLOYER and during such time as EMPLOYEE is able and willing to perform his duties under this Employment Contract, EMPLOYER shall (1) provide EMPLOYEE with notice at least one (1) month in advance of the final date of employment and further, (2) pay EMPLOYEE as severance pay (a) a lump sum cash payment in an amount equal to twelve (12) months of EMPLOYEE's then current salary and deferred compensation contributions, (b) any vacation leave accrued as of the date of termination and, (c) to continue in full force and effect, at the same EMPLOYER contribution level as if employment continued, for twelve (12) months the life insurance and medical, dental and vision insurance coverages then being provided by EMPLOYER to EMPLOYEE, and his dependents; provided, however, that if EMPLOYER terminates EMPLOYEE for cause, EMPLOYER shall have no obligation to provide any severance pay. As used in this section, "cause" shall mean willful failure to implement Council policy, abandonment of his duties, conviction of a felony or misdemeanor in the course of his official duties or continued abuse of non-prescription drugs or alcohol that materially affects the performance of his duties. In the event EMPLOYER terminates EMPLOYEE for cause, EMPLOYER may terminate this Contract immediately, and EMPLOYEE shall be entitled only to the compensation and accumulated vacation accrued up to the date of termination and such other payments and benefits provided by this Contract or by law.

Under no circumstances will the EMPLOYEE be able to contest the nature of the EMPLOYEE's at-will status, nor will the EMPLOYEE be able to raise any remedy of reinstatement in any legal forum.

In the event EMPLOYEE voluntarily and without the official request of EMPLOYER resigns as City Manager, EMPLOYEE shall give written notice to the EMPLOYER at least fortyfive (45) days in advance of the final date of employment, unless the parties otherwise agree.

Such resignation shall not be deemed to be a "termination" within the meaning and context of the herein severance pay provision.
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Section 5.03 Disability: If, for a period of four (4) successive weeks beyond the expiration of any accrued sick leave and vacation, EMPLOYEE is disabled or is otherwise unable to perform his duties because of sickness, accident, injury, mental incapacity, or ill health, EMPLOYER shall have the option to terminate this Employment Contract. If EMPLOYER exercises this option, EMPLOYEE shall nonetheless be compensated for any accrued leave time and other accrued benefits, including, but not limited to, long-term disability insurance benefits for which EMPLOYEE is eligible; however, EMPLOYEE shall not receive the severance pay described in Section 5.02 above.

ARTICLE VI

MISCELLANEOUS
Section 6.01 Interference With Duties: Because the failure to comply with this provision would potentially have a material negative effect on the ability of EMPLOYEE to perform his duties, both parties acknowledge the role of EMPLOYEE as Chief Administrative Officer and further agree that the City Council, as a whole or individual City Council members, pursuant to section 408 of the City Charter will refrain from interfering with EMPLOYEE's ability to perform his duties as set forth in section 1201 of the City Charter including, but not limited to, directing any member of the City staff whose reporting structure includes EMPLOYEE.

Section 6.02 Ongoing and Active Participation in Facilitated Team Development Activities: A cordial, professional, and respectful relationship is a key component of a healthy organization and is in the best interest of the City's residents, employees, and stakeholders. Both parties shall make all reasonable efforts to create and maintain a positive working relationship between the Mayor, each member of the City Council, and EMPLOYEE. To facilitate the process, EMPLOYER specifically will meaningfully participate in organizational team development activities as proposed by EMPLOYEE.

Section 6.03 Other Terms and Conditions of Employment: EMPLOYER, after consultation with EMPLOYEE, shall fix any such other terms and conditions of employment as EMPLOYER may determine from time to time, relating to the performance of EMPLOYEE, provided such terms and conditions are not inconsistent with or in conflict with the provisions of this Employment Contract, the City Charter, Municipal code, or any other law.

Section 6.04 Notices: Notices pursuant to this Employment Contract shall be served in person, or otherwise in the same manner as is applicable to civil judicial practice.

Section 6.05 Bonding: EMPLOYER shall bear the full cost of any fidelity or other bonds required of EMPLOYEE under any law or ordinance.

Section 6.06 Indemnification: EMPLOYER shall defend, save harmless and indemnify EMPLOYEE against any tort, professional liability claim, or demand, or other legal action, whether groundless or otherwise, arising out of an alleged act or omission occurring in the performance of EMPLOYEE's duties as City Manager. If EMPLOYER compromises or settles any such claim or suit, EMPLOYER shall pay the amount of any settlement, or if the claim or suit results in a judgment against EMPLOYEE, EMPLOYER shall pay any such judgment. This indemnification does not apply to any act, action, or omission arising out of the gross - 7 -
negligence, willful misconduct on the part of EMPLOYEE, or acts of EMPLOYEE outside the course and scope of his employment duties.

Section 6.07 General Provisions:

A. The text herein shall constitute the entire agreement between the parties.

B. This Employment Contract shall be binding upon and inure to the benefit of the heirs at law and executors of EMPLOYEE.

C. This Employment Contract may only be modified upon the written consent of the EMPLOYER and EMPLOYEE.

D. In any action to enforce the terms of this Employment Contract, the prevailing party shall be entitled to recover its attorney's fees and court costs and other non- reimbursable litigation expenses, such as expert witness fees and investigation expenses.

Section 6.08 Severability: If any provision, or any portion thereof, contained in this Employment Contract is held unconstitutional, invalid, or unenforceable, the remainder of this Employment Contract shall be deemed severable, shall not be affected, and shall remain in full force and effect.

IN WITNESS WHEREOF, EMPLOYER has caused this Contract to be signed and executed in its behalf by its Mayor, and duly attested by its City Clerk, and EMPLOYEE has signed and executed this Contract, both in duplicate, the day and year first above written.

ATTEST: CITY OF STOCKTON

KATHERINE ROLAND, CMC, CPMC KEVIN J. LINCOLN II, MAYOR
INTERIM CITY CLERK “EMPLOYER”
APPROVED AS TO FORM AGREED:

LORI M. ASUNCION HARRY EUGENE BLACK
CITY ATTORNEY “EMPLOYEE”
City of Stockton
Legislation Text
File #: 24-0825, Version: 1
ADOPT THE FISCAL YEAR 2024-25 INTERNAL AUDIT PROGRAM

RECOMMENDATION
The Council Audit Committee recommends that City Council adopt by motion, the Fiscal Year (FY) 2024-25 Internal Audit Program.

Summary
The Internal Audit function of the City is designed to provide objective analysis, evaluation, and recommendations for improvements to City systems and activities. This is accomplished through an annual Internal Audit Plan that tests internal controls, evaluates processes, and completes projects to improve operations. This function is distinct from the annual review of City financial statements conducted by external financial auditors.

DISCUSSION
Background
As a City Charter Appointed Office, the City Auditor assesses performance and provides recommendations to mitigate risk and optimize business processes. The City Auditor completes triennial enterprise risk assessments and develops an annual Internal Audit Plan to address identified risks, test internal controls, assess efficiency and effectiveness, support development of necessary City policy and closure of audit findings, and carry out special projects that will facilitate the City Council’s Priority Goals.

Stemming from the City Council Strategic Initiatives adopted in 2011, designed to attain fiscal sustainability and address a multitude of audit findings, the City Council decided in 2012 to solicit Internal Audit Services by contract.

Moss Adams LLP has served as the City’s internal auditor since early 2013. The recommendations resulting from initial enterprise risk and internal controls assessments were translated into a multiyear Internal Audit Plan designed to strengthen internal controls and processes for the City, as well as make improvements to priority programs and initiatives of the City Council. In subsequent years, Moss Adams recommended and implemented annual audit plans to continue strengthening controls and processes of the City. During the FY2018-19, the City conducted a competitive Request for Proposals process to identify an audit firm to continue providing services for the City. Moss Adams was selected as the winning firm given their vast experience in municipal internal audit services, quality of work, and strategic fit with the City. Council approved a contract extension through FY2025- 26 on May 21, 2024.

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File #: 24-0825, Version: 1
Regular progress updates have been provided at monthly Council Audit Committee meetings. Project reports and recommendations from Moss Adams have also been provided to City Council as information items in regular City Council agenda packets.

Present Situation
The FY2024-25 Internal Audit Plan maintains focus on improvement to citywide policies, processes, and controls.. The proposed plan includes seven internal controls and performance projects, as well as continued general program management, audit findings validation, and ethics hotline administration.

At its July 2024 meeting, the FY2024-25 Internal Audit Plan was presented to the Council Audit Committee for discussion and recommended for Council adoption on August 20, 2024.

FINANCIAL SUMMARY
The recommended FY2024-25 Internal Audit Plan has a budget of $365,000 and is within the budget allocation for Internal Audit Services. There are sufficient funds in the Auditor’s Special Services account for these purposes.

Attachment A - Fiscal Year 2024-25 Internal Audit Plan
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City of Stockton
FY 24-25 Internal Audit Program
Audit Committee Meeting
July 2024

ATTACHMENT A
• The City retained Moss Adams to serve as the
designated Internal Auditor and conduct projects
focusing on:
• Risks
• Internal controls
• Efficiency and effectiveness
• Best practices
• Compliance
• Work is being completed under appropriate industry
standards (IIA, GAGAS, AICPA)
• We have served as the City Auditor since 2013, with
partner rotation in 2022
Internal Audit Overview
2 City of Stockton Internal Audit Program

ATTACHMENT A
Role of Internal
Audit
3City of Stockton Internal Audit Program

ATTACHMENT A
Holistic Internal Audit Program Approach
4 Tracking &
Reporting A Program Inputs B Opportunities C
• Enterprise
Assessments
• Employees and
Community
• Performance
Metrics
• Risks
• Controls
• Compliance
• Performance
• Findings &
Recommendations
• Fraud, Waste, and
Abuse Hotline
• Corrective Actions
• Implementation
• Validation
City of Stockton Internal Audit Program

ATTACHMENT A
Internal Audit Program Review
5 Focus Accomplishments
Enterprise Risk Assessments 2013, 2016, 2019, 2022
Enterprise Internal Controls Review 2013, 2024
Functional Internal Controls Reviews 12 design reviews
Functional Internal Controls Testing 14 areas tested
Policy Review & Development 31 Citywide policies and procedures Performance Projects 27 performance and efficiency studies Findings Closed % Tracked 384 / 485 (79%)
Ethics Hotline 188 reports since 2007
5 City of Stockton Internal Audit Program

ATTACHMENT A

1. Grants Management Risk Assessment and Implementation Roadmap: Follow up on the 2022 grant management study, identify remaining gaps in City processes and rate according to risk levels, develop a prioritized implementation plan to address gaps, and provide support to City staff to reduce risk.

2. Cash Management Internal Controls Review: Review processes and test key controls related to cash management across City functions.

3. Payroll Internal Controls Review: Conduct a review of controls and processes related to payroll, including the recently implemented payroll ERP module.

4. Property Management Review: Inventory City-owned properties that are currently leased and review property management policies and practices.

5. HUD Findings Implementation Support: Support the City’s response to HUD findings and address opportunities for improvement in advance of future audits.

6. Community Services Organizational Assessment: Review the department’s organizational structure and functions and recommend options for more effective service delivery. Assess progress toward implementation of 2019 Strong Communities efficiency study.

7. Human Resources Org Assessment Update: Assess progress toward implementation of recommendations from 2020 study, with a focus on recruiting processes.

8. Audit Findings Tracking Validation & Reporting: Continue to support and validate audit findings closure.

9. Policy Update Ongoing Support: Continue to support citywide policy and procedure update to address audit findings, efficiency, and compliance.

10. Internal Audit Program Management: City Auditor activities including overseeing the internal audit program and managing the fraud, waste, and abuse hotline.

Proposed FY24-25 Internal Audit Projects
6 City of Stockton Internal Audit Program

ATTACHMENT A
FY24-25 Internal Audit Budget and Timing
7 City of Stockton Internal Audit Program
Project Budget 7-9/24 10-12/24 1-3/25 4-6/25
Grant Management Risk Assessment &
Implementation Roadmap $50,000
Cash Management Internal Controls Review $35,000
Payroll Internal Controls Review $40,000
Property Management Review $35,000
HUD Findings Implementation Support $30,000
Community Services Efficiency Study $40,000
Human Resources Org Assessment Update $35,000
Audit Findings Validation & Reporting $20,000
Policy Update Ongoing Support $25,000
Ongoing Internal Audit Services $40,000
Total $365,000

ATTACHMENT A
• Government Finance Officer’s Association (GFOA)
• GFOA Best Practices Guide on Audit Committees
• Institute of Internal Auditors
• IIA Publication “The Audit Committee: Internal Audit
Oversight”
• U.S. Government Accountability Office (GAO)
• American Institute of Certified Public Accountants
• Association of Certified Fraud Examiners
8City of Stockton Internal Audit Program

ATTACHMENT A
The material appearing in this presentation is for informational purposes only and should not be construed as advice of any kind, including, without limitation, legal, accounting, or investment advice. This information is not intended to create, and receipt does not constitute, a legal relationship, including, but not limited to, an accountant-client relationship. Although this information may have been prepared by professionals, it should not be used as a substitute for professional services. If legal, accounting, investment, or other professional advice is required, the services of a professional should be sought.

Praxity does not practice the profession of public accountancy or provide audit, tax, consulting or other professional services. Services are delivered by member firms, which are independent separate legal entities.

The Alliance does not constitute a joint venture, partnership or network between participating firms and Praxity does not guarantee the services or the quality of services provided by participating firms. Praxity is not a ‘network’ within the meaning of the IESBA Code of Ethics. Praxity is organised as an international not-for-profit entity under Belgian law with its registered office in Belgium. Praxity has its registered administrative office at Suite 2, Beechwood, 57 Church Street, Epsom, Surrey KT17 4PX, UK. which is operated under Praxity - Global Alliance Limited (company number: 07873027), a limited by guarantee company registered in England and Wales.

Assurance, tax, and consulting offered through Moss Adams LLP. ISO/IEC 27001 services offered through Moss Adams Certifications LLC. Investment advisory offered through Moss Adams Wealth Advisors LLC. ©2024 Moss Adams LLP
9 City of Stockton Internal Audit Program

ATTACHMENT A
City of Stockton
Legislation Text
File #: 24-0765, Version: 1

STOCKTON COMMUNITY WORKFORCE TRAINING AGREEMENT EXTENSION

RECOMMENDATION
The Stockton Community Workforce Training Agreement (CWTA) is set to expire on August 25, 2024.

Approval of this item, extends the agreement for five (5) years and accepts the terms of the Amendment provided in Attachment C.

Summary
On July 26, 2016, by Motion No. 2016-07-26-1501, Council approved the implementation of the CWTA for the City (Attachment A). The CWTA specifies conditions that contractors and employers that are awarded City public works or improvement contracts valued at $1 million or more must follow and includes specific conditions that the City must follow.

On July 16, 2019, by Motion No. 2019-07-16-1403, Council extended the CWTA term to August 25, 2024 (Attachment B). Approval of this item will extend the CWTA for another five (5) years subject to the terms of the Amendment in Attachment C.

DISCUSSION
Background
Any complex construction project requires the services of a variety of workers with diverse skill sets.

A labor management system is needed to coordinate the labor force of employers and employees working side-by-side to construct a project. The CWTA is an example of a workforce management tool commonly referred to as a pre-hire collective bargaining agreement. Such agreements are known as Project Labor Agreements (PLA) but may be known by other names such as Project Stabilization Agreements or Local Hiring Agreements. These agreements establish working conditions and management rights, and typically prohibit work disruptions that can lead to costly project delays.

The two most common elements of this type of agreement include a union agreement not to strike or engage in disruptive activities and a contractor agreement that lockouts will not occur for the duration of the project. Other elements commonly found in this type of agreement include recognition of an exclusive collective bargaining agent, hiring through a local and centralized union job referral system or “hiring hall”, standardized wage and working conditions, management rights, expedited dispute resolution, and payment of union dues.

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File #: 24-0765, Version: 1
On July 26, 2016, by Motion No. 2016-07-26-1501, Council approved the implementation of the CWTA for the City (Attachment A). The CWTA was adopted and became effective 30 days following Council approval. Ther original CWTA term was three years and it was later extended for an additional five years on July 16, 2019, by Motion No. 2019-07-16-1403 (Attachment B).

The CWTA specifies conditions that contractors and employers that are awarded City public works or improvement contracts valued at $1 million or more must follow and includes specific conditions that the City must follow. These conditions include:
· limitations on work delays and stoppages,
· arbitration procedures and arbitrators,
· preconstruction conferences for coordination,
· prohibitions on discrimination,
· recognition of union(s) as the sole bargaining representative, · requirements for contractors and employers to utilize union referral systems, · agreement to pay wages and benefits as specified by the union, · grievance processes,
· apprentice programs to develop adequate numbers of competent workers, including that 50% of apprentices employed on the project are from Stockton or San Joaquin County, · programs to transition from the military to the trades, · drug and alcohol testing requirements, and
· local hiring goals, including that Stockton or San Joaquin County residents work 50% of project hours.

Prevailing Wage
The prevailing wage is determined by the California Department of Industrial Relations (DIR). DIR regulations state that the “prevailing rate shall be the single rate paid the greatest number of workers in a particular craft in a locality”. It is typically a collectively bargained/union rate. The DIR maintains extensive lists of rates for various crafts for various locations in the State. All information is available on the DIR website. The City utilizes these wage rates in the bid documents for contracts that require prevailing wage, which includes construction projects that are over $25,000, as well as contracts for alteration, demolition, repair or maintenance that are over $15,000. In addition to these threshold requirements, there are other factors that must be applied to each project to make a final determination on whether a project may exempt a contractor from paying prevailing wages.

A primary goal of the CWTA is that 50 percent of work hours at all skill levels are to be completed by Stockton residents. The secondary local hire goal is that 50 percent of the reported hours at all skill levels are to be completed by either Stockton or San Joaquin County residents.

Present Situation
The CWTA is now set to expire on August 25, 2024, absent action by the Council to renew (Attachment C). Approval of this item will extend the CWTA for another five (5) years subject to the terms of the Amendment in Attachment C.

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Attachment A - 2016 CWTA Agreement
Attachment B - 2019 CWTA Extension
Attachment C - 2024 Proposed CWTA Amendment
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COMMUNITY WORKFORCE AND TRAINING

AGREEMENT

FOR THE CITY OF STOCKTON

INTRODUCTION/FINDINGS
The purpose of this Agreement is to promote efficiency of construction operations performed for and within the City of Stockton and to provide for peaceful settlement of labor disputes and grievances without strikes or lockouts, thereby promoting the public interest in assuring the timely and economical completion of the projects subject to this Agreement, and to support the efforts of the City to increase employment opportunities for workers who reside in Stockton, to help increase training and employment opportunities for the City's students in the construction trades through apprenticeship and pre-apprentice programs as the students graduate from the City's schools.

WHEREAS, the City adopts a five-year Capital Improvement Plan that identifies the public projects necessary to maintain and improve the physical properties of the City, including buildings, parks, entertainment venues, golf courses, utility systems, the transportation system and other facilities; and
WHEREAS, the City undertakes and anticipates undertaking many of the projects identified in the current and proposed Capital Improvement Plan and other City public works projects that involve significant construction costs in excess of threshold set forth in this Agreement; and
WHEREAS, the City Council has determined that the successful and cost-effective completion of these Capital Improvement Plan projects and other major City public works projects is of the utmost importance to the City and its taxpayers and the residents it serves; and WHEREAS, the City has determined that applying the same Agreement to the Capital Improvement Plan and other public works construction projects that exceed the threshold set forth in this Agreement during the term of this Agreement will provide efficiencies for the City and its contractors; and
WHEREAS, large numbers of workers of various skills will be required in the performance of the construction work, including those workers represented by Unions affiliated with the San Joaquin Building and Construction Trades Council ("the Council") and employed by contractors and subcontractors who are signatory to agreements with said labor organizations; and WHEREAS, it is recognized that projects with multiple contractors and bargaining units on the job site at the same time over an extended period of time, the potential for work disruption is substantial without an overriding commitment to maintain continuity of work; and 3238-017jj 1

ATTACHMENT A
WHEREAS, the interests of the general public, the City and the Contractor(s)/Employer(s) would be best served if the construction work proceeded in an orderly manner without disruption due to labor disputes; and
WHEREAS, the Contractor(s)/Employer(s) and the Unions desire to mutually establish and stabilize wages, hours and working conditions for the workers employed on the construction projects subject to this Agreement in order to promote a satisfactory, continuous and harmonious relationship among the parties to this Agreement; and
WHEREAS, unemployment rates in Stockton have been consistently higher than in California as a whole and statistics indicate that the higher unemployment level in Stockton correlates to a higher number of families living in poverty and to a higher crime rate; and WHEREAS, due to the lack of jobs, much of the work force residing in Stockton is forced to commute long distances to find work, causing increased traffic, increased pollution, and other serious environmental impacts; and
WHEREAS, because of the shortage oflocal jobs, many residents of Stockton must leave for work very early in the morning and return late in the evening, often leaving children and teenagers alone and unsupervised during the day; and
WHEREAS, absentee parents and unsupervised youth can result in increased problems for families, communities, and the City as a whole; and WHEREAS, the contracts for the construction of the projects will be awarded in accordance with the applicable provisions of the California State Public Contract Code and state, local and federal laws and regulations; and
WHEREAS, the City has the absolute right to select the lowest responsive and responsible bidder for the award of construction contracts on the projects; and WHEREAS, the parties signatory to this Agreement pledge their full good faith and trust to work towards mutually satisfactory completion of the Capital Improvement Plan projects and other major City public works projects that will be subject to this Agreement; and

NOW, THEREFORE, IT IS AGREED BETWEEN AND AMONG THE PARTIES HERETO, AS FOLLOWS:

1.1 1.2
personnel.
3238-0l?jj

ARTICLE I

DEFINITIONS
"Agreement" mearis this Community Workforce and Training Agreement. "City" means the City of Stockton and its public employees, including managerial 2 ATTACHMENT A

1.3 "Contractor(s)/Employer(s)" or "Contractor" means any individual, firm, partnership or corporation, or combination thereof, including joint ventures, that is an independent business enterprise and has entered into a contract with the City or Project Manager or any of its contractors or subcontractors of any tier, with respect to the construction of any part of the Project under contract terms and conditions approved by the City and which incorporate this Agreement.

1.4 "Construction Contract" means a contract awarded by the City for public work within the meaning of Chapter 1 (commencing with Section 1720) of Part 7 of Division 2 of the California Labor Code.

1.5 "Project" means any construction project of the City whose value as determined by the higher of the engineer's estimate of the total cost of the project or the actual cumulative bid amounts submitted by the contractor or contractors awarded the Construction Contracts for the Project, exceeds one million dollars ($1,000,000). By mutual consent of the City and the Council, ·this threshold amount may be reduced to an amount not below two hundred and fifty thousand dollars ($250,000) after one year from the effective date of this Agreement.

1.6 "Union" or "Unions" means the San Joaquin Building and Construction Trades Council, AFL-CIO ("the Council") and any other labor organization, including those affiliated with the Council, signatory to this Agreement, acting in their own behalf and on behalf of their respective affiliates and member organization whose names are subscribed hereto and. who have through their officers executed this Agreement ("Local Unions").

1. 7 "Stockton Resident" means a resident of the City of Stockton as defined by Stockton Municipal Code Section 3.68.095(1)(3).

1.8 "Local Area Resident" means any Stockton Resident or any individual domiciled within the boundaries of San Joaquin County according to the criteria set forth in Stockton Municipal Code Section 3.68.095(1)(3) for Stockton Residents.

1.9 "Project Manager" means the business entity or City employee designated by the City to oversee all phases of construction on the Project.

1.10 "Master Agreement" or "Schedule A" means the Master Collective Bargaining Agreement of each craft union signatory hereto, which shall be on file with the City.

1.11 "Completion" means that point at which the City accepts a project at issue by filing a Notice of Completion, or as otherwise provided by applicable state law. "Punch List" items and any other work within the scope of this Agreement not completed prior to commencement of revenue service shall nonetheless be included within the scope of this Agreement. It is understood by the parties that pmtions of the Project may be completed in phases and Completion of any such phase may occur prior to Completion of the Project. 3238-017,ij 3

ATTACHMENT A

ARTICLE II

SCOPE OF AGREEMENT

2.1 Parties: The Agreement shall apply and is limited to the City and all Contractor(s)/Employer(s) performing construction contracts on the Project, including surveying and on-site testing and inspection where such work is traditionally covered by a Master Agreement with a Union, and the Council and any other labor organization signatory to this Agreement, acting in their own behalf and on behalf of their respective affiliates and member organizations whose names are subscribed hereto and who have through their officers executed this Agreement.

2.2 Project Description: The Agreement shall govern the award of all Construction Contracts identified by the City as part of the Project. The City has the absolute right to combine, change, consolidate, suspend or cancel Construction Contract(s) or portions of Construction Contract(s) identified as part of the Project. Should the City suspend or remove any individual contract from the Project and thereafter authorize that construction work be commenced on such contract, then such contract shall be performed under the terms of this Agreement. Once a Construction Contract is completed it is no longer covered by this Agreement except when a Contractor is directed to engage in repairs, warranty work or modifications required by its Construction Contract with the City. For the purposes of this Agreement, a Construction Contract shall be considered Completed as set forth in Section 1.11 of this Agreement.

2.3 Covered Work: This Agreement covers, without limitation, all site preparation, surveying, on-site construction, alteration, demolition, installation, improvement, painting or repair of buildings, structures, modular furniture installations, and other works and related activities for the Project that is within the craft jurisdiction of one of the Unions and that is part of the Project, including, without limitation to the following examples, geotecbnical and exploratory drilling, temporary HV AC, landscaping and temporary fencing, pipelines (including those in linear corridors built to serve the Project), pumps, pump stations, on-site soils and material inspection and testing, and demolition of any existing structures required to be performed to complete the Project. This Agreement shall apply to any stait-up, calibration, commissioning, performance testing repair, and operational revisions to systems and/or subsystems for the Project performed after completion, unless it is performed by City employees.

On-site work includes work done for the Project in temporary yards or areas adjacent to the Project, and at any on-site or off-site batch plant constructed solely to supply materials to the Project. This Agreement covers all onsite fabrication work over which the City or any Contractor(s)/Employer(s) possess the right of control (including work done for the Project in any temporary yard or area established for the Project.) This Agreement also covers all off-site work, including fabrication traditionally performed by the Unions, that is part of the Project, provided such off-site work is covered by a current "Master Agreement" or local addenda to a National Agreement of the applicable Union(s) that is in effect as of the execution date of this Agreement. The furnishing of supplies, equipment or materials which are stockpiled for later use shall not be considered Covered Work; however, the delivery of ready-mix, asphalt, aggregate, sand or other fill material which are directly incorporated into the construction process as well as the off-hauling of debris and excess fill, material and/or mud shall be covered by the terms and conditions of this Agreement. Contractor( s )/Employer( s ), including brokers, of persons providing construction trucking work shall provide ce1tified payroll records to the City within ten (10) days of a written request or as required by bid specifications. 3238-017.ii 4

ATTACHMENT A

2.4 Exclusions from Covered Work

2.4.1 The Agreement shall be limited to construction work on the Project and is not intended to, and shall not affect or govern the award of public works contracts by the City which are not a part of the Project.

2.4.2 The Agreement shall not apply to a Contractor's/Employer's nonconstruction craft employees, including but not limited to executives, managerial employees, engineering employees and supervisors above the level of General Foreman (except those covered by existing Master Agreements), staff engineers or other professional engineers, administrative and management personnel.

2.4.3 This Agreement shall not apply to work by employees of the City.

2.4.4 This Agreement shall not apply to any work performed on or near or leading to the site of work covered by this Agreement that is undertaken by state, county, City or other governmental bodies or their contractors; or by public or private utilities or their contractors that is not part of the Project.

2.4.5 This Agreement shall not apply to the Project where the Agreement is prohibited by state or federal law or where the express conditions for the receipt of non-de minimis state or federal funding prohibit the City from applying this Agreement to the Project.

2.5 Project Labor Disputes: All Project labor disputes involving the application or interpretation of the Master Agreement to which a signatory Contractor(s)/Employer(s) and a signatory Union are parties shall be resolved pursuant to the resolution procedures of the Master Agreement. All disputes relating to the interpretation or application of this Agreement shall be subject to resolution by the Grievance Committee and the Grievance and Arbitration Procedure set forth in Article XII.

2.6 Work covered by this Agreement within the following craft jurisdictions shall be performed under the terms of their National Agreements as follows: the National Transient Lodge (''NTL") Articles of Agreement, the National Stack/Chimney Agreement, the National Cooling Tower Agreement, and the National Agreement of Elevator Constrnctors, and any instrument calibration work and loop checking shall be performed under the terms of the UNIBEW Joint National Agreement for Instrument and Control Technicians, with the exception that A,rticles IV, XIl, XIII of this Agreement shall apply to such work.

2.7 Award of Contracts. It is understood and agreed that the City has the absolute right to select any qualified bidder for the award of contracts under this Agreement. The bidder need only be willing, ready and able to execute and comply with this Agreement. It is further agreed that this Agreement shall be included in all invitations to bid or solicitations for proposals from contractors or subcontractors for work on the Project that are issued on and after the effective date of this Agreement.
3238-017.ii 5

ATTACHMENT A

ARTICLEID

EFFECT OF AGREEMENT
3 .1 By executing the Agreement, the Unions and the City agree to be bound by each and all of the provisions of the Agreement.

3.2 This Agreement shall be included as a condition of the award of Construction Contracts for the Project. By accepting the award of a Construction Contract for the Project, whether as contractor or subcontractor, the Contractor(s)/Employer(s) agrees to be bound by each and every provision of the Agreement and agrees that it will evidence its acceptance prior to the commencement of work by executing the Agreement to be Bound in the form attached hereto as Addendum A.

3.3 At the time that any Contractor(s)/Employer(s) enters into a subcontract with any subcontractor providing for the performance of a Construction Contract, the Contractor( s )/Employer( s) shall provide a copy of this Agreement to said subcontractor and shall require the subcontractor as a part of accepting an award of a construction subcontract to agree in writing, to be bound by each and every provision of this Agreement prior to the commencement of work by executing the Agreement to be Bound in the form attached hereto as Addendum A.

3.4 This Agreement shall only be binding on the signatory parties hereto, their successors and assigns, and shall not apply to the parents, affiliates, subsidiaries, or other ventures of any such party. Each Contractor shall alone be liable and responsible for its own individual acts and conduct and for any breach or alleged breach of this Agreement.

Any dispute between the Union(s) and the Contractor(s) respecting compliance with the terms of the Agreement, shall not affect the rights, liabilities, obligations and duties between the signatory Union(s) and other Contractor(s)/Employer(s) party to this Agreement.

3.5 It is mutually agreed by the parties that any liability by a signatory Union to this Agreement shall be several and not joint. Any alleged breach of this Agreement by a signatory Union shall not affect the rights, liabilities, obligations and duties between the signatory Contractor(s) and the other Union(s) party to this Agreement.

3.6 The provisions of this Agreement, including the Master Agreements of the Local Unions having jurisdiction over the work on the Project, incorporated herein by reference, shall apply to the work covered by this Agreement, notwithstanding the provisions of any other local, area and/or national agreements which may conflict with or differ from the terms of this Agreement. Where a subject covered by the provisions of this Agreement is also covered by a Master Agreement, the provisions of this Agreement shall prevail. Where a subject is covered by the provisions of a Schedule A and is not covered by this Agreement, the provisions of the Master Agreement shall prevail.

ARTICLE IV
WORK STOPPAGES, STRIKES. SYMPATHY

STRIKES AND LOCKOUTS

4.1 The Unions, City and Contractor(s)/Employer(s) agree that for the duration of the Project:
3238-0l?jj 6

ATTACHMENT A
(1) There shall be no strikes, sympathy strikes, work stoppages, picketing, hand billing or otherwise advising the public that a labor dispute exists, or slowdowns of any kind, for any reason, by the Unions or employees employed on the Project, at the job site of the Project or at any other facility of the City because of a dispute on the Project. Nor shall the Unions or any employees employed on the Project participate in any strikes, sympathy strikes, work stoppages, picketing, hand billing, slowdowns, or otherwise advising the public that a labor dispute exists at the jobsite of the Project because of a dispute between Unions and Contractor(s)/Employer(s) on any other project. It shall not be considered a violation of this Article if labor is withheld by a Union due to lack of payments to a Trust Fund or failure to make payroll on the Project. Nothing stated in this Agreement shall prevent Unions from participating in the actions mentioned in this section onjobsites other than the Project jobsite because of disputes between the Unions and Contractor(s)/Employer(s) on projects other than the Project. (2) As to employees employed on the Project, there shall be no lockout of any kind by a Contactor(s)/Employer(s) covered by the Agreement. (3) If a Master Agreement between a Contractor(s)/Employer(s) and the Union expires before the Contractor(s)/Employer(s) completes the performance of a Construction Contract for work covered under this Agreement and the Union or Contractor(s)/Employer(s) gives notice of demands for a new or modified Master Agreement, the Union agrees that it will not strike the Contractor(s)/Employer(s) on said contract for work covered under this Agreement and the Union and the Contractor(s)/Employer(s) agree that the expired Master Agreement shall continue in full force and effect for work covered under this Agreement until a new or modified Master Agreement is reached between the Union and Contractor(s)/Employer(s). If the new or modified Master Agreement reached between the Union and Contractor(s)/Employer(s) provides that any terms of the Master Agreement shall be retroactive, the Contractor(s)/Employer(s) agrees to comply with any retroactive terms of the new or modified Master Agreement which is applicable to employees employed on the Project within seven (7) days after the effective date of the new or modified Master Agreement.

4.1.1. Notification: If the City contends that any Union has violated this Article, it will notify in writing (including email) the Senior Executive of the Council and the Senior Executive of the Union, setting fmth the facts alleged to violate the Article, prior to instituting the expedited arbitration procedure set forth below. The Senior Executive of Council will immediately use his/her best efforts to cause the cessation of any violation of this Atticle. The Senior Executive of the Union will immediately inform the membership of their obligations under this Article. A Union complying with this obligation shall not be held responsible for unauthorized acts of employees it represents.

4.2 Expedited Arbitration: Any party to this Agreement shall institute the following procedure, prior to initiating any other action at law or equity, when a breach of this Article is alleged to have occurred:
(1) A party invoking this procedure shall notify Robert Hirsch, as the pe1manent arbitrator, or, William Riker, as the alternate under this procedure. In the event that the permanent arbitrator is unavailable at any time, the alternate will be contacted. If neither is available, then a selection shall be made f
rom the list of arbitrators in Alticle XII. Notice to the arbitrator shall be 3238-017.ii 7

ATTACHMENT A
by the most expeditious means available, with notices by facsimile, electronic mail or telephone to the party alleged to be in violation, to the City, to the Council and to the involved Local Union if a Union is alleged to be in violation.
(2) Upon receipt of said notice, the City will contact the designated arbitrator named above or his alternate who will attempt to convene a hearing within twenty-four (24) hours if it is contended that the violation still exists. (3) The arbitrator shall notify the parties by facsimile or telephone of the place and time for the hearing. Said hearing shall be completed in one session, which, with appropriate recesses at the arbitrator's discretion, shall not exceed twenty-four (24) hours unless otherwise agreed upon by all parties. A failure of any party to attend said hearings shall not delay the hearing of evidence or the issuance of any award by the arbitrator. (4) The sole issue at the hearing shall be whether or not a violation of Article IV, Section 4.1 of the Agreement has occurred. The arbitrator shall have no authority to consider any matter of justification, explanation or mitigation of such violation or to award damages, which issue is reserved for court proceedings, if any. The award shall be issued in writing within three (3) hours after the close of the hearing, and may be issued without a written opinion. If any party desires a written opinion, one shall be issued within fifteen (15) days, but its issuance shall not delay compliance with or enforcement of the award. The arbitrator may order cessation of the violation of this Article and other appropriate relief and such award shall be served on all parties by hand or registered mail upon issuance.
(5) Such award may be enforced by any Court of competent jurisdiction upon the filing of this Agreement and all other relevant documents referred to above in the following manner. Written notice of the filing of such enforcement proceedings shall be given to the other party. In the proceeding to obtain a temporary order enforcing the arbitrator's award as issued under Section 4.2 of this Article, all parties waive the right to a hearing and agree that such proceedings may be ex-parte. Such agreement does not waive any party's right to participate in a hearing for a final order or enforcement. The Court's order or orders enforcing the arbitrator's award shall be served on all parties by hand or delivered by certified mail. (6) Any rights created by statute or law governing arbitration proceedings inconsistent with the above procedure, or which interfere with compliance, are waived by the parties.
(7) The fees and expenses of the arbitrator shall be divided equally between the party instituting the arbitration proceedings provided in this Article and the party alleged to be in breach of its obligation under this Article.
3238-017ii 8

ATTACHMENT A

ARTICLEV

PRE-CONSTRUCTION CONFERENCE

5.1 The Project Manager shall convene a pre-construction conference to be held at least fourteen (14) days prior to the commencement of each construction phase, at a time and location mutually agreeable to the Council. Such conference shall be attended by a representative each from the participating Contractor(s)/Employer(s) and Union(s) and the Project Manager.

5.2 Review Meetings: In order to ensure the terms of this Agreement are being fulfilled and all concerns pertaining to the City, the Unions, and the Contractors are addressed, the Project Manager, General Contractor and Senior Executive of the Council or designated representatives thereof shall meet on a periodic basis during the term of construction. The City and the Council shall have the right to call a meeting of the appropriate parties to ensure the terms of this Agreement are being fulfilled.

ARTICLE VI

NO DISCRIMINATION

6.1 The Contractor(s)/Employer(s) and Unions agree to comply with all antidiscrimination provisions of federal, state and local law, to protect employees and applicants for employment, on the Project.

ARTICLE VII

UNION SECURITY

7.1 The Contractor(s)/Employer(s) recognize the Union(s) as the sole bargaining representative of all craft employees working within the scope of this Agreement. 7 .2 All employees performing work covered by this Agreement shall, as a condition of employment on or before the eighth (8th) cumulative day of employment on the Project, be responsible for the payment of the applicable periodic working dues and fees uniformly required for union membership in the Local Union that is a signatory to this Agreement for the duration of his or her employment on the Project. Nothing in this Agreement is intended to prevent any nonunion employees from joining the Local Union.

7.3 Authorized representatives of the Unions shall have access to the Project whenever work covered by this Agreement is being, has been, or will be performed on the Project.

ARTICLE VIII

REFERRAL

8.1 Contractor(s)/Employer(s) performing construction work on the Project described in the Agreement shall, in filling craft job requirements, utilize and be bound by the registration facilities and referral systems established or authorized by the Local Unions ("Job Referral System"). Such Job Referral System shall be operated in a non-discriminatory manner and in full compliance with all federal, state, and local laws and regulations, including those which require 3238-017.ii 9

ATTACHMENT A
equal employment opportunities and non-discrimination. The Contractor(s)/Employer(s) shall have the right to reject any applicant referred by the Union(s), in accordance with the applicable Master Agreement.

8.2 The Contractor(s)/Employer(s) shall have the unqualified right to select and hire directly all supervisors above general foreman it considers necessary and desirable, without such persons being referred by the Union(s).

8.3 In the event that referral facilities maintained by the Union(s) are unable to fill the requisition of a Contractor(s)/Employer(s) for employees within a forty-eight (48) hour period (Saturdays, Sundays and Holidays excluded) after such requisition is made by the Contractor(s)/Employer(s), the Contractor(s)/Employer(s) shall be free to obtain work persons from any source. A Contractor who hires any personnel to perform covered work on the Project pursuant to this Section shall immediately provide the appropriate Union with the name and address of such employee(s) and shall immediately refer such employee(s) to the appropriate Union to satisfy the requirements of Article VII of this Agreement.

8.4 Unions will exert their utmost efforts to recruit sufficient numbers of skilled craft persons to fulfill the requirements of the Contractor(s)/Employer(s). Recognizing the special needs of the Project and the acute shortage of skilled craftspeople, the Unions shall consider a Contractor's request to transfer key employees to work on this Project in a manner consistent with the Union's referral procedures.

8.5 The parties to this Agreement support the development of increased numbers of skilled construction workers from the City of Stockton and San Joaquin County. To the extent allowed by law, and consistent with the Local Union's hiring hall provisions, and as long as they possess the requisite skills and qualifications, Local Area Residents, including journeymen and apprentices, shall be referred for Project work covered by this Agreement.

ARTICLE IX

WAGES AND BENEFITS
9 .1 All Contractors/Employers agree to pay contributions to the established vacation, pension and other form of deferred compensation plan, apprenticeship, and health benefit funds established by the applicable Master Agreement for each hour worked on the Project in the amounts designated in the Master Agreements of the appropriate Local Unions.

9.2 By signing this Agreement, the Contractor(s)/Employer(s) adopts and agrees to be bound by the written terms of the legally established Trnst Agreements, as described in section 9 .1, specifying the detailed basis on which payments are to be made into, and benefits paid out of, such Trust Funds established by such appropriate local agreements. The Contractor(s)/Employer(s) authorizes the parties to such local trust agreements to appoint trustees and successor trustees to administer the trust funds and hereby ratify and accept the trustees so appointed as if made by the Contractor(s)/Employer(s).

9.3 Wages, Homs, Terms and Conditions of Employment: The wages, hours and other terms and conditions of employment on the Project shall be governed by the Master Agreement of the respective crafts, copies of which shall be on file with the City to the extent such Master 3238-0l7ii 10

ATTACHMENT A
Agreement is not inconsistent with this Agreement. All employees covered by this Agreement shall be classified and paid in accordance with the classification and wage scales contained in the appropriate local agreements which have been negotiated by the historically recognized bargaining entity and in compliance with the applicable general prevailing wage determination made by the Director of Industrial Relations pursuant to the California Labor Code.

9.4 During the period of construction on this Project, the Contractor(s)/Employer(s) agrees to recognize and put into effect such increases in wages and recognized fringe benefits as shall be negotiated between the various Unions and the historically recognized local bargaining entity on the effective date as set forth in the applicable agreement. The Unions shall notify the Contractor(s)/Employer(s) in writing of the specific increases in wages and recognized fringe benefits and the date on which they become effective.

9.5 Holidays: Holidays shall be in compliance with the applicable Schedule A agreement.

ARTICLEX

EMPLOYEE GRIEVANCE PROCEDURE

10.1 All disputes involving discipline and/or discharge of employees working on the Project shall be resolved through the grievance and arbitration provision contained in the Master Agreement for the craft of the affected employee. No employee working on the Project shall be disciplined or dismissed without just cause.

ARTICLE XI

COMPLIANCE

11.1 It shall be the responsibility of the Contractor(s)/Employer(s) and Unions to investigate and monitor compliance with the provisions of the Agreement contained in Article IX.

Nothing in this agreement shall be construed to interlere with or supersede the usual and customary legal remedies available to the Unions and/or employee benefit Trust Funds to collect delinquent Trust Fund contributions from Employers on the Project. The City shall monitor and enforce compliance with the prevailing wage requirements of the state and Contractors1 /Employers1
compliance with this Agreement.

ARTICLE XII

GRIEVANCE ARBITRATION PROCEDURE

12. l The parties understand and agree that in the event any dispute arises out of the meaning, interpretation or application of the provisions of this Agreement, the same shall be settled by means of the procedures set out herein. No grievance shall be recognized unless the grieving party (Local Union or City on its own behalf, or on behalf of an employee whom it represents, or a contractor on its own behalf) provides notice in writing to the signatory party with whom it has a dispute within five (5) days after becoming aware of the dispute but in no event more than thirty (30) days after it reasonably should have become aware of the event giving rise to the dispute. The time limits in this Section 12.1 may be extended by mutual written agreement of the parties.
3238-017.ii 11

ATTACHMENT A
\

12.2 Grievances shall be settled according to the following procedures:

Step 1: Within five (5) business days after the receipt of the written notice of the grievance, the Business Representative of the involved Local Union or City, or his/her designee, or the representative of the employee, and the representative of the involved Contractor(s)/Employer(s) shall confer and attempt to resolve the grievance.

Step 2: In the event that the representatives are unable to resolve the dispute within the five (5) business days after the meeting to resolve the dispute in Step 1, the International Union Representative and the Contractor(s)/Employer(s) involved shall meet within seven (7) working days of the referral of the dispute to this second step to arrive at a satisfactory settlement thereof. Meeting minutes shall be kept by the Contractor. In the event that these representatives are unable to resolve the dispute after its referral to Step 2, either involved party may submit it within three (3) business days to the Grievance Committee, which shall meet within five (5) business days after such referral (or such longer time as is mutually agreed upon by all representatives on the Grievance Committee), to confer in an attempt to resolve the grievance. The Grievance Committee shall be comprised of two (2) representatives of the City; and one (1) representative of the Project Manager, and three (3) representatives of the San Joaquin Building & Construction Trades Council. If the dispute is not resolved within such time (five (5) business days after its referral or such longer time as mutually agreed upon) it may be referred within five (5) business days by either party to Step 3.

Step 3: If the grievance is not settled in Step 2 within five (5) business days, either party may request the dispute be submitted to arbitration or the time may be extended by mutual consent of both parties. Within five (5) business days after referral of a dispute to Step 3, the representatives shall choose a mutually agreed upon arbitrator for final and binding arbitration. If the parties are unable to agree on an arbitrator, an arbitrator shall be selected by the alternate striking method from the list of five (5) below. The order of striking names from the list of arbitrators shall be determined by a coin toss, the winner of which shall decide whether they wish to strike first or second. If any of the arbitrators listed below or in Article 4 is no longer working as a labor arbitrator at the time of selection, the City and the Council shall mutually agree to a replacement. In addition, the City and the Council may mutually agree to add additional arbitrators to those listed below.

1. William Riker

2. BarryWinogard

3. Thomas Angelo

4. Robert Hirsch

5. William Engler

12.3 The Arbitrator shall arrange for a hearing on the earliest available date from the date of his/her selection. A decision shall be given to the parties within five (5) calendar days after completion of the hearing unless such time is extended by mutual agreement. A written opinion may be requested by a party from the presiding arbitrator. The decision of the Arbitrator shall be 3238-0l?jj 12

ATTACHMENT A
final and binding on all parties. The Arbitrator shall have no authority to change, amend, add to or detract from any of the provisions of the Agreement. The expense of the Arbitrator shall be borne equally by both parties.

12.4 The time limits specified in any step of the Grievance Procedure set forth in Section

12.2 may be extended by mutual agreement of the parties initiated by the written request of one party to the other, at the appropriate step of the Grievance Procedure. However, failme to process a grievance, or failure to respond in writing within the time limits provided above, without an agreed upon extension of time, shall be deemed a waiver of such grievance without prejudice, or without precedent to the processing of and/or resolution of like or similar grievances or disputes. In order to encourage the resolution of disputes and grievances at Steps 1 and 2 of this Grievance Procedure, the parties agree that such settlements shall not be precedent setting.

ARTICLEXID

WORK ASSIGNMENTS AND JURISDICTIONAL DISPUTES
13 .1 The assignment of Covered Work will be solely the responsibility of the Employer performing the work involved; and such work assignments will be in accordance with the Plan for the Settlement of the Jurisdictional Disputes in the Construction Industry (the 11Plan11) or any successor Plan.
13 .2 All jurisdictional disputes on this Project between or among the building and construction trades Unions and the Employers parties to this Agreement, shall be settled and adjusted according to the present Plan established by the Building and Construction Trades Department or any other plan or method of procedure that may be adopted in the future by the Building and Construction Trades Department. Decisions rendered shall be final, binding and conclusive on the Employers and Unions parties to this Agreement.

13.3 If a dispute arising under this Article involves the Northern California Carpenters Regional Council or any of its subordinate bodies, an Arbitrator shall be chosen by the procedures specified in Article V, Section 5, of the Plan from a list composed of John Kagel, Thomas Angelo, Robert Hirsch, and Thomas Pagan, and the Arbitrator's hearing on the dispute shall be held at the offices of the California State Building and Construction Trades Council in Sacramento, California within fourteen (14) days of the selection of the Arbitrator. All other procedures shall be as specified in the Plan.
13 .4 All jmisdictional disputes shall be resolved without the occurrence of any strike, work stoppage, or slow-down of any nature and the Employer's assignment shall be adhered to until the dispute is resolved. Individual employees violating this section shall be subject to immediate discharge. Each Employer will conduct a pre-job conference with the Council prior to commencing work. The Project Manager and City will be advised in advance of all such conferences and may participate if they wish. Pre-job conferences for different Employers may be held together.
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ATTACHMENT A

ARTICLE XIV MANAGEMENT
RIGHTS

14.1 The Contractor(s)/Employer(s) shall retain full and, exclusive authority for the management of their operations, including the right to direct their workforce in their sole discretion. Except as provided by Section 2.3 and by the lawful manning provisions in the applicable Master Agreement, no rules, customs or practices shall be permitted or observed which limit or restrict production, or limit or restrict the working efforts of employees.

ARTICLE XV

HELMETS TO HARDHATS

15.1 The Contractor(s)/Employer(s) and the Unions recognize a desire to facilitate the entry into the building and constmction trades of veterans and members of the National Guard and Reserves who are interested in careers in the building and construction industry. The Contractor(s)/Employer(s) and Unions agree to utilize the services of the Center for Military Recruitment, Assessment and Veterans Employment (hereinafter "Center), a joint LaborManag�ment Cooperation Trust Fund, established under the authority of Section 6(b) of the Labor-Management Cooperation Act of 1978, 29 U.S.C. Section 175(a), and Section 302(c)(9) of the Labor-Management Relations Act, 29 U.S.C. Section 186(c)(9), and a charitable tax exempt organization under Section 501(c)(3) of the Internal Revenue Code, and the Center's "Helmets to Hardhats" program to serve as a resource for preliminary orientation, assessment of construction aptitude, referral to apprenticeship programs or hiring halls, counseling and mentoring, support network, employment opportunities and other needs as identified by the parties.

15.2 The Unions and Contractor(s)/Employer(s) agree to coordinate with the Center to participate in an integrated database of veterans and members of the National Guard and Reserves interested in working on the Project and of apprenticeship and employment opportunities for this Project. To the extent permitted by law, the Unions will give credit to such veterans for bona fide, provable past experience.

15.3 Nothing in this Article shall be interpreted to preclude any Contractor(s)/Employer(s) that is not signatory to a Master Agreement to utilize an alternative plan or program for recruiting, training and facilitating construction industry employment opportunities for militaiy veterans and members of the National Guard and Reserves. Before utilizing such alternative program on the Project, such Contractor(s)/Employer(s) shall provide the City with a description of such plan or program.

ARTICLE XVI

DRUG & ALCOHOL TESTING

16.1 The use, sale> transfer, purchase and/or possession of a controlled substance, alcohol and/or firearms at any time during the work day is prohibited.

16.2 The Parties agree to recognize and use the Substance Abuse Program contained in each applicable Union's Schedule A
3238-017jj 14

ATTACHMENT A

ARTICLE XVII

TERM SAVINGS CLAUSE
17 .1 The parties agree that in the event any article, provision, clause, sentence or word of the Agreement is determined to be illegal or void as being in contravention of any applicable law, by a court of competent jurisdiction, the remainder of the Agreement shall remain in full force and effect. The parties further agree that if any article, provision, clause, sentence or word of the Agreement is determined to be illegal or void, by a court of competent jurisdiction, the parties shall substitute, by mutual agreement, in its place and stead, an article, provision, clause, sentence or word which will meet the objections to its validity and which will be in accordance with the intent and purpose of the article, provision, clause, sentence or work in question. 17 .2 The parties also agree that in the event that a decision of a court of competent jurisdiction materially alters the terms of the Agreement such that the intent of the parties is defeated, then the entire Agreement shall be null and void.

17.3 If a court of competent jurisdiction determines that all or part of the Agreement is invalid and/or enjoins the City from complying with all or part of its provisions and the City accordingly determines that the Agreement will not be required as part of an award to a Contractor(s)/Employer(s), the unions will no longer be bound by the provisions of Article N.

ARTICLE XVIII

LOCAL HIRE, PRIORITY APPRENCTICE AND WORKFORCE

DEVELOPMENT PROGRAM

18.1 The objective of the City in creating this Local Hire, Priority Apprentice and Workforce Development Program is to enhance and encourage employment opportunities for Stockton residents and to enable effective construction career pathways for Local Area Residents through California State approved Joint Apprenticeship Programs. To that end, as part of the Agreement, the City establishes goals for the hiring, training and retention of Local Area Residents.

18.2 Local Hire. The City establishes the following Local Hire goals and commitments:

18.2.1 The parties agree to make a good faith effort to refer on a priority basis, consistent with the non-discriminatory refenal procedures of the applicable Union, qualified and available, Local Area Residents for Project work. The parties agree to a goal that Stockton residents shall perfo1m a minimum of 50% of the hours worked on the Project by the Contractors' total construction workforce. In the event that a sufficient number of Stockton residents are not available to fulfill the 50% local hire requirement, the next tier of residents shall come from anywhere in San Joaquin County. The Contractor(s) shall make good faith efforts to reach this goal through the utilization of the Unions' hiring hall procedures. The Unions shall exercise their best efforts in their recruiting and training of Stockton resident workers and in utilizing their hiring hall procedures to facilitate this 50% goal.

18.2.2 The parties also recognize and support the City's commitment to provide opportunities for participation on the Project to Stockton businesses through the City's Local Business Preference Ordinance. In furtherance of this commitment, the patties agree that such 323B-017ii 15

ATTACHMENT A
Stockton contractors and subcontractors awarded work on the Project may request by name, and the Local Union will honor, referral of persons who have applied to the Local Union for Project work, and who demonstrate the following qualifications:
performed;
(1) possess any license required by state or federal law for the Project work to be (2) have worked a total of at least two thousand (2,000) hours in the construction craft during the prior two (2) years;
(3) were on the Contractor's active payroll for at least ninety (90) out of the one hundred and twenty (120) calendar days prior to the contract award; and
(4) have the ability to perform safely the basic functions of the applicable trade; (5) are Stockton residents.

The Union will refer to such Contractor one journeyman employee from the hiring hall out-of-work list for the affected trade or craft, and will then refer one of such Contractor's "core" employees as a journeyman and shall repeat the process, one and one, until such Contractor's crew requirements are met or until such Contractor has hired five (5) "core" employees, whichever occurs first. Thereafter, all additional employees in the affected trade or craft shall be hired exclusively from the hiring hall out-of-work list(s). For the duration of the Contractor's work, the ratio shall be maintained and when the Contractor's workforce is reduced, employees shall be reduced in the same ratio of core employees to hiring hall referrals as was applied in the initial hiring.

18.2.3 The Contractor shall notify the appropriate Union of the name and social security number of each direct hire and each direct hire shall register with the Union's hiring hall and comply with Article VII before commencing Project work. If there is any question regarding an employee's eligibility under Section 18.2, the City, at a Union's request, shall obtain satisfactory proof of such from the Contractor.

18.3 Priority Apprenticeship and Workforce Development

18.3.1 Recognizing the need to develop adequate numbers of competent workers in the construction industry, the Contractor(s)/Employer(s) shall employ apprentices of a California State approved Joint Apprenticeship Program in the respective crafts to perform such work as is within their capabilities and which is customarily pe1formed by the craft in which they are indentured. The apprentice ratios will be in compliance with the applicable provisions of the California Labor Code and Prevailing Wage Rate Determination.

18.3.2 The parties agree to a goal that 50% of apprentices employed on the Project shall be residents of the City of Stockton or other Local Area Residents. In achieving this goal, atrisk youth who reside in the following zip codes within the City of Stockton, shall be given priority in the apprenticeship recruitment process: 95202, 95203> 95204, 95205, and 95206. If sufficient numbers of Stockton residents are not available, then a good faith effort will be made by the Unions to utilize residents of San Joaquin County. All apprentices refe1Ted to Contractors under this 3238-017ii 16

ATTACHMENT A
Agreement shall be enrolled in State of California approved Joint Apprenticeship Programs. Subject to any legal restrictions, the patties agree to a goal that apprentices will perform twenty percent (20%) of the total craft hours worked on the Project unless an applicable Master Agreement provides for a greater percentage. The Unions agree to cooperate with the Contractors in furnishing apprentices as requested and they shall be properly supervised and paid in accordance with the provisions of the applicable Master Agreement.

18.3.3 The Contractors and Unions shall make good faith efforts to reach the apprenticeship goals set forth in this Section 18.3 through the utilization of normal hiring hall and apprentice procedures and, when appropriate, the identification of potentially qualified apprentices through community-based organizations working in collaboration with the apprentice programs.

The Unions ai·e committed to working with the Contractors and community based organizations to achieve these goals. At least annually, the Unions and the City will each conduct a Community Career Fair to provide at-risk youth, veterans and others an opportunity to learn about each craft and the process for entering their apprenticeship program.

18.4 Good Faith Efforts. A Contractor or subcontractor must take the following good faith steps to demonstrate that it has made every effort to reach the Local Hire, Priority Apprenticeship and Workforce Development Program goals of the City. The Contractor or subcontractor shall attend scheduled Pre-Job meetings held under this Agreement and shall submit written workforce projections and projected work hours on a craft-by-craft basis.

18.4.1 Within seven (7) calendar days after Notice to Proceed, the Contractor or subcontractor shall meet with the Unions and the City to present its plan for reaching the Local Hire, Priority Apprenticeship and Workforce Development Program goals.

18.4.2 The Conh·actor or subcontractor shall notify the Project Manager of the City by U.S. Mail or electronic mail if a Union hiring hall cannot, upon request by the Contractor or subcontractor, dispatch Local Area Residents to the Project. It shall be the responsibility of the Contractor or subcontractor to retain all evidence of such good faith efforts.

18.4.3 The Contractor or subcontractor may use the "Name Call", "Rehire" or other available hir
ing hall procedures to reach the goals of this Article XVill.

18.5 Enforcement, Compliance and Reporting

18.5.1 Contractors will be required to submit Ce1tified Weekly Payrolls to the City along with monthly workforce utilization reports documenting the Contractor's compliance with the requirements described in this Article. At a minimum, the monthly reports must include: 1) data on Stockton and Local Area Residents work hour utilization on the Project and Local Area Residents; and 2) documentation showing any requests made to the Union dispatchers for Stockton residents and the Union's response to the request.

18. 5 .2 The City staff shall monitor the operation of the Local Hire, Priority Apprenticeship ai1d Workforce Development Program and shall consider allegations of noncompliance with the goals stated in this Article. If there is a determination by the City that a Contractor or subconh·actor has not complied with the goals or demonstrated good faith efforts to 3238-017.ii 17

ATTACHMENT A
do so, the City and the Contractor or subcontractor shall meet and confer in order to identify necessary actions to resolve the issue and ensure a good faith effort to achieve the objectives of this Article.

18.5 ,3 For any Project subject to this Agreement, the Local Hire, Priority Apprentice and Workforce Development Program requirements of this Article shall apply in lieu of the requirements of Stockton Municipal Code Section 3 ,68.095 and no separate compliance with Section 3,68.095 will be required of the Contractors/Employers working on the Project.

ARTICLE

XIXIEBM

19.1 This Agreement shall become effective 30 days after the day the City Council talces action to authorize its execution, and it shall continue in full force and effect for a period of three (3) years, at which time this Agreement may be considered for extension or renewal. The terms of this Agreement shall apply to any Project that is bid or solicited after the effective date and before the expiration of this Agreement. The Agreement shall continue to apply to any Project subject to this Agreement until the completion of all Covered Work on the Project.

CITY OF STOCKTON
Name:

J
KURT
v------
0, WILSON
Title: CITY MANAGER
::m DANIEL CARDOZO
Date: 15(1- •t/!b
.4.-rpt� �, e ,1 ft(Z _,,,N 'J'O � II IN fS 1'(. : Title:V _l,._;LJV,___• '-=-'"---II.' _____ 'I_ SAN JOAQUIN BUILDING AND CONSTRUCTION TRADES COUNCIL, AFLCIO COUNCIL Date: --------
Name:

Title:
32J8-017jj 21

ATTACHMENT A
do so, the City and the Contractor or subcontractor shall meet and confer in order to identify necessary actions to resolve the issue and ensure a good faith effort to achieve the objectives of this Article.

18.5.3 For any Project subject to this Agreement, the Local Hire, Priority Apprentice and Workforce Development Program requirements of this Article shall apply in lieu of the requirements of Stockton Municipal Code Section 3.68.095 and no separate compliance with Section 3.68.095 will be required of the Contractors/Employers working on the Project.

ARTICLE
XI.XTERM

19.1 This Agreement shall become effective 30 days after the day the City Council talces action to authorize its execution, and it shall continue in full force and effect for a period of three (3) years, at which time this Agreement may be considered for extension or renewal. The terms of this Agreement shall apply to any Project that is bid or solicited after the effective date and before the expiration of this Agreement. The Agreement shaU continue to apply to any Project subject to this Agreement until the completion of all Covered Work on the Project.

CITY OF STOCKTON
Name: KURT 0. WILSON
Title: CITY MANAGER
ATTEST:

By: ---------­

BONNIE PAIGE, CITY CLERK

APPROVED AS TO FORM
By: ---------­

DANIEL CARDOZO
Date:

APPROVED AS TO FROM
By: --------­
JOHN M. LUEBBERKE

CITY ATTORNEY
Title: --------
SAN JOAQUIN BUILDING AND CONSTRUCTION TRADES COUNCIL, AFLCIO COUNCIL (� '1:. .!;#..4:., �"""-r Date: 'fS/8.'1//(p
k� v t�
Title: �c.•c .. :\-cvrvr / 1"'<�<:.I,) r-e,r
J238-0l7jj u 21

ATTACHMENT A
llJN][l())NS Chu:JtP. d?Mdk
Electrica� 'r/orkers # 595. �k,. Sheet Metal Workers # l 04 . arpenters Regional Co-uncil on behalf qf itself and its
��
Boilermakers �� # 549
LaborYsfu �-- Teamsters #439
3138-0 I 7jJ 19

ATTACHMENT A
Addendum A

CITY OF STOCKTON COMMUNITY WORKFORCE AND TRAINING AGREEMENT

AGREEMENT TO BE BOUND
The undersigned, as a Contractor or Subcontractor, including construction material trucking company/entity, (CONTRACTOR) on the City of Stockton Project, (hereinafter PROJECT), for and in consideration of the award to it of a contract to perform work on said PROJECT, and in further consideration of the mutual promises made in this Community Workforce and Training Agreement (hereinafter AGREEMENT), a copy of which was received and is acknowledged, hereby:
(1) Accepts and agrees to be bound by the terms and conditions of the AGREEMENT for this Project, together with any and all amendments and supplements now existing or which are later made thereto:
(2) The CONTRACTOR agrees to be bound by the legally established local trust agreements designated in the applicable Schedule A as set forth in A.tiicle N of this AGREEMENT.
(3) The CONTRACTOR authorizes the pmiies to such local trust agreements to appoint trustees and successor trustees to administer the trust funds and hereby ratifies and accepts the trustees so appointed as if made by the CONTRACTOR; (4) Certifies that it has no commitments or agreements which would preclude its full and complete compliance with the terms and conditions of said AGREEMENT. (5) Agrees to secure from any CONTRACTOR(S) (as defined in said AGREEMENT) which is or becomes a subcontractor ( of any tier) to it, a duly executed Agreement to be Bound in form identical to this document.
(6) This Agreement to be Bound constitutes a subscription agreement to the extent of its terms. However, the undersigned agrees to execute a separate SubscriptionAgreement(s) or contributing employer agreement for Trust Funds when such Trust Fund(s) requires such document( s ).

Date: --------- N mne of Contractor
(Name of Contractor Representative)
(Authorized Officer & Title)
CSLB # of Motor Carrier Permit
3238-0l?jj 20

ATTACHMENT A

ATTACHMENT B

ATTACHMENT B

ATTACHMENT B

ATTACHMENT B

ATTACHMENT B

ATTACHMENT B

ATTACHMENT B
1 COMMUNITY WORKFORCE AND TRAINING AGREEMENT

AMENDMENT
This Amendment to the Community Workforce and Training Agreement (Agreement 2016-07-26-1501) (the “CWTA”) is entered into on _______________, 2024, between the City of Stockton (“City”), the San Joaquin Building and Construction Trades Council, and the undersigned unions (collectively, the “Parties”).

RECITALS
On July 26, 2016, by Motion No. 2016-07-26-1501, the City Council authorized the execution of the CWTA, which provided for an initial term of three years to expire on August 25, 2019; and On July 16, 2019, by Motion No. 2019-07-16-1403, the City Council extended the term of the CWTA to August 25, 2024; and
The Parties desire to extend the term of the CWTA, with a new expiration date of _________________, and further amend the CWTA as described below.

Now, therefore, the Parties mutually agree as follows:

1. The term of the CWTA is amended, and shall now expire on: ___________________________.

2. The CWTA shall not apply to the renovation of the Banner Islands Ball Park (originally advertised as Project No.

PUR24-028) if, after that project is re-advertised on the City’s BidFlash one additional time, no responsive, responsible, and realistic bids are received, as determined in the City’s reasonable discretion.

All other terms and conditions of the CWTA shall remain unchanged and remain in full force and effect unless modified by a written amendment signed by the Parties.

IN WITNESS WHEREOF, the authorized parties have executed this Amendment.

CITY OF STOCKTON
_________________________ _____________________
Harry Black, City Manager Date
ATTEST:
_____________________________
Katherine Roland CMC, CPMC
Interim City Clerk
Approved as to form:

Lori M. Asuncion, City Attorney
BY:

SAN JOAQUIN BUILDING AND CONSTRUCTION TRADES COUNCIL
_______________________ _____________________
Name: Date
Title:

Approved as to form:
_______________________
Name:

Title:

UNIONS

ATTACHMENT C
2 _________________________________ ______________________________________ Electrical Workers # 595 Operating Engineers # 3
_________________________________ _______________________________________ Sheet Metal Workers # 104 Northern California Carpenters Regional Council on behalf of itself and its affiliated local
Unions
_________________________________ ______________________________________ BAC # 3 Plasterers and Cement Masons # 300
_________________________________ ______________________________________ Boilermakers # 549 Plumbers and Pipefitters # 442
_________________________________ ______________________________________ Cement Masons # 400 Road Sprinkler Fitters # 669
_________________________________ ______________________________________ District Council # 16 Roofers and Water Proofers # 81
_________________________________ ______________________________________ Heat & Frost Insulators & Asbestos # 16 Iron Workers # 118 _________________________________ ______________________________________ Iron Workers #378 Laborers # 73
__________________________________ ______________________________________ Underground Utility/Landscape # 355 Teamsters # 439
__________________________________
Sign & Display # 510

ATTACHMENT C
City of Stockton
Legislation Text
File #: 24-0645, Version: 1

APPROVE A RESOLUTION AUTHORIZING EXECUTION OF A JOINT COMMUNITY FACILITIES

AGREEMENT WITH THE CALIFORNIA MUNICIPAL FINANCE AUTHORITY RELATED TO THE

LIGURIAN VILLAGE PROJECT

RECOMMENDATION
It is recommended City Council adopt a resolution to:

1. Authorize and approve the use of the Bond Opportunities for Land Development Program to finance improvements related to the Ligurian Village project.

2. Authorize the City Manager, or designee, to enter into the Joint Community Facilities Agreement with the California Municipal Finance Authority.

Summary
Approval of the Joint Community Facilities Agreement (“JCFA”) with the California Municipal Finance Authority (“CMFA”) would allow the developer of the Ligurian Village project to use land-secured bond financing to pay for City sewer improvements.

DISCUSSION
Background
The CMFA is a joint exercise of powers authority, the members of which include numerous cities, counties and other local agencies in the State, including the City. The CMFA has established its Bond Opportunities for Land Development Program (the “BOLD Program”) to allow the financing through the levy of special taxes under the Mello-Roos Community Facilities Act of 1982, as amended (the “Act”) of certain public facilities, development impact fees and/or mitigation payments that finance public facilities.

LGI Homes plans to construct 236 single-family detached residential units as part of its “Ligurian Village” development project (the “Project”), which is located within San Joaquin County, but will receive sewer service from the City, requiring the payment of development impact fees paying for sewer facilities and/or construction of sewer facilities, in each case, to be owned and operated by the City.

LGI Homes has requested the CMFA form a community facilities district (“CFD”) through the BOLD Program to finance eligible public facilities, particularly County public facilities. LGI Homes has also requested that the City enter into the JCFA with CMFA to allow the CMFA to also finance City sewer improvements through the CFD.

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File #: 24-0645, Version: 1
If the CFD is formed, a special tax would be levied only on the property within the CFD (i.e., within the Project) to pay for special tax bonds issued by the CMFA that would pay for authorized improvements. The City will not be responsible for the conduct of any proceedings under the Act for the formation of the CFD, the levy or collection of special taxes for the CFD or any required remedial action in the case of delinquencies in any special tax payments, or the issuance, sale or administration of any bonds issued in connection with the BOLD Program.

FINANCIAL SUMMARY
There is no cost for the City to execute the JCFA and authorize the financing of City sewer fees and facilities for the Project. CMFA would pay for the costs of application processing, bond financing and managing the ongoing special tax administration for the CFD, including submitting the annual special tax levy. CMFA recovers its cost through special taxes levied on property within the CFD. Any additional administrative costs that may be incurred by the City as a result of executing the JCFA or participating in the BOLD Program can be submitted to CMFA for reimbursement in accordance with applicable law and so long as CFD funds are available.

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RESOLUTION NO.

STOCKTON CITY COUNCIL

A RESOLUTION AUTHORIZING EXECUTION OF A JOINT COMMUNITY FACILITIES

AGREEMENT WITH THE CALIFORNIA MUNICIPAL FINANCE AUTHORITY

RELATED TO THE LIGURIAN VILLAGE PROJECT
The California Municipal Finance Authority (the “CMFA”) is a joint exercise of powers authority, the members of which include numerous cities, counties and other local agencies in the State of California (the “State”), including the City of Stockton (the “City”); and
The CMFA has established the Bond Opportunities for Land Development Program (the “BOLD Program”) to allow the financing through the levy of special taxes under the Mello-Roos Community Facilities Act of 1982, as amended (the “Act”) of certain public facilities, development impact fees and/or mitigation payments that finance public facilities to be owned by local agencies in the State; and The BOLD Program creates an opportunity for new developments to utilize MelloRoos financing of improvements to be constructed and/or acquired by the City without the necessity of the City creating and administering the community facilities district; and LGI Homes plans to construct 236 single-family detached residential units as part of its “Ligurian Village” development project (the “Project”), which is located within San Joaquin County, but will receive sewer service from the City, requiring the payment of development impact fees paying for sewer facilities and/or construction of sewer facilities, in each case, to be owned and operated by the City; and As part of its BOLD Program, the CMFA intends to conduct proceedings under the Act to form a community facilities district (the “CFD”) to finance certain public facilities and development impact fees used for capital improvements authorized to be financed under the Act for the Project; and
The City is willing to cooperate with CMFA in accomplishing the financing of the City fees and/or City improvements eligible to be financed by the Act, and to confer upon the CMFA full power to provide financing for the City fees and/or City improvements in the event that proceeds of special taxes and/or bonds in the CFD become available and are utilized for such purpose; and
The City will not be responsible for the conduct of any proceedings under the Act for the formation of the CFD, the levy or collection of special taxes for the CFD or any required remedial action in the case of delinquencies in any special tax payments, or the issuance, sale or administration of any bonds issued in connection with the BOLD Program; now, therefore,

BE IT RESOLVED BY THE CITY COUNCIL OF THE CITY OF STOCKTON, AS FOLLOWS:

1. The use of the BOLD Program in connection with the financing of the City fees and City improvements related to the Project is hereby authorized and approved.

2. The City Council hereby finds and declares that the issuance of bonds by the CMFA in connection with the BOLD Program will provide significant public benefits, including without limitation, savings in effective interest rate, bond preparation, bond underwriting and bond issuance costs and the more efficient delivery of local agency services to residential and commercial development within the City.

3. The City Manager, Chief Financial Officer or any of their designees (each, an “Authorized Officer”) is hereby authorized and directed to enter into the Joint Community Facilities Agreement with CMFA (Exhibit 1, attached and incorporated by reference), substantially in the form approved by this Resolution. In accordance with section 53316.2 of the Act, the City Council hereby finds and declares that entrance into each such agreement will be beneficial to residents of the City.

4. 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 August 20, 2024 .

KEVIN J. LINCOLN II
Mayor of the City of Stockton
ATTEST:

KATHERINE ROLAND, CMC, CPMC
Interim City Clerk of the City of Stockton
[FORM OF JOINT COMMUNITY FACILIITES AGREEMENT]

CMFA BOLD PROGRAM
Joint Community Facilities Agreement
by and between
California Municipal Finance Authority and City of Stockton Relating to the Ligurian Village Project
This Joint Community Facilities Agreement (this “Agreement”), dated as of August 1, 2024, by and between the California Municipal Finance Authority, a joint exercise of powers authority duly organized and existing under the Constitution and laws of the state of California (the “CMFA”), and the City of Stockton, a municipal corporation and charter city, duly organized and existing under the Constitution and laws of the state of California (the “City,” and together with CMFA, the “Parties”).

WITNESSETH:

WHEREAS, LGI Homes – California LLC, a California limited liability company, plans to construct 236 single-family detached residential units as part of its “Ligurian Village” development project (the “Project”); and
WHEREAS, the Project is located within San Joaquin County, but will receive sewer service from the City, requiring the payment of development impact fees paying for sewer facilities and/or construction of sewer facilities, in each case, to be owned and operated by the City; and WHEREAS, CMFA intends to conduct proceedings under the Mello-Roos Community Facilities Act of 1982 (California Government Code section 53311 et seq.) (the “Act”) to form a community facilities district (the “CFD”) to finance certain public facilities and development impact fees used for capital improvements authorized to be financed under the Act (the “CFD Improvements” and the “CFD Fees,” respectively) as part of its Bond Opportunities for Land Development (“BOLD”) program for the Project;
WHEREAS, the CFD Improvements and CFD Fees will be described in the resolution of formation for each CFD, including CFD Fees payable and/or CFD Improvements to be acquired by the City and set forth on Exhibit A hereto (the “City Fees” and the “City Improvements,” respectively);
WHEREAS, CMFA intends to utilize the proceeds of sale of special tax bonds of the CFD (the “Bonds”) to finance some or all of the City Fees and/or City Improvements; WHEREAS, under Section 53316.2 of the Act, CMFA may form the CFD to, among other things, finance the City Fees and/or City Improvements, provided that CMFA and the City enter into a joint community facilities agreement such as this Agreement; and WHEREAS, City is willing to cooperate with CMFA in accomplishing the financing of the City Fees and/or City Improvements eligible to be financed by the Act, and to confer upon the CMFA full power to provide financing for the City Fees and/or City Improvements in the event that Exhibit 1
2 proceeds of special taxes and/or bonds in the CFD become available and are utilized for such purpose;
WHEREAS, this Agreement is made under the authority of Section 53316.2 of the Act; and
WHEREAS, in consideration for the mutual undertakings of the Parties stated herein, the Parties agree as follows:

AGREEMENT:

1. Administration of CFD and Issuance of Bonds by CMFA. CMFA shall administer each CFD, including employing and paying all consultants, annually levying the special tax and paying and administering the Bonds, and complying with all state and federal requirements appertaining to the proceedings establishing the CFD and issuing and using the proceeds of the Bonds, including the requirements of the United States Internal Revenue Code of 1986, as amended (the “Code”). City acknowledges that in order to comply with the Code, in connection with the issuance of Bonds by CMFA on a federally tax-exempt basis, the Authority will need to receive from the City assurances that it has a reasonable expectation of spending the proceeds of the Bonds within 3 years from their date of issuance on public capital improvements.

2. Agreement to Hold Funds. CMFA shall hold or cause to be held within a separate fund, account or subaccount (each, a “Project Fund”) special taxes and/or Bond proceeds from each CFD. All City Fees funded through Bond proceeds shall be deemed paid by the developer responsible for such City Fees in the amount of the Bond proceeds on the date that such Bond proceeds are deposited in the Project Fund. CMFA shall disburse, or cause to be disbursed, moneys on deposit in the Project Fund only as provided herein.

3. Disbursements from Project Funds. Moneys on deposit in the Project Fund shall be disbursed pursuant to written requisitions of the CMFA following receipt by CMFA of requisitions signed by the City, in substantially the form attached hereto as Exhibit B and executed by the City Manager, Chief Financial Officer, or any of their designees (each, an “Authorized Officer”). CMFA and its designees, including any trustee or fiscal agent holding funds in a Project Fund, may conclusively rely on such requisitions for purposes of making such disbursements. All disbursements from the Project Fund to the City shall be made by wire transfer of immediately available funds or by check payable to the City’s bank account number at a bank located within the United States on file with CMFA as part of the BOLD program, unless another method of payment is requested in writing by the City.

4. Use of City Fees for Public Capital Improvements. City shall utilize the City Fees financed through the CFD for public capital improvements to be owned by the City. The City acknowledges that, subject to approval of disbursements as set forth in Section 3 above, the City Fees may be financed through the CFD, and agrees to allow CMFA, or its designee, to finance the City Fees from time to time with respect to developers applying for BOLD financing, on the City’s behalf, through the issuance of one or more series of Bonds and/or from proceeds of special taxes of the CFD.

5. Purchase of City Improvements. To the extent the City is acquiring City Improvements using Bond proceeds or special taxes generated by the CFD, the City shall work with the developer of the Project to put in place all necessary agreements, certificates or other documents required for the City to acquire such improvements. Neither CMFA nor any of its Exhibit 1
3 agents shall be responsible for inspection or review of any such documents relating to financed City Improvements, unless set forth in a separate written agreement between CMFA and the City providing for the same.

6. Amendments. This Agreement may be amended by a writing signed by the Parties, including to update Exhibit A to reflect additional or different City Fees and/or City Improvements to be financed through the BOLD program from time-to-time.

7. Term of this Agreement. This Agreement shall be in full force and effect from this date to and including its termination by mutual written agreement of the parties hereto. CMFA agrees to terminate this agreement upon request of the City upon delivery to CMFA of an opinion Bond Counsel to the effect that the termination of this Agreement will not adversely affect the exclusion from gross income of interest on the Bonds for federal income tax purposes.

8. Counterparts; Third-Party Beneficiary. This Agreement may be executed in counterparts, each of which shall be deemed an original. The developer of the Project is hereby made and designated a third-party beneficiary of this Agreement. [Signatures on Following Page]
Exhibit 1
4 IN WITNESS WHEREOF the Parties have caused this Agreement to be executed by their authorized representatives as of the effective date stated above.

CMFA:

CALIFORNIA MUNICIPAL

FINANCE AUTHORITY
By:__________________________
Name: Edward J. Becker
Title: Executive Director
CITY:

CITY OF STOCKTON
By: ___________________________
Name: Harry Black
Title: City Manager
Exhibit 1
A-1

EXHIBIT A

DESCRIPTION OF CITY FEES AND/OR CITY IMPROVEMENTS
 Impact fees that finance public facilities, and/or public facilities constructed by the developer of the Project, in each case to be owned and operated by the City as part of its sewer system.

Exhibit 1
B-1

EXHIBIT B

DISBURSEMENT REQUEST FORM
To:

California Municipal Finance Authority
2111 Palomar Airport Road, Suite 320
Carlsbad, California 92011
Email: ____________________
Re: BOLD Program - Request for Disbursement of Bond Proceeds The undersigned, a duly authorized officer of the City of Stockton (the “City”) hereby requests a disbursement from the Project Fund set forth below, and certifies that the amounts of development impact fees and/or capital improvements listed below have been or will be spent by the City as of the date indicated below or within 5 days thereafter:

Subaccount(s) Amount(s)
[example, CMFA CFD No. 20__-__,
Special Tax Bonds Series 20__, Project Fund] $

Total:

Wiring Instructions: ___________________________
The undersigned hereby additionally certifies as follows:

1. These funds have been or will be used to acquire and/or construct capital improvements, and this disbursement is not being made for the purpose of reinvestment.

2. None of the expenditures for which payment is requested have been reimbursed previously from other sources of funds.

Exhibit 1
B-2

3. If the total amount above is greater than the funds held by CMFA on behalf of the City in the Subaccount(s) identified above, CMFA is authorized to amend the amount requested to be equal to the amount of such funds.

4. The amounts being disbursed pursuant to this request are being used to finance or refinance certain public infrastructure and facilities (the “Improvements”). The City will own, and for the entire useful life of such Improvements reasonably expects to own, all of such Improvements. The Improvements consist of the following:
[Describe the improvements]

5. To the extent any of such Improvements are sold to an entity that is not a state or local government, the City will seek the advice and approval of bond counsel to CMFA for the BOLD program prior to any such sale. The City will not allow any of such Improvements to be used (for example, by lease or other contract) in the trade or business of any nongovernmental persons (other than in their roles as members of the general public). All of such Improvements will be used in the performance of essential governmental functions of the City or another state or local government agency. The average expected useful life of such Improvements is at least ____ years. The representations and covenants contained in this paragraph are intended to support the conclusion that the interest paid on the bonds issued to finance the Improvements is excluded from gross income for federal income tax purposes under Section 103 of the Internal Revenue Code of 1986 (the “Code”).

Dated:

Signature:

Print Name:

Exhibit 1
City of Stockton
Legislation Text
File #: 24-0797, Version: 1
ACCEPT THE QUARTERLY INVESTMENT REPORT FOR QUARTER ENDED JUNE 30, 2024

RECOMMENDATION
It is recommended that the City Council accept by motion the Quarterly Investment Report for the quarter ended June 30, 2024.

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 June 30, 2024, are provided as required (Attachments A and B). This report is presented as required and fulfils the City’s reporting requirements. The City’s consolidated investment portfolio was approximately $1.03 billion as of June 30, 2024, which represents an increase of $90.4 million from the prior market value reported on March 31, 2024. This consolidated investment portfolio includes the City’s liquidity position, short-term investments, and the reserve portfolios (as shown on page 13 of Attachment A). The total market value-based earnings for the managed portfolio for the most recent quarter was a combined $7.4 million, as shown on page 21 for PFM Asset Management (PFMAM) and page 84 for Chandler Asset Management (Chandler) of Attachment A.

Additionally, the City’s liquidity holding in both California Asset Management Program (CAMP) and Local Agency Investment Fund (LAIF)had combined holdings of $62.3 million, with interest earnings of $831,975 for the quarter ended June 30, 2024.

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 types 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 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 No. 2023-06-20-1601).

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Pursuant to the Investment Policy, the City Treasurer may and does delegate some fiduciary responsibility to outside investment management firms. 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, PFMAM and Chandler.

Present Situation
The attached report (Attachment A) details the activities of the quarter ended June 30, 2024, and includes detailed information on the holdings of the City’s portfolio on that date, as aggregated in the first page of Attachment A, 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:

Quarterly Investment Report 06-30-2024_.pdf (revize.com) <https://cms3.revize.com/revize/stockton/Documents/Government/Budget%20And%20Financial% 20Reports/Debt%20and%20Investments/Quarterly/Quarterly%20Investment%20Report%2006-30- 2024_.pdf>
Portfolio Balances and Performance
The second quarter of 2024 was characterized by moderating economic growth, inflation resuming its slowing trend as it inched closer to the Fed’s 2% target, signs of consumer activity beginning to taper, and a labor market that continued to come into better balance. As expected, the Fed kept the overnight rate at its current target range of 5.25% to 5.50% at its June 12 meeting, marking the seventh consecutive meeting since July 2023 keeping rates at this level. Furthermore, the Fed’s updated “dot plot” showed just one rate cut in 2024, a notable drop from the March projections of three cuts. This more closely aligned with market expectations, which generally assumed one or two cuts in the back half of this year. U.S. Treasury yields rose modestly as the yield on the 2-, 5-, and 10-year U.S. Treasuries rose 13, 16, and 20 basis points (0.13%, 0.16%, and 0.20%), respectively.

Despite the relatively modest increase in yields, Treasuries traded over a 40 to 50 bps (0.40% to

0.50%) range over the quarter. U.S. Treasury indices less than 10 years posted positive performance. The ICE BofA 2- and 5-year Treasury indices returned +0.85% and +0.42% respectively, while higher yields and the longer duration of the 10-year U.S. Treasury index produced negative performance, resulting in a return of -0.30% for the quarter.

The City divides its investment portfolio into Reserve and Liquid portions with a consolidated market value of approximately $1 billion as of June 30, 2024. The Reserve portion represents the long-term assets managed by PFMAM 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 fourth quarter of City of Stockton Page 2 of 3 Printed on 8/16/2024
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the fiscal year were positive, as higher income more than offset the negative price effects from modestly higher yields.

The performance of the reserve portion of the portfolio is managed against a benchmark. The PFMAM portfolio benchmark is made up of 80% of the ICE Bank of America (BofA) 1-5 Year AAA-A U.S. Corporate and Government Index and 20% the ICE BofA 5-10 Year U.S. Treasury Index. The Chandler portfolio benchmark is the ICE BofA U.S. Issuers 1-5 Year AAA-A U.S.

Corporate/Government Index. The benchmarks generally reflect each portfolio’s strategy and composition. City staff works closely with both PFMAM and Chandler to monitor the status of the City’s investment portfolios and their returns. For the quarter, the total return performance of the portfolios was positive, as interest income offset the negative impact of higher yields. Additionally, both portfolios outperformed their respective benchmark. These returns are detailed on page 24 for PFMAM and page 94 for Chandler in Attachment A. The quarterly return valuation includes funds from all activities, restricted and unrestricted, and includes changes in fair market value (unrealized gains/losses).

The City’s investment portfolio complies with California Government Code section 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.

Looking ahead, Fed guidance from their June meeting indicated one rate cut in 2024 and the market was closely aligned with that expectation. At of the beginning of August, however, recent economic data and market volatility has resulted in expectations that the Fed may have to increase the number of rate cuts in 2024.

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

Attachment A - Quarterly Investment Report for Quarter Ended June 30, 2024 Attachment B - Certification of Quarterly Investment Report City of Stockton Page 3 of 3 Printed on 8/16/2024
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Investment Performance Review
For the Quarter Ended June 30, 2024
Client Management Team PFM Asset Management LLC
Monique Spyke, Managing Director Justin Resuello, Client Relations Manager Allison Kaune, Senior Analyst Joseph Creason, Portfolio Manager
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
1 ATTACHMENT A
© PFM Asset Management LLC pfmam.com |
• Market Update
• Account Summary• Portfolio Review
2 ATTACHMENT
A
© PFM Asset Management LLC pfmam.com |
Market Update
3 ATTACHMENT
A
PFM Asset Management LLC
For the Quarter Ended March 31, 2022
California Affiliated Risk Management Authorities Market Update

CLIENT NAME
For the Quarter Ended June 30, 2024
Market Update
© PFM Asset Management LLC | pfmam.com
Current Market Themes
▸ The U.S. economy is characterized by:
▹ Moderating economic growth following two quarters of exceptional strength▹ Recent inflation prints resuming the path towards the Federal Reserve (Fed)’s 2% target ▹ Labor markets continuing to show strength while unemployment has ticked up modestly▹ Resilient consumer spending supported by wage growth that is outpacing inflation ▸ Federal Reserve pushes out rate cuts
▹ Fed revises expectations from 3 rate cuts in 2024 to 1 by year end following a lack of progress in the fight against inflation
▹ Market continues to expect 1 or 2 rate cuts in 2024▹ Fed officials note that the risks to its “dual mandate” of stable inflation and maximum employment are becoming more balanced
▸ Treasury yields increase in response to economic data over the quarter ▹ Yields on maturities between 2 and 10 years rose 13-20 basis points during the quarter▹ The yield curve has now been inverted for 24 months, the longest period in history▹ Spreads across most sectors remain near multi-year tights and represent market expectations for a soft landing

CITY OF STOCKTON
For the Quarter Ended June 30, 2024
Market Update
© PFM Asset Management LLC pfmam.com |
4 ATTACHMENT
A
Recent Economic Data Points to Moderation
PFM Asset Management LLC
© PFM Asset Management LLC | pfmam.com
For the Quarter Ended March 31, 2022
California Affiliated Risk Management Authorities Market Update

CLIENT NAME
For the Quarter Ended June 30, 2024
Market Update
Source: Bloomberg, as of 7/5/2024.
-60-40-20
0 20406080
Dec-22 Jun-23 Dec-23 Jun-24
Citi Surprise Index
Line delineating positive and negative surprise
Negative Surprise Inflatio
n - Cooling
Labor - ModeratingGDP Growth - Slowing
Positive Surprise Inflation - HotLabor - RobustGDP Growth - Strong The Citi Surprise Index measures various economic readings relative to market expectations. • A positive reading means that data releases have been greater than market expectations • A negative reading means that data releases have been less than expected

CITY OF STOCKTON
For the Quarter Ended June 30, 2024
Market Update
© PFM Asset Management LLC pfmam.com |
5 ATTACHMENT A
Source: Bureau of Labor Statistics, Bureau of Economic Analysis, and Bloomberg. As of May 2024.

For the Quarter Ended March 31, 2022
California Affiliated Risk Management Authorities Market Update

CLIENT NAME
For the Quarter Ended June 30, 2024
Market Update
© PFM Asset Management LLC | pfmam.com
Fed’s Preferred Inflation Measure Shows Progress
May-24

3.4%
May-24

2.6%
1%2%3%4%5%6%7%
May-21 Nov-21 May-22 Nov-22 May-23 Nov-23 May-24
Core Inflation Measures
Year-Over-Year Changes
Core CPI Core PCE
Core CPI and PCE
strips out the volatile
food and energy
components.

Federal Reserve Inflation Target

CITY OF STOCKTON
For the Quarter Ended June 30, 2024
Market Update
© PFM Asset Management LLC pfmam.com |
6 ATTACHMENT A
Source: Bloomberg, Bureau of Labor Statistics. Monthly change in nonfarm payrolls and unemployment rate as of June 2024. Data is seasonally adjusted (left). Worker demand gap as of May 2024. Prepandemic average from February 2016 – February 2020 (right).

For the Quarter Ended March 31, 2022
California Affiliated Risk Management Authorities Market Update

CLIENT NAME
For the Quarter Ended June 30, 2024
Market Update
© PFM Asset Management LLC | pfmam.com
Labor Market Moves Into Better Balance
240
184
210
246
165
182
290
256
236
310
108
218
206
0 50
100150200250300350400
Jun-23
Jul-23
Aug-23
Sep-23
Oct-23
Nov-23
Dec-23
Jan-24
Feb-24
Mar-24
Apr-24
May-24
Jun-24
Thousands
Monthly Change In
Nonfarm Payrolls
Revised
lower by
combined
111K
Jun-24

4.1%
3%4%5%6%7%
2021 2022 2023 2024
Unemployment Rate

1.22 0

0.5 1

1.5 2

2.5 May-18 May-2
0 May-22 May-24
Worker-Demand Gap
May 2018 - May 2024
Pre-Pandemic Average
Number of Jobs
Available Per
Unemployed Person

CITY OF STOCKTON
For the Quarter Ended June 30, 2024
Market Update
© PFM Asset Management LLC pfmam.com |
7 ATTACHMENT A

5.1%

4.1%

3.1% 2.8%
0%1%
2%3%4%5%6%
2024 2025 2026 Longer
Run
Federal Funds Rate
March Projections June Projections

2.6% 2.3% 2.0% 2.0%
0%1%
2%3%4%5%6%
2024 2025 2026 Longer
Run
PCE Inflation
March Projections June Projections

2.1% 2.0% 2.0% 1.8%
0%1%
2%3%4%
2024 2025 2026 Longer
Run
Change in Real GDP
March Projections June Projections
Fed’s Updated June Projections Reflect
Stable Economic Expectations for 2024
© PFM Asset Management LLC | pfmam.com
For the Quarter Ended March 31, 2022
California Affiliated Risk Management Authorities Market Update

CLIENT NAME
Source: Federal Reserve, latest economic projections as of June 2024.

For the Quarter Ended June 30, 2024
Market Update

4.0% 4.2% 4.1% 4.2%
0%1%
2%3%4%5%6%
2024 2025 2026 Longer
Run
Unemployment Rate
March Projections June Projections

CITY OF STOCKTON
For the Quarter Ended June 30, 2024
Market Update
© PFM Asset Management LLC pfmam.com |
8 ATTACHMENT
A
Treasury Yields Move Higher as Market Evolves to Revised Fed Expectations PFM Asset Management LLC
© PFM Asset Management LLC | pfmam.com
For the Quarter Ended March 31, 2022
California Affiliated Risk Management Authorities Market Update

CLIENT NAME
Source: Bloomberg, as of 6/30/2024.

For the Quarter Ended June 30, 2024
Market Update

5.35%

4.75%

4.38% 4.37% 4.40% 4.56%

0.00%1.00%2.00%3.00%4.00%5.00%6.00%
Yield
Maturity
U.S. Treasury Yield Curve
1 Year RangeJune 30, 2024March 31, 2024
3mo 2yr 5yr 7yr 10yr 30yr

CITY OF STOCKTON
For the Quarter Ended June 30, 2024
Market Update
© PFM Asset Management LLC pfmam.com |
9 ATTACHMENT A
Sector Yield Spreads
PFM Asset Management LLC
© PFM Asset Management LLC | pfmam.com
For the Quarter Ended March 31, 2022
California Affiliated Risk Management Authorities Market Update

CLIENT NAME
Source: ICE BofA 1-5 year Indices via Bloomberg, MarketAxess and PFMAM as of June 30, 2024. Spreads on ABS and MBS are option-adjusted spreads of 0-5 year indices based on weighted averagelife; spreads on agencies are relative to comparable maturity Treasuries.

CMBS is Commercial Mortgage-Backed Securities and represented by the ICE BofA Agency CMBS Index.

For the Quarter Ended June 30, 2024
Market Update
-0.1%

0.0%0.1%0.2%
Mar-24 Apr-24 May-24 Jun-24
Federal Agency Yield Spreads
Bullet Callable 1 Year Average
4 bps

0.3%0.5%0.7%0.9%
Mar-24 Apr-24 May-24 Jun-24
Corporate Notes A-AAA Yield Spreads
1-5 Yr. AAA-A Corp 1 Year Average
68 bps

0.3%0.5%0.7%0.9%
Mar-24 Apr-24 May-24 Jun-24
Mortgage-Backed Securities Yield Spreads
Agency MBS Agency CMBS Index 1 Year Average
53 bps

0.3%0.5%0.7%0.9%
Mar-24 Apr-24 May-24 Jun-24
Asset-Backed Securities AAA Yield Spreads
AAA ABS 1 Year Average
69 bps

CITY OF STOCKTON
For the Quarter Ended June 30, 2024
Market Update
© PFM Asset Management LLC pfmam.com |
10 ATTACHMENT
A
Fixed-Income Index Total Returns in 2Q 2024
1-5 Year Indices
PFM Asset Management LLC
© PFM Asset Management LLC | pfmam.com
For the Quarter Ended March 31, 2022
California Affiliated Risk Management Authorities Market Update

CLIENT NAME
Source: ICE BofA Indices. ABS indices are 0-5 year, based on weighted average life. As of June 30, 2024.

For the Quarter Ended June 30, 2024
Market Update

0.82%

0.97%

1.18%

0.97%

1.10%

0.0%0.5%1.0%1.5%
U.S. Treasury
Agency
ABS
Corp A-AAA
Corp BBB
Second Quarter 2024 Returns

4.16%

4.70%

5.85% 5.75%

6.76%

0.0%1.0%2.0%3.0%4.0%5.0%6.0%7.0%8.0%
U.S. Treasury
Agency
ABS
Corp A-AAA
Corp BBB
1-Year Return

CITY OF STOCKTON
For the Quarter Ended June 30, 2024
Market Update
© PFM Asset Management LLC pfmam.com |
11 ATTACHMENT A
© PFM Asset Management LLC pfmam.com |
Account Summary
12 ATTACHMENT
A
© PFM Asset Management LLC | pfmam.com

CITY OF STOCKTON
For the Quarter Ended June 30, 2024
Account Summary
Sector Allocation
U.S. Treasury | 35%
Federal Agency | 10%
Agency MBS | 9%
Supranational | <1%
Municipal | 1%
Commercial Paper | 1%
Negotiable CD | 2%
Corporate | 15%
Asset-Backed | 5%
MMF | <1%
LAIF | <1%
CAMP | 6%
Cash | <1%
BMO Main Account | 17%
Consolidated Summary
Account Summary
Reserve Portfolio1 $767,910,300
Short Term Portfolio1 $29,858,267
BMO Main Account $172,840,016
CAMP Pool $61,466,097
Local Agency Investment Fund $829,730
Total Program $1,032,904,410

1. Reserve Portfolio includes both the PFMAM Reserve portfolio assets and Chandler Asset Management assets. Short-Term Portfolio comprises assets managed by Chandler Asset Management.

Portfolio figures include cash in portfolios’ sweep accounts and excludes accrued interest.

23.9%

0.6% 1.3% 1.8%

7.0%

18.0%

7.4%

13.0% 14.9%

6.3% 5.8%

0.0%
$0
$100
$200
$300
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: 924 days
12 13

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

CITY OF STOCKTON RESERVE PORTFOLIO
14 ATTACHMENT
A
© PFM Asset Management LLC pfmam.com

CITY OF STOCKTON
For the Quarter Ended June 30, 2024
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 June 30, 2024, 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
15 ATTACHMENT
A
© PFM Asset Management LLC pfmam.com

CITY OF STOCKTON
For the Quarter Ended June 30, 2024
Portfolio Snapshot
|
Yield and duration calculations exclude cash and cash equivalents. Sector allocation includes market values and accrued interest.

The portfolio’s benchmark is Currently 80% ICE BofA 1-5 Year AAA-A US Corporate & Government Index and 20% ICE BofA 5-10 Year US Treasury Index. Prior to 3/31/23 it was the ICE BofA 1-5 year US Gov/Corp A-AAA). 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
6%
25%
20%
27%
8% 7%
3%
6% 4%
27%
22% 19%
13%
5% 6% 5%
0%5%
10%15%20%25%30%
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 | 50%
Agency CMBS | 19%
Corporate | 16%
ABS | 7%
Federal Agency | 7%Negotiable CD | 1%Municipal | 1%
Sector Allocation
AAA | 6%AA+ | 76%AA | 1%AA- | 1%A+ | 7%A | 4%A- | 2%
BBB+ | <1%Not Rated | 2%
Portfolio Statistics
Portfolio Effective Duration 3.18 yearsBenchmark Effective Duration 3.22 years Portfolio Credit Quality AA
Yield At Market 4.76%
Yield At Cost 3.56%
Total Market Value $448,150,203.10
Securities Sub-Total $445,214,384.21Cash $519,166.07
Accrued Interest $2,416,652.82
16 ATTACHMENT
A
© PFM Asset Management LLC pfmam.com

CITY OF STOCKTON
For the Quarter Ended June 30, 2024
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 balancesinvested in overnight funds.

Issuer Diversification
Security Type / Issuer Market Value (%) S&P / Moody's / FitchU.S. Treasury 49.4% UNITED STATES TREASURY 49.4% AA / Aaa / AA
Federal Agency 6.8%
FANNIE MAE 4.0% AA / Aaa / AAFEDERAL FARM CREDIT BANKS 0.5% AA / Aaa / AAFEDERAL HOME LOAN BANKS 0.2% AA / Aaa / NRFREDDIE MAC 1.2% AA / Aaa / AAUNITED STATES TREASURY 0.9% AA / Aaa / AA Agency CMBS 18.6%
FANNIE MAE 0.9% AA / Aaa / AAFREDDIE MAC 17.7% AA / Aaa / AA Municipal 0.8%

CALIFORNIA DEPARTMENT OF WATERRESOURCES

0.0% AAA / Aa / NR
CALIFORNIA STATE UNIVERSITY 0.1% AA / Aa / NRFLORIDA STATE BOARD OF ADMIN FIN CORP 0.4% AA / Aa / AANEW JERSEY TURNPIKE AUTHORITY 0.1% AA / A / ASTATE OF MARYLAND 0.0% AAA / Aaa / AAAUNIVERSITY OF CALIFORNIA 0.2% AA / Aa / AA Negotiable CD 1.0%
RABOBANK NEDERLAND 1.0% A / Aa / AA
Corporate 16.1%
ADOBE INC 0.7% A / A / NRAMAZON.COM INC 0.6% AA / A / AAAPPLE INC 1.3% AA / Aaa / NR BANK OF AMERICA CO 0.8% A / Aa / AABLACKROCK INC 1.0% AA / Aa / NR Security Type / Issuer Market Value (%) S&P / Moody's / FitchCorporate 16.1% CITIGROUP INC 1.5% A / Aa / ADEERE & COMPANY 0.5% A / A / AGOLDMAN SACHS GROUP INC 0.4% BBB / A / AHERSHEY COMPANY 0.6% A / A / NRHOME DEPOT INC 0.7% A / A / AHONEYWELL INTERNATIONAL 0.4% A / A / AINTEL CORPORATION 0.5% A / A / BBBJP MORGAN CHASE & CO 1.4% A / Aa / AA MASTERCARD INC 0.7% A / Aa / NRMICROSOFT CORP 0.5% AAA / Aaa / NRMORGAN STANLEY 0.9% A / Aa / AAPACCAR FINANCIAL CORP 0.9% A / A / NR STATE STREET CORPORATION 0.9% A / A / AATARGET CORP 0.4% A / A / ATOYOTA MOTOR CORP 0.6% A / A / A TRUIST FIN CORP 0.5% A / Baa / A
ABS 7.4%
AMERICAN EXPRESS CO 0.8% AAA / NR / AAA
BANK OF AMERICA CO 1.4% NR / Aaa / AAA
CARMAX AUTO OWNER TRUST 0.0% AAA / NR / AAACHASE ISSURANCE 1.6% AAA / NR / AAACITIGROUP INC 0.2% AAA / Aaa / AAADISCOVER FINANCIAL SERVICES 0.2% AAA / Aaa / NRFIFTH THIRD AUTO TRUST 0.6% AAA / Aaa / NRGM FINANCIAL CONSUMER AUTOMOBILETRUST

0.1% NR / Aaa / AAA
17 ATTACHMENT
A
© PFM Asset Management LLC pfmam.com

CITY OF STOCKTON
For the Quarter Ended June 30, 2024
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 balancesinvested in overnight funds.

Issuer Diversification
Security Type / Issuer Market Value (%) S&P / Moody's / FitchABS 7.4% HONDA AUTO RECEIVABLES 0.7% AAA / NR / AAAHYUNDAI AUTO RECEIVABLES 0.3% AAA / NR / AAAKUBOTA CREDIT OWNER TRUST 0.2% NR / Aaa / AAA TOYOTA MOTOR CORP 0.4% AAA / Aaa / AAAUSAA AUTO OWNER TRUST 0.8% AAA / Aaa / NR Total 100.0%
18 ATTACHMENT
A
© PFM Asset Management LLC pfmam.com

CITY OF STOCKTON
For the Quarter Ended June 30, 2024
Portfolio Characteristics
|
$0.0
$90.0
$180.0$270.0$360.0$450.0
Millions
June 2024
$0.0
$90.0
$180.0$270.0$360.0$450.0
Millions
March 2024
$0.0
$90.0
$180.0$270.0$360.0$450.0
Millions
December 2023
$0.0
$90.0
$180.0$270.0$360.0$450.0
Millions
September 2023
Sector Allocation Review - CITY OF STOCKTON RESERVE PORTFOLIO U.S. Treasury Federal Agency Agency CMBS Supranational Municipal Negotiable CD 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.

Security Type Sep-23 % of Total Dec-23 % of Total Mar-24 % of Total Jun-24 % of Total U.S. Treasury $211.8 50.9% $213.6 49.6% $211.3 48.9% $220.1 49.5%Federal Agency $43.9 10.6% $37.4 8.7% $36.7 8.5% $30.3 6.8% Agency CMBS $41.5 10.0% $57.0 13.2% $76.5 17.8% $82.8 18.6% Supranational $5.8 1.4% $4.1 0.9% $0.0 0.0% $0.0 0.0%Municipal $8.0 1.9% $5.9 1.4% $6.0 1.4% $3.8 0.8%Negotiable CD $6.9 1.7% $6.9 1.6% $4.2 1.0% $4.2 0.9%Corporate $75.3 18.1% $75.9 17.6% $62.8 14.6% $71.2 16.0% ABS $22.6 5.4% $30.0 7.0% $33.6 7.8% $32.9 7.4%
Total $415.9 100.0% $431.0 100.0% $431.1 100.0% $445.2 100.0% 19 ATTACHMENT
A
© PFM Asset Management LLC pfmam.com

CITY OF STOCKTON
For the Quarter Ended June 30, 2024
Portfolio Activity
|
Portfolio Activity - CITY OF STOCKTON RESERVE PORTFOLIO Net Activity by Sector
($ millions)
Federal Agency
Municipal
ABS
Agency CMBS
Corporate
U.S. Treasury
Federal Agency
Municipal
ABS
Agency CMBS
Corporate
U.S. Treasury
($10.0) ($5.0) $0.0 $5.0 $10.0 $15.0 $20.0
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 ActivityU.S. Treasury $8,408,481Corporate $8,391,713 Agency CMBS $6,736,878ABS ($504,160)
Municipal ($2,291,559)Federal Agency ($6,700,997)Total Net Activity $14,040,356 Sales/Maturities Purchases
20 ATTACHMENT
A
© PFM Asset Management LLC pfmam.com

CITY OF STOCKTON
For the Quarter Ended June 30, 2024
Portfolio Performance
|

1. 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.

2. Interest earned calculated as the ending accrued interest less beginning accrued interest, plus net interest activity.3. 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.4. The portfolio’s benchmark is Currently 80% ICE BofA 1-5 Year AAA-A US Corporate & Government Index and 20% ICE BofA 5-10 Year US Treasury Index. Prior to 3/31/23 it was the ICE BofA 1-5 year US Gov/Corp A-AAA). Source: Bloomberg.
-1.0%

0.0%1.0%2.0%3.0%4.0%5.0%
Return
Portfolio Benchmark Net of Fees
Portfolio Performance
Market Value Basis Earnings 3 Months 1 Year 3 Years 5 Years Since Inception¹ Interest Earned² $3,318,608 $11,494,438 $24,165,962 $43,897,263 $59,366,854 Change in Market Value $185,518 $6,156,699 ($32,849,880) ($25,317,520) ($19,300,861) Total Dollar Return $3,504,126 $17,651,137 ($8,683,918) $18,579,743 $40,065,993 Total Return³
Portfolio 0.77% 4.17% -0.12% 1.02% 1.44%Benchmark⁴ 0.72% 3.92% -0.48% 0.77% 1.24%Basis Point Fee 0.01% 0.04% 0.05% 0.05% 0.05%Net of Fee Return 0.77% 4.14% -0.17% 0.97% 1.39% 3 Months 1 Year 3 Years 5 Years Since Inception
21 ATTACHMENT
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© PFM Asset Management LLC pfmam.com

CITY OF STOCKTON
For the Quarter Ended June 30, 2024
Portfolio Performance
|

1. The lesser of 10 years or since inception is shown. Performance inception date is June 30, 2017.2. Interest earned calculated as the ending accrued interest less beginning accrued interest, plus net interest activity.3. Realized gains / (losses) are shown on an amortized cost basis.

Accrual Basis Earnings - CITY OF STOCKTON RESERVE PORTFOLIO Accrual Basis EarningsInterest Earned²Realized Gains / (Losses)³Change in Amortized CostTotal Earnings 3 Months
$3,318,608
($601,896)
$586,518
$3,303,230
1 Year
$11,494,438
($3,757,059)
$2,179,968
$9,917,348
3 Years
$24,165,962
($16,984,920)
$15,935,220$23,116,262
5 Year
$43,897,263
($9,807,489)
$15,050,764$49,140,537
Since Inception¹
$59,366,854
($12,335,118)
$17,056,774$64,088,510
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Factors to Consider for 6-12 Months
PFM Asset Management LLC
© PFM Asset Management LLC | pfmam.com
For the Quarter Ended March 31, 2022
California Affiliated Risk Management Authorities Market Update

CLIENT NAME
For the Quarter Ended June 30, 2024
Market Update
Current outlook Outlook one quarter ago Negative Slightly Negative Neutral Slightly Positive Positive Statements and opinions expressed about the next 6-12 months were developed based on our independent research with information obtained from Bloomberg and FactSet. The views expressed within this material constitute the perspective and judgment of PFM Asset Management LLC at the time of distribution (6/30/2024) and are subject to change. Information is obtained from sources generally believed to be reliable and available to the public; however, PFM Asset Management LLC cannot guarantee its accuracy, completeness, or suitability.

Monetary Policy (Global):• The Fed remains data dependent. Recent Fed guidance has been revised from three rate cutsto one rate cut in 2024. Markets currentlyexpect one or two cuts. • Globally, major central banks have begun
easing cycle with rate cuts leading todivergence from Fed policy.

Economic Growth (Global):• U.S. economic growth remains resilient but there has been some softness recently asconsumer spending tapers. • Economic growth outside U.S. remain mixed
with slower but improved growth projected inEurozone and continued growth projected inemerging markets.

Inflation (U.S.): • The latest inflation reading has revived market confidence that inflation is heading in the rightdirection after experiencing broad disinflationacross both goods and services. • Despite the progress on inflation, policymakers
would like more data to confirm the downwardtrend.

Financial Conditions (U.S.):• Market measures, such as narrow corporate yield spreads, record equity index levels andlow volatility, reflect economic confidence. • With interest rates elevated and the gradual
normalization of labor markets and theconsumer, we continue to focus on identifyingpotential catalysts for a broader slow down.

Consumer Spending (U.S.): • The consumer has begun to exercise caution and limit spending, which has shed light on anotable downshift over recent months. • Moderation in the pace of overall spending is
expected to continue given persistent inflation,reduced/lower savings, and a cooling jobmarket.

Labor Markets:• The labor market normalization has begun.

After the pandemic-led jolt, the labor force
participation rate and non-farm payrolls havemoved to be in line with long-term averages. • With the quits rate and excess demand for
workers reaching a better balance, this shouldhelp cool wage pressures and inflation.

CITY OF STOCKTON
For the Quarter Ended June 30, 2024
Market Update
© PFM Asset Management LLC pfmam.com |
23 ATTACHMENT
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© PFM Asset Management LLC pfmam.com |
Reserve Portfolio Holdings and Transactions
24 ATTACHMENT
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© PFM Asset Management LLC pfmam.com

CITY OF STOCKTON
For the Quarter Ended June 30, 2024
Portfolio Holdings
|
Managed Account Detail of Securities Held
Security Type/DescriptionDated 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
U.S. Treasury
US TREASURY NOTESDTD 08/31/2017 1.875% 08/31/2024
9128282U3 7,500.00 AA+ Aaa 11/25/2020 11/27/2020 7,952.05 0.26 47.00 7,520.08 7,455.47 US TREASURY NOTESDTD 09/15/2021 0.375% 09/15/2024
91282CCX7 7,500.00 AA+ Aaa 10/4/2021 10/6/2021 7,472.75 0.50 8.25 7,498.07 7,423.83 US TREASURY NOTESDTD 11/30/2017 2.125% 11/30/2024
9128283J7 7,500.00 AA+ Aaa 1/3/2020 1/7/2020 7,673.73 1.63 13.50 7,514.76 7,403.91 US TREASURY NOTESDTD 02/29/2020 1.125% 02/28/2025
912828ZC7 12,500.00 AA+ Aaa 10/4/2021 10/6/2021 12,719.24 0.60 47.00 12,542.75 12,166.02 US TREASURY NOTESDTD 04/30/2020 0.375% 04/30/2025
912828ZL7 112,500.00 AA+ Aaa 4/5/2021 4/7/2021 111,032.23 0.70 71.08 112,200.31 108,140.63 US TREASURY NOTESDTD 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 10.85 1,590,450.69 1,522,367.66 US TREASURY NOTESDTD 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 2,277.00 2,712,985.85 2,577,679.69 US TREASURY NOTESDTD 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 5,092.97 6,068,817.02 5,765,489.06 US TREASURY NOTESDTD 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 1,474.18 3,475,715.03 3,288,359.20 US TREASURY NOTESDTD 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 2,151.10 6,708,936.03 6,352,393.70 US TREASURY NOTESDTD 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 58.09 5,669,855.81 5,329,500.00 US TREASURY NOTESDTD 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 7.13 698,785.05 654,500.00 US TREASURY NOTESDTD 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 1,871.29 1,187,032.62 1,113,403.97 US TREASURY NOTESDTD 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 13,271.29 8,357,876.15 7,896,316.83 US TREASURY NOTESDTD 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 11,955.91 7,466,397.83 7,113,673.03 25 ATTACHMENT
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© PFM Asset Management LLC pfmam.com

CITY OF STOCKTON
For the Quarter Ended June 30, 2024
Portfolio Holdings
|
Security Type/DescriptionDated 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
U.S. Treasury
US TREASURY NOTESDTD 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 18,716.83 1,765,513.05 1,648,804.69 US TREASURY NOTESDTD 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 17,865.08 10,510,217.16 9,951,721.88 US TREASURY NOTESDTD 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 3,308.97 1,959,019.50 1,843,256.25 US TREASURY NOTESDTD 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 2,004.20 3,146,020.09 2,925,769.69 US TREASURY NOTESDTD 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 2,769.67 4,184,827.56 4,043,218.97 US TREASURY NOTESDTD 05/31/2021 0.750% 05/31/2026
91282CCF6 805,000.00 AA+ Aaa 6/7/2021 6/7/2021 803,176.17 0.80 511.37 804,299.14 746,511.76 US TREASURY NOTESDTD 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 8,137.98 3,552,925.19 3,405,156.25 US TREASURY NOTESDTD 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 6,488.04 2,483,056.20 2,389,981.25 US TREASURY NOTESDTD 02/15/2017 2.250% 02/15/2027
912828V98 1,390,000.00 AA+ Aaa 5/12/2023 5/12/2023 1,328,047.27 3.52 11,771.08 1,346,790.79 1,310,292.12 US TREASURY NOTESDTD 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 7,240.49 839,615.94 805,971.05 US TREASURY NOTESDTD 03/31/2022 2.500% 03/31/2027
91282CEF4 5,350,000.00 AA+ Aaa 5/9/2023 5/10/2023 5,138,925.78 3.60 33,620.22 5,201,015.17 5,070,796.88 US TREASURY NOTESDTD 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 4,077.17 4,536,836.91 4,324,993.99 US TREASURY NOTESDTD 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 57.27 3,899,958.75 3,744,764.06 US TREASURY NOTESDTD 06/30/2022 3.250% 06/30/2027
91282CEW7 4,300,000.00 AA+ Aaa 3/30/2023 3/31/2023 4,214,000.00 3.76 379.76 4,239,378.87 4,149,500.00 US TREASURY NOTESDTD 07/31/2022 2.750% 07/31/2027
91282CFB2 5,000,000.00 AA+ Aaa 5/12/2023 5/12/2023 4,857,226.56 3.48 57,417.58 4,895,768.90 4,747,656.00 US TREASURY NOTESDTD 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 23,118.75 2,640,439.61 2,550,843.75 US TREASURY NOTESDTD 08/31/2022 3.125% 08/31/2027
91282CFH9 5,030,000.00 AA+ Aaa 3/24/2023 3/24/2023 4,971,644.14 3.41 52,538.21 4,988,384.10 4,825,656.25 26 ATTACHMENT
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© PFM Asset Management LLC pfmam.com

CITY OF STOCKTON
For the Quarter Ended June 30, 2024
Portfolio Holdings
|
Security Type/DescriptionDated 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
U.S. Treasury
US TREASURY NOTESDTD 09/30/2020 0.375% 09/30/2027
91282CAL5 2,400,000.00 AA+ Aaa 10/28/2022 10/31/2022 1,998,843.75 4.17 2,262.30 2,134,946.34 2,104,500.00 US TREASURY NOTESDTD 10/31/2020 0.500% 10/31/2027
91282CAU5 5,340,000.00 AA+ Aaa 1/4/2023 1/6/2023 4,547,552.34 3.91 4,498.37 4,791,728.94 4,687,518.75 US TREASURY NOTESDTD 10/31/2022 4.125% 10/31/2027
91282CFU0 1,790,000.00 AA+ Aaa 12/1/2022 12/2/2022 1,820,346.09 3.74 12,440.01 1,810,585.95 1,769,862.50 US TREASURY NOTESDTD 10/31/2022 4.125% 10/31/2027
91282CFU0 4,250,000.00 AA+ Aaa 3/30/2023 3/31/2023 4,320,224.61 3.73 29,536.35 4,301,022.90 4,202,187.50 US TREASURY NOTESDTD 12/31/2022 3.875% 12/31/2027
91282CGC9 2,945,000.00 AA+ Aaa 2/1/2023 2/2/2023 2,981,582.42 3.60 310.11 2,971,074.92 2,888,860.94 US TREASURY NOTESDTD 01/31/2021 0.750% 01/31/2028
91282CBJ9 4,500,000.00 AA+ Aaa 5/12/2023 5/12/2023 3,976,347.66 3.44 14,093.41 4,102,631.35 3,950,156.25 US TREASURY NOTESDTD 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 1,691.21 514,637.84 474,018.75 US TREASURY NOTESDTD 02/28/2023 4.000% 02/29/2028
91282CGP0 4,825,000.00 AA+ Aaa 3/24/2023 3/24/2023 4,967,299.80 3.35 64,508.15 4,930,600.18 4,751,117.19 US TREASURY NOTESDTD 03/31/2021 1.250% 03/31/2028
91282CBS9 5,735,000.00 AA+ Aaa 5/9/2023 5/10/2023 5,152,315.04 3.53 18,019.81 5,288,611.80 5,106,838.57 US TREASURY NOTESDTD 03/31/2021 1.250% 03/31/2028
91282CBS9 1,985,000.00 AA+ Aaa 5/8/2023 5/10/2023 1,786,655.08 3.49 6,237.02 1,833,050.25 1,767,580.57 US TREASURY NOTESDTD 03/31/2023 3.625% 03/31/2028
91282CGT2 4,260,000.00 AA+ Aaa 3/30/2023 3/31/2023 4,253,510.16 3.66 38,817.21 4,255,137.06 4,140,187.50 US TREASURY NOTESDTD 04/30/2023 3.500% 04/30/2028
91282CHA2 2,050,000.00 AA+ Aaa 5/1/2023 5/1/2023 2,040,230.47 3.61 12,088.32 2,042,515.02 1,982,734.38 US TREASURY NOTESDTD 05/15/2018 2.875% 05/15/2028
9128284N7 705,000.00 AA+ Aaa 11/30/2022 11/30/2022 666,280.08 4.00 2,588.67 677,528.87 666,004.69 US TREASURY NOTESDTD 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 1,649.59 505,911.11 461,343.75 US TREASURY NOTESDTD 11/15/1998 5.250% 11/15/2028
912810FF0 1,000,000.00 AA+ Aaa 11/30/2022 11/30/2022 1,064,765.63 4.02 6,705.16 1,047,540.41 1,032,812.50 US TREASURY NOTESDTD 02/16/1999 5.250% 02/15/2029
912810FG8 1,875,000.00 AA+ Aaa 1/10/2023 1/11/2023 2,027,856.45 3.74 37,049.28 1,990,997.93 1,944,140.63 US TREASURY NOTESDTD 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 4,939.90 506,321.48 463,515.60 27 ATTACHMENT
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© PFM Asset Management LLC pfmam.com

CITY OF STOCKTON
For the Quarter Ended June 30, 2024
Portfolio Holdings
|
Security Type/DescriptionDated 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
U.S. Treasury
US TREASURY NOTESDTD 02/15/2019 2.625% 02/15/2029
9128286B1 2,165,000.00 AA+ Aaa 2/27/2023 2/28/2023 1,991,630.86 4.15 21,389.79 2,030,537.47 2,007,022.55 US TREASURY N/B NOTESDTD 05/31/2024 4.500% 05/31/2029
91282CKT7 960,000.00 AA+ Aaa 6/6/2024 6/7/2024 968,700.00 4.30 3,659.02 968,597.02 966,600.00 US TREASURY NOTESDTD 05/31/2022 2.750% 05/31/2029
91282CES6 2,675,000.00 AA+ Aaa 1/11/2023 1/12/2023 2,535,920.90 3.67 6,230.71 2,567,901.34 2,485,242.19 US TREASURY NOTESDTD 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 1,560.59 664,729.79 622,471.88 US TREASURY NOTESDTD 05/31/2022 2.750% 05/31/2029
91282CES6 1,145,000.00 AA+ Aaa 11/30/2022 11/30/2022 1,067,578.32 3.94 2,666.98 1,086,460.86 1,063,776.56 US TREASURY NOTESDTD 06/30/2022 3.250% 06/30/2029
91282CEV9 490,000.00 AA+ Aaa 7/7/2023 7/10/2023 464,026.17 4.26 43.27 468,275.78 465,500.00 US TREASURY NOTESDTD 08/15/1999 6.125% 08/15/2029
912810FJ2 1,775,000.00 AA+ Aaa 1/10/2023 1/11/2023 2,023,083.98 3.72 40,918.87 1,967,759.60 1,914,781.25 US TREASURY NOTESDTD 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 3,180.36 503,746.42 455,650.00 US TREASURY NOTESDTD 11/30/2022 3.875% 11/30/2029
91282CFY2 1,070,000.00 AA+ Aaa 11/30/2022 11/30/2022 1,069,289.45 3.89 3,511.85 1,069,450.34 1,045,256.25 US TREASURY NOTESDTD 12/31/2022 3.875% 12/31/2029
91282CGB1 2,030,000.00 AA+ Aaa 1/10/2023 1/11/2023 2,059,339.84 3.64 213.76 2,053,151.51 1,981,787.50 US TREASURY NOTESDTD 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 3,062.74 510,632.40 465,702.34 US TREASURY NOTESDTD 02/28/2023 4.000% 02/28/2030
91282CGQ8 2,010,000.00 AA+ Aaa 2/27/2023 2/28/2023 2,000,892.19 4.08 26,872.83 2,002,633.97 1,973,882.71 US TREASURY NOTESDTD 04/30/2023 3.500% 04/30/2030
91282CGZ8 3,880,000.00 AA+ Aaa 4/25/2024 4/26/2024 3,632,498.44 4.73 22,879.35 3,639,940.40 3,710,250.00 US TREASURY NOTESDTD 11/15/1999 6.250% 05/15/2030
912810FM5 2,160,000.00 AA+ Aaa 1/11/2023 1/12/2023 2,519,859.38 3.64 17,241.85 2,447,887.50 2,367,562.61 US TREASURY NOTESDTD 05/15/2020 0.625% 05/15/2030
912828ZQ6 2,535,000.00 AA+ Aaa 1/10/2023 1/11/2023 2,057,608.01 3.56 2,023.52 2,153,228.86 2,048,596.88 US TREASURY NOTESDTD 11/15/1999 6.250% 05/15/2030
912810FM5 925,000.00 AA+ Aaa 11/30/2022 11/30/2022 1,065,123.05 3.89 7,383.66 1,035,328.25 1,013,886.76 US TREASURY NOTESDTD 05/31/2023 3.750% 05/31/2030
91282CHF1 2,830,000.00 AA+ Aaa 7/12/2023 7/12/2023 2,783,459.77 4.03 8,988.73 2,790,029.07 2,741,120.45 28 ATTACHMENT
A
© PFM Asset Management LLC pfmam.com

CITY OF STOCKTON
For the Quarter Ended June 30, 2024
Portfolio Holdings
|
Security Type/DescriptionDated 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
U.S. Treasury
US TREASURY NOTESDTD 08/15/2020 0.625% 08/15/2030
91282CAE1 2,540,000.00 AA+ Aaa 2/27/2023 2/28/2023 1,995,586.72 3.97 5,974.93 2,093,281.43 2,035,175.00 US TREASURY NOTESDTD 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 1,382.00 522,397.31 470,734.38 US TREASURY NOTESDTD 08/15/2020 0.625% 08/15/2030
91282CAE1 2,545,000.00 AA+ Aaa 1/10/2023 1/11/2023 2,052,204.49 3.56 5,986.69 2,147,635.86 2,039,181.25 US TREASURY NOTESDTD 11/15/2020 0.875% 11/15/2030
91282CAV3 3,000,000.00 AA+ Aaa 7/11/2023 7/12/2023 2,405,390.63 4.02 3,352.58 2,484,066.12 2,426,250.00 US TREASURY NOTESDTD 11/15/2020 0.875% 11/15/2030
91282CAV3 1,330,000.00 AA+ Aaa 11/30/2022 11/30/2022 1,071,065.63 3.72 1,486.31 1,122,638.73 1,075,637.50 US TREASURY NOTESDTD 02/15/2001 5.375% 02/15/2031
912810FP8 1,820,000.00 AA+ Aaa 2/27/2023 2/28/2023 1,991,620.31 3.98 36,818.75 1,962,771.11 1,931,759.29 US TREASURY NOTESDTD 02/15/2001 5.375% 02/15/2031
912810FP8 1,800,000.00 AA+ Aaa 1/10/2023 1/11/2023 2,021,273.44 3.61 36,414.15 1,981,089.52 1,910,531.16 US TREASURY NOTESDTD 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 2,392.32 514,911.45 461,975.75 US TREASURY NOTESDTD 02/15/2001 5.375% 02/15/2031
912810FP8 2,955,000.00 AA+ Aaa 7/7/2023 7/10/2023 3,201,326.95 4.09 59,779.89 3,169,660.14 3,136,455.32 US TREASURY N/B NOTESDTD 03/31/2024 4.125% 03/31/2031
91282CKF7 3,820,000.00 AA+ Aaa 4/25/2024 4/26/2024 3,686,150.78 4.72 39,609.02 3,689,113.58 3,769,862.50 US TREASURY NOTESDTD 05/15/2021 1.625% 05/15/2031
91282CCB5 1,265,000.00 AA+ Aaa 11/30/2022 11/30/2022 1,070,802.73 3.76 2,625.39 1,107,214.72 1,061,809.38 US TREASURY NOTESDTD 05/15/2021 1.625% 05/15/2031
91282CCB5 2,930,000.00 AA+ Aaa 1/11/2023 1/12/2023 2,530,673.05 3.53 6,080.94 2,600,965.08 2,459,368.75 US TREASURY NOTESDTD 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 2,646.38 513,738.39 456,503.91 US TREASURY NOTESDTD 08/15/2021 1.250% 08/15/2031
91282CCS8 2,465,000.00 AA+ Aaa 2/27/2023 2/28/2023 1,994,627.93 3.92 11,597.01 2,069,065.45 2,000,501.56 US TREASURY NOTESDTD 11/15/2021 1.375% 11/15/2031
91282CDJ7 2,080,000.00 AA+ Aaa 1/10/2023 1/11/2023 1,739,075.00 3.55 3,652.72 1,795,755.10 1,691,624.89 US TREASURY NOTESDTD 11/15/2021 1.375% 11/15/2031
91282CDJ7 1,305,000.00 AA+ Aaa 11/30/2022 11/30/2022 1,068,927.54 3.77 2,291.73 1,110,701.98 1,061,331.97 US TREASURY NOTESDTD 02/15/2022 1.875% 02/15/2032
91282CDY4 2,365,000.00 AA+ Aaa 2/27/2023 2/28/2023 1,999,625.98 3.94 16,689.82 2,054,197.73 1,985,121.88 29 ATTACHMENT
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© PFM Asset Management LLC pfmam.com

CITY OF STOCKTON
For the Quarter Ended June 30, 2024
Portfolio Holdings
|
Security Type/DescriptionDated 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
U.S. Treasury
US TREASURY NOTESDTD 05/15/2022 2.875% 05/15/2032
91282CEP2 1,150,000.00 AA+ Aaa 11/30/2022 11/30/2022 1,067,164.06 3.79 4,222.66 1,081,049.99 1,036,078.12 US TREASURY NOTESDTD 05/15/2022 2.875% 05/15/2032
91282CEP2 2,175,000.00 AA+ Aaa 1/10/2023 1/11/2023 2,056,224.61 3.57 7,986.33 2,074,918.16 1,959,539.06 US TREASURY NOTESDTD 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 2,423.44 662,119.53 594,618.75 US TREASURY NOTESDTD 05/15/2022 2.875% 05/15/2032
91282CEP2 2,670,000.00 AA+ Aaa 1/11/2023 1/12/2023 2,525,548.83 3.56 9,803.91 2,548,247.69 2,405,503.13 US TREASURY NOTESDTD 11/15/2022 4.125% 11/15/2032
91282CFV8 1,055,000.00 AA+ Aaa 11/30/2022 11/30/2022 1,084,877.93 3.78 5,558.10 1,080,122.76 1,037,361.67 US TREASURY NOTESDTD 11/15/2022 4.125% 11/15/2032
91282CFV8 3,225,000.00 AA+ Aaa 7/7/2023 7/10/2023 3,242,006.84 4.06 16,990.41 3,240,229.49 3,171,081.87 US TREASURY NOTESDTD 11/15/2022 4.125% 11/15/2032
91282CFV8 1,965,000.00 AA+ Aaa 1/10/2023 1/11/2023 2,054,269.34 3.57 10,352.29 2,040,938.52 1,932,147.55 US TREASURY NOTESDTD 02/15/2023 3.500% 02/15/2033
91282CGM7 2,065,000.00 AA+ Aaa 2/27/2023 2/28/2023 1,993,450.98 3.92 27,202.40 2,003,062.92 1,935,292.19 US TREASURY NOTESDTD 08/15/2023 3.875% 08/15/2033
91282CHT1 2,385,000.00 AA+ Aaa 10/2/2023 10/2/2023 2,236,496.48 4.67 34,783.98 2,247,742.38 2,294,817.19 US TREASURY N/B NOTESDTD 02/15/2024 4.000% 02/15/2034
91282CJZ5 3,880,000.00 AA+ Aaa 4/25/2024 4/26/2024 3,667,357.81 4.70 58,413.19 3,670,474.81 3,767,237.50 Security Type Sub-Total 235,962,500.00 225,010,976.08 2.99 1,134,159.40 228,331,437.86 220,071,139.36 Negotiable CD
COOPERAT RABOBANK UA/NY CERTDEPOSDTD 07/20/2023 5.080% 07/17/2026 21684LGS5 4,200,000.00 A+ Aa2 7/17/2023 7/20/2023 4,200,000.00 5.08 97,197.33 4,200,000.00 4,184,392.80 Security Type Sub-Total 4,200,000.00 4,200,000.00 5.08 97,197.33 4,200,000.00 4,184,392.80 Municipal
MD ST TXBL GO BONDSDTD 08/05/2020 0.510% 08/01/2024
574193TQ1 7,500.00 AAA Aaa 7/23/2020 8/5/2020 7,497.90 0.52 15.94 7,499.96 7,469.55 30 ATTACHMENT
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© PFM Asset Management LLC pfmam.com

CITY OF STOCKTON
For the Quarter Ended June 30, 2024
Portfolio Holdings
|
Security Type/DescriptionDated 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
Municipal
CA ST UNIV TXBL REV BONDSDTD 09/17/2020 0.685% 11/01/2024 13077DNC2 625,000.00 AA- Aa2 8/27/2020 9/17/2020 625,000.00 0.69 713.54 625,000.00 614,893.75 CA ST DEPT WTR RES WTR SYS TXBLREV BNDSDTD 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 36.17 77,500.00 75,960.08 UNIV OF CAL TXBL REV BONDSDTD 07/16/2020 0.883% 05/15/2025 91412HGE7 460,000.00 AA Aa2 7/14/2020 7/16/2020 461,665.20 0.81 519.01 460,276.57 443,674.60 UNIV OF CAL TXBL REV BONDSDTD 07/16/2020 0.883% 05/15/2025 91412HGE7 300,000.00 AA Aa2 7/10/2020 7/16/2020 300,000.00 0.88 338.48 300,000.00 289,353.00 FL ST BOARD OF ADMIN TXBL REVBONDSDTD 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 6,604.50 1,051,549.22 1,007,926.50 FL ST BOARD OF ADMIN TXBL REVBONDSDTD 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 5,189.25 825,000.00 791,942.25 NJ TURNPIKE AUTHORITY TXBL REVBONDSDTD 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 2,918.51 557,500.00 524,523.88 Security Type Sub-Total 3,902,500.00 3,911,586.60 1.00 16,335.40 3,904,325.75 3,755,743.61 Federal Agency
FANNIE MAE NOTESDTD 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 0.42 289.72 1,491,074.35 1,425,259.50 FANNIE MAE NOTESDTD 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 0.41 806.95 4,153,624.65 3,969,682.50 FANNIE MAE NOTESDTD 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 0.54 194.93 1,002,100.67 958,941.38 FREDDIE MAC NOTESDTD 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 3,850.00 2,307,571.84 2,197,103.37 FANNIE MAE NOTESDTD 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 1,207.50 919,008.58 871,323.72 FANNIE MAE NOTESDTD 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 4,035.94 3,070,906.96 2,912,304.83 31 ATTACHMENT
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© PFM Asset Management LLC pfmam.com

CITY OF STOCKTON
For the Quarter Ended June 30, 2024
Portfolio Holdings
|
Security Type/DescriptionDated 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
Federal Agency
FREDDIE MAC NOTESDTD 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 3,618.85 3,542,373.34 3,349,546.43 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 3,067.82 2,264,006.88 2,141,466.90 FANNIE MAE NOTESDTD 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 1,466.25 1,954,797.13 1,842,085.07 FANNIE MAE NOTESDTD 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 4,642.50 6,189,694.04 5,832,484.17 US TREASURY NOTESDTD 08/31/2022 3.125% 08/31/2029
91282CFJ5 2,120,000.00 AA+ Aaa 2/27/2023 2/28/2023 2,000,998.44 4.12 22,143.34 2,025,489.92 1,999,425.00 US TREASURY NOTESDTD 08/15/2022 2.750% 08/15/2032
91282CFF3 2,195,000.00 AA+ Aaa 2/27/2023 2/28/2023 1,991,190.82 3.93 22,718.85 2,020,028.40 1,953,207.14 FEDERAL HOME LOAN BANK NOTESDTD 08/25/2022 3.375% 09/10/2032 3130AT4C8 875,000.00 AA+ Aaa 11/1/2022 11/3/2022 779,616.25 4.77 9,105.47 795,676.98 802,458.13 Security Type Sub-Total 32,092,500.00 31,645,734.54 1.06 77,148.12 31,736,353.74 30,255,288.14 Corporate
JOHN DEERE CAPITAL CORPCORPORATE NOTESDTD 01/10/2022 1.250% 01/10/2025 24422EVY2 212,500.00 A A1 3/8/2022 3/10/2022 207,142.87 2.17 1,261.72 211,502.96 207,731.29 TOYOTA MOTOR CREDIT CORP CORPNOTESDTD 02/13/2020 1.800% 02/13/2025 89236TGT6 1,197,500.00 A+ A1 5/21/2020 5/26/2020 1,213,786.00 1.50 8,262.75 1,199,644.39 1,171,187.33 AMAZON.COM INC CORPORATE
NOTESDTD 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 16,688.75 2,566,434.72 2,519,585.32 GOLDMAN SACHS GROUP INCCORPORATE NOTESDTD 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 7,383.59 1,851,785.14 1,787,992.89 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 2,250.00 2,008,944.13 1,927,180.00 32 ATTACHMENT
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© PFM Asset Management LLC pfmam.com

CITY OF STOCKTON
For the Quarter Ended June 30, 2024
Portfolio Holdings
|
Security Type/DescriptionDated 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
Corporate
JPMORGAN CHASE & CO CORPNOTES (CALLABLEDTD 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 5,089.28 1,680,000.00 1,670,502.96 STATE STREET CORP (CALLABLE)CORPORATE NDTD 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 3,076.72 437,500.00 426,855.19 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 27,499.06 3,696,774.76 3,666,952.50 BANK OF AMERICA CORP NOTES(CALLABLE)DTD 03/22/2022 3.384% 04/02/2026 06051GKM0 1,875,000.00 A- A1 3/17/2022 3/22/2022 1,875,000.00 3.38 15,686.25 1,875,000.00 1,842,541.88 PACCAR FINANCIAL CORPCORPORATE NOTESDTD 08/10/2023 5.050% 08/10/2026 69371RS56 3,800,000.00 A+ A1 8/10/2023 8/14/2023 3,815,846.00 4.90 75,160.83 3,811,173.46 3,799,502.20 BANK OF AMERICA NA CORPORATENOTESDTD 08/18/2023 5.526% 08/18/2026 06428CAA2 1,885,000.00 A+ Aa1 8/14/2023 8/18/2023 1,885,000.00 5.53 38,483.22 1,885,000.00 1,896,801.99 JP MORGAN CORP NOTES(CALLABLE)DTD 12/08/2023 5.110% 12/08/2026 48125LRU8 3,150,000.00 A+ Aa2 12/5/2023 12/8/2023 3,150,000.00 5.11 10,283.88 3,150,000.00 3,147,001.20 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 19,242.17 2,139,330.71 1,990,349.80 MICROSOFT CORP CORP NOTES(CALLABLE)DTD 02/06/2017 3.300% 02/06/2027 594918BY9 2,325,000.00 AAA Aaa 1/27/2023 1/31/2023 2,259,644.25 4.07 30,903.13 2,282,676.92 2,243,590.13 TRUIST FINANCIAL CORP NOTES(CALLABLE)DTD 08/03/2020 1.125% 08/03/2027 89788MAC6 2,520,000.00 A- Baa1 8/5/2022 8/9/2022 2,213,719.20 3.83 11,655.00 2,330,173.22 2,220,797.88 INTEL CORP NOTES (CALLABLE)DTD 08/05/2022 3.750% 08/05/2027 458140BY5 2,165,000.00 A- A3 8/10/2022 8/12/2022 2,165,476.30 3.75 32,926.04 2,165,292.76 2,088,395.81 HOME DEPOT INC CORP NOTES(CALLABLE)DTD 09/14/2017 2.800% 09/14/2027 437076BT8 3,450,000.00 A A2 1/25/2023 1/27/2023 3,255,385.50 4.15 28,711.67 3,315,346.56 3,224,401.05 33 ATTACHMENT
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© PFM Asset Management LLC pfmam.com

CITY OF STOCKTON
For the Quarter Ended June 30, 2024
Portfolio Holdings
|
Security Type/DescriptionDated 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
Corporate
JPMORGAN CHASE CORP NOTES(CALLABLE)DTD 02/24/2022 2.947% 02/24/2028 46647PCW4 1,605,000.00 A- A1 9/14/2023 9/18/2023 1,467,563.85 5.13 16,686.16 1,491,912.11 1,504,199.58 HERSHEY COMPANY CORP NOTESCALLABLEDTD 05/04/2023 4.250% 05/04/2028 427866BH0 2,785,000.00 A A1 5/9/2023 5/11/2023 2,801,821.40 4.11 18,740.73 2,797,902.67 2,735,485.49

APPLE INC CORP NOTES CALLABLE
DTD 05/10/2023 4.000% 05/10/2028
037833ET3 1,370,000.00 AA+ Aaa 5/12/2023 5/16/2023 1,380,946.30 3.82 7,763.33 1,378,428.22 1,337,684.44

APPLE INC CORP NOTES CALLABLE
DTD 05/10/2023 4.000% 05/10/2028
037833ET3 4,675,000.00 AA+ Aaa 5/9/2023 5/11/2023 4,673,083.25 4.01 26,491.67 4,673,520.97 4,564,726.10 MORGAN STANLEY BANK NA BANKNOTES (CALLADTD 05/30/2024 5.504% 05/26/2028 61690U8B9 2,770,000.00 A+ Aa3 5/30/2024 5/31/2024 2,775,844.70 5.44 13,128.57 2,775,692.32 2,789,556.20 MORGAN STANLEY BANK NA BANKNOTES (CALLADTD 05/30/2024 5.504% 05/26/2028 61690U8B9 1,430,000.00 A+ Aa3 5/28/2024 5/30/2024 1,430,000.00 5.50 6,777.56 1,430,000.00 1,440,095.80 JOHN DEERE CAPITAL CORPCORPORATE NOTESDTD 07/14/2023 4.950% 07/14/2028 24422EXB0 600,000.00 A A1 7/13/2023 7/14/2023 608,160.00 4.64 13,777.50 606,583.38 600,123.60 JOHN DEERE CAPITAL CORPCORPORATE NOTESDTD 07/14/2023 4.950% 07/14/2028 24422EXB0 1,420,000.00 A A1 7/11/2023 7/14/2023 1,417,884.20 4.98 32,606.75 1,418,293.00 1,420,292.52 TOYOTA MOTOR CREDIT CORPCORPORATE NOTESDTD 09/11/2023 5.250% 09/11/2028 89236TLB9 1,400,000.00 A+ A1 9/6/2023 9/11/2023 1,397,564.00 5.29 22,458.33 1,397,914.25 1,414,823.20 CITIBANK NA CORP NOTES(CALLABLE)DTD 09/29/2023 5.803% 09/29/2028 17325FBB3 1,300,000.00 A+ Aa3 5/1/2024 5/3/2024 1,325,142.00 5.30 19,278.86 1,324,306.96 1,335,067.50 CITIBANK NA CORP NOTES(CALLABLE)DTD 09/29/2023 5.803% 09/29/2028 17325FBB3 4,935,000.00 A+ Aa3 9/26/2023 9/29/2023 4,935,000.00 5.80 73,185.50 4,935,000.00 5,068,121.63 BLACKROCK FUNDING INCCORPORATE NOTES (CDTD 03/14/2024 4.700% 03/14/2029 09290DAA9 4,200,000.00 AA- Aa3 4/9/2024 4/11/2024 4,181,646.00 4.80 58,671.67 4,182,378.17 4,179,281.40 34 ATTACHMENT
A
© PFM Asset Management LLC pfmam.com

CITY OF STOCKTON
For the Quarter Ended June 30, 2024
Portfolio Holdings
|
Security Type/DescriptionDated 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
Corporate
BLACKROCK FUNDING INCCORPORATE NOTES (CDTD 03/14/2024 4.700% 03/14/2029 09290DAA9 405,000.00 AA- Aa3 3/5/2024 3/14/2024 404,266.95 4.74 5,657.62 404,305.75 403,002.14

ADOBE INC CORP NOTES (CALLABLE)
DTD 04/04/2024 4.800% 04/04/2029
00724PAF6 1,450,000.00 A+ A1 4/2/2024 4/4/2024 1,447,578.50 4.84 16,820.00 1,447,682.17 1,451,599.35

ADOBE INC CORP NOTES (CALLABLE)
DTD 04/04/2024 4.800% 04/04/2029
00724PAF6 1,775,000.00 A+ A1 4/1/2024 4/4/2024 1,772,355.25 4.83 20,590.00 1,772,468.49 1,776,957.83 MASTERCARD INC CORP NOTES(CALLABLE)DTD 05/31/2019 2.950% 06/01/2029 57636QAM6 3,600,000.00 A+ Aa3 6/26/2024 6/27/2024 3,307,140.00 4.82 8,850.00 3,307,716.21 3,311,496.00 Security Type Sub-Total 72,692,500.00 71,895,280.94 4.16 696,048.31 71,950,684.40 71,163,882.20 Agency CMBS
FHMS K061 A2DTD 01/30/2017 3.347% 11/01/2026
3137BTUM1 2,827,273.25 AA+ Aaa 5/19/2023 5/24/2023 2,740,246.24 4.31 7,885.74 2,768,216.73 2,725,209.39 FHMS K064 A2DTD 05/15/2017 3.224% 03/01/2027
3137BXQY1 4,477,651.00 AA+ Aaa 8/16/2023 8/18/2023 4,223,684.23 4.98 12,029.96 4,286,241.50 4,287,655.81 FHLMC MULTIFAMILY STRUCTURED PDTD 07/01/2017 3.243% 04/01/2027 3137F1G44 2,540,000.00 AA+ Aaa 8/16/2023 8/18/2023 2,394,842.97 4.97 6,864.35 2,429,759.71 2,428,855.32 FHLMC MULTIFAMILY STRUCTURED PDTD 08/01/2017 3.117% 06/01/2027 3137F2LJ3 3,941,658.00 AA+ Aaa 8/17/2023 8/22/2023 3,686,066.11 5.01 10,238.46 3,744,264.70 3,751,340.21 FHMS K507 A1DTD 09/01/2023 4.800% 04/01/2028
3137HAMR4 3,973,581.39 AA+ Aaa 9/20/2023 9/28/2023 3,911,223.98 5.19 15,894.33 3,920,721.13 3,959,945.21 FHMS K506 A1DTD 09/01/2023 4.650% 05/01/2028
3137HAMG8 2,084,432.76 AA+ Aaa 9/7/2023 9/14/2023 2,053,260.07 5.01 8,077.18 2,058,125.72 2,069,733.40 FHMS K505 A2DTD 07/01/2023 4.819% 06/01/2028
3137HACX2 4,200,000.00 AA+ Aaa 7/13/2023 7/20/2023 4,241,949.60 4.59 16,866.50 4,233,762.59 4,187,494.12 FHMS KJ46 A1DTD 07/01/2023 4.777% 06/01/2028
3137HAD45 3,398,940.59 AA+ Aaa 7/19/2023 7/27/2023 3,398,855.59 4.78 13,530.62 3,398,871.91 3,385,355.77 FNA 2023-M6 A2DTD 07/01/2023 4.190% 07/01/2028
3136BQDE6 4,250,000.00 AA+ Aaa 7/18/2023 7/31/2023 4,177,949.22 4.58 14,839.58 4,191,421.15 4,133,415.87 FHMS K506 A2DTD 09/01/2023 4.650% 08/01/2028
3137HAMH6 4,200,000.00 AA+ Aaa 9/7/2023 9/14/2023 4,137,869.40 4.99 16,275.00 4,147,014.79 4,162,784.14 35 ATTACHMENT
A
© PFM Asset Management LLC pfmam.com

CITY OF STOCKTON
For the Quarter Ended June 30, 2024
Portfolio Holdings
|
Security Type/DescriptionDated 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
Agency CMBS
FHMS K508 A2DTD 10/01/2023 4.740% 08/01/2028
3137HAQ74 4,300,000.00 AA+ Aaa 10/11/2023 10/19/2023 4,205,675.20 5.26 16,985.00 4,218,068.78 4,274,624.41 FHMS KJ47 A1DTD 09/01/2023 5.272% 08/01/2028
3137HAMN3 2,352,355.02 AA+ Aaa 9/19/2023 9/28/2023 2,352,343.25 5.27 10,334.68 2,352,344.91 2,379,534.88 FHMS K507 A2DTD 09/01/2023 4.800% 09/01/2028
3137HAMS2 4,200,000.00 AA+ Aaa 9/20/2023 9/28/2023 4,149,797.40 5.07 16,800.00 4,156,735.86 4,184,867.86 FHMS K509 A2DTD 10/01/2023 4.850% 09/01/2028
3137HAST4 3,305,000.00 AA+ Aaa 10/25/2023 10/31/2023 3,199,626.69 5.60 13,357.71 3,212,569.08 3,298,561.07 FHMS K510 A2DTD 11/01/2023 5.069% 10/01/2028
3137HB3D4 1,675,000.00 AA+ Aaa 11/14/2023 11/21/2023 1,670,157.58 5.14 7,075.48 1,670,702.13 1,685,027.42 FHMS K511 A2DTD 12/01/2023 4.860% 10/01/2028
3137HB3G7 2,440,000.00 AA+ Aaa 11/28/2023 12/7/2023 2,432,989.88 4.93 9,882.00 2,433,731.69 2,435,942.18 FHMS K512 A2DTD 12/01/2023 5.000% 11/01/2028
3137HBCF9 2,215,000.00 AA+ Aaa 12/11/2023 12/21/2023 2,235,683.67 4.78 9,229.17 2,233,657.10 2,223,249.19 FHMS K514 A2DTD 02/01/2024 4.572% 12/01/2028
3137HBLV4 2,495,000.00 AA+ Aaa 2/1/2024 2/8/2024 2,519,947.51 4.34 9,505.95 2,518,083.07 2,464,219.78 FHMS K513 A2DTD 01/01/2024 4.724% 12/01/2028
3137HBFY5 2,505,000.00 AA+ Aaa 1/10/2024 1/18/2024 2,530,022.45 4.50 9,861.35 2,527,913.00 2,489,078.82 FHMS K517 A2DTD 03/01/2024 5.355% 01/01/2029
3137HC2C5 3,760,000.00 AA+ Aaa 3/5/2024 3/14/2024 3,872,747.36 4.66 16,779.00 3,866,445.31 3,831,141.64 FHMS K515 A2DTD 02/01/2024 5.400% 01/01/2029
3137HBPD0 4,200,000.00 AA+ Aaa 2/14/2024 2/22/2024 4,313,148.00 4.78 18,900.00 4,305,707.06 4,282,907.54 FHMS K518 A2DTD 03/01/2024 5.400% 01/01/2029
3137HC2L5 3,040,000.00 AA+ Aaa 3/19/2024 3/28/2024 3,113,400.80 4.83 13,680.00 3,109,801.74 3,102,586.70 FHMS K516 A2DTD 03/01/2024 5.477% 01/01/2029
3137HBPM0 4,200,000.00 AA+ Aaa 2/29/2024 3/7/2024 4,325,987.40 4.78 19,169.50 4,318,551.76 4,297,384.31 FHMS K520 A2DTD 04/01/2024 5.180% 03/01/2029
3137HCKV3 2,380,000.00 AA+ Aaa 4/23/2024 4/30/2024 2,389,660.42 5.09 10,273.67 2,389,360.49 2,411,358.57 FHMS K522 A2DTD 06/01/2024 4.803% 05/01/2029
3137HDJJ0 4,400,000.00 AA+ Aaa 6/5/2024 6/13/2024 4,399,986.80 4.80 17,611.00 4,399,986.93 4,393,754.86 Security Type Sub-Total 83,360,892.01 82,677,121.82 4.89 321,946.23 82,892,058.84 82,846,028.47 36 ATTACHMENT
A
© PFM Asset Management LLC pfmam.com

CITY OF STOCKTON
For the Quarter Ended June 30, 2024
Portfolio Holdings
|
Security Type/DescriptionDated 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
HART 2021-A A3DTD 04/28/2021 0.380% 09/15/2025
44933LAC7 18,418.35 AAA NR 4/20/2021 4/28/2021 18,416.41 0.38 3.11 18,417.82 18,371.96 CARMX 2021-1 A3DTD 01/27/2021 0.340% 12/15/2025
14316NAC3 33,166.67 AAA NR 1/20/2021 1/27/2021 33,160.12 0.34 5.01 33,164.72 32,961.76 TAOT 2021-C A3DTD 09/27/2021 0.430% 01/15/2026
89239BAC5 308,457.70 AAA Aaa 9/21/2021 9/27/2021 308,433.11 0.43 58.95 308,448.89 303,414.02 CARMX 2021-2 A3DTD 04/21/2021 0.520% 02/17/2026
14314QAC8 145,824.92 AAA NR 4/13/2021 4/21/2021 145,793.49 0.52 33.70 145,814.29 144,235.21 HART 2021-C A3DTD 11/17/2021 0.740% 05/15/2026
44935FAD6 187,115.11 AAA NR 11/9/2021 11/17/2021 187,073.34 0.75 61.54 187,097.71 183,865.59 HAROT 2022-2 A3DTD 08/24/2022 3.730% 07/20/2026
43815PAC3 276,456.35 AAA NR 8/15/2022 8/24/2022 276,439.87 3.73 372.37 276,447.69 273,049.03 DCENT 2021-A1 A1DTD 09/27/2021 0.580% 09/15/2026
254683CP8 797,500.00 AAA Aaa 9/20/2021 9/27/2021 797,329.25 0.58 205.58 797,424.13 789,024.17 CHAIT 2024-A1 ADTD 01/31/2024 4.600% 01/15/2027
161571HV9 3,825,000.00 AAA NR 1/24/2024 1/31/2024 3,824,417.45 4.61 7,820.00 3,824,495.09 3,781,634.45 CCCIT 2023-A1 A1DTD 12/11/2023 5.230% 12/08/2027
17305EGW9 930,000.00 AAA Aaa 12/4/2023 12/11/2023 929,883.38 5.23 3,107.49 929,898.18 928,973.56 KCOT 2023-2A A3DTD 07/26/2023 5.280% 01/18/2028
500945AC4 1,085,000.00 NR Aaa 7/18/2023 7/26/2023 1,084,725.93 5.29 2,546.13 1,084,783.02 1,086,383.38 BAAT 2023-1A A3DTD 07/31/2023 5.530% 02/15/2028
06428AAC2 1,775,000.00 NR Aaa 7/25/2023 7/31/2023 1,774,932.73 5.53 4,362.56 1,774,946.35 1,779,683.34 HAROT 2023-3 A3DTD 08/22/2023 5.410% 02/18/2028
43815QAC1 2,640,000.00 AAA NR 8/15/2023 8/22/2023 2,639,455.63 5.42 5,157.53 2,639,559.79 2,643,307.66 TAOT 2023-C A3DTD 08/15/2023 5.160% 04/17/2028
89231FAD2 825,000.00 AAA NR 8/8/2023 8/15/2023 824,813.39 5.17 1,892.00 824,848.48 822,462.22 USAOT 2023-A A3DTD 09/15/2023 5.580% 05/15/2028
90291VAC4 3,375,000.00 AAA Aaa 9/7/2023 9/15/2023 3,374,409.38 5.58 8,370.00 3,374,499.39 3,381,657.19 BAAT 2023-2A A3DTD 11/21/2023 5.740% 06/15/2028
06054YAC1 3,075,000.00 NR Aaa 11/15/2023 11/21/2023 3,074,944.34 5.74 7,844.67 3,074,950.98 3,094,464.44 TAOT 2023-D A3DTD 11/14/2023 5.540% 08/15/2028
89239FAD4 805,000.00 AAA NR 11/7/2023 11/14/2023 804,913.22 5.54 1,982.09 804,923.46 811,485.32 FITAT 2023-1 A3DTD 08/23/2023 5.530% 08/15/2028
31680EAD3 2,880,000.00 AAA Aaa 8/15/2023 8/23/2023 2,879,821.44 5.53 7,078.40 2,879,852.17 2,886,016.03 37 ATTACHMENT
A
© PFM Asset Management LLC pfmam.com

CITY OF STOCKTON
For the Quarter Ended June 30, 2024
Portfolio Holdings
|
Security Type/DescriptionDated 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
CHAIT 2023-A1 ADTD 09/15/2023 5.160% 09/15/2028
161571HT4 3,380,000.00 AAA NR 9/7/2023 9/15/2023 3,379,063.06 5.17 7,751.47 3,379,196.28 3,382,666.14 AMXCA 2023-3 A
DTD 09/19/2023 5.230% 09/15/2028
02582JKD1 3,460,000.00 AAA NR 9/12/2023 9/19/2023 3,459,845.34 5.23 8,042.58 3,459,867.04 3,472,751.14 HART 2023-C A3DTD 11/13/2023 5.540% 10/16/2028
44918CAD4 1,190,000.00 AAA NR 11/3/2023 11/13/2023 1,189,843.52 5.54 2,930.04 1,189,861.33 1,197,599.34 BACCT 2023-A2 A2DTD 12/14/2023 4.980% 11/15/2028
05522RDH8 1,520,000.00 NR Aaa 12/7/2023 12/14/2023 1,519,795.86 4.98 3,364.27 1,519,816.18 1,517,649.93 GMCAR 2024-1 A3DTD 01/17/2024 4.850% 12/18/2028
36268GAD7 410,000.00 NR Aaa 1/9/2024 1/17/2024 409,917.55 4.85 828.54 409,924.39 406,253.75 Security Type Sub-Total 32,941,939.10 32,937,427.81 5.08 73,818.03 32,938,237.38 32,937,909.63 Managed Account Sub Total 465,152,831.11 452,278,127.79 2,416,652.82 445,214,384.21Securities Sub TotalAccrued Interest $465,152,831.11 $452,278,127.79 $2,416,652.82 $445,214,384.21 $2,416,652.82
455,953,097.97
$455,953,097.97

3.56 3.56%
Total Investments $447,631,037.03
38 ATTACHMENT
A
© PFM Asset Management LLC pfmam.com

CITY OF STOCKTON
For the Quarter Ended June 30, 2024
Portfolio Activity
|
Quarterly Portfolio Transactions
Trade
Date
Settle
Date Par ($) CUSIP
Maturity
Date
Transact
Coupon Amount ($)
Yield
at Market
Realized
Security Description G/L (BV)
BUY4/1/2024 4/4/2024 1,775,000.00 00724PAF6 ADOBE INC CORP NOTES (CALLABLE) 4.80% 4/4/2029 1,772,355.25 4.83%4/2/2024 4/4/2024 1,450,000.00 00724PAF6 ADOBE INC CORP NOTES (CALLABLE) 4.80% 4/4/2029 1,447,578.50 4.84%4/9/2024 4/11/2024 4,200,000.00 09290DAA9 BLACKROCK FUNDING INC CORPORATE NOTES (C 4.70% 3/14/2029 4,196,451.00 4.80%4/23/2024 4/30/2024 2,380,000.00 3137HCKV3 FHMS K520 A2 5.18% 3/1/2029 2,399,591.63 5.09%4/25/2024 4/26/2024 3,820,000.00 91282CKF7 US TREASURY N/B NOTES 4.12% 3/31/2031 3,697,344.63 4.72%4/25/2024 4/26/2024 3,880,000.00 91282CJZ5 US TREASURY N/B NOTES 4.00% 2/15/2034 3,697,630.34 4.70%4/25/2024 4/26/2024 3,880,000.00 91282CGZ8 US TREASURY NOTES 3.50% 4/30/2030 3,698,906.13 4.73%5/1/2024 5/3/2024 1,300,000.00 17325FBB3 CITIBANK NA CORP NOTES (CALLABLE) 5.80% 9/29/2028 1,332,266.79 5.30%5/28/2024 5/30/2024 1,430,000.00 61690U8B9 MORGAN STANLEY BANK NA BANK NOTES (CALLA 5.50% 5/26/2028 1,430,000.00 5.50%5/30/2024 5/31/2024 2,770,000.00 61690U8B9 MORGAN STANLEY BANK NA BANK NOTES (CALLA 5.50% 5/26/2028 2,775,844.70 5.44%6/5/2024 6/13/2024 4,400,000.00 3137HDJJ0 FHMS K522 A2 4.80% 5/1/2029 4,407,031.20 4.80%6/6/2024 6/7/2024 960,000.00 91282CKT7 US TREASURY N/B NOTES 4.50% 5/31/2029 969,526.23 4.30%6/26/2024 6/27/2024 3,600,000.00 57636QAM6 MASTERCARD INC CORP NOTES (CALLABLE) 2.95% 6/1/2029 3,314,810.00 4.82% Total BUY 35,845,000.00 35,139,336.40 0.00
INTEREST4/1/2024 4/1/2024 MONEY0002 MONEY MARKET FUND 1,870.094/1/2024 4/25/2024 4,200,000.00 3137HACX2 FHMS K505 A2 4.81% 6/1/2028 16,866.50 39 ATTACHMENT
A
© PFM Asset Management LLC pfmam.com

CITY OF STOCKTON
For the Quarter Ended June 30, 2024
Portfolio Activity
|
Quarterly Portfolio Transactions
Trade
Date
Settle
Date Par ($) CUSIP
Maturity
Date
Transact
Coupon Amount ($)
Yield
at Market
Realized
Security Description G/L (BV)
INTEREST4/1/2024 4/25/2024 4,300,000.00 3137HAQ74 FHMS K508 A2 4.74% 8/1/2028 16,985.004/1/2024 4/25/2024 4,200,000.00 3137HBPD0 FHMS K515 A2 5.40% 1/1/2029 18,900.004/1/2024 4/25/2024 4,200,000.00 3137HBPM0 FHMS K516 A2 5.47% 1/1/2029 19,169.504/1/2024 4/25/2024 3,305,000.00 3137HAST4 FHMS K509 A2 4.85% 9/1/2028 13,357.714/1/2024 4/25/2024 2,440,000.00 3137HB3G7 FHMS K511 A2 4.86% 10/1/2028 9,882.004/1/2024 4/25/2024 2,089,531.88 3137HAMG8 FHMS K506 A1 4.65% 5/1/2028 8,096.944/1/2024 4/25/2024 4,477,651.00 3137BXQY1 FHMS K064 A2 3.22% 3/1/2027 12,029.964/1/2024 4/25/2024 2,843,880.09 3137BTUM1 FHMS K061 A2 3.34% 11/1/2026 7,932.064/1/2024 4/25/2024 3,941,658.00 3137F2LJ3 FHLMC MULTIFAMILY STRUCTURED P 3.11% 6/1/2027 10,238.464/1/2024 4/25/2024 2,215,000.00 3137HBCF9 FHMS K512 A2 5.00% 11/1/2028 9,229.174/1/2024 4/25/2024 2,505,000.00 3137HBFY5 FHMS K513 A2 4.72% 12/1/2028 9,861.354/1/2024 4/25/2024 2,361,432.47 3137HAMN3 FHMS KJ47 A1 5.27% 8/1/2028 10,374.564/1/2024 4/25/2024 4,200,000.00 3137HAMH6 FHMS K506 A2 4.65% 8/1/2028 16,275.004/1/2024 4/25/2024 1,675,000.00 3137HB3D4 FHMS K510 A2 5.06% 10/1/2028 7,075.484/1/2024 4/25/2024 4,200,000.00 3137HAMS2 FHMS K507 A2 4.80% 9/1/2028 16,800.004/1/2024 4/25/2024 4,250,000.00 3136BQDE6 FNA 2023-M6 A2 4.19% 7/1/2028 14,839.584/1/2024 4/25/2024 3,760,000.00 3137HC2C5 FHMS K517 A2 5.35% 1/1/2029 16,779.00 40 ATTACHMENT
A
© PFM Asset Management LLC pfmam.com

CITY OF STOCKTON
For the Quarter Ended June 30, 2024
Portfolio Activity
|
Quarterly Portfolio Transactions
Trade
Date
Settle
Date Par ($) CUSIP
Maturity
Date
Transact
Coupon Amount ($)
Yield
at Market
Realized
Security Description G/L (BV)
INTEREST4/1/2024 4/25/2024 2,540,000.00 3137F1G44 FHLMC MULTIFAMILY STRUCTURED P 3.24% 4/1/2027 6,864.354/1/2024 4/25/2024 2,495,000.00 3137HBLV4 FHMS K514 A2 4.57% 12/1/2028 9,505.954/1/2024 4/25/2024 3,040,000.00 3137HC2L5 FHMS K518 A2 5.40% 1/1/2029 13,680.004/1/2024 4/25/2024 3,404,722.14 3137HAD45 FHMS KJ46 A1 4.77% 6/1/2028 13,553.634/1/2024 4/25/2024 4,006,761.74 3137HAMR4 FHMS K507 A1 4.80% 4/1/2028 16,027.054/2/2024 4/2/2024 1,875,000.00 06051GKM0 BANK OF AMERICA CORP NOTES (CALLABLE) 3.38% 4/2/2026 31,725.004/13/2024 4/13/2024 2,567,500.00 023135CE4 AMAZON.COM INC CORPORATE NOTES 3.00% 4/13/2025 38,512.504/14/2024 4/14/2024 335,000.00 3130AJHU6 FEDERAL HOME LOAN BANK NOTES 0.50% 4/14/2025 837.504/15/2024 4/15/2024 1,085,000.00 500945AC4 KCOT 2023-2A A3 5.28% 1/18/2028 4,774.004/15/2024 4/15/2024 797,500.00 254683CP8 DCENT 2021-A1 A1 0.58% 9/15/2026 385.464/15/2024 4/15/2024 263,438.25 44935FAD6 HART 2021-C A3 0.74% 5/15/2026 162.454/15/2024 4/15/2024 1,520,000.00 05522RDH8 BACCT 2023-A2 A2 4.98% 11/15/2028 6,308.004/15/2024 4/15/2024 74,013.36 14316NAC3 CARMX 2021-1 A3 0.34% 12/15/2025 20.974/15/2024 4/15/2024 805,000.00 89239FAD4 TAOT 2023-D A3 5.54% 8/15/2028 3,716.424/15/2024 4/15/2024 1,190,000.00 44918CAD4 HART 2023-C A3 5.54% 10/16/2028 5,493.834/15/2024 4/15/2024 445,344.26 89239BAC5 TAOT 2021-C A3 0.43% 1/15/2026 159.584/15/2024 4/15/2024 825,000.00 89231FAD2 TAOT 2023-C A3 5.16% 4/17/2028 3,547.50 41 ATTACHMENT
A
© PFM Asset Management LLC pfmam.com

CITY OF STOCKTON
For the Quarter Ended June 30, 2024
Portfolio Activity
|
Quarterly Portfolio Transactions
Trade
Date
Settle
Date Par ($) CUSIP
Maturity
Date
Transact
Coupon Amount ($)
Yield
at Market
Realized
Security Description G/L (BV)
INTEREST4/15/2024 4/15/2024 3,825,000.00 161571HV9 CHAIT 2024-A1 A 4.60% 1/15/2027 14,662.504/15/2024 4/15/2024 1,775,000.00 06428AAC2 BAAT 2023-1A A3 5.53% 2/15/2028 8,179.794/15/2024 4/15/2024 2,880,000.00 31680EAD3 FITAT 2023-1 A3 5.53% 8/15/2028 13,272.004/15/2024 4/15/2024 90,275.07 44933LAC7 HART 2021-A A3 0.38% 9/15/2025 28.594/15/2024 4/15/2024 3,380,000.00 161571HT4 CHAIT 2023-A1 A 5.16% 9/15/2028 14,534.004/15/2024 4/15/2024 3,075,000.00 06054YAC1 BAAT 2023-2A A3 5.74% 6/15/2028 14,708.754/15/2024 4/15/2024 3,375,000.00 90291VAC4 USAOT 2023-A A3 5.58% 5/15/2028 15,693.754/15/2024 4/15/2024 3,460,000.00 02582JKD1 AMXCA 2023-3 A 5.23% 9/15/2028 15,079.834/15/2024 4/15/2024 243,385.10 14314QAC8 CARMX 2021-2 A3 0.52% 2/17/2026 105.474/16/2024 4/16/2024 410,000.00 36268GAD7 GMCAR 2024-1 A3 4.85% 12/18/2028 1,657.084/18/2024 4/18/2024 310,000.00 43815PAC3 HAROT 2022-2 A3 3.73% 7/20/2026 963.584/18/2024 4/18/2024 2,640,000.00 43815QAC1 HAROT 2023-3 A3 5.41% 2/18/2028 11,902.004/21/2024 4/21/2024 47,142.98 43813GAC5 HAROT 2021-1 A3 0.27% 4/21/2025 10.614/22/2024 4/22/2024 6,640,000.00 3135G03U5 FANNIE MAE NOTES 0.62% 4/22/2025 20,750.004/30/2024 4/30/2024 5,340,000.00 91282CAU5 US TREASURY NOTES 0.50% 10/31/2027 13,350.004/30/2024 4/30/2024 932,500.00 912828ZL7 US TREASURY NOTES 0.37% 4/30/2025 1,748.444/30/2024 4/30/2024 6,040,000.00 91282CFU0 US TREASURY NOTES 4.12% 10/31/2027 124,575.00 42 ATTACHMENT
A
© PFM Asset Management LLC pfmam.com

CITY OF STOCKTON
For the Quarter Ended June 30, 2024
Portfolio Activity
|
Quarterly Portfolio Transactions
Trade
Date
Settle
Date Par ($) CUSIP
Maturity
Date
Transact
Coupon Amount ($)
Yield
at Market
Realized
Security Description G/L (BV)
INTEREST4/30/2024 4/30/2024 3,500,000.00 91282CAT8 US TREASURY NOTES 0.25% 10/31/2025 4,375.004/30/2024 4/30/2024 2,050,000.00 91282CHA2 US TREASURY NOTES 3.50% 4/30/2028 35,875.004/30/2024 4/30/2024 4,840,000.00 912828ZN3 US TREASURY NOTES 0.50% 4/30/2027 12,100.004/30/2024 4/30/2024 3,880,000.00 91282CGZ8 US TREASURY NOTES 3.50% 4/30/2030 67,900.005/1/2024 5/1/2024 MONEY0002 MONEY MARKET FUND 14,927.905/1/2024 5/1/2024 625,000.00 13077DNC2 CA ST UNIV TXBL REV BONDS 0.68% 11/1/2024 2,140.635/1/2024 5/25/2024 1,675,000.00 3137HB3D4 FHMS K510 A2 5.06% 10/1/2028 7,075.485/1/2024 5/25/2024 2,838,458.94 3137BTUM1 FHMS K061 A2 3.34% 11/1/2026 7,916.945/1/2024 5/25/2024 3,402,933.47 3137HAD45 FHMS KJ46 A1 4.77% 6/1/2028 13,546.515/1/2024 5/25/2024 3,760,000.00 3137HC2C5 FHMS K517 A2 5.35% 1/1/2029 16,779.005/1/2024 5/25/2024 2,215,000.00 3137HBCF9 FHMS K512 A2 5.00% 11/1/2028 9,229.175/1/2024 5/25/2024 3,305,000.00 3137HAST4 FHMS K509 A2 4.85% 9/1/2028 13,357.715/1/2024 5/25/2024 2,087,921.56 3137HAMG8 FHMS K506 A1 4.65% 5/1/2028 8,090.705/1/2024 5/25/2024 4,200,000.00 3137HAMS2 FHMS K507 A2 4.80% 9/1/2028 16,800.005/1/2024 5/25/2024 3,996,307.17 3137HAMR4 FHMS K507 A1 4.80% 4/1/2028 15,985.235/1/2024 5/25/2024 2,540,000.00 3137F1G44 FHLMC MULTIFAMILY STRUCTURED P 3.24% 4/1/2027 6,864.355/1/2024 5/25/2024 2,358,670.72 3137HAMN3 FHMS KJ47 A1 5.27% 8/1/2028 10,362.43 43 ATTACHMENT
A
© PFM Asset Management LLC pfmam.com

CITY OF STOCKTON
For the Quarter Ended June 30, 2024
Portfolio Activity
|
Quarterly Portfolio Transactions
Trade
Date
Settle
Date Par ($) CUSIP
Maturity
Date
Transact
Coupon Amount ($)
Yield
at Market
Realized
Security Description G/L (BV)
INTEREST5/1/2024 5/25/2024 3,040,000.00 3137HC2L5 FHMS K518 A2 5.40% 1/1/2029 13,680.005/1/2024 5/25/2024 4,250,000.00 3136BQDE6 FNA 2023-M6 A2 4.19% 7/1/2028 14,839.585/1/2024 5/25/2024 4,200,000.00 3137HBPM0 FHMS K516 A2 5.47% 1/1/2029 19,169.505/1/2024 5/25/2024 3,941,658.00 3137F2LJ3 FHLMC MULTIFAMILY STRUCTURED P 3.11% 6/1/2027 10,238.465/1/2024 5/25/2024 4,300,000.00 3137HAQ74 FHMS K508 A2 4.74% 8/1/2028 16,985.005/1/2024 5/25/2024 2,495,000.00 3137HBLV4 FHMS K514 A2 4.57% 12/1/2028 9,505.955/1/2024 5/25/2024 2,505,000.00 3137HBFY5 FHMS K513 A2 4.72% 12/1/2028 9,861.355/1/2024 5/25/2024 4,200,000.00 3137HBPD0 FHMS K515 A2 5.40% 1/1/2029 18,900.005/1/2024 5/25/2024 2,380,000.00 3137HCKV3 FHMS K520 A2 5.18% 3/1/2029 10,273.675/1/2024 5/25/2024 4,200,000.00 3137HAMH6 FHMS K506 A2 4.65% 8/1/2028 16,275.005/1/2024 5/25/2024 4,200,000.00 3137HACX2 FHMS K505 A2 4.81% 6/1/2028 16,866.505/1/2024 5/25/2024 2,440,000.00 3137HB3G7 FHMS K511 A2 4.86% 10/1/2028 9,882.005/1/2024 5/25/2024 4,477,651.00 3137BXQY1 FHMS K064 A2 3.22% 3/1/2027 12,029.965/4/2024 5/4/2024 2,785,000.00 427866BH0 HERSHEY COMPANY CORP NOTES CALLABLE 4.25% 5/4/2028 59,181.255/7/2024 5/7/2024 8,145,000.00 3135G06G3 FANNIE MAE NOTES 0.50% 11/7/2025 20,362.505/10/2024 5/10/2024 6,045,000.00 037833ET3 APPLE INC CORP NOTES CALLABLE 4.00% 5/10/2028 120,900.005/15/2024 5/15/2024 1,520,000.00 05522RDH8 BACCT 2023-A2 A2 4.98% 11/15/2028 6,308.00 44 ATTACHMENT
A
© PFM Asset Management LLC pfmam.com

CITY OF STOCKTON
For the Quarter Ended June 30, 2024
Portfolio Activity
|
Quarterly Portfolio Transactions
Trade
Date
Settle
Date Par ($) CUSIP
Maturity
Date
Transact
Coupon Amount ($)
Yield
at Market
Realized
Security Description G/L (BV)
INTEREST5/15/2024 5/15/2024 3,825,000.00 161571HV9 CHAIT 2024-A1 A 4.60% 1/15/2027 14,662.505/15/2024 5/15/2024 3,075,000.00 06054YAC1 BAAT 2023-2A A3 5.74% 6/15/2028 14,708.755/15/2024 5/15/2024 760,000.00 91412HGE7 UNIV OF CAL TXBL REV BONDS 0.88% 5/15/2025 3,355.405/15/2024 5/15/2024 2,880,000.00 31680EAD3 FITAT 2023-1 A3 5.53% 8/15/2028 13,272.005/15/2024 5/15/2024 6,245,000.00 91282CFV8 US TREASURY NOTES 4.12% 11/15/2032 128,803.135/15/2024 5/15/2024 1,190,000.00 44918CAD4 HART 2023-C A3 5.54% 10/16/2028 5,493.835/15/2024 5/15/2024 1,085,000.00 500945AC4 KCOT 2023-2A A3 5.28% 1/18/2028 4,774.005/15/2024 5/15/2024 59,992.13 14316NAC3 CARMX 2021-1 A3 0.34% 12/15/2025 17.005/15/2024 5/15/2024 797,500.00 254683CP8 DCENT 2021-A1 A1 0.58% 9/15/2026 385.465/15/2024 5/15/2024 3,385,000.00 91282CDJ7 US TREASURY NOTES 1.37% 11/15/2031 23,271.885/15/2024 5/15/2024 236,624.68 44935FAD6 HART 2021-C A3 0.74% 5/15/2026 145.925/15/2024 5/15/2024 805,000.00 89239FAD4 TAOT 2023-D A3 5.54% 8/15/2028 3,716.425/15/2024 5/15/2024 3,460,000.00 02582JKD1 AMXCA 2023-3 A 5.23% 9/15/2028 15,079.835/15/2024 5/15/2024 3,085,000.00 912810FM5 US TREASURY NOTES 6.25% 5/15/2030 96,406.255/15/2024 5/15/2024 4,330,000.00 91282CAV3 US TREASURY NOTES 0.87% 11/15/2030 18,943.755/15/2024 5/15/2024 2,535,000.00 912828ZQ6 US TREASURY NOTES 0.62% 5/15/2030 7,921.885/15/2024 5/15/2024 705,000.00 9128284N7 US TREASURY NOTES 2.87% 5/15/2028 10,134.38 45 ATTACHMENT
A
© PFM Asset Management LLC pfmam.com

CITY OF STOCKTON
For the Quarter Ended June 30, 2024
Portfolio Activity
|
Quarterly Portfolio Transactions
Trade
Date
Settle
Date Par ($) CUSIP
Maturity
Date
Transact
Coupon Amount ($)
Yield
at Market
Realized
Security Description G/L (BV)
INTEREST5/15/2024 5/15/2024 3,375,000.00 90291VAC4 USAOT 2023-A A3 5.58% 5/15/2028 15,693.755/15/2024 5/15/2024 398,925.98 89239BAC5 TAOT 2021-C A3 0.43% 1/15/2026 142.955/15/2024 5/15/2024 1,775,000.00 06428AAC2 BAAT 2023-1A A3 5.53% 2/15/2028 8,179.795/15/2024 5/15/2024 6,655,000.00 91282CEP2 US TREASURY NOTES 2.87% 5/15/2032 95,665.635/15/2024 5/15/2024 2,540,000.00 912828U24 US TREASURY NOTES 2.00% 11/15/2026 25,400.005/15/2024 5/15/2024 825,000.00 89231FAD2 TAOT 2023-C A3 5.16% 4/17/2028 3,547.505/15/2024 5/15/2024 4,195,000.00 91282CCB5 US TREASURY NOTES 1.62% 5/15/2031 34,084.385/15/2024 5/15/2024 209,305.80 14314QAC8 CARMX 2021-2 A3 0.52% 2/17/2026 90.705/15/2024 5/15/2024 3,380,000.00 161571HT4 CHAIT 2023-A1 A 5.16% 9/15/2028 14,534.005/15/2024 5/15/2024 1,000,000.00 912810FF0 US TREASURY NOTES 5.25% 11/15/2028 26,250.005/15/2024 5/15/2024 65,373.41 44933LAC7 HART 2021-A A3 0.38% 9/15/2025 20.705/16/2024 5/16/2024 410,000.00 36268GAD7 GMCAR 2024-1 A3 4.85% 12/18/2028 1,657.085/18/2024 5/18/2024 2,640,000.00 43815QAC1 HAROT 2023-3 A3 5.41% 2/18/2028 11,902.005/18/2024 5/18/2024 310,000.00 43815PAC3 HAROT 2022-2 A3 3.73% 7/20/2026 963.585/21/2024 5/21/2024 23,790.54 43813GAC5 HAROT 2021-1 A3 0.27% 4/21/2025 5.355/22/2024 5/22/2024 1,817,500.00 38148LAE6 GOLDMAN SACHS GROUP INC CORPORATE NOTES 3.75% 5/22/2025 34,078.135/31/2024 5/31/2024 6,772,500.00 91282CAZ4 US TREASURY NOTES 0.37% 11/30/2025 12,698.44 46 ATTACHMENT
A
© PFM Asset Management LLC pfmam.com

CITY OF STOCKTON
For the Quarter Ended June 30, 2024
Portfolio Activity
|
Quarterly Portfolio Transactions
Trade
Date
Settle
Date Par ($) CUSIP
Maturity
Date
Transact
Coupon Amount ($)
Yield
at Market
Realized
Security Description G/L (BV)
INTEREST5/31/2024 5/31/2024 2,830,000.00 91282CHF1 US TREASURY NOTES 3.75% 5/31/2030 53,062.505/31/2024 5/31/2024 7,500.00 9128283J7 US TREASURY NOTES 2.12% 11/30/2024 79.695/31/2024 5/31/2024 8,320,000.00 91282CCF6 US TREASURY NOTES 0.75% 5/31/2026 31,200.005/31/2024 5/31/2024 1,070,000.00 91282CFY2 US TREASURY NOTES 3.87% 11/30/2029 20,731.255/31/2024 5/31/2024 4,490,000.00 91282CES6 US TREASURY NOTES 2.75% 5/31/2029 61,737.506/1/2024 6/1/2024 77,500.00 13067WRB0 CA ST DEPT WTR RES WTR SYS TXBL REV BNDS 0.56% 12/1/2024 217.006/1/2024 6/1/2024 2,000,000.00 438516CB0 HONEYWELL INTL CORP NOTES (CALLABLE) 1.35% 6/1/2025 13,500.006/1/2024 6/25/2024 3,984,143.45 3137HAMR4 FHMS K507 A1 4.80% 4/1/2028 15,936.576/1/2024 6/25/2024 4,200,000.00 3137HBPD0 FHMS K515 A2 5.40% 1/1/2029 18,900.006/1/2024 6/25/2024 3,941,658.00 3137F2LJ3 FHLMC MULTIFAMILY STRUCTURED P 3.11% 6/1/2027 10,238.466/1/2024 6/25/2024 2,215,000.00 3137HBCF9 FHMS K512 A2 5.00% 11/1/2028 9,229.176/1/2024 6/25/2024 3,760,000.00 3137HC2C5 FHMS K517 A2 5.35% 1/1/2029 16,779.006/1/2024 6/25/2024 2,505,000.00 3137HBFY5 FHMS K513 A2 4.72% 12/1/2028 9,861.356/1/2024 6/25/2024 2,495,000.00 3137HBLV4 FHMS K514 A2 4.57% 12/1/2028 9,505.956/1/2024 6/25/2024 1,675,000.00 3137HB3D4 FHMS K510 A2 5.06% 10/1/2028 7,075.486/1/2024 6/25/2024 4,200,000.00 3137HAMS2 FHMS K507 A2 4.80% 9/1/2028 16,800.006/1/2024 6/25/2024 3,400,750.60 3137HAD45 FHMS KJ46 A1 4.77% 6/1/2028 13,537.82 47 ATTACHMENT
A
© PFM Asset Management LLC pfmam.com

CITY OF STOCKTON
For the Quarter Ended June 30, 2024
Portfolio Activity
|
Quarterly Portfolio Transactions
Trade
Date
Settle
Date Par ($) CUSIP
Maturity
Date
Transact
Coupon Amount ($)
Yield
at Market
Realized
Security Description G/L (BV)
INTEREST6/1/2024 6/25/2024 4,477,651.00 3137BXQY1 FHMS K064 A2 3.22% 3/1/2027 12,029.966/1/2024 6/25/2024 2,440,000.00 3137HB3G7 FHMS K511 A2 4.86% 10/1/2028 9,882.006/1/2024 6/25/2024 2,086,059.39 3137HAMG8 FHMS K506 A1 4.65% 5/1/2028 8,083.486/1/2024 6/25/2024 4,200,000.00 3137HACX2 FHMS K505 A2 4.81% 6/1/2028 16,866.506/1/2024 6/25/2024 4,250,000.00 3136BQDE6 FNA 2023-M6 A2 4.19% 7/1/2028 14,839.586/1/2024 6/25/2024 2,832,675.89 3137BTUM1 FHMS K061 A2 3.34% 11/1/2026 7,900.816/1/2024 6/25/2024 4,300,000.00 3137HAQ74 FHMS K508 A2 4.74% 8/1/2028 16,985.006/1/2024 6/25/2024 2,380,000.00 3137HCKV3 FHMS K520 A2 5.18% 3/1/2029 10,273.676/1/2024 6/25/2024 2,540,000.00 3137F1G44 FHLMC MULTIFAMILY STRUCTURED P 3.24% 4/1/2027 6,864.356/1/2024 6/25/2024 4,200,000.00 3137HAMH6 FHMS K506 A2 4.65% 8/1/2028 16,275.006/1/2024 6/25/2024 2,355,153.39 3137HAMN3 FHMS KJ47 A1 5.27% 8/1/2028 10,346.976/1/2024 6/25/2024 3,040,000.00 3137HC2L5 FHMS K518 A2 5.40% 1/1/2029 13,680.006/1/2024 6/25/2024 4,200,000.00 3137HBPM0 FHMS K516 A2 5.47% 1/1/2029 19,169.506/1/2024 6/25/2024 3,305,000.00 3137HAST4 FHMS K509 A2 4.85% 9/1/2028 13,357.716/3/2024 6/3/2024 MONEY0002 MONEY MARKET FUND 2,866.126/8/2024 6/8/2024 3,150,000.00 48125LRU8 JP MORGAN CORP NOTES (CALLABLE) 5.11% 12/8/2026 80,482.506/8/2024 6/8/2024 930,000.00 17305EGW9 CCCIT 2023-A1 A1 5.23% 12/8/2027 23,914.18 48 ATTACHMENT
A
© PFM Asset Management LLC pfmam.com

CITY OF STOCKTON
For the Quarter Ended June 30, 2024
Portfolio Activity
|
Quarterly Portfolio Transactions
Trade
Date
Settle
Date Par ($) CUSIP
Maturity
Date
Transact
Coupon Amount ($)
Yield
at Market
Realized
Security Description G/L (BV)
INTEREST6/15/2024 6/15/2024 211,756.32 44935FAD6 HART 2021-C A3 0.74% 5/15/2026 130.586/15/2024 6/15/2024 3,460,000.00 02582JKD1 AMXCA 2023-3 A 5.23% 9/15/2028 15,079.836/15/2024 6/15/2024 797,500.00 254683CP8 DCENT 2021-A1 A1 0.58% 9/15/2026 385.466/15/2024 6/15/2024 805,000.00 89239FAD4 TAOT 2023-D A3 5.54% 8/15/2028 3,716.426/15/2024 6/15/2024 825,000.00 89231FAD2 TAOT 2023-C A3 5.16% 4/17/2028 3,547.506/15/2024 6/15/2024 3,380,000.00 161571HT4 CHAIT 2023-A1 A 5.16% 9/15/2028 14,534.006/15/2024 6/15/2024 2,880,000.00 31680EAD3 FITAT 2023-1 A3 5.53% 8/15/2028 13,272.006/15/2024 6/15/2024 177,191.48 14314QAC8 CARMX 2021-2 A3 0.52% 2/17/2026 76.786/15/2024 6/15/2024 1,520,000.00 05522RDH8 BACCT 2023-A2 A2 4.98% 11/15/2028 6,308.006/15/2024 6/15/2024 46,911.17 14316NAC3 CARMX 2021-1 A3 0.34% 12/15/2025 13.296/15/2024 6/15/2024 3,825,000.00 161571HV9 CHAIT 2024-A1 A 4.60% 1/15/2027 14,662.506/15/2024 6/15/2024 1,085,000.00 500945AC4 KCOT 2023-2A A3 5.28% 1/18/2028 4,774.006/15/2024 6/15/2024 3,075,000.00 06054YAC1 BAAT 2023-2A A3 5.74% 6/15/2028 14,708.756/15/2024 6/15/2024 1,190,000.00 44918CAD4 HART 2023-C A3 5.54% 10/16/2028 5,493.836/15/2024 6/15/2024 1,775,000.00 06428AAC2 BAAT 2023-1A A3 5.53% 2/15/2028 8,179.796/15/2024 6/15/2024 352,993.45 89239BAC5 TAOT 2021-C A3 0.43% 1/15/2026 126.496/15/2024 6/15/2024 41,843.68 44933LAC7 HART 2021-A A3 0.38% 9/15/2025 13.25 49 ATTACHMENT
A
© PFM Asset Management LLC pfmam.com

CITY OF STOCKTON
For the Quarter Ended June 30, 2024
Portfolio Activity
|
Quarterly Portfolio Transactions
Trade
Date
Settle
Date Par ($) CUSIP
Maturity
Date
Transact
Coupon Amount ($)
Yield
at Market
Realized
Security Description G/L (BV)
INTEREST6/15/2024 6/15/2024 3,375,000.00 90291VAC4 USAOT 2023-A A3 5.58% 5/15/2028 15,693.756/16/2024 6/16/2024 410,000.00 36268GAD7 GMCAR 2024-1 A3 4.85% 12/18/2028 1,657.086/17/2024 6/17/2024 6,642,500.00 3135G04Z3 FANNIE MAE NOTES 0.50% 6/17/2025 16,606.256/18/2024 6/18/2024 297,499.61 43815PAC3 HAROT 2022-2 A3 3.73% 7/20/2026 924.736/18/2024 6/18/2024 2,640,000.00 43815QAC1 HAROT 2023-3 A3 5.41% 2/18/2028 11,902.006/21/2024 6/21/2024 1,454.21 43813GAC5 HAROT 2021-1 A3 0.27% 4/21/2025 0.336/30/2024 6/30/2024 2,945,000.00 91282CGC9 US TREASURY NOTES 3.87% 12/31/2027 57,059.386/30/2024 6/30/2024 6,400,000.00 91282CBC4 US TREASURY NOTES 0.37% 12/31/2025 12,000.006/30/2024 6/30/2024 4,215,000.00 912828ZV5 US TREASURY NOTES 0.50% 6/30/2027 10,537.506/30/2024 6/30/2024 490,000.00 91282CEV9 US TREASURY NOTES 3.25% 6/30/2029 7,962.506/30/2024 6/30/2024 2,030,000.00 91282CGB1 US TREASURY NOTES 3.87% 12/31/2029 39,331.256/30/2024 6/30/2024 4,300,000.00 91282CEW7 US TREASURY NOTES 3.25% 6/30/2027 69,875.006/30/2024 6/30/2024 1,597,500.00 912828ZW3 US TREASURY NOTES 0.25% 6/30/2025 1,996.88 Total INTEREST 482,797,091.38 2,900,427.26 0.00
MATURITY4/30/2024 4/30/2024 7,500.00 912828X70 US TREASURY NOTES 2.00% 4/30/2024 7,575.005/1/2024 5/1/2024 1,355,000.00 172967MX6 CITIGROUP INC CORPORATE NOTES (CALLED,OM 0.98% 5/1/2024 1,361,646.28 50 ATTACHMENT
A
© PFM Asset Management LLC pfmam.com

CITY OF STOCKTON
For the Quarter Ended June 30, 2024
Portfolio Activity
|
Quarterly Portfolio Transactions
Trade
Date
Settle
Date Par ($) CUSIP
Maturity
Date
Transact
Coupon Amount ($)
Yield
at Market
Realized
Security Description G/L (BV)
MATURITY5/12/2024 5/12/2024 2,500.00 023135BW5 AMAZON.COM INC CORPORATE NOTES 0.45% 5/12/2024 2,505.63 Total MATURITY 1,365,000.00 1,371,726.91 0.00
PAYDOWNS4/1/2024 4/25/2024 10,454.57 3137HAMR4 FHMS K507 A1 4.80% 4/1/2028 10,454.574/1/2024 4/25/2024 2,761.75 3137HAMN3 FHMS KJ47 A1 5.27% 8/1/2028 2,761.754/1/2024 4/25/2024 5,421.15 3137BTUM1 FHMS K061 A2 3.34% 11/1/2026 5,421.154/1/2024 4/25/2024 1,788.67 3137HAD45 FHMS KJ46 A1 4.77% 6/1/2028 1,788.674/1/2024 4/25/2024 1,610.32 3137HAMG8 FHMS K506 A1 4.65% 5/1/2028 1,610.324/15/2024 4/15/2024 46,418.28 89239BAC5 TAOT 2021-C A3 0.43% 1/15/2026 46,418.284/15/2024 4/15/2024 24,901.66 44933LAC7 HART 2021-A A3 0.38% 9/15/2025 24,901.664/15/2024 4/15/2024 14,021.23 14316NAC3 CARMX 2021-1 A3 0.34% 12/15/2025 14,021.234/15/2024 4/15/2024 26,813.57 44935FAD6 HART 2021-C A3 0.74% 5/15/2026 26,813.574/15/2024 4/15/2024 34,079.30 14314QAC8 CARMX 2021-2 A3 0.52% 2/17/2026 34,079.304/21/2024 4/21/2024 23,352.44 43813GAC5 HAROT 2021-1 A3 0.27% 4/21/2025 23,352.445/1/2024 5/25/2024 1,862.17 3137HAMG8 FHMS K506 A1 4.65% 5/1/2028 1,862.175/1/2024 5/25/2024 3,517.33 3137HAMN3 FHMS KJ47 A1 5.27% 8/1/2028 3,517.335/1/2024 5/25/2024 12,163.72 3137HAMR4 FHMS K507 A1 4.80% 4/1/2028 12,163.72 51 ATTACHMENT
A
© PFM Asset Management LLC pfmam.com

CITY OF STOCKTON
For the Quarter Ended June 30, 2024
Portfolio Activity
|
Quarterly Portfolio Transactions
Trade
Date
Settle
Date Par ($) CUSIP
Maturity
Date
Transact
Coupon Amount ($)
Yield
at Market
Realized
Security Description G/L (BV)
PAYDOWNS5/1/2024 5/25/2024 2,182.87 3137HAD45 FHMS KJ46 A1 4.77% 6/1/2028 2,182.875/1/2024 5/25/2024 5,783.05 3137BTUM1 FHMS K061 A2 3.34% 11/1/2026 5,783.055/15/2024 5/15/2024 45,932.53 89239BAC5 TAOT 2021-C A3 0.43% 1/15/2026 45,932.535/15/2024 5/15/2024 23,529.73 44933LAC7 HART 2021-A A3 0.38% 9/15/2025 23,529.735/15/2024 5/15/2024 32,114.32 14314QAC8 CARMX 2021-2 A3 0.52% 2/17/2026 32,114.325/15/2024 5/15/2024 13,080.96 14316NAC3 CARMX 2021-1 A3 0.34% 12/15/2025 13,080.965/15/2024 5/15/2024 24,868.36 44935FAD6 HART 2021-C A3 0.74% 5/15/2026 24,868.365/18/2024 5/18/2024 12,500.39 43815PAC3 HAROT 2022-2 A3 3.73% 7/20/2026 12,500.395/21/2024 5/21/2024 22,336.33 43813GAC5 HAROT 2021-1 A3 0.27% 4/21/2025 22,336.336/1/2024 6/25/2024 5,402.64 3137BTUM1 FHMS K061 A2 3.34% 11/1/2026 5,402.646/1/2024 6/25/2024 1,626.63 3137HAMG8 FHMS K506 A1 4.65% 5/1/2028 1,626.636/1/2024 6/25/2024 1,810.01 3137HAD45 FHMS KJ46 A1 4.77% 6/1/2028 1,810.016/1/2024 6/25/2024 10,562.06 3137HAMR4 FHMS K507 A1 4.80% 4/1/2028 10,562.066/1/2024 6/25/2024 2,798.37 3137HAMN3 FHMS KJ47 A1 5.27% 8/1/2028 2,798.376/15/2024 6/15/2024 24,641.21 44935FAD6 HART 2021-C A3 0.74% 5/15/2026 24,641.216/15/2024 6/15/2024 44,535.75 89239BAC5 TAOT 2021-C A3 0.43% 1/15/2026 44,535.756/15/2024 6/15/2024 31,366.56 14314QAC8 CARMX 2021-2 A3 0.52% 2/17/2026 31,366.56 52 ATTACHMENT
A
© PFM Asset Management LLC pfmam.com

CITY OF STOCKTON
For the Quarter Ended June 30, 2024
Portfolio Activity
|
Quarterly Portfolio Transactions
Trade
Date
Settle
Date Par ($) CUSIP
Maturity
Date
Transact
Coupon Amount ($)
Yield
at Market
Realized
Security Description G/L (BV)
PAYDOWNS6/15/2024 6/15/2024 13,744.50 14316NAC3 CARMX 2021-1 A3 0.34% 12/15/2025 13,744.506/15/2024 6/15/2024 23,425.33 44933LAC7 HART 2021-A A3 0.38% 9/15/2025 23,425.336/18/2024 6/18/2024 21,043.26 43815PAC3 HAROT 2022-2 A3 3.73% 7/20/2026 21,043.266/21/2024 6/21/2024 1,454.21 43813GAC5 HAROT 2021-1 A3 0.27% 4/21/2025 1,454.21 Total PAYDOWNS 573,905.23 573,905.23 0.00
SELL4/2/2024 4/4/2024 55,000.00 89236TGT6 TOYOTA MOTOR CREDIT CORP CORP NOTES 1.80% 2/13/2025 53,486.95 -1,751.484/2/2024 4/4/2024 2,295,000.00 594918BB9 MICROSOFT CORP (CALLABLE) NOTES 2.70% 2/12/2025 2,257,017.75 -73,680.034/9/2024 4/11/2024 3,680,000.00 66989HAP3 NOVARTIS CAPITAL CORP 1.75% 2/14/2025 3,584,433.47 -126,882.874/9/2024 4/11/2024 237,500.00 89236TGT6 TOYOTA MOTOR CREDIT CORP CORP NOTES 1.80% 2/13/2025 231,329.75 -7,273.554/9/2024 4/11/2024 397,500.00 89236TGT6 TOYOTA MOTOR CREDIT CORP CORP NOTES 1.80% 2/13/2025 387,172.95 -12,445.614/26/2024 4/30/2024 1,600,000.00 3135G03U5 FANNIE MAE NOTES 0.62% 4/22/2025 1,530,814.22 -71,447.544/29/2024 4/30/2024 195,000.00 912828ZL7 US TREASURY NOTES 0.37% 4/30/2025 185,927.93 -8,446.325/29/2024 5/30/2024 75,000.00 912828ZL7 US TREASURY NOTES 0.37% 4/30/2025 71,785.63 -3,016.415/30/2024 5/31/2024 2,725,000.00 3135G03U5 FANNIE MAE NOTES 0.62% 4/22/2025 2,617,545.30 -112,471.726/5/2024 6/5/2024 965,000.00 54438CYK2 LOS ANGELES CCD, CA TXBL GO BONDS 0.77% 8/1/2025 927,811.36 -39,758.006/12/2024 6/13/2024 725,000.00 797272QP9 SAN DIEGO CCD, CA TXBL GO BONDS 2.04% 8/1/2024 726,915.45 -3,523.50 53 ATTACHMENT
A
© PFM Asset Management LLC pfmam.com

CITY OF STOCKTON
For the Quarter Ended June 30, 2024
Portfolio Activity
|
Quarterly Portfolio Transactions
Trade
Date
Settle
Date Par ($) CUSIP
Maturity
Date
Transact
Coupon Amount ($)
Yield
at Market
Realized
Security Description G/L (BV)
SELL6/12/2024 6/13/2024 2,315,000.00 3135G03U5 FANNIE MAE NOTES 0.62% 4/22/2025 2,230,005.74 -89,631.266/12/2024 6/13/2024 335,000.00 3130AJHU6 FEDERAL HOME LOAN BANK NOTES 0.50% 4/14/2025 322,631.61 -12,365.066/12/2024 6/13/2024 640,000.00 574193TQ1 MD ST TXBL GO BONDS 0.51% 8/1/2024 636,832.00 -4,358.776/12/2024 6/13/2024 550,000.00 912828ZL7 US TREASURY NOTES 0.37% 4/30/2025 527,902.85 -20,791.586/26/2024 6/27/2024 2,960,000.00 91282CEV9 US TREASURY NOTES 3.25% 6/30/2029 2,861,735.27 -14,052.25 Total SELL 19,750,000.00 19,153,348.23 -601,895.95
54 ATTACHMENT
A
© PFM Asset Management LLC pfmam.com

CITY OF STOCKTON
For the Quarter Ended June 30, 2024
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. Bankis 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 sourcesexternal 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 arefor 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 ofthe 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 salescharges or fees an investor would pay to purchase the securities they represent. The imposition of these fees and charges would cause investment performance to belower 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 asof 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 actualevents 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 datapresented are not necessarily indicative of future events or expected performance.For more information regarding PFMAM's services or entities, please visit www.pfmam.com.© 2023 PFM Asset Management LLC. Further distribution is not permitted without prior written consent. 55 ATTACHMENT
A
© PFM Asset Management LLC pfmam.com

CITY OF STOCKTON
For the Quarter Ended June 30, 2024
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 estimatedmarket 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. 56 ATTACHMENT
A
© PFM Asset Management LLC pfmam.com

CITY OF STOCKTON
For the Quarter Ended June 30, 2024
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 addedor 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 compoundingon 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 themortgage-backed security. 57 ATTACHMENT
A
© PFM Asset Management LLC pfmam.com

CITY OF STOCKTON
For the Quarter Ended June 30, 2024
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 andmaturity 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, whosedecisions 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 periodfrom 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 timeperiod remaining until maturity, stated as a percentage on an annualized basis. 58 ATTACHMENT
A

INVESTMENT REPORT
City of Stockton | As of June 30, 2024
CHANDLER ASSET MANAGEMENT | chandlerasset.com
Chandler Team:

For questions about your account, please call (800) 317-4747, or contact [email protected]
Information contained herein is confidential. We urge you to compare this statement to the one you receive from your qualified custodian. Please see Important Disclosures at the end of the statement. 59 ATTACHMENT A

TABLE OF CONTENTS
City of Stockton | As of June 30, 2024

ECONOMIC UPDATE

ACCOUNT PROFILE

CONSOLIDATED INFORMATION

PORTFOLIO HOLDINGS

TRANSACTIONS
60 ATTACHMENT A

ECONOMIC UPDATE
61 ATTACHMENT A
Economic Update



Recent economic data suggests positive but slower growth this year fueled by consumer spending. While the consumer has been resilient, growing credit card debt, higher delinquencies, and a moderating labor market pose potential headwinds to future economic growth.

Inflationary trends are subsiding, but core levels remain above the Fed’s target. Given the cumulative effects of restrictive monetary policy and tighter financial conditions, we believe the economy will gradually soften and the Fed will loosen monetary policy in 2024.

As expected at the June meeting, the Federal Open Market Committee voted unanimously to leave the federal funds rate unchanged at a target range of 5.25-5.50%, emphasizing the need to see sustained evidence of easing inflation before considering any rate cuts. The FOMC's latest projections now suggest only one interest rate cut in 2024, with four more cuts expected in 2025 and a slightly higher longterm neutral rate. Additionally, the Fed continues to reduce its holdings of U.S. Treasury securities and agency mortgage-backed securities as per its predefined schedule of $25 billion and $35 billion per month.

The US Treasury yield curve shifted lower in June as economic data moderated. The 2-year Treasury yield fell 12 basis points to 4.76%, the 5-year Treasury dropped 13 basis points to 4.38%, and the 10-year Treasury yield declined 10 basis points to 4.40%. The inversion between the 2-year Treasury yield and 10-year Treasury yield remained relatively stable at -36 basis points at June month-end versus -37 basis points at May month-end. The spread between the 2-year Treasury and 10-year Treasury yield one year ago was -106 basis points. The inversion between 3-month and 10-year Treasuries widened to -96 basis points in June from -91 basis points in May. 62 ATTACHMENT A
Employment
-400
-200
0 200
400
600
800
1,000
MOM Change In Thousands (000's)
Nonfarm Payroll (000's)
Non-farm Payroll (000's)
3-month average (000's)

0.0%

5.0%

10.0%

15.0%

20.0%

25.0%
Unemployment Rate
Underemployment Rate (U6)
Unemployment Rate (U3)
Rate (%)
The U.S. economy added 206,000 jobs in June, remaining ahead of consensus expectations of 190,000 jobs. The gains were broad based, with government, health care, and social assistance posting the largest gains. The three-month moving average and six-month moving average payrolls have weakened from the first quarter to 177,000 and 222,000 respectively. The unemployment rate edged up to 4.1% in June, and the labor participation rate inched up to 62.6%, remaining below the pre-pandemic level of 63.3%. The U-6 underemployment rate, which includes those who are marginally attached to the labor force and employed part time for economic reasons held steady at

7.4%. Average hourly earnings rose 3.9% year-over-year in June, down from 4.1% year-over-year in May. The labor markets continue to show signs of cooling in line with the Federal Reserve’s view that there has been “substantial” progress towards better balance in the labor market between demand and supply for workers.

Source: US Department of Labor Source: US Department of Labor 63 ATTACHMENT A
Job Openings & Labor Turnover Survey
0 2,000
4,000
6,000
8,000
10,000
12,000
14,000
Job Openings
Recession
Historical Average
In Thousands (000's)
The Labor Department’s Job Openings and Labor Turnover Survey (JOLTS) increased to 8.140 million job openings in May from a downwardly revised 7.919 million in April. Job openings still represent a healthy ratio of around 1.2 jobs for each unemployed individual.

While the current level of job openings remains elevated from a historical perspective, the trend is decelerating.

Source: US Department of Labor
64 ATTACHMENT A
Inflation

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

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 Core Deflator YOY % Change
Fed Target
YOY (%) Change
In June, the Consumer Price Index (CPI) declined 0.1% month-over-month and rose 3.0% year-over-year, reflecting broad-based cost reductions. The month-over-month drop was the first deflationary data point since the pandemic. The Core CPI, which excludes volatile food and energy components, was up just 0.1% month-over-month and 3.3% year-over-year in June, down from 3.4% in May and lower than expected. The Personal Consumption Expenditures (PCE) Index decelerated in May as expected. The headline PCE deflator was unchanged in May from April versus up 0.3% in the prior month. Year-over-year, the PCE deflator rose 2.6%. The Core PCE deflator (the Fed’s preferred gauge) increased 0.1% in May from the prior month versus up 0.3% in April. The Core PCE deflator also rose 2.6% yearover-year, still above the Fed’s 2% inflation target. Much of the lingering inflation has been driven by shelter costs and demand for services.

Source: US Department of Labor Source: US Department of Commerce 65 ATTACHMENT A
Consumer
-30.0%
-20.0%
-10.0%

0.0%

10.0%

20.0%

30.0%

40.0%

50.0%

60.0%
Retail Sales YOY % Change
YOY (%) Change
Retail Sales were unchanged month-over-month in June after an upwardly revised 0.3% gain in May. On a year-over-year basis, Retail Sales growth further slowed to 2.3% in June from 2.6% in May. Nonstore retailers were a bright spot in June, while motor vehicle and gasoline sales declined. The Conference Board’s Consumer Confidence Index fell to 100.4 in June from 101.3 in May. While the present situation component rose marginally, consumers are less optimistic about future expectations for business conditions and potential income increases. While the consumer has been resilient, consumption has begun to moderate in the face of higher interest rates, rising credit card balances, and growing delinquencies.
0 20
40 60
80 100
120
140
160
Index Level
Consumer Confidence
Recession
Source: US Department of Commerce Source: The Conference Board All time high is 144.70 (1/31/00); All time low is 25.30 (2/28/09) 66 ATTACHMENT A
Leading Indicators of Economic Activity
-25.0%
-20.0%
-15.0%
-10.0%
-5.0%

0.0%

5.0%

10.0%

15.0%
Leading Economic Indicators (LEI)
Recession
YOY (%) Change
-1.00
-0.75
-0.50
-0.25

0.00 0.25

0.50 0.75

1.00 Chicago Fed National Activity Index (CFNAI)
Recession
3 Month Average
The Conference Board’s Leading Economic Index (LEI) fell 0.2% in June following a 0.4% decline in May. The index dropped 4.8% year-overyear. The report stated that "due to the smaller month-on-month rate of decline, the LEI's long-term growth has become less negative, pointing to a slow recovery.” The Chicago Fed National Activity Index (CFNAI) decreased to 0.05 in June from 0.23 in May, surpassing consensus expectations. The three-month moving average rose to -0.01 in June from -0.08 in May, indicating slightly below-trend growth expectations for the economy.

Source: The Conference Board Source: Federal Reserve Bank of Chicago 67 ATTACHMENT A
Housing
0 200
400
600
800
1,000
1,200
1,400
1,600
1,800
2,000
2,200
2,400
In Thousands of Units
Annualized Housing Starts
Multi Family Housing Starts
Single Family Housing Starts
Housing starts jumped 3.0% month-over-month in June to a higher-than-expected 1.353 million units, driven primarily by the multi-family category. Starts were down 4.4% year-over-year. The Freddie Mac average rate for a 30-year fixed mortgage edged down to 6.92% in June from 7.06% in May. According to the Case-Shiller 20-City Home Price Index, housing prices rose a higher-than-expected 7.2% yearover-year in April versus March's upwardly revised 7.5% increase. Tight inventories and higher mortgage rates continue to impact affordability.

Source: US Department of Commerce Source: S&P
-20.0%
-16.0%
-12.0%
-8.0%
-4.0%

0.0%

4.0%

8.0%

12.0%

16.0%

20.0%

24.0%
S&P/Case-Shiller 20 City Composite Home Price Index
Recession
YOY (%) Change
68 ATTACHMENT A
Survey Based Measures
40 45
50 55
60 65
70 Institute of Supply Management (ISM) Surveys
ISM Manufacturing ISM Services

EXPANDING

CONTRACTING
The Institute for Supply Management (ISM) Manufacturing index edged down to 48.5 in June from 48.7 in May. While new orders picked up, prices paid for materials fell the most in over a year. The ISM Services Index returned to contraction declining to 48.8 in June, from

53.8 in the previous month. Although the level of the decline was a surprise, the trend in the Services PMI, which applies to a larger share of US economic output, has been steadily decreasing.

Source: Institute for Supply Management
69 ATTACHMENT A
Gross Domestic Product (GDP)
Components of GDP 6/23 9/23 12/23 3/24

0.6% 2.1% 2.2% 1.0%

0.9% 1.7% 0.2% 0.8%

0.0% 0.0% 0.3% -0.7%

0.1% 0.5% 0.2% 0.0%

0.5% 0.5% 0.6% 0.3%

2.1% 4.9% 3.4% 1.4%
State and Local (Consumption and Gross
Investment)
Personal Consumption Expenditures
Gross Private Domestic Investment
Net Exports and Imports
Federal Government Expenditures
Total
-40.0%
-30.0%
-20.0%
-10.0%

0.0%

10.0%

20.0%

30.0%

40.0%
Gross Domestic Product (GDP)
GDP QOQ % Change
GDP YOY % Change
Source: US Department of Commerce Source: US Department of Commerce The third and final estimate of first quarter GDP came in as expected with growth up 1.4%, a small upward revision from 1.3% in the second estimate. Notably, the personal consumption expenditures component was revised down substantially to +1.5% in the final estimate from +2.0% in the second estimate. Weaker growth in consumer spending was offset by upward revisions in other major categories, particularly gross fixed investment. The consensus projection calls for 2.0% growth in the second quarter and 2.3% growth for the full year 2024.
70 ATTACHMENT A
Federal Reserve
Source: Federal Reserve Source: Bloomberg
0 1,000,000
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
Recession
In $ millions
As expected at the June meeting, the Federal Open Market Committee voted unanimously to leave the federal funds rate unchanged at a target range of 5.25-5.50%, emphasizing the need to see sustained evidence of easing inflation before considering any rate cuts. The FOMC's latest projections now suggest only one interest rate cut in 2024, with four more cuts expected in 2025 and a slightly higher longterm neutral rate. The Fed’s inflation projections ticked up marginally, while unemployment and GDP growth forecasts remained steady.

Additionally, the Fed continues to reduce its holdings of U.S. Treasury securities and agency mortgage-backed securities as per its predefined schedule of $25 billion and $35 billion per month. Since the Fed began its Quantitative Tightening campaign in June 2022, securities holdings have declined by approximately $1.7T to approximately $7.3T.

0.00%

1.00%

2.00%

3.00%

4.00%

5.00%

6.00%
Effective Federal Funds Rate
Recession
Yield (%)
71 ATTACHMENT A
Bond Yields
Source: Bloomberg Source: Bloomberg

0.0%

1.0%

2.0%

3.0%

4.0%

5.0%

6.0%
US Treasury Note Yields
2-Year
5-Year
10-Year
Yield (%)

0.0%

1.0%

2.0%

3.0%

4.0%

5.0%

6.0%
US Treasury Yield Curve
Jun-24
Mar-24
Jun-23
Yield (%)
At the end of June, the 2-year Treasury yield was 15 basis points lower, and the 10-Year Treasury yield was 56 basis points higher, yearover-year. The inversion between the 2-year Treasury yield and 10-year Treasury yield remained relatively stable at -36 basis points at June month-end versus -37 basis points at May month-end. The inversion has occurred since July 2022 and remains historically long. The average historical spread (since 2003) is about +130 basis points. The inversion between 3-month and 10-year Treasuries widened to -96 basis points in June from -91 basis points in May.
72 ATTACHMENT A

ACCOUNT PROFILE
73 ATTACHMENT A

OBJECTIVES
City of Stockton | As of June 30, 2024
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 be designed with the objective of attaining a market rate of return throughout budgetary and econmic cycles, taking into account the investment risk constraints and liquidity needs.

Chandler Asset Management Performance Objective
The performance objective for the portfolio is to earn a total rate of return through a market cycle that is equal to or above the return on the benchmark index.

Strategy
In order to achieve this objective, the portfolio invests in high-quality fixed income securities that comply with the investment policy and all regulations governing the funds. 74 ATTACHMENT A

STATEMENT OF COMPLIANCE
City of Stockton Reserve | Account #10020 | As of June 30, 2024 Rules Name Limit Actual Compliance
Status Notes

AGENCY MORTGAGE SECURITIES (CMOS)
Max % (MV) 20.0 2.3 Compliant
Max % Issuer (MV; Agencies & Agency CMOs) 20.0 10.1 Compliant Max Maturity (Years) 10.0 3.9 Compliant

ASSET-BACKED SECURITIES (ABS)
Max % (MV; Non Agency ABS & MBS) 20.0 5.2 Compliant
Max % Issuer (MV) 5.0 1.5 Compliant
Max Maturity (Years) 5 4 Compliant
Min Rating (AA by 1) 0.0 0.0 Compliant

BANKERS' ACCEPTANCES
Max % (MV) 40.0 0.0 Compliant
Max % Issuer (MV) 5.0 0.0 Compliant
Max Maturity (Days) 180 0.0 Compliant
Min Rating (A-1 by 1 or A- by 1) 0.0 0.0 Compliant

CERTIFICATE OF DEPOSIT PLACEMENT SERVICE (CDARS)
Max % (MV) 20.0 0.0 Compliant
Max Maturity (Years) 0.0 0.0 Compliant

COLLATERALIZED TIME DEPOSITS (NON-NEGOTIABLE
CD/TD)
Max % (MV) 20.0 0.0 Compliant
Max Maturity (Years) 5.0 0.0 Compliant

COMMERCIAL PAPER
Max % (MV) 40.0 0.0 Compliant
Max % Issuer (MV) 5.0 0.0 Compliant
Max Maturity (Days) 270 0.0 Compliant
Min Rating (A-1 by 1 or A- by 1) 0.0 0.0 Compliant

CORPORATE MEDIUM TERM NOTES
Max % (MV) 30.0 25.3 Compliant
Max % Issuer (MV) 5.0 1.4 Compliant
Max Maturity (Years) 5 4 Compliant
75 ATTACHMENT A

STATEMENT OF COMPLIANCE
City of Stockton Reserve | Account #10020 | As of June 30, 2024 Rules Name Limit Actual Compliance
Status Notes
Min Rating (A- by 1) 0.0 0.0 Compliant

FDIC INSURED TIME DEPOSITS (NON-NEGOTIABLE CD/
TD)
Max % (MV) 20.0 0.0 Compliant
Max Maturity (Years) 5 0.0 Compliant

FEDERAL AGENCIES
Max % (MV) 100.0 22.5 Compliant
Max % Issuer (MV; Agencies & Agency CMOs) 100.0 10.1 Compliant Max Callables (MV) 20.0 0.7 Compliant
Max Maturity (Years) 10 8 Compliant

LOCAL AGENCY INVESTMENT FUND (LAIF)
Max Concentration (MV) 75.0 0.0 Compliant

MONEY MARKET MUTUAL FUNDS
Max % (MV) 20.0 0.2 Compliant
Max % Issuer (MV) 20.0 0.2 Compliant
Min Rating (AAA by 2) 0.0 0.0 Compliant

MORTGAGE-BACKED SECURITIES (NON-AGENCY)
Max % (MV) 20.0 0.0 Compliant
Max % Issuer (MV) 5.0 0.0 Compliant
Max Maturity (Years) 5.0 0.0 Compliant
Min Rating (AA by 1) 0.0 0.0 Compliant

MUNICIPAL SECURITIES (CA, LOCAL AGENCY)
Max % (MV) 30.0 1.0 Compliant
Max % Issuer (MV) 5.0 0.3 Compliant
Max Maturity (Years) 10 1 Compliant
Min Rating (A- by 1) 0.0 0.0 Compliant

MUNICIPAL SECURITIES (CA, OTHER STATES)
Max % (MV) 30.0 0.9 Compliant
Max % Issuer (MV) 5.0 0.6 Compliant
Max Maturity (Years) 10 1 Compliant
76 ATTACHMENT A

STATEMENT OF COMPLIANCE
City of Stockton Reserve | Account #10020 | As of June 30, 2024 Rules Name Limit Actual Compliance
Status Notes
Min Rating (A- by 1) 0.0 0.0 Compliant

NEGOTIABLE CERTIFICATES OF DEPOSIT (NCD)
Max % (MV) 30.0 1.9 Compliant
Max % Issuer (MV) 5.0 1.9 Compliant
Max Maturity (Years) 5 0.0 Compliant
Min Rating (A-1 by 1 or A- by 1 if > FDIC Limit) 0.0 0.0 Compliant

REPURCHASE AGREEMENTS
Max Maturity (Years) 1.0 0.0 Compliant

SUPRANATIONAL OBLIGATIONS
Max % (MV) 30.0 1.3 Compliant
Max % Issuer (MV) 10.0 1.3 Compliant
Max Maturity (Years) 5 0.0 Compliant
Min Rating (AA- by 1) 0.0 0.0 Compliant
U.S. TREASURIES
Max % (MV) 100.0 39.5 Compliant
Max Maturity (Years) 10 9 Compliant
77 ATTACHMENT A

PORTFOLIO CHARACTERISTICS
City of Stockton Reserve | Account #10020 | As of June 30, 2024 Benchmark* 6/30/2024
Portfolio
3/31/2024
Portfolio
Average Maturity (yrs) 2.73 3.02 2.88
Average Modified Duration 2.52 2.58 2.49
Average Purchase Yield 2.76% 2.51%
Average Market Yield 4.72% 4.96% 4.81%
Average Quality** AA+ AA AA
Total Market Value 324,199,869 321,428,490
*Benchmark: ICE BofA 1-5 Year Gov/Corp A or better
**The credit quality is a weighted average calculation of the highest of S&P, Moody’s and Fitch. 78 ATTACHMENT A

SECTOR DISTRIBUTION
City of Stockton Reserve | Account #10020 | As of June 30, 2024 Sector as a Percentage of Market Value
Sector 06/30/2024 03/31/2024
US Treasury 39.5% 41.4%
Corporate 25.2% 22.2%
Agency 22.6% 22.1%
ABS 5.3% 4.5%
Agency CMBS 2.3% 2.3%
Muni Bonds 1.9% 1.9%
Neg CD 1.9% 1.9%
Supras 1.3% 1.3%
Money Mkt Fd 0.2% 0.1%
Cash 0.0% 1.0%
Comm Paper -- 1.4%
79 ATTACHMENT A

ISSUERS
City of Stockton Reserve | Account #10020 | As of June 30, 2024 Issuer Investment Type % Portfolio
United States US Treasury 39.48%
FNMA Agency 10.12%
Farm Credit System Agency 5.88%
Federal Home Loan Banks Agency 4.60%
FHLMC Multiple 4.00%
Westpac Banking Corporation Neg CD 1.86%
Chase Issuance Trust ABS 1.53%
JPMorgan Chase & Co. Corporate 1.40%
Toyota Motor Corporation Corporate 1.35%
Bank of America Corporation Corporate 1.35%
Deere & Company Corporate 1.33%
John Deere Owner Trust ABS 1.30%
Inter-American Development Bank Supras 1.29%
Walmart Inc. Corporate 1.27%
Caterpillar Inc. Corporate 1.24%
Morgan Stanley Corporate 1.21%
Visa Inc. Corporate 1.17%
UnitedHealth Group Incorporated Corporate 1.15%
Novartis AG Corporate 1.12%
PACCAR Inc Corporate 1.11%
The Charles Schwab Corporation Corporate 1.01%
Mastercard Incorporated Corporate 0.94%
National Rural Utilities Cooperative Corporate 0.93%
Cisco Systems, Inc. Corporate 0.93%
Massachusetts Mutual Life Insurance Corporate 0.92%
Prologis, Inc. Corporate 0.88%
Microsoft Corporation Corporate 0.82%
Amazon.com, Inc. Corporate 0.78%
80 ATTACHMENT A

ISSUERS
City of Stockton Reserve | Account #10020 | As of June 30, 2024 Issuer Investment Type % Portfolio
Northern Trust Corporation Corporate 0.67%
BMW Vehicle Owner Trust ABS 0.64%
Target Corporation Corporate 0.62%
Merck & Co., Inc. Corporate 0.61%
Honeywell International Inc. Corporate 0.60%
PepsiCo, Inc. Corporate 0.60%
Florida Hurricane Catastrophe Fund F Muni Bonds 0.56%
The Goldman Sachs Group, Inc. Corporate 0.55%
U.S. Bancorp Corporate 0.51%
Bank of America Credit Card Trust ABS 0.51%
American Express Credit Master Trust ABS 0.39%
Honda Auto Receivables Owner Trust ABS 0.33%
Los Angeles Community College Distri Muni Bonds 0.29%
Tennessee Valley Authority Agency 0.25%
Discover Card Execution Note Trust ABS 0.24%
University of California Muni Bonds 0.23%
San Diego Community College District Muni Bonds 0.22%
State of Maryland Muni Bonds 0.20%
California State University Muni Bonds 0.19%
Federated Hermes, Inc. Money Mkt Fd 0.18%
State of New Jersey Muni Bonds 0.16%
State Street Corporation Corporate 0.13%
BMW Vehicle Lease Trust ABS 0.11%
Toyota Auto Receivables Owner Trust ABS 0.09%
Hyundai Auto Receivables Trust ABS 0.06%
CarMax Auto Owner Trust ABS 0.06%
State of California Muni Bonds 0.02%
Cash Cash 0.00%
TOTAL 100.00%
81 ATTACHMENT A

QUALITY DISTRIBUTION
Rating 06/30/2024 03/31/2024
AAA 8.2% 8.3%
AA 71.9% 73.0%
A 17.7% 16.1%
BBB 0.6% 1.0%
NR 1.6% 1.7%
Rating 06/30/2024 03/31/2024
AAA 71.9% 74.8%
AA 6.7% 5.5%
A 19.2% 17.4%
NR 2.2% 2.3%
Rating 06/30/2024 03/31/2024
AAA 6.5% 7.4%
AA 69.8% 70.1%
A 11.4% 9.8%
NR 12.4% 12.6%
City of Stockton Reserve | Account #10020 | As of June 30, 2024 S&P Rating Moody’s Rating Fitch Rating
82 ATTACHMENT A
0-.25 .25-.5 .5-1 1-2 2-3 3-4 4-5 5-7 7+
Portfolio 5.4% 1.5% 19.2% 27.5% 10.3% 8.3% 15.1% 8.2% 4.6% ICE BofA 1-5 Year Gov/Corp A or better 0.0% 0.1% 2.3% 34.5% 27.6% 23.3% 12.2% 0.0% 0.0%

DURATION DISTRIBUTION
City of Stockton Reserve | Account #10020 | As of June 30, 2024 Portfolio Compared to the Benchmark
83 ATTACHMENT A
3 Months 12 Months 2 Years 3 Years 5 Years 10 Years Since Inception

TOTAL RATE OF RETURN
City of Stockton Reserve 0.87% 4.59% 2.21%
ICE BofA 1-5 Year Gov/Corp A or better 0.84% 4.34% 1.72% ICE BofA 1-5 Year Unsubordinated US Treasury & Agency Index 0.82% 4.18% 1.58% Basis Point Fee* 0.01% 0.02% (0.02%)
Net of Fees 0.86% 4.57% 2.23%
3 Months 12 Months 2 Years 3 Years 5 Years 10 Years Since Inception*

MARKET VALUE BASIS EARNINGS
Income Earned 4,072,401 7,296,315 11,675,316 11,675,316 11,675,316 23,060,017 24,448,133 Change in Market Value 3,544,808 13,717,235 37,934,310 37,934,310 37,934,310 198,295,990 263,996,181 TOTAL DOLLAR RETURN 7,383,102 20,817,870 332,819,633 332,819,633 332,819,633 332,819,633 332,819,633

INVESTMENT PERFORMANCE
City of Stockton Reserve | Account #10020 | As of June 30, 2024 Total and Realized Rate of Return : Inception | 08/01/2022 *Periods over 1 year are annualized.

Total rate of return: A measure of a portfolio’s performance over time. It is the internal rate of return, which equates the beginning value of the portfolio with the ending market value; it includes interest earnings, realized and unrealized gains and losses in the portfolio. Realized rate of return: A measure of a portfolio’s return over time. It is the internal rate which equates the beginning book value of the portfolio with the ending book value; it includes interest earnings, realized gains and losses in the portfolio. 84 ATTACHMENT A

HISTORICAL AVERAGE PURCHASE YIELD
City of Stockton Reserve | Account #10020 | As of June 30, 2024 Purchase Yield as of 06/30/24 = 2.76%

0.00 0.50

1.00 1.50

2.00 2.50

3.00 Percent (%)
85 ATTACHMENT A

PORTFOLIO CHARACTERISTICS
City of Stockton Enhanced Cash | Account #11194 | As of June 30, 2024 *Benchmark: ICE BofA 3-Month US Treasury Bill Index
**The credit quality is a weighted average calculation of the highest of S&P, Moody’s and Fitch.

Benchmark* 6/30/2024
Portfolio
5/31/2024
Portfolio
Average Maturity (yrs) 0.16 0.24 0.23
Average Modified Duration 0.16 0.23 0.23
Average Purchase Yield 5.41% 5.42%
Average Market Yield 5.30% 5.37% 5.36%
Average Quality** AA+ AAA AAA
Total Market Value 30,193,707 30,064,520
86 ATTACHMENT A

SECTOR DISTRIBUTION
City of Stockton Enhanced Cash | Account #11194 | As of June 30, 2024 Sector as a Percentage of Market Value
Sector 06/30/2024 05/31/2024
Comm Paper 39.7% 39.7%
US Treasury 35.7% 15.3%
Neg CD 24.5% 24.6%
Money Mkt Fd 0.0% 0.2%
Cash 0.0% 0.1%
Agency -- 20.1%
87 ATTACHMENT A

ISSUERS
City of Stockton Enhanced Cash | Account #11194 | As of June 30, 2024 Issuer Investment Type % Portfolio
United States US Treasury 35.67%
Mitsubishi UFJ Financial Group, Inc. Comm Paper 23.04%
The Toronto-Dominion Bank Neg CD 16.76%
Microsoft Corporation Comm Paper 16.69%
The Bank of Nova Scotia Neg CD 7.76%
Federated Hermes, Inc. Money Mkt Fd 0.04%
Cash Cash 0.03%
TOTAL 100.00%
88 ATTACHMENT A

QUALITY DISTRIBUTION
Rating 06/30/2024 05/31/2024
AAA 69.2% 69.2%
A 30.8% 30.8%
Rating 06/30/2024 05/31/2024
AAA 100.0% 100.0%
Rating 06/30/2024 05/31/2024
AAA 60.7% 60.7%
NR 39.3% 39.3%
City of Stockton Enhanced Cash | Account #11194 | As of June 30, 2024 S&P Rating Moody’s Rating Fitch Rating
89 ATTACHMENT A
0-.25 .25-.5 .5-1 1-2 2-3 3-4 4-5 5-7 7+
Portfolio 49.1% 50.9% 0.0% 0.0% 0.0% 0.0% 0.0% 0.0% 0.0% ICE BofA 3-Month US Treasury Bill Index 100.0% 0.0% 0.0% 0.0% 0.0% 0.0% 0.0% 0.0% 0.0%

DURATION DISTRIBUTION
City of Stockton Enhanced Cash | Account #11194 | As of June 30, 2024 Portfolio Compared to the Benchmark
90 ATTACHMENT A

CONSOLIDATED INFORMATION
91 ATTACHMENT A

PORTFOLIO CHARACTERISTICS
City of Stockton ConsAgg | Account #10021 | As of June 30, 2024 6/30/2024
Portfolio
3/31/2024
Portfolio
Average Maturity (yrs) 2.79 2.88
Average Modified Duration 2.38 2.69
Average Purchase Yield 2.99% 2.51%
Average Market Yield 4.99% 4.81%
Average Quality** AA AA
Total Market Value 354,393,576 321,428,490
*Benchmark: NO BENCHMARK REQUIRED
**The credit quality is a weighted average calculation of the highest of S&P, Moody’s and Fitch. 92 ATTACHMENT A

SECTOR DISTRIBUTION
City of Stockton ConsAgg | Account #10021 | As of June 30, 2024 Sector as a Percentage of Market Value
Sector 06/30/2024 03/31/2024
US Treasury 39.2% 41.4%
Corporate 23.1% 22.2%
Agency 20.7% 22.1%
ABS 4.8% 4.5%
Neg CD 3.8% 1.9%
Comm Paper 3.4% 1.4%
Agency CMBS 2.1% 2.3%
Muni Bonds 1.7% 1.9%
Supras 1.2% 1.3%
Money Mkt Fd 0.2% 0.1%
Cash 0.0% 1.0%
93 ATTACHMENT A

PORTFOLIO HOLDINGS
94 ATTACHMENT A

HOLDINGS REPORT
City of Stockton Reserve | Account #10020 | As of June 30, 2024 Cusip Security Description Par Value/
Units
Purchase
Date
Purchase
Yield
Cost Value
Book Value
Mkt Price
Mkt YTM
Market Value
Accrued Int.
% of Port.

Gain/Loss
Moody's/
S&P/
Fitch
Maturity
Duration
ABS
44933LAC7 HART 2021-A A3 0.38 09/15/2025 18,418.34 04/28/2021 18,416.40 99.76 18,374.28 0.01% NA/AAA 1.21

0.39% 18,417.96 4.84% 3.11 (43.68) AAA 0.06
05593AAC3 BMWLT 2023-1 A3 5.16 11/25/2025 365,532.43 02/07/2023 365,523.73 99.81 364,850.60 0.11% Aaa/AAA 1.41

5.43% 365,528.03 5.69% 314.36 (677.43) NA 0.42
14316NAC3 CARMX 2021-1 A3 0.34 12/15/2025 33,166.67 01/27/2021 33,160.12 99.39 32,963.24 0.01% NA/AAA 1.46

0.35% 33,165.74 4.36% 5.01 (202.50) AAA 0.16
89239BAC5 TAOT 2021-C A3 0.43 01/15/2026 308,457.71 09/27/2021 308,433.13 98.43 303,629.67 0.09% Aaa/AAA 1.54

0.43% 308,450.40 4.23% 58.95 (4,820.73) NA 0.44
14314QAC8 CARMX 2021-2 A3 0.52 02/17/2026 145,824.94 04/21/2021 145,793.51 98.95 144,290.73 0.04% NA/AAA 1.64

0.53% 145,818.16 4.03% 33.70 (1,527.43) AAA 0.31
44935FAD6 HART 2021-C A3 0.74 05/15/2026 187,115.11 11/17/2021 187,073.34 98.36 184,046.66 0.06% NA/AAA 1.87

0.75% 187,100.40 4.11% 61.54 (3,053.74) AAA 0.49
254683CP8 DCENT 2021-1 A 0.58 09/15/2024 797,500.00 09/27/2021 797,329.25 98.94 789,043.23 0.24% Aaa/AAA 0.21

0.59% 797,488.01 5.69% 205.58 (8,444.78) NA 0.28
05592XAD2 BMWOT 2023-A A3 5.47 02/25/2028 610,000.00 07/11/2023 609,891.91 100.31 611,911.37 0.19% NA/AAA 3.66

5.47% 609,914.32 5.39% 556.12 1,997.05 AAA 1.96
477920AC6 JDOT 2023-B A3 5.18 03/15/2028 1,085,000.00 06/21/2023 1,084,819.02 99.78 1,082,600.63 0.34% Aaa/NA 3.71

5.51% 1,084,857.80 5.38% 2,497.91 (2,257.17) AAA 1.81
02582JJZ4 AMXCA 2023-1 A 4.87 05/15/2028 1,270,000.00 06/07/2023 1,269,887.35 99.56 1,264,353.45 0.39% NA/AAA 3.88

4.87% 1,269,911.36 5.20% 2,748.84 (5,557.91) AAA 1.74
47787CAC7 JDOT 2023-C A3 5.48 05/15/2028 3,105,000.00 09/12/2023 3,104,786.69 100.32 3,115,048.09 0.97% Aaa/NA 3.88

5.40% 3,104,822.58 5.40% 7,562.40 10,225.51 AAA 2.01
438123AC5 HAROT 2023-4 A3 5.67 06/21/2028 1,050,000.00 11/01/2023 1,049,815.10 100.88 1,059,257.54 0.33% Aaa/NA 3.98

5.74% 1,049,840.97 5.37% 1,653.75 9,416.57 AAA 2.28
161571HT4 CHAIT 2023-1 A 5.16 09/15/2028 4,915,000.00 -- 4,920,147.11 100.26 4,927,547.01 1.53% NR/AAA 4.21

5.13% 4,919,037.84 5.11% 11,271.73 8,509.18 AAA 2.03
096919AD7 BMWOT 2024-A A3 5.18 02/26/2029 1,445,000.00 06/04/2024 1,444,780.51 100.10 1,446,427.52 0.45% Aaa/AAA 4.66

5.18% 1,444,783.06 5.21% 4,158.39 1,644.45 NA 2.10
05522RDJ4 BACCT 2024-1 A 4.93 03/15/2029 1,635,000.00 06/06/2024 1,634,908.28 100.04 1,635,648.44 0.51% Aaa/AAA 4.71

4.93% 1,634,909.23 4.99% 4,030.28 739.21 NA 2.61
95 ATTACHMENT A

HOLDINGS REPORT
City of Stockton Reserve | Account #10020 | As of June 30, 2024 Cusip Security Description Par Value/
Units
Purchase
Date
Purchase
Yield
Cost Value
Book Value
Mkt Price
Mkt YTM
Market Value
Accrued Int.
% of Port.

Gain/Loss
Moody's/
S&P/
Fitch
Maturity
Duration
16,974,765.44 100.06 16,979,992.47 5.27% Aaa/AAA 3.79
Total ABS 16,971,015.19 4.83% 16,974,045.85 5.21% 35,161.67 5,946.62 AAA 1.88 AGENCY
3135G0X24 FEDERAL NATIONAL MORTGAGE 4,380,000.00 03/04/2020 4,542,673.20 98.13 4,298,280.11 1.33% Aaa/AA+ 0.52 ASSOCIATION 1.625 01/07/2025 0.85% 4,397,471.97 5.31% 34,401.25 (99,191.86) AA+ 0.50 3130AJHU6 FEDERAL HOME LOAN BANKS 0.5 2,460,000.00 04/15/2020 2,447,798.40 96.40 2,371,332.74 0.74% Aaa/AA+ 0.79 04/14/2025 0.60% 2,458,080.12 5.22% 2,630.83 (86,747.38) AA+ 0.77 3135G03U5 FEDERAL NATIONAL MORTGAGE 10,880,000.00 -- 10,879,060.80 96.43 10,491,129.32 3.26% Aaa/AA+ 0.81 ASSOCIATION 0.625 04/22/2025 0.63% 10,879,873.73 5.18% 13,033.33 (388,744.41) AA+ 0.79 3135G04Z3 FEDERAL NATIONAL MORTGAGE 6,642,500.00 06/17/2020 6,628,750.02 95.66 6,354,481.20 1.97% Aaa/AA+ 0.96 ASSOCIATION 0.5 06/17/2025 0.54% 6,639,856.93 5.17% 1,291.60 (285,375.73) AA+ 0.94 3137EAEU9 FEDERAL HOME LOAN MORTGAGE 2,310,000.00 07/21/2020 2,298,496.20 95.27 2,200,845.04 0.68% Aaa/AA+ 1.06 CORP 0.375 07/21/2025 0.48% 2,307,571.84 5.01% 3,850.00 (106,726.80) AA+ 1.03 3135G05X7 FEDERAL NATIONAL MORTGAGE 3,995,000.00 08/25/2020 3,976,303.40 94.81 3,787,672.20 1.18% Aaa/AA+ 1.15 ASSOCIATION 0.375 08/25/2025 0.47% 3,990,699.58 5.07% 5,243.44 (203,027.37) AA+ 1.12 3137EAEX3 FEDERAL HOME LOAN MORTGAGE 3,545,000.00 09/23/2020 3,534,329.55 94.51 3,350,446.89 1.04% Aaa/AA+ 1.23 CORP 0.375 09/23/2025 0.44% 3,542,373.34 5.03% 3,618.85 (191,926.45) AA+ 1.20 3133EMBH4 FEDERAL FARM CREDIT BANKS 2,265,000.00 10/07/2020 2,261,036.25 94.48 2,140,046.36 0.66% Aaa/AA+ 1.25 FUNDING CORP 0.53 09/29/2025 0.57% 2,264,006.88 5.15% 3,067.82 (123,960.52) AA+ 1.21 3135G06G3 FEDERAL NATIONAL MORTGAGE 8,145,000.00 -- 8,127,104.90 94.22 7,674,587.97 2.38% Aaa/AA+ 1.36 ASSOCIATION 0.5 11/07/2025 0.54% 8,140,151.41 4.97% 6,108.75 (465,563.45) AA+ 1.32 3130ATS57 FEDERAL HOME LOAN BANKS 4.5 4,100,000.00 03/28/2023 4,211,028.00 99.88 4,094,969.42 1.27% Aaa/AA+ 3.70 03/10/2028 3.89% 4,182,779.73 4.53% 56,887.50 (87,810.30) AA+ 3.32 3133ERDH1 FEDERAL FARM CREDIT BANKS 2,500,000.00 04/29/2024 2,505,075.00 101.45 2,536,322.98 0.79% Aaa/AA+ 4.83 FUNDING CORP 4.75 04/30/2029 4.70% 2,504,902.68 4.41% 20,121.53 31,420.29 AA+ 4.25 3133EN7B0 FEDERAL FARM CREDIT BANKS 3,000,000.00 01/20/2023 2,985,090.00 96.35 2,890,613.37 0.90% Aaa/AA+ 5.57 FUNDING CORP 3.75 01/25/2030 3.83% 2,988,139.64 4.50% 48,750.00 (97,526.27) AA+ 4.87 3133EN4V9 FEDERAL FARM CREDIT BANKS 2,100,000.00 12/22/2022 2,087,505.00 98.05 2,059,046.66 0.64% Aaa/AA+ 6.23 FUNDING CORP 4.125 09/23/2030 4.22% 2,089,944.78 4.49% 23,581.25 (30,898.12) AA+ 5.37 3133ENQ45 FEDERAL FARM CREDIT BANKS 875,000.00 11/30/2022 866,250.00 98.59 862,674.16 0.27% Aaa/AA+ 6.25 FUNDING CORP 4.25 09/30/2030 4.40% 868,020.80 4.51% 9,400.17 (5,346.64) AA+ 5.37 96 ATTACHMENT A

HOLDINGS REPORT
City of Stockton Reserve | Account #10020 | As of June 30, 2024 Cusip Security Description Par Value/
Units
Purchase
Date
Purchase
Yield
Cost Value
Book Value
Mkt Price
Mkt YTM
Market Value
Accrued Int.
% of Port.

Gain/Loss
Moody's/
S&P/
Fitch
Maturity
Duration
880591EX6 TENNESSEE VALLEY AUTHORITY 1.5 1,003,000.00 01/23/2023 818,959.53 81.37 816,118.59 0.25% Aaa/AA+ 7.21 09/15/2031 4.03% 849,516.32 4.56% 4,429.92 (33,397.72) AA+ 6.62 3133ENFQ8 FEDERAL FARM CREDIT BANKS 2,303,000.00 01/25/2023 1,939,056.91 82.74 1,905,545.04 0.59% Aaa/AA+ 7.42 FUNDING CORP 1.81 12/01/2031 3.94% 1,997,855.52 4.58% 3,473.69 (92,310.48) AA+ 6.75 3133ENGS3 FEDERAL FARM CREDIT BANKS 4,500,000.00 02/24/2023 3,613,410.00 81.50 3,667,663.17 1.14% Aaa/AA+ 7.44 FUNDING CORP 1.625 12/09/2031 4.35% 3,748,872.77 4.59% 4,468.75 (81,209.60) AA+ 6.82 3133EN6M7 FEDERAL FARM CREDIT BANKS 3,000,000.00 01/18/2023 3,017,490.00 95.59 2,867,598.93 0.89% Aaa/AA+ 8.56 FUNDING CORP 4.0 01/19/2033 3.93% 3,014,957.23 4.63% 54,000.00 (147,358.30) AA+ 7.00 3130AV4X7 FEDERAL HOME LOAN BANKS 4.375 2,500,000.00 05/12/2023 2,568,175.00 97.97 2,449,349.98 0.76% Aaa/AA+ 8.70 03/11/2033 4.04% 2,560,327.65 4.66% 33,420.14 (110,977.68) AA+ 7.05 3130AVWG3 FEDERAL HOME LOAN BANKS 4.0 6,195,000.00 -- 5,998,322.75 95.51 5,916,949.94 1.84% Aaa/AA+ 8.94 06/10/2033 4.40% 6,017,303.42 4.62% 14,455.00 (100,353.48) AA+ 7.38 75,305,914.91 95.07 72,735,674.07 22.58% Aaa/AA+ 3.44
Total Agency 76,698,500.00 2.06% 75,442,706.34 4.89% 346,233.82 (2,707,032.27) AA+ 3.02

AGENCY CMBS
3137F2LJ3 FHMS K-066 A2 3.117 06/25/2027 2,400,000.00 10/20/2022 2,234,343.75 95.14 2,283,310.08 0.71% Aaa/AA+ 2.99

4.80% 2,294,985.77 4.92% 6,234.00 (11,675.69) AAA 2.66
3137FG6X8 FHMS K-077 A2 3.85 05/25/2028 5,245,000.00 05/24/2023 5,148,705.08 96.44 5,058,292.69 1.57% Aaa/AA+ 3.90

4.24% 5,170,020.64 4.85% 16,827.71 (111,727.95) AAA 3.46 7,383,048.83 96.04 7,341,602.77 2.28% Aaa/AA+ 3.62
Total Agency CMBS 7,645,000.00 4.42% 7,465,006.41 4.87% 23,061.71 (123,403.65) AAA 3.21 CASH
CCYUSD Receivable 15,014.12 -- 15,014.12 1.00 15,014.12 0.00% Aaa/AAA 0.00

0.00% 15,014.12 0.00% 0.00 0.00 AAA 0.00
15,014.12 1.00 15,014.12 0.00% Aaa/AAA 0.00
Total Cash 15,014.12 0.00% 15,014.12 0.00% 0.00 0.00 AAA 0.00

CORPORATE
97 ATTACHMENT A

HOLDINGS REPORT
City of Stockton Reserve | Account #10020 | As of June 30, 2024 Cusip Security Description Par Value/
Units
Purchase
Date
Purchase
Yield
Cost Value
Book Value
Mkt Price
Mkt YTM
Market Value
Accrued Int.
% of Port.

Gain/Loss
Moody's/
S&P/
Fitch
Maturity
Duration
931142EL3 WALMART INC 2.85 07/08/2024 4,100,000.00 05/12/2020

0.93%
4,418,693.00
4,100,000.00

99.94 5.44%
4,097,579.24
56,152.92

1.27%
(2,420.76)
Aa2/AA
AA

0.02 0.02
91159HHX1 US BANCORP 2.4 07/30/2024 1,650,000.00 08/01/2019

2.38%
1,651,369.50
1,650,000.00

99.72 5.69%
1,645,418.82
16,610.00

0.51%
(4,581.18)
A3/A
A

0.08 0.08
24422EVY2 JOHN DEERE CAPITAL CORP 1.25
01/10/2025
2,357,500.00 03/08/2022

2.16%
2,298,067.42
2,346,438.78

97.80 5.53%
2,305,685.73
13,997.66

0.72%
(40,753.04)
A1/A
A+

0.53 0.51
594918BB9 MICROSOFT CORP 2.7 02/12/2025 2,675,000.00 03/04/2021

0.77%
2,863,881.75
2,693,817.96

98.36 5.44%
2,631,068.96
27,886.88

0.82%
(62,749.00)
Aaa/AAA
WR

0.62 0.59
89236TGT6 TOYOTA MOTOR CREDIT CORP 1.8
02/13/2025
1,887,500.00 05/20/2020

1.59%
1,905,940.87
1,889,919.70

97.78 5.49%
1,845,603.94
13,023.75

0.57%
(44,315.76)
A1/A+
A+

0.62 0.60
66989HAP3 NOVARTIS CAPITAL CORP 1.75
02/14/2025
3,680,000.00 05/08/2020

0.99%
3,809,756.80
3,694,966.10

97.75 5.47%
3,597,210.78
24,507.78

1.12%
(97,755.31)
Aa3/AAAA0.63

0.60 023135CE4 AMAZON.COM INC 3.0 04/13/2025 2,567,500.00 04/11/2022

3.05%
2,563,417.67
2,566,434.72

98.21 5.35%
2,521,539.75
16,688.75

0.78%
(44,894.97)
A1/AA
AA0.790.76
38148LAE6 GOLDMAN SACHS GROUP INC 3.75
05/22/2025
1,817,500.00 02/12/2021

0.80%
2,030,474.65
1,851,785.14

98.37 5.64%
1,787,906.90
7,383.59

0.55%
(63,878.24)
A2/BBB+
A

0.89 0.86
438516CB0 HONEYWELL INTERNATIONAL INC

1.35 06/01/2025
2,000,000.00 09/03/2021

0.81%
2,039,160.00
2,008,944.13

96.43 5.38%
1,928,650.74
2,250.00

0.60%
(80,293.39)
A2/A
A

0.92 0.89
46647PCM6 JPMORGAN CHASE & CO 0.768
08/09/2025
1,680,000.00 08/03/2021

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

99.45 5.88%
1,670,804.05
5,089.28

0.52%
(9,195.95)
A1/AAA1.11

0.11 63743HFF4 NATIONAL RURAL UTILITIES
COOPERATIVE FINANCE CORP 5.45
10/30/2025
3,000,000.00 10/31/2022

5.26%
3,015,750.00
3,007,003.20
100.02

5.43%
3,000,669.03
27,704.17

0.93%
(6,334.17)
A2/AA1.33

1.26 857477BR3 STATE STREET CORP 1.746
02/06/2026
437,500.00 02/02/2022

1.75%
437,500.00
437,500.00

97.57 5.84%
426,883.44
3,076.72

0.13%
(10,616.56)
A1/A
AA1.610.58
06051GKM0 BANK OF AMERICA CORP 3.384
04/02/2026
1,875,000.00 03/17/2022

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

98.21 6.33%
1,841,423.81
15,686.25

0.57%
(33,576.19)
A1/AAA1.76

0.73 6174468Q5 MORGAN STANLEY 2.188
04/28/2026
2,200,000.00 08/24/2022

4.62%
2,072,268.00
2,158,520.56

97.11 6.66%
2,136,517.31
8,423.80

0.66%
(22,003.26)
A1/AA+1.83

0.80 91324PEC2 UNITEDHEALTH GROUP INC 1.15
05/15/2026
4,000,000.00 09/19/2022

4.16%
3,592,560.00
3,791,079.94

92.96 5.14%
3,718,278.28
5,877.78

1.15%
(72,801.66)
A2/A+
A

1.87 1.81
98 ATTACHMENT A

HOLDINGS REPORT
City of Stockton Reserve | Account #10020 | As of June 30, 2024 Cusip Security Description Par Value/
Units
Purchase
Date
Purchase
Yield
Cost Value
Book Value
Mkt Price
Mkt YTM
Market Value
Accrued Int.
% of Port.

Gain/Loss
Moody's/
S&P/
Fitch
Maturity
Duration
87612EBM7 TARGET CORP 1.95 01/15/2027 2,140,000.00 --

1.97%
2,137,844.40
2,138,900.22

93.06 4.89%
1,991,488.71
19,242.17

0.62%
(147,411.52)
A2/A
A

2.54 2.41
808513BY0 CHARLES SCHWAB CORP 2.45
03/03/2027
3,500,000.00 01/23/2023

4.35%
3,251,955.00
3,338,555.49

93.27 5.18%
3,264,310.21
28,106.94

1.01%
(74,245.28)
A2/AA2.67

2.52 665859AW4 NORTHERN TRUST CORP 4.0
05/10/2027
2,200,000.00 08/24/2022

3.93%
2,206,402.00
2,203,841.96

97.61 4.90%
2,147,508.37
12,466.67

0.67%
(56,333.59)
A2/A+
A+

2.86 2.65
92826CAH5 VISA INC 2.75 09/15/2027 4,000,000.00 03/27/2024

4.57%
3,769,760.00
3,787,037.09

93.95 4.81%
3,758,079.76
32,388.89

1.17%
(28,957.33)
Aa3/AANA3.21

2.99 74340XBV2 PROLOGIS LP 3.375 12/15/2027 3,000,000.00 01/25/2023

4.28%
2,881,530.00
2,916,147.43

94.83 5.02%
2,844,849.63
4,500.00

0.88%
(71,297.80)
A3/A
NA

3.46 3.20
24422EWR6 JOHN DEERE CAPITAL CORP 4.75
01/20/2028
2,000,000.00 01/20/2023

4.35%
2,035,920.00
2,025,589.55

99.57 4.88%
1,991,479.24
42,486.11

0.62%
(34,110.31)
A1/A
A+

3.56 3.17
713448FL7 PEPSICO INC 3.6 02/18/2028 2,000,000.00 04/27/2023

4.00%
1,964,920.00
1,973,505.32

96.15 4.76%
1,923,042.00
26,600.00

0.60%
(50,463.32)
A1/A+
NA

3.64 3.31
57636QAW4 MASTERCARD INC 4.875 03/09/2028 3,000,000.00 06/13/2024

4.50%
3,037,110.00
3,036,719.96
100.53

4.71%
3,016,029.33
45,500.00

0.94%
(20,690.63)
Aa3/A+
NA

3.69 3.23
61747YER2 MORGAN STANLEY 4.21 04/20/2028 1,800,000.00 07/31/2023

5.39%
1,729,026.00
1,746,573.66

97.17 5.72%
1,749,082.54
14,945.50

0.54%
2,508.88
A1/AA+3.81

2.58 58933YBH7 MERCK & CO INC 4.05 05/17/2028 2,000,000.00 --

4.03%
2,001,621.20
2,001,247.66

97.90 4.65%
1,957,938.06
9,900.00

0.61%
(43,309.60)
A1/A+
NA

3.88 3.53
46647PAM8 JPMORGAN CHASE & CO 3.509
01/23/2029
3,000,000.00 02/27/2024

5.19%
2,823,480.00
2,838,727.16

94.57 5.48%
2,836,988.13
46,201.83

0.88%
(1,739.03)
A1/AAA4.57

3.24 69371RS80 PACCAR FINANCIAL CORP 4.6
01/31/2029
3,600,000.00 01/29/2024

4.52%
3,612,132.00
3,611,122.66

98.90 4.87%
3,560,529.92
69,460.00

1.11%
(50,592.74)
A1/A+
NA

4.59 4.01
17275RBR2 CISCO SYSTEMS INC 4.85
02/26/2029
3,000,000.00 02/27/2024

4.84%
3,001,560.00
3,001,452.98

99.98 4.85%
2,999,470.74
50,520.83

0.93%
(1,982.24)
A1/AANA4.66

4.06 14913UAJ9 CATERPILLAR FINANCIAL SERVICES
CORP 4.85 02/27/2029
4,000,000.00 04/29/2024

5.08%
3,960,640.00
3,962,023.40
100.02

4.84%
4,000,946.00
66,822.22

1.24%
38,922.60
A2/A
A+

4.66 4.06
06051GLG2 BANK OF AMERICA CORP 5.202
04/25/2029
2,500,000.00 05/28/2024

5.38%
2,484,025.00
2,484,394.43

99.84 5.58%
2,496,038.95
23,842.50

0.77%
11,644.52
A1/AAA4.82

3.39 89236TMF9 TOYOTA MOTOR CREDIT CORP 5.05
05/16/2029
2,500,000.00 05/28/2024

5.09%
2,495,600.00
2,495,680.09
100.35

4.97%
2,508,741.98
15,781.25

0.78%
13,061.89
A1/A+
A+

4.88 4.25
99 ATTACHMENT A

HOLDINGS REPORT
City of Stockton Reserve | Account #10020 | As of June 30, 2024 Cusip Security Description Par Value/
Units
Purchase
Date
Purchase
Yield
Cost Value
Book Value
Mkt Price
Mkt YTM
Market Value
Accrued Int.
% of Port.

Gain/Loss
Moody's/
S&P/
Fitch
Maturity
Duration
57629W4T4 MASSMUTUAL GLOBAL FUNDING II

5.15 05/30/2029
2,950,000.00 05/22/2024

5.17%
2,947,551.50
2,947,594.41
100.18

5.11%
2,955,232.53
13,082.43

0.92%
7,638.12
Aa3/AA+
AA+

4.91 4.28
Total Corporate 83,117,500.00 3.59%
82,594,916.76
82,260,523.69

97.70 5.25%
81,156,996.87
766,206.66

25.19%
(1,103,526.81)
A1/A
A+

2.64 2.24

MONEY MARKET
FUND
60934N104 FEDERATED HRMS GV O INST 573,689.33 --

5.19%
573,689.33
573,689.33

1.00 5.19%
573,689.33

0.00 0.18%

0.00 Aaa/
AAAm
AAA

0.00 0.00
Total Money Market
Fund 573,689.33 5.19%
573,689.33
573,689.33

1.00 5.19%
573,689.33

0.00 0.18%

0.00 Aaa/
AAAm
AAA

0.00 0.00

MUNICIPAL BONDS
574193TQ1 MARYLAND ST 0.51 08/01/2024 647,500.00 07/23/2020

0.52%
647,318.70
647,496.14

99.59 5.24%
644,871.15
1,375.94

0.20%
(2,624.99)
Aaa/AAA
AAA

0.09 0.08
797272QP9 SAN DIEGO CALIF CMNTY COLLEGE
DIST 2.046 08/01/2024
725,000.00 09/18/2019

2.05%
725,000.00
725,000.00

99.70 5.48%
722,839.50
6,180.63

0.22%
(2,160.50)
Aa1/AAA
NA

0.09 0.08
13077DNC2 CALIFORNIA ST UNIV REV 0.685
11/01/2024
625,000.00 08/27/2020

0.68%
625,000.00
625,000.00

98.39 5.55%
614,950.00
713.54

0.19%
(10,050.00)
Aa2/AANA0.34

0.33 13067WRB0 CALIFORNIA ST DEPT WTR RES CENT
VY PROJ REV 0.56 12/01/2024
77,500.00 07/30/2020

0.56%
77,500.00
77,500.00

98.00 5.44%
75,948.45

36.17 0.02%
(1,551.55)
Aa1/AAA
NA

0.42 0.41
91412HGE7 UNIVERSITY CALIF REVS 0.883
05/15/2025
760,000.00 07/10/2020

0.88%
760,000.00
760,000.00

96.33 5.23%
732,108.00
857.49

0.23%
(27,892.00)
Aa2/AA
AA

0.87 0.85
341271AD6 FLORIDA ST BRD ADMIN FIN CORP
REV 1.258 07/01/2025
1,875,000.00 09/03/2020

1.17%
1,882,423.50
1,876,537.79

95.98 5.43%
1,799,568.75
11,793.75

0.56%
(76,969.04)
Aa3/AA
AA

1.00 0.97
54438CYK2 LOS ANGELES CALIF CMNTY
COLLEGEDIST 0.773 08/01/2025
965,000.00 10/30/2020

0.77%
965,000.00
965,000.00

95.52 5.06%
921,777.65
3,108.10

0.29%
(43,222.35)
Aaa/AA+
NA

1.09 1.05
646140DP5 NEW JERSEY ST TPK AUTH TPK REV

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

1.05%
557,500.00
557,500.00

94.02 5.24%
524,155.93
2,918.51

0.16%
(33,344.08)
A1/AAA+1.51

1.45 100

ATTACHMENT A

HOLDINGS REPORT
City of Stockton Reserve | Account #10020 | As of June 30, 2024 Cusip Security Description Par Value/
Units
Purchase
Date
Purchase
Yield
Cost Value
Book Value
Mkt Price
Mkt YTM
Market Value
Accrued Int.
% of Port.

Gain/Loss
Moody's/
S&P/
Fitch
Maturity
Duration
Total Municipal 6,239,742.20 96.88 6,036,219.43 1.87% Aa2/AA 0.76 Bonds 6,232,500.00 1.04% 6,234,033.93 5.33% 26,984.13 (197,814.50) AA 0.74

NEGOTIABLE CD
96130AWR5 Westpac Banking Corporation - New 6,000,000.00 03/22/2024 6,000,953.46 99.91 5,994,870.00 1.86% P-1/A-1+ 0.70 York Branch 5.32 03/14/2025 5.30% 6,000,683.71 5.37% 93,100.00 (5,813.71) NA 0.68 6,000,953.46 99.91 5,994,870.00 1.86% P-1/A-1+ 0.70
Total Negotiable CD 6,000,000.00 5.30% 6,000,683.71 5.37% 93,100.00 (5,813.71) NA 0.68

SUPRANATIONAL
4581X0DZ8 INTER-AMERICAN DEVELOPMENT 4,190,000.00 09/15/2021 4,186,899.40 98.88 4,143,139.25 1.29% Aaa/AAA 0.23 BANK 0.5 09/23/2024 0.52% 4,189,762.36 5.40% 5,703.06 (46,623.11) NA 0.23 4,186,899.40 98.88 4,143,139.25 1.29% Aaa/AAA 0.23
Total Supranational 4,190,000.00 0.52% 4,189,762.36 5.40% 5,703.06 (46,623.11) NA 0.23

US TREASURY
9128282U3 UNITED STATES TREASURY 1.875 2,237,500.00 -- 2,299,685.92 99.39 2,223,923.50 0.69% Aaa/AA+ 0.17 08/31/2024 1.29% 2,239,654.48 5.48% 14,022.38 (15,730.98) AA+ 0.17 91282CCX7 UNITED STATES TREASURY 0.375 1,577,500.00 10/04/2021 1,571,769.24 98.98 1,561,478.52 0.48% Aaa/AA+ 0.21 09/15/2024 0.50% 1,577,094.85 5.28% 1,736.11 (15,616.33) AA+ 0.21 9128283J7 UNITED STATES TREASURY 2.125 2,457,500.00 -- 2,511,903.66 98.72 2,425,941.28 0.75% Aaa/AA+ 0.42 11/30/2024 1.67% 2,462,082.59 5.26% 4,423.16 (36,141.32) AA+ 0.41 912828ZC7 UNITED STATES TREASURY 1.125 4,472,500.00 08/19/2021 4,565,793.56 97.33 4,352,956.69 1.35% Aaa/AA+ 0.67 02/28/2025 0.53% 4,490,015.16 5.24% 16,817.45 (137,058.46) AA+ 0.65 912828ZL7 UNITED STATES TREASURY 0.375 2,997,500.00 04/05/2021 2,958,391.99 96.12 2,881,141.97 0.89% Aaa/AA+ 0.83 04/30/2025 0.70% 2,989,515.01 5.19% 1,893.80 (108,373.04) AA+ 0.81 912828ZW3 UNITED STATES TREASURY 0.25 1,597,500.00 10/04/2021 1,571,103.81 95.31 1,522,570.38 0.47% Aaa/AA+ 1.00 06/30/2025 0.70% 1,590,450.69 5.12% 10.85 (67,880.31) AA+ 0.97 91282CAJ0 UNITED STATES TREASURY 0.25 7,600,000.00 -- 7,505,432.49 94.61 7,190,609.36 2.23% Aaa/AA+ 1.17 08/31/2025 0.56% 7,572,853.71 5.06% 6,350.54 (382,244.35) AA+ 1.14 101

ATTACHMENT A

HOLDINGS REPORT
City of Stockton Reserve | Account #10020 | As of June 30, 2024 Cusip Security Description Par Value/
Units
Purchase
Date
Purchase
Yield
Cost Value
Book Value
Mkt Price
Mkt YTM
Market Value
Accrued Int.
% of Port.

Gain/Loss
Moody's/
S&P/
Fitch
Maturity
Duration
91282CAZ4 UNITED STATES TREASURY 0.375
11/30/2025
6,772,500.00 --

0.93%
6,619,508.79
6,719,775.37

93.82 4.94%
6,353,716.10
2,151.10

1.97%
(366,059.28)
Aaa/AA+
AA+

1.42 1.38
91282CGA3 UNITED STATES TREASURY 4.0
12/15/2025
5,000,000.00 01/23/2024

4.42%
4,962,109.38
4,970,828.06

98.71 4.93%
4,935,546.90
8,743.17

1.53%
(35,281.16)
Aaa/AA+
AA+

1.46 1.40
91282CBC4 UNITED STATES TREASURY 0.375
12/31/2025
3,100,000.00 01/11/2021

0.49%
3,082,199.22
3,094,625.44

93.52 4.91%
2,899,105.46

31.59 0.90%
(195,519.98)
Aaa/AA+
AA+

1.50 1.46
9128286A3 UNITED STATES TREASURY 2.625
01/31/2026
1,707,500.00 02/04/2021

0.46%
1,890,055.76
1,765,513.06

96.58 4.89%
1,649,138.18
18,716.83

0.51%
(116,374.88)
Aaa/AA+
AA+

1.59 1.51
91282CBH3 UNITED STATES TREASURY 0.375
01/31/2026
17,305,000.00 --

0.79%
16,971,456.65
17,193,091.80

93.20 4.89%
16,128,124.85
27,098.49

5.01%
(1,064,966.95)
Aaa/AA+
AA+

1.59 1.54
91282CBQ3 UNITED STATES TREASURY 0.5
02/28/2026
12,670,000.00 --

0.94%
12,437,181.06
12,580,063.93

93.12 4.84%
11,797,947.72
21,174.05

3.66%
(782,116.21)
Aaa/AA+
AA+

1.67 1.62
91282CCF6 UNITED STATES TREASURY 0.75
05/31/2026
8,320,000.00 --

0.80%
8,301,545.71
8,312,920.11

92.74 4.76%
7,715,824.98
5,285.25

2.39%
(597,095.13)
Aaa/AA+
AA+

1.92 1.86
91282CCZ2 UNITED STATES TREASURY 0.875
09/30/2026
3,700,000.00 04/05/2022

2.75%
3,406,746.09
3,552,925.19

92.04 4.64%
3,405,300.77
8,137.98

1.06%
(147,624.42)
Aaa/AA+
AA+

2.25 2.18
912828V98 UNITED STATES TREASURY 2.25
02/15/2027
2,650,000.00 09/30/2022

4.06%
2,458,185.55
2,534,959.32

94.28 4.59%
2,498,349.62
22,441.28

0.78%
(36,609.70)
Aaa/AA+
AA+

2.63 2.48
91282CBJ9 UNITED STATES TREASURY 0.75
01/31/2028
540,000.00 03/14/2022

2.14%
498,382.03
514,637.84

87.80 4.47%
474,145.32
1,691.21

0.15%
(40,492.53)
Aaa/AA+
AA+

3.59 3.45
91282CCY5 UNITED STATES TREASURY 1.25
09/30/2028
525,000.00 03/14/2022

2.16%
495,591.79
505,911.11

87.88 4.41%
461,343.75
1,649.59

0.14%
(44,567.36)
Aaa/AA+
AA+

4.25 4.04
91282CJW2 UNITED STATES TREASURY 4.0
01/31/2029
7,000,000.00 03/27/2024

4.20%
6,940,117.19
6,943,331.24

98.46 4.37%
6,892,265.66
116,923.08

2.14%
(51,065.58)
Aaa/AA+
AA+

4.59 4.07
9128286B1 UNITED STATES TREASURY 2.625
02/15/2029
6,500,000.00 --

4.08%
6,047,519.53
6,112,143.70

92.70 4.38%
6,025,703.13
64,218.75

1.87%
(86,440.57)
Aaa/AA+
AA+

4.63 4.24
91282CKT7 UNITED STATES TREASURY 4.5
05/31/2029
6,500,000.00 06/13/2024

4.25%
6,572,617.19
6,572,055.20
100.68

4.34%
6,544,179.72
24,774.59

2.03%
(27,875.48)
Aaa/AA+
AA+

4.92 4.36
912828YB0 UNITED STATES TREASURY 1.625
08/15/2029
520,000.00 03/21/2022

2.29%
496,518.75
503,746.43

87.63 4.34%
455,670.31
3,180.36

0.14%
(48,076.12)
Aaa/AA+
AA+

5.13 4.79
91282CGJ4 UNITED STATES TREASURY 3.5
01/31/2030
6,700,000.00 --

4.02%
6,511,839.85
6,533,413.65

95.77 4.36%
6,416,296.88
97,923.08

1.99%
(117,116.78)
Aaa/AA+
AA+

5.59 4.93
102

ATTACHMENT A

HOLDINGS REPORT
City of Stockton Reserve | Account #10020 | As of June 30, 2024 Cusip Security Description Par Value/
Units
Purchase
Date
Purchase
Yield
Cost Value
Book Value
Mkt Price
Mkt YTM
Market Value
Accrued Int.
% of Port.

Gain/Loss
Moody's/
S&P/
Fitch
Maturity
Duration
912828Z94 UNITED STATES TREASURY 1.5
02/15/2030
542,500.00 04/06/2022

2.65%
498,040.43
510,632.40

85.83 4.37%
465,617.58
3,062.74

0.14%
(45,014.82)
Aaa/AA+
AA+

5.63 5.25
91282CAE1 UNITED STATES TREASURY 0.625
08/15/2030
587,500.00 04/06/2022

2.63%
498,755.37
522,397.31

80.14 4.35%
470,826.17
1,382.00

0.15%
(51,571.14)
Aaa/AA+
AA+

6.13 5.86
91282CBL4 UNITED STATES TREASURY 1.125
02/15/2031
565,000.00 04/06/2022

2.62%
498,104.88
514,911.45

81.78 4.32%
462,041.99
2,392.32

0.14%
(52,869.45)
Aaa/AA+
AA+

6.63 6.21
912810FP8 UNITED STATES TREASURY 5.375
02/15/2031
6,000,000.00 --

4.27%
6,403,066.41
6,376,086.82
106.35

4.26%
6,381,093.72
121,380.49

1.98%
5,006.90
Aaa/AA+
AA+

6.63 5.48
91282CCS8 UNITED STATES TREASURY 1.25
08/15/2031
562,500.00 04/06/2022

2.62%
498,515.62
513,738.39

81.16 4.35%
456,503.91
2,646.38

0.14%
(57,234.49)
Aaa/AA+
AA+

7.13 6.62
91282CFV8 UNITED STATES TREASURY 4.125
11/15/2032
6,000,000.00 --

3.72%
6,197,734.38
6,168,809.22

98.32 4.37%
5,898,984.36
31,610.05

1.83%
(269,824.86)
Aaa/AA+
AA+

8.38 6.97
91282CHT1 UNITED STATES TREASURY 3.875
08/15/2033
6,500,000.00 --

4.73%
6,069,570.31
6,099,007.48

96.20 4.38%
6,253,203.13
94,799.11

1.94%
154,195.64
Aaa/AA+
AA+

9.13 7.46
Total US Treasury 133,207,500.00 2.28%
131,339,442.61
132,037,191.01

95.65 4.72%
127,199,551.87
726,667.77

39.48%
(4,837,639.14)
Aaa/AA+
AA+

3.21 2.86
Total Portfolio 334,650,718.64 2.76%
330,614,387.06
331,192,656.75

96.25 4.96%
322,176,750.17
2,023,118.81
100.00%
(9,015,906.57)
Aa2/AAAA3.02

2.58 Total Market Value +
Accrued 324,199,868.98
103

ATTACHMENT A

HOLDINGS REPORT
City of Stockton Enhanced Cash | Account #11194 | As of June 30, 2024 Cusip Security Description Par Value/
Units
Purchase
Date
Purchase
Yield
Cost Value
Book Value
Mkt Price
Mkt YTM
Market Value
Accrued Int.
% of Port.

Gain/Loss
Moody's/
S&P/
Fitch
Maturity
Duration
CASH
CCYUSD Receivable 10,397.59 -- 10,397.59 1.00 10,397.59 0.03% Aaa/AAA 0.00

0.00% 10,397.59 0.00% 0.00 0.00 AAA 0.00
10,397.59 1.00 10,397.59 0.03% Aaa/AAA 0.00
Total Cash 10,397.59 0.00% 10,397.59 0.00% 0.00 0.00 AAA 0.00

COMMERCIAL
PAPER
59515MGK5 Microsoft Corporation 07/19/2024 5,000,000.00 05/23/2024 4,958,081.25 99.69 4,984,610.00 16.69% P-1/A-1+ 0.05

5.39% 4,986,762.50 5.31% 0.00 (2,152.50) WR 0.05
62479LKM6 MUFG Bank, Ltd. - New York Branch 7,000,000.00 05/23/2024 6,842,918.06 98.29 6,880,265.00 23.04% P-1/A-1 0.31 10/21/2024 5.48% 6,883,488.89 5.48% 0.00 (3,223.89) NA 0.30 Total Commercial 11,800,999.31 98.88 11,864,875.00 39.74% P-1/AA- 0.20 Paper 12,000,000.00 5.44% 11,870,251.39 5.41% 0.00 (5,376.39) 0.19

MONEY MARKET
FUND
60934N104 FEDERATED HRMS GV O INST 11,862.32 -- 11,862.32 1.00 11,862.32 0.04% Aaa/ 0.00

5.19% 11,862.32 5.19% 0.00 0.00 AAAm
AAA

0.00 Total Money Market 11,862.32 1.00 11,862.32 0.04%
Aaa/
AAAm 0.00
Fund 11,862.32 5.19% 11,862.32 5.19% 0.00 0.00 AAA 0.00

NEGOTIABLE CD
89115BAM2 Toronto-Dominion Bank - New York 5,000,000.00 05/28/2024 5,005,011.97 100.07 5,003,345.00 16.76% P-1/A-1+ 0.22 Branch 6.0 09/20/2024 5.45% 5,003,561.14 5.45% 236,666.67 (216.14) F1+ 0.22 06417M5J0 Bank of Nova Scotia, Houston 2,315,000.00 05/23/2024 2,318,380.50 100.10 2,317,375.19 7.76% P-1/A-1 0.30 Branch 6.0 10/18/2024 5.44% 2,317,489.69 5.43% 98,773.33 (114.50) F1+ 0.30 7,323,392.47 100.08 7,320,720.19 24.52% P-1/AA 0.25
Total Negotiable CD 7,315,000.00 5.45% 7,321,050.83 5.44% 335,440.00 (330.64) F1+ 0.25 104

ATTACHMENT A

HOLDINGS REPORT
City of Stockton Enhanced Cash | Account #11194 | As of June 30, 2024 Cusip Security Description Par Value/
Units
Purchase
Date
Purchase
Yield
Cost Value
Book Value
Mkt Price
Mkt YTM
Market Value
Accrued Int.
% of Port.

Gain/Loss
Moody's/
S&P/
Fitch
Maturity
Duration

US TREASURY
912797KC0 UNITED STATES TREASURY
08/22/2024
4,600,000.00 05/28/2024

5.41%
4,542,952.01
4,565,100.05

99.25 5.25%
4,565,271.98

0.00 15.29%
171.92
P-1/A-1+
F1+

0.15 0.14
912797LC9 UNITED STATES TREASURY
11/07/2024
6,200,000.00 06/14/2024

5.33%
6,073,262.99
6,085,670.81

98.15 5.30%
6,085,139.85

0.00 20.38%
(530.96)
P-1/A-1+
F1+

0.36 0.35
Total US Treasury 10,800,000.00 5.36%
10,616,215.00
10,650,770.86

98.62 5.28%
10,650,411.83

0.00 35.67%
(359.03)
P-1/A-1+
F1+

0.27 0.26
Total Portfolio 30,137,259.91 5.41%
29,762,866.69
29,864,332.99

99.01 5.37%
29,858,266.93
335,440.00
100.00%
(6,066.06)
Aaa/AA
AAA

0.24 0.23
Total Market Value +
Accrued 30,193,706.93
105

ATTACHMENT A

TRANSACTIONS
106

ATTACHMENT A

TRANSACTION LEDGER
City of Stockton Reserve | Account #10020|04/01/2024 Through 06/30/2024| Transaction
Type
Settlement
Date CUSIP Quantity Security Description Price Acq/DispYield Amount Interest Pur/Sold Total Amount Gain/Loss

ACQUISITIONS
Purchase 04/30/2024 3133ERDH1 2,500,000.00 FEDERAL FARM CREDIT

BANKS FUNDING CORP

4.75 04/30/2029
100.203 4.70% (2,505,075.00) 0.00 (2,505,075.00) 0.00
Purchase 04/30/2024 14913UAJ9 4,000,000.00 CATERPILLAR

FINANCIAL SERVICES
CORP 4.85 02/27/2029

99.016 5.08% (3,960,640.00) (33,950.00) (3,994,590.00) 0.00 Purchase 05/29/2024 91282CGJ4 700,000.00 UNITED STATES
TREASURY 3.5
01/31/2030

94.895 4.53% (664,261.72) (8,009.62) (672,271.34) 0.00
Purchase 05/29/2024 912810FP8 1,500,000.00 UNITED STATES TREASURY 5.375
02/15/2031
105.672 4.39% (1,585,078.13) (23,035.71) (1,608,113.84) 0.00 Purchase 05/29/2024 89236TMF9 2,500,000.00 TOYOTA MOTOR CREDIT CORP 5.05
05/16/2029

99.824 5.09% (2,495,600.00) (4,559.03) (2,500,159.03) 0.00 Purchase 05/29/2024 06051GLG2 2,500,000.00 BANK OF AMERICA CORP 5.202
04/25/2029

99.361 5.35% (2,484,025.00) (12,282.50) (2,496,307.50) 0.00 Purchase 05/30/2024 57629W4T4 2,950,000.00 MASSMUTUAL GLOBAL FUNDING II 5.15
05/30/2029

99.917 5.17% (2,947,551.50) 0.00 (2,947,551.50) 0.00
Purchase 06/11/2024 096919AD7 1,445,000.00 BMWOT 2024-A A3

5.18 02/26/2029

99.985 5.18% (1,444,780.51) 0.00 (1,444,780.51) 0.00
Purchase 06/13/2024 05522RDJ4 1,635,000.00 BACCT 2024-1 A 4.93 03/15/2029

99.994 4.93% (1,634,908.28) 0.00 (1,634,908.28) 0.00
Purchase 06/17/2024 57636QAW4 3,000,000.00 MASTERCARD INC

4.875 03/09/2028
101.237 4.50% (3,037,110.00) (39,812.50) (3,076,922.50) 0.00 Purchase 06/17/2024 91282CKT7 6,500,000.00 UNITED STATES TREASURY 4.5
05/31/2029
101.117 4.25% (6,572,617.19) (13,586.07) (6,586,203.26) 0.00 Total Purchase 29,230,000.00 (29,331,647.33) (135,235.43) (29,466,882.76) 0.00 107

ATTACHMENT A

TRANSACTION LEDGER
City of Stockton Reserve | Account #10020|04/01/2024 Through 06/30/2024| Transaction
Type
Settlement
Date CUSIP Quantity Security Description Price Acq/DispYield Amount Interest Pur/Sold Total Amount Gain/Loss TOTAL
ACQUISITIONS 29,230,000.00 (29,331,647.33) (135,235.43) (29,466,882.76) 0.00

DISPOSITIONS
Call
Redemption
05/01/2024 172967MX6 (1,355,000.00) CITIGROUP INC 0.981 05/01/2025
100.000 0.98% 1,355,000.00 0.00 1,355,000.00 0.00
Total Call
Redemption (1,355,000.00) 1,355,000.00 0.00 1,355,000.00 0.00 Maturity 04/01/2024 57636QAB0 (2,125,000.00) MASTERCARD INC

3.375 04/01/2024
100.000 3.38% 2,125,000.00 0.00 2,125,000.00 0.00
Maturity 04/08/2024 3133ELVX9 (750,000.00) FEDERAL FARM CREDIT

BANKS FUNDING CORP

0.875 04/08/2024
100.000 0.88% 750,000.00 0.00 750,000.00 0.00
Maturity 04/30/2024 912828X70 (2,257,500.00) UNITED STATES TREASURY 2.0
04/30/2024
100.000 2.00% 2,257,500.00 0.00 2,257,500.00 0.00
Maturity 05/06/2024 62479LE68 (4,500,000.00) MUFG Bank, Ltd. - New York Branch
05/06/2024
100.000 0.00% 4,500,000.00 0.00 4,500,000.00 0.00
Maturity 05/12/2024 023135BW5 (1,542,500.00) AMAZON.COM INC

0.45 05/12/2024
100.000 0.45% 1,542,500.00 0.00 1,542,500.00 0.00
Total Maturity (11,175,000.00) 11,175,000.00 0.00 11,175,000.00 0.00 Sale 06/06/2024 91282CAT8 (1,500,000.00) UNITED STATES
TREASURY 0.25
10/31/2025

93.672 0.78% 1,405,078.13 377.04 1,405,455.17 (83,979.74) Sale 06/12/2024 91282CAJ0 (1,220,000.00) UNITED STATES
TREASURY 0.25
08/31/2025

94.336 0.63% 1,150,898.44 861.96 1,151,760.40 (64,549.51) Sale 06/14/2024 9128282U3 (4,900,000.00) UNITED STATES
TREASURY 1.875
08/31/2024

99.250 1.34% 4,863,250.00 26,463.99 4,889,713.99 (42,783.10) 108

ATTACHMENT A

TRANSACTION LEDGER
City of Stockton Reserve | Account #10020|04/01/2024 Through 06/30/2024| Transaction
Type
Settlement
Date CUSIP Quantity Security Description Price Acq/DispYield Amount Interest Pur/Sold Total Amount Gain/Loss Sale 06/14/2024 9128283J7 (3,000,000.00) UNITED STATES
TREASURY 2.125
11/30/2024

98.527 1.70% 2,955,820.31 2,438.52 2,958,258.83 (50,399.57) Sale 06/14/2024 91282CAT8 (2,000,000.00) UNITED STATES
TREASURY 0.25
10/31/2025

93.852 0.78% 1,877,031.25 611.41 1,877,642.66 (108,607.21) Total Sale (12,620,000.00) 12,252,078.13 30,752.92 12,282,831.05 (350,319.13) TOTAL
DISPOSITIONS (25,150,000.00) 24,782,078.13 30,752.92 24,812,831.05 (350,319.13) 109

ATTACHMENT A

TRANSACTION LEDGER
City of Stockton Enhanced Cash | Account #11194|06/01/2024 Through 06/30/2024| Transaction
Type
Settlement
Date CUSIP Quantity Security Description Price Acq/DispYield Amount Interest Pur/Sold Total Amount Gain/Loss

ACQUISITIONS
Purchase 06/17/2024 912797LC9 6,200,000.00 UNITED STATES TREASURY 11/07/2024

97.956 5.33% (6,073,262.99) 0.00 (6,073,262.99) 0.00
Total Purchase 6,200,000.00 (6,073,262.99) 0.00 (6,073,262.99) 0.00 TOTAL
ACQUISITIONS 6,200,000.00 (6,073,262.99) 0.00 (6,073,262.99) 0.00

DISPOSITIONS
Maturity 06/05/2024 880592XT2 (6,000,000.00) TENNESSEEVALLEY

AUTHORITY
06/05/2024
100.000 0.00% 6,000,000.00 0.00 6,000,000.00 0.00
Total Maturity (6,000,000.00) 6,000,000.00 0.00 6,000,000.00 0.00 TOTAL
DISPOSITIONS (6,000,000.00) 6,000,000.00 0.00 6,000,000.00 0.00 110

ATTACHMENT A

IMPORTANT DISCLOSURES
City of Stockton Reserve | Account #10020 | As of June 30, 2024 2024 Chandler Asset Management, Inc, An Independent Registered Investment Adviser.

Information contained herein is confidential. Prices are provided by ICE Data Services Inc (“IDS”), an independent pricing source. In the event IDS does not provide 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 with our written valuation policy and procedures. Our valuation procedures are also disclosed in Item 5 of our Form ADV Part 2A.

Performance results are presented 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 and other earnings. Past performance may not be indicative of 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 may materially alter the performance and results 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 in an index.

Source ICE Data Indices, LLC (“ICE”), used with permission. ICE permits use of the ICE indices and related data on an “asis” basis; ICE, its affiliates and their respective third party suppliers disclaim any and all warranties and representations, express and/or implied, including any warranties of merchantability or fitness for a particular purpose or use, including the indices, index data and any data included in, related to, or derived therefrom. Neither ICE data, its affiliates or their respective third party providers guarantee the quality, adequacy, accuracy, timeliness or completeness of the indices or the index data or any component thereof, and the indices and index data and all components thereof are provided on an “as is” basis and licensee’s use it at licensee’s own risk. ICE data, its affiliates and their respective third party do not sponsor, endorse, or recommend chandler asset management, or any of its products or services.

This report is provided for informational purposes only and should not be construed as a specific investment or legal advice. The information contained herein was obtained from sources believed to be reliable as of the date of publication, but may become outdated or superseded at any time without notice. Any opinions or views expressed are based on current market conditions and are subject to change. This report may contain forecasts and forward-looking statements which are inherently limited and should not be relied upon as indicator of future results. Past performance is not indicative of future results. This report is not intended to constitute an offer, solicitation, recommendation or advice regarding any securities or investment strategy and should not be regarded by recipients as a substitute for the exercise of their own judgment.

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 able to repay interest and principal. Low rated bonds generally have to pay higher interest rates to attract investors willing to take on greater risk. Market risk: the bond market in general could decline due to economic conditions, especially during periods of rising interest rates.

Ratings information have been provided by Moody’s, S&P and Fitch through data feeds we believe to be reliable as of the date of this statement, however we cannot guarantee its accuracy.

Security level ratings for U.S. Agency issued mortgage-backed securities (“MBS”) reflect the issuer rating because the securities themselves are not rated. The issuing U.S. Agency guarantees the full and timely payment of both principal and interest and carries a AA+/Aaa/AAA by S&P, Moody’s and Fitch respectively. 111

ATTACHMENT A

BENCHMARK DISCLOSURES
City of Stockton Reserve | Account #10020 | As of June 30, 2024 Benchmark Disclosure
ICE BofA 1-5 Year Gov/Corp A or better The ICE BofA US Issuers 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, and corporate securities. Qualifying securities must be issued from US issuers and be rated AAA through A3 (based on an average of Moody’s, S&P and Fitch). In addition, qualifying securities must have at least one year remaining term to final maturity and less than five years remaining term to final maturity, at least 18 months to final maturity at point of issuance, a fixed coupon schedule, and a minimum amount outstanding of $1 billion for US Treasuries and $250 million for all other securities.

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 nonsubordinated US agency debt issued in the US domestic market. Qualifying securities must have an investment grade rating (based on an average of Moody’s, S&P and Fitch). Qualifying securities must have at least one year remaining term to final maturity and less than five years remaining term to final maturity, at least 18 months to maturity at time of issuance, a fixed coupon schedule, and a minimum amount outstanding of $1 billion for sovereigns and $250 million for agencies. 112

ATTACHMENT A

ATTACHMENT B
City of Stockton
Legislation Text
File #: 24-0757, Version: 1

ACCEPT COMMITTEE MINUTES FOR FILING

RECOMMENDATION
Accept for filing minutes from the Council Budget/Finance/Economic Development Commission meeting June 11, 2024
Attachment A - 2024-06-11
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City of Stockton
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File #: 24-0759, Version: 1

APPROVAL OF CITY COUNCIL MINUTES

RECOMMENDATION
Approve the minutes from the City Council meetings of June 18, 2024 and June 27, 2024, July 9, 2024
Attachment A - 2024-06-18 Minutes
Attachment B - 2024-06-27 Minutes
Attachment C - 2024-07-09 Minutes
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City of Stockton
Legislation Text
File #: 24-0761, Version: 1

DESIGNATING VOTING DELEGATE AND ALTERNATE FOR THE LEAGUE OF CALIFORNIA CITIES ANNUAL CONFERENCE TO BE HELD OCTOBER 16-18, 2024

RECOMMENDATION
It is recommended that the City Council, by resolution, designate one member to serve as voting delegate and one member to serve as alternate voting delegate representing the City at the League of California Cities Annual Conference, to be held October 16-18, 2024, in Long Beach, California.

Summary
The League of California Cities bylaws require each voting member city to designate one voting member and at least one alternate. The voting member and alternate(s) must be designated by City Council action. Stockton City Council Policy 2.05 states that the Mayor shall designate the Voting Delegate and Alternate.

DISCUSSION
Present Situation
The League of California Cities Annual Conference is scheduled for October 16-18, 2024, at the Long Beach Convention Center in Long Beach, California. The Annual Business Meeting will be held during General Assembly on Friday, October 18, 2024.

An important aspect of the League’s Conference is the Annual Business Meeting at which time the membership considers and takes action on resolutions that establish League policy. The agenda outlining these resolutions is still being finalized. A completed packet with proposed resolutions will be presented to member cities prior to the conference.

The Mayor has re-appointed Councilmember Dan Wright, District 2 as the Voting Delegate, with Vice Mayor Kimberly Warmsley, District 6 as the Alternate.

FINANCIAL SUMMARY
This action has no specific financial impact on City funds.

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Resolution No.

STOCKTON CITY COUNCIL

RESOLUTION DESIGNATING VOTING DELEGATES FOR THE LEAGUE OF CALIFORNIA CITIES ANNUAL CONFERENCE TO BE HELD OCTOBER 16-18, 2024,

IN LONG BEACH, CALIFORNIA
The League of California Cities will host their Annual Conference October 16-18, 2024, in Long Beach, California, at the Long Beach Convention Center; and
The League of California Cities bylaws require that each voting member City, by Council action, designate one voting member and at least one alternate; and The City of Stockton Council Policy 2.05 states that the Mayor shall present for Council consideration a Resolution designating the Voting Delegate and Alternate; now, therefore,

BE IT RESOLVED BY THE CITY COUNCIL OF THE CITY OF STOCKTON, AS FOLLOWS:

1. The Mayor hereby appoints Councilmember Dan Wright to serve as the City’s Voting Delegate.

2. Vice Mayor Kimberly Warmsley to serve as the Alternate.

3. Authorizes the City Clerk to submit the League of California Cities 2024 Voting Delegate Form on behalf of the City.

4. Authorizes the City Manager to take all necessary and appropriate actions to carry out the intent of this resolution.

PASSED, APPROVED, and ADOPTED August 20, 2024 .

KEVIN J. LINCOLN II
Mayor of the City of Stockton
ATTEST:

KATHERINE ROLAND, CMC, CPMC
Interim City Clerk of the City of Stockton
City of Stockton
Legislation Text
File #: 24-0710, Version: 1
RESCIND APRIL 28, 1986, COUNCIL ACTION SETTING INTERPRETER LANGUAGE ON CITY

AGENDAS AND DELEGATE AUTHORITY TO THE CITY CLERK TO UPDATE PUBLIC ACCESS

LANGUAGE ON CITY AGENDAS

RECOMMENDATION
Staff recommends Council approve a motion:

1. Rescinding the action taken by Council at the April 28, 1986, Council meeting which specified that the City of Stockton does not furnish interpreters at public meetings; and

2. Delegating authority to the City Clerk to make changes to the public access language on future City agendas as needed and consistent with the law.

Summary
On April 28, 1986, the Council approved specific language to be placed on meeting agendas which notified the public that the city did not provide interpreters and if one was needed, it was the responsibility of the individual needing the interpreter.

Currently, the city is adding interpreter services for public meetings which requires a change to the existing language. However, the language cannot be updated without Council action given the lack of flexibility in the prior direction. The City Clerk now requests that the Council rescind the action taken in 1986 and delegate the authority to make changes to the language as needed.

DISCUSSION
Background
The City Council approved by motion specific language to be published on all City meeting agendas and forms distributed to the public. This approval occurred April 28, 1986, and the language is as follows.
“All proceedings before the City Council and Boards and Commissions are conducted in English.

The City of Stockton does not furnish interpreters and, if one is needed, it shall be the responsibility of the person needing one.”
This language is out of date and prevents the inclusion of amended language consistent with the provision of meeting interpreters.

Present Situation
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File #: 24-0710, Version: 1
The City is adding interpreter services, and the 1986 Council action setting agenda language prevents updates that enable the City Clerk’s Office to communicate the provision of those services.

Rescinding the action and delegating authority to the City Clerk to update public access language on City agendas will enable the City to provide the most current information for our citizens regarding available language services.

FINANCIAL SUMMARY
There is no financial impact to make this change.

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City of Stockton
Legislation Text
File #: 24-0838, Version: 1
ACCEPT THE FINAL 2023-24 SAN JOAQUIN COUNTY CIVIL GRAND JURY REPORT AND

APPROVE THE CITY OF STOCKTON RESPONSES

RECOMMENDATION
It is recommended that the City Council accept the final 2023-24 San Joaquin County Civil Grand Jury Report and approve by motion the City’s responses.

It is also recommended that the City Council authorize the City Manager to submit all approved responses to the San Joaquin County Civil Grand Jury on behalf of the City and Council.

Summary
Each year it is the duty of the San Joaquin Civil Grand Jury to examine and investigate the activities of local government and agencies within San Joaquin County. The 2023-2024 Civil Grand Jury conducted two new investigations, four second look reviews of prior follow-up reports, and issued four additional follow-up reports. Of these ten items, the City of Stockton is required to respond to four.

The City provides the attached responses for Council review, approval, and submission to the Grand Jury. The City also intends to provide the Grand Jury with an updated report on all outstanding items responsive to the new investigation “City of Stockton: Crisis in Government” in April of 2025, following the Grand Jury’s established March 31, 2025 deadline imposed on the City.

DISCUSSION
Background
California Penal Code 933 requires that “a grand jury shall provide to the affected agency a copy of the portion of the grand jury report relating to that person or entity […]” and “no later than 90 days after the grand jury submits a final report on the operations of any public agency subject to its reviewing authority, the governing body of the public agency shall comment to the presiding judge of the superior court on the findings and recommendations pertaining to matters under control of the governing body […].”
On June 16, 2024 the San Joaquin County Civil Grand Jury issued its revised and final copy of the 2023-2024 Report, provided as Attachment A.

The two new investigations conducted by the 2023-24 Grand Jury are:
· City of Stockton, Crisis in Government - Case No. 0123 · City of Tracy: Public Trust Still Not Restored - Case No. 0323 City of Stockton Page 1 of 3 Printed on 8/16/2024
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File #: 24-0838, Version: 1
The 2023-24 Civil Grand Jury also took a “Second Look” at issues addressed in previous reports, where follow-up investigations may or may not have already been conducted, but another review was determined to be warranted based on concerns or the Grand Jury and citizen complaint. The four “Second Look” reports are:
· Mickie Grove Zoo: Honoring the Past, 2018-19 Report, Case No. 0218 · San Joaquin County Parks and Recreation Budget Challenges and Matters of trust, 2018-19 Report, Case No. 0118
· Cold Cases in San Joaquin County: On the Back Burner, 2018-19 Report, Case No. 0318 · Illegal Dumping: Talking Trash, 2019-20 Report, Case No. 0519 The Grand Jury also conducts a review of all responses submitted by agencies during the previous year, making a determination as to whether responses are adequate, implemented, or need additional follow-up. These findings are issued as “Follow-Up Reports” of which the 2023-24 Grand Jury completed four:
· San Joaquin County Custodial Facilities: Failing to Comply with the Prison Rape Elimination Act of 2003, 2022-23 Report, Case No. 0222
· School Safety in San Joaquin County: Developing a Culture of Safety, 2022-23 Report, Case No. 0322
· Good Intentions are Failing San Joquin County’s At-Risk Children, 2022-23 Report, Case No. 0422
· Eastern San Joaquin Groundwater Authority: A Rubik’s Cube of Water Management, 2022-23 Report, Case No. 0622
Of the work completed by the 2023-24 Grand Jury, identified above, the City of Stockton is required to respond to:
· New Investigation: City of Stockton: Crisis in Government, Case No. 0123 · Second Look: Cold Cases in San Joaquin County: On the Back Burner, 2018-19 Report, Case No. 0318
· Second Look: Illegal Dumping: Talking Trash, 2019-20 Report, Case No. 0519 · Follow-Up Report: School Safety in San Joaquin County: Developing a Culture of Safety, 2022 -23 Report, Case No. 0322
Present Situation
City of Stockton: Crisis in Government - Case No. 0123
The City received the Grand Jury’s notification of this report on June 10, 2024. The City Manager, City Attorney, Interim City Clerk and staff have been working through the Council Legislative Committee to develop and make recommendations to the full Council that are responsive to the recommendations issued in this report. The City Response to City of Stockton, Crisis in Government (Attachment B) provides an update on Grand Jury recommendations already addressed by the City, along with timelines for items still outstanding. Grand Jury recommendations will continue to come to the full Council for consideration as staff continue to work through each item with the Council and Committee. The City will provide update to the Grand Jury in April of 2025, following the March 31, 2025, deadline for implementation established in the report.

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File #: 24-0838, Version: 1
Cold Cases in San Joaquin County: On the Back Burner, Case No. 0318 The City does not have record of receiving notification of this report from the Grand Jury, and only became aware of its obligation to respond on August 5, 2024. The City acknowledges Recommendations R1.0 and R1.2 included in the 2023-24 second look and submits Attachment C, City Response to Cold Cases in San Joaquin County. A follow up report from the Stockton Police Department will be submitted to the Grand Jury in October of 2024, in compliance with the Grand Jury’s target timeline to implement.

Illegal Dumping: Talking Trash, Case No. 0519
The City does not have record of receiving notification of this report from the Grand Jury, and only became aware of its obligation to respond on August 5, 2024. The City acknowledges Recommendations R1.1 and R1.2 included in the 2023-24 second look and submits Attachment D, City Response to Illegal Dumping. A follow up report from the Stockton Police Department will be submitted to the Grand Jury in November of 2024, in compliance with the Grand Jury’s target timeline to implement.

School Safety in San Joaquin County: Developing a Culture of Safety, Case No. 0322 The Stockton Police Department received notice of this report from the Grand Jury on June 25, 2024.

The Stockton Police Department previously provided a response to this item (Attachment E), approved by Council motion 2023-12-05-1209 in December 2023. This response was submitted to Grand Jury, who subsequently confirmed receipt of the City Response, however, the 2023-24 Final Report states that the Stockton Police Department failed to respond.

The City will be resubmitting the previously approved response to the 2024-25 Grand Jury for review in response to the 2023-24 School Safety report.

If approved, the City Manager will submit all responses, Attachments B - E, to the Grand Jury on behalf of the City and Council.

FINANCIAL SUMMARY
Accepting the 2023-24 Grand Jury Final Report and approving the City Responses to will not impact the City’s General or Special Funds in any way.

Attachment A - 2023-24 San Joaquin County Grand Jury Final Report Attachment B - City Response to Stockton: Crisis in Government, Case No. 0123 Attachment C - City Response to Cold Cases in San Joaquin County, Case No. 0318 Attachment D - City Response to Illegal Dumping, Case No. 0519 Attachment E - City Response to School Safety in San Joaquin County, Case No. 0322 City of Stockton Page 3 of 3 Printed on 8/16/2024
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SAN JOAQUIN COUNTY

CIVIL GRAND JURY
2023-2024

FINAL REPORT

ATTACHMENT A

ATTACHMENT A

TABLE OF

CONTENTS
Section 1: Introduction....................................Page 3 Section 2: Investigations...............................Page 11 Section 3: Second Looks...............................Page 44 Section 4: Law and Justice...........................Page 69 Section 5: Follow-up Report......................Page 113 Section 6: Grand Jury Process.................Page 195

ATTACHMENT A

ATTACHMENT A
SECTION 1

INTRODUCTION
Letter from Hon. George J. Abdallah, Jr.......Page 5
Letter from Jury Foreperson...........................Page 7 2023-2024 Grand Jurors..................................Page 9 3 ATTACHMENT A

ATTACHMENT A
Superior Court of California, County of San Joaquin
180 E. Weber Avenue, Ste 1306J
Stockton, CA 95202
Telephone: (209) 992-5695
June 5, 2024
The Superior Court of California, County of San Joaquin thanks and commends the 2023-2024 Grand Jurors for their conscientious efforts on behalf of all San Joaquin County citizens. The Grand Jurors undertook and completed their duties with great industry, intelligence and care.

The Grand Jury is composed of qualified individuals who applied for membership, those drawn from the community and individuals nominated by community leaders. The chosen citizens serve as an independent body under the court's authority. The 2023-2024 San Joaquin County Grand Jury now takes its place in a long history of citizen involvement in civic life which was born in the English Common Law of 1166, adopted during the American Colonial period and codified in California in the 1880s. The 2023-2024 Grand Jurors' thoughtful and constructive recommendations will help ensure the highest quality civic life to which all citizens are entitled.

As the Grand Jury Advisor and Supervisor, it has been my privilege to review the work of the 2023-2024 Grand Jury. The Grand Jurors also received well considered advice from their highly experienced Advisors, County Counsel Ms. Kimberly Johnson, the Assistant District Attorney Mr. Richard Price and the invaluable assistance of the Superior Court administrators. Among their accomplishments, the Grand Jurors undertook consideration of the work of governmental institutions responsible for the daily life of municipalities and their citizens. The Grand Jurors also made careful efforts to follow through on the work of their predecessors thereby assuring the community that the San Joaquin County Grand Jury as an institution sustains its role in the County's civic life. The Grand Jury Final Report educates the public through well written accounts of the work, findings and recommendations of these devoted citizens. The Grand Jurors' recommendations are deserving of careful consideration by government officials and the citizenry.

The efforts, commitment, collective wisdom and experience of these dedicated individuals will continue to better the civic life of all San Joaquin County residents. To each member of the 2023- 2024 San Joaquin County Grand Jury, for your many accomplishments, the Superior Court extends its congratulations and gratitude.

Hon. George J. Abdallah, Jr.

Supervising Judge of the San Joaquin County Grand Juries 5 ATTACHMENT A

ATTACHMENT A
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180 E. Weber Avenue, Suite 1114
Stockton, CA 95202
Telephone: 209-468-3855
June 5, 2024
Honorable Gus C. Barrera II
Presiding Judge
Superior Court of California
County of San Joaquin
180 E. Weber Avenue, Suite 1306J
Stockton, CA 95202
Dear Judge Barrera and Judge Abdallah,
Honorable George J. Abdallah
Judge of the Superior Court and
Judge Advisor to the Grand Juries
County of San Joaquin
180 E. Weber Avenue, Suite 1306J
Stockton, CA 95202
On behalf of the 2023-2024 San Joaquin County Civil Grand Jury, I am humbled and honored to submit to you and all members of the public this year's San Joaquin County Civil Grand Jury's Final Report.

This year's San Joaquin Civil Grand Jury started off handicapped as we began with only 17 members instead of the normal 19. Within two months we lost three members and were down to only 14 members. Those that remained brought their own unique skills and abilities and were ready to help out where needed. They were dedicated and focused in fulfilling the Grand Jury's m1ss10n:
• To confirm that local government officers and employees are administering their agencies honestly, efficiently, and in compliance with the law.
• To identify instances of dishonest, inefficient, or illegal action; and • When such actions are found, recommend the development of policies and procedures that will correct those shortcomings.

Our lack of numbers did not deter this Grand Jury. The Grand Jury completed the mandated site visits of the facilities in the county: the County Jail, the Juvenile Detention Facility, and the California Health Care Facility. Other sites visited were San Joaquin County Hospital and the Micke Grove Park and Zoo. Some members of the Grand Jury went on ride-alongs with several local law enforcement agencies. All police agencies in the county gave presentations on the state 7 ATTACHMENT A
of their departments. Several other county agencies also made presentations in response to the Grand Jury inquiries:
• District Attorneys' Office
• County Public Works
• City of Stockton Public Works
• County Administrator
• Stockton Animal Control
• San Joaquin County Chief Administrative Officer
• Registrar of Voters
• San Joaquin County Office of Education
• Homeless
• Santa Clara Cold Case Unit
The Grand Jury received 26 complaints which were given due consideration. There were several inquiries as a result and directly led to opening two investigations. This Grand Jury was curious as to the effectiveness of the previous Grand Jury reports that had been written, responded to, cleared by Continuity Committees follow-up reports, and considered closed. This evolved into a new type of report titled "2nd Look" reports. The Grand Jury reviewed hundreds of documents, e-mails, and news reports in preparation for each inquiry, investigation and report.

The Civil Grand Jury conducted close to 50 witness interviews. Witnesses called to testify before the Civil Grand Jury can be apprehensive, anxious, or nervous; however, interviewers made witnesses feel at ease after only a few minutes. Most thank the interviewers for making it less stressful and even a pleasant experience.

On behalf of this year's Civil Grand Jury, I would like to thank our advisors Judge Abdallah, Assistant District Attorney Rick Price, and Assistant County Counsel Kimberly Johnson for all their input and advice. A special thank you to Mr. Irving Jimenez, the Judicial Secretary/Civil Grand Jury Staff Secretary for all his hard work and service to the Civil Grand Jury. In his first full year in this position, he has shown the desire and the ability to learn and retain Grand Jury procedures on his own. He is very personable and gets along with everyone. He will be an asset for years to come.

I would like to thank all Grand Jury members for their hard work and effort in producing this year's Final Report. I hope that your experience was such that you may consider serving again sometime. I sincerely wish the best for all of you in whatever the future holds.

Lastly, I would like to thank Judge Abdallah for giving me the opportunity to serve as Foreperson for the 2023-2024 San Joaquin County Civil Grand Jury.

Sincerely,
�.

E. Kimbrough, reperson •
-2024 San Joaquin County Civil Grand Jury
8 ATTACHMENT A
9 2023-2024 San Joaquin County Civil Grand Jury
Back row from left to right: Tom Bowe, Richard Dunne, Steven Gardner, Patrick Curry, Nancy Brison-Moll, Charles Keen Jr.

Front row from left to right: Scotty Sheets, Mary Kennedy-Bracken, John Kimbrough, Gaye Cornell, Jim Hanley
Not pictured: Jane Butterfield, LaVerne Jackson, Patrick Piggott The 2023-2024 Grand Jury brought a wide range of professional experience from the private sector to government service. Areas of experience include but are not limited to:

Architecture Information Technology
Banking Law Enforcement
Construction Legal Profession
Education Medical
Entrepreneurship Military Service
Family Counseling

ATTACHMENT A

ATTACHMENT A
SECTION 2:

INVESTIGATIONS
Case # 0123......................................................Page 13 City of Stockton Crisis in Government
Case #0323......................................................Page 29 City of Tracy: Public Trust Still Not Restored
11 ATTACHMENT A

ATTACHMENT A
13 2023- 2024 San Joaquin Civil County Grand Jury
City of Stockton Crisis in Government
Case #0123
Summary
In response to complaints received, the 2023-2024 Civil Grand Jury investigated potential new Brown Act violations by members of the Stockton City Council. Previous complaints regarding the same type of violation by the City Council were also received during the 2022-2023 Grand Jury term. Because those complaints were received late in that term, they were forwarded to the 2023-2024 Civil Grand Jury for evaluation and potential action.

The 2023-2024 Civil Grand Jury also received complaints regarding the creation of a work environment of fear within the Stockton City Government. The alleged sources of that fear were created by individuals associated with 209 Times, LLC, a Social Media Platform (SMP), through e-mails, and public comments that have left city staff and elected officials continuously intimidated.

Background
In March 2023, a sitting Stockton City Councilperson, alleging fear for their safety, filed a police report and a request for a restraining order against a known political activist, Motecuzoma

ATTACHMENT A
14 Patrick Sanchez. The city councilperson alleged that the threats received were based on confidential information from a Stockton City Council Closed Session meeting that had just ended 30 minutes prior to the incident. Knowledge of that confidential information would indicate a Brown Act violation by someone present in the closed session.

A hearing on the restraining order was held in the Superior Court of San Joaquin County. The presiding Judge ruled that a restraining order would be inappropriate as it would prevent a citizen from contacting their elected representatives.

However, the filing of the restraining order brought to light that there had been a violation of the Brown Act by someone in attendance at a Closed Session of the Stockton City Council. The City Attorney hired an outside firm to conduct an investigation to determine whether a Brown Act violation had occurred and to identify the source. The Civil Grand Jury has been informed that the investigation resulted in findings that a Brown Act violation had occurred. However, neither the investigative report nor its findings were released to the public.

The Ralph M. Brown Act was adopted to assure the public has access to information on the actions under consideration by public legislative bodies and their actions are conducted in open public forums. It allows a few sessions to be closed to enable certain important matters to be discussed in private among the council members, such as employee discipline and lawsuit decisions. If a council member reveals confidential information learned in closed session it is a violation of the law.

Brown Act, California Government Code § 54950. The Brown Act or “Open Meeting Law” is officially known as the Ralph M. Brown Act and is found in the California Government Code § 54950 et seq. 1.

The 2023-2024 Civil Grand Jury received complaints from numerous City employees and officials regarding their belief that a threatening work environment has been created by the ongoing bullying and intimidation from individuals connected to this SMP. Those interviewed

ATTACHMENT A
15 told the Civil Grand Jury that if they if did not agree with and/or support the positions pushed by this SMP, then they would be vilified and unfairly attacked in posts on that outlet.

The SMP claims that they are not a news agency and therefore cannot be held to the same ethical standards for news agencies regarding the verification of facts. The Society of Professional Journalists (SPJ) revised its Code of Ethics in 2014, including the following requirements:
• Label advocacy and commentary
• Weigh the consequences of publishing personal information • Identify sources clearly
• Avoid conflicts of interest and disclose unavoidable conflicts This SMP claims their social media posts are simply “expressions of citizen views” written under and protected by the freedom of speech provision of the U.S. and California constitutions.

However, in their posts, there is no evidence of the validity of the information stated. The information posted is presented in a slanted and/or politically biased way to create perceived “facts”. Unfortunately, as is often the case with current social media, the content of posts is perceived by the reader as real and true. By not following the SPJ standards, the SMP is misleading the public.

The barrage of posts by this SMP has created a threatening work environment for staff and elected officials in the City of Stockton. The Civil Grand Jury was also made aware that, in addition to these social media posts, City staff feel continually harassed when individuals associated with this SMP bombard them with hundreds of emails, messages, and letters that include personal attacks and demeaning accusations.

It has been reported to the Grand Jury, that these posts are often written in a biased and misleading way, presented as “facts” meant to embarrass the targeted subjects. These actions have resulted in the suppression of open discussions and the sharing of ideas because of fear of being publicly vilified. Good government requires free and open expression without fear of retribution.

ATTACHMENT A
16 City Council meetings are also used as a platform by the supporters of this SMP who, during the Public Comment period, continuously make accusations against the council or staff. They demand what they want done by the Council and City staff. These personal accusations and demands are then posted on their social media platforms but are represented as a public position and not the specific views of the SMP. Stating and supporting political views and then advertising via social media as representing a public position violates the FPPC. The Fair Political Practice Commission (FPPC) requires that the names of persons or organizations (committees) sponsoring information be posted on the advertisement/posts so the reader would be informed who is responsible for publishing the information.

Reason For Investigation
The 2022-2023 Civil Grand Jury began an investigation of potential Brown Act violations by members of the Stockton City Council. The 2023-2024 Civil Grand Jury continued that investigation and also received and investigated complaints regarding a threatening and ineffective work environment created within Stockton City Government involving intimidation by individuals associated with this SMP.

Method of Investigation
Materials Reviewed
• Newspapers:
• The Record
• The Los Angeles Times
• Tracy Press
• The Sacramento Bee
• Press Releases
• Stockton City Council Meeting Minutes
• City of Stockton Charter
• City of Stockton Code of Conduct

ATTACHMENT A
17 • City of San Francisco Code of Ethics
• City of San Francisco Policies & Procedures
• City of Alameda Policies & Procedures
• City of Lodi Policies & Procedures
• San Joaquin County Court case records
Interviews Conducted
• Current and former Stockton City Councilpersons
• City employees
• Consultants to the City of Stockton
• FPPC Attorney
• Citizens
Websites/Digital Posts
• FPPC
• California League of Cities
• San Francisco Ethics Commission
• 209 Times
• 209 Times other social media platforms: Facebook, Instagram, YouTube, X (formally Twitter)
• NPR: Articles by Yowei Shaw and Kia Miakka Natisse
• April 29, 2021- The Chaos Machine: An Endless Hole
• May 6, 2021- The Chaos Machine: Wrathful Lord
• May 13, 2021- The Chaos Machine: A Looping Revolt
• Stocktonia.org
• The California Fair Employment and Political Practices Commission Reports
• Previous Civil Grand Jury Reports:

ATTACHMENT A
18 • 2013-2014 Case #1113
Other Sources
• Stockton City Council and the Brown Act; The Law Applies to Everyone • FPPC Candidate Filings
• City of Stockton Council Training Records
Discussions, Findings, and Recommendations

1.0 Threatening Work Environment
Harassed, Threatened, Coerced, Bullied, Afraid: These are words used by witnesses to describe the atmosphere for those working in Stockton City Hall. Witnesses reported receiving constant emails, letters, phone calls, and comments made in public demanding actions from associates of this SMP. When those associates are not satisfied, the result is insulting and misleading reports posted on social media. These posts claim actions are necessary and allege those not meeting their demands of inappropriate intent and corruption.

City staff and elected officials fear tarnished reputations or unjustified scorn. The result is that they are hesitant to discuss issues openly and mistrust of others in City government is fostered.

This leads to less informed decision-making and delays in government action.

The FPPA and FPPC have published rules for local government agencies and laws about requiring public information in campaign situations. These guidelines are stated as rules for campaign committees but the definition of committees under these circumstances includes individuals, therefore applicable to the SMP.

When a political consultant uses social media to express political views, the FPPC requires the name of the committee or payor to be on that post in order to have an informed citizenry. This SMP does not appear to follow the FPPC rules. To avoid the threat of public ridicule, what is not published can be traded for something of value. Political Consultants are often compensated but

ATTACHMENT A
19 compensation is not just limited to money. A filed FPPC Form 460 showed loans from a political consultant in a campaign for a seat on the Stockton City Council. After being elected, this individual then tried to appoint that same political consultant to several City committees and commissions.

A threatening work environment has also been created internally. For example, the Stockton City Attorney, City Manager, and City Clerk job performance reviews are posted on most Closed Session Council meeting agendas. This practice allows job evaluations to be conducted at any Closed Session meeting because they are a standing agenda item. Although it would be common practice to have an annual review for these positions, a chartered employee should not have to fear for their job by the continual threat of a job performance review at every Closed Session Council meeting.

Another threat to government transparency is the City of Stockton’s failure to allow the public access to the required FPPC Form 700 filings for most of the appointed Boards and Commissions via the City’s portals. FPPC Form 700 filings can only be obtained by sending a California Public Records Act (CPRA) request to City Clerk.

The Civil Grand Jury has also found that those appointed to work in the Mayor’s Office are not bound by the same employment rules as other city staff and therefore are not held to the same standards as city employees.

Findings
F1.1: City government is hampered by a threatening work environment created by the continued harassment and bullying by this SMP. Their actions have affected every level of City government.

F1.2: Members of the Stockton City Council have enabled this SMP to continue a campaign of harassment through their continued association with and appointment of their associates to City Boards and Commissions.

ATTACHMENT A
20 F1.3: City employees have lost confidence in the City Council’s ability to ensure a non-toxic and non-threatening working environment.

F1.4: The practice of agendizing the performance review of chartered officers at every Closed Session Council meeting creates a perception of unstable government in the eyes of City employees and the public.

F1.5: The City does not provide citizens electronic access to all Form 700 filings.

F1.6: There are employees of the Mayor’s Office that are not bound by the same employment standards as City Staff.

Recommendations
R1.1: By September 1, 2024, the City Council should stop enabling the SMP from interfering with effective city government through their continued association and/or support of individuals associated with the SMP.

R1.2: By March 31, 2025, the City Council should adopt rules for handling unlawful threatening Communications received by City officials and employees. Unlawful threats, not covered under the First Amendment, should be referred to the District Attorney’s office.

R1.3: By March 31, 2025, the City should adopt an ordinance similar to the City of San Franciso Campaign and Governmental Conduct Code Section 1500 et seq., to strengthen election transparency. That ordinance requires political consultants and candidates to file reports directly to the City in all municipal elections listing business relationships, financial investments, and who they pay for political help or receive in-kind support from, as well as indicating whom they provide support to in elections.

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21 R1.4: By March 31, 2025, the City should stop the practice of agendizing Chartered Officers performance reviews on an ongoing basis but set them annually or for specific situations which require notice by law.

R1.5: By March 31, 2025, the City should amend its policies and procedures to make all Form 700 filings available to the public online.

R1.6: By March 31, 2025, the City shall enact a policy that all employees of the Mayor’s office be under the same mandated employment rules and laws as the rest of the City staff.

2.0 Brown Act
The City has reportedly spent thousands of dollars on investigations including potential Brown Act violations. Witnesses confirmed these investigations did take place. However, the citizens of Stockton, who funded these investigations, have not been allowed access to the findings of Brown Act violations. The purpose of the Brown Act is to ensure transparency in government.

Citing attorney-client privilege, the Stockton City Council continually rebuffed requests from the 2023-2024 Civil Grand Jury to turn over the publicly funded report findings, not the report itself, on the recently completed Brown Act violation investigation. While the Civil Grand Jury was unable to obtain this information, the report’s existence and findings were released on official City letterhead by a member of city council: another apparent Brown Act violation. This letter was subsequently posted on a SMP. Although the post was titled as an “official news release”, no other social media platforms or news outlets reported or confirmed the released report or findings. It should be noted that the City made no official news release.

By not releasing any information regarding the Brown Act violation investigation directly to the Grand Jury, the Council has “tied the hands” of the Grand Jury. The Civil Grand Jury made clear to the City Council’s representative that we wanted the results of the findings of that investigation, yet they were not forthcoming with those answers. This has prevented the fulfillment of our mandate which is to investigate and ensure that local governments are acting in

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22 compliance with the laws, to identify illegal and inefficient actions, and to recommend procedures to correct these shortcomings.

While some cities prohibit cell phones or recording devices in Closed Sessions, Stockton does not. In fact, the Civil Grand Jury was informed attendees in closed sessions regularly have used their phones during Closed Sessions.

Findings
F2.1: There have been multiple and continued Brown Act violations regarding the release of confidential discussions that occurred during Council Closed Sessions.

F2.2: Violation of Closed Session confidentiality leaves the Council unable to carry out their responsibilities in the best interests of the public because they are not able to have free and open discussions due to the atmosphere of distrust.

F2.3: The City Council lacks rules preventing the use of any electronic communication devices during Closed Sessions.

F2.4: There is a lack of transparency concerning Brown Act violation investigation findings that have been funded by citizen tax dollars.

F2.5: The use of official City stationery by an individual council member misleads the public to believe the content reflects an official City position.

F2.6: The Council has received training regarding the Brown Act, but it is clear that some members have open disregard for that training.

F2.7: The Brown Act includes provisions to assess penalties for violations by the City Council.

The public has received no information that any penalties have been assessed.

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23 Recommendations
R2.1: By March 31, 2025, the City should amend its Closed Session policies and procedures to minimize the risk of revealing confidential information. There should be a requirement that no phone, electronic communication or recording devices be allowed in the room when it is a Closed Session. Additionally, each attendee should sign a pledge of secrecy on entering each meeting as an immediate and continual reminder that the rules of the Brown Act apply.

R2.2: By March 31, 2025, the City shall develop a City Ordinance regarding Brown Act violators that includes an impartial process for determining whether the Brown Act confidentiality requirement related to Closed Session has been violated and appropriate sanctions for the violator, including but not limited to, mandatory public censure and removal from committees and commissions.

R2.3: By March 31, 2025, the City shall enact a policy that all findings of Brown Act violations investigations must be released to the Civil Grand Jury within seven days of receipt by the Council.

R2.4: By March 31, 2025, the City should amend their policies and procedures regarding the use of City Stationary. For example, the City of Lodi ordinance states:

Section 7.4 Use of City Letterhead or City Seal
All Council Member correspondence written on City resources, i.e. letterhead, staff support, postage, etc., will reflect a majority position of the Council, not individual Council Members’ positions. All Council Member correspondence using City resources shall be copied to the full Council.

3.0 Grievance Process
The Civil Grand Jury has been told by City employees that the process for filing and resolving complaints of harassment and/or bullying is not fully understood. The City Ethics Hotline is also

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24 used by the public and some public complaints have included threats and attacks on city staff.

Complaints are filed on the City Ethics Hotline utilizing email or phone. The Hotline is managed by a third-party consultant to ensure confidentiality of the process. However, this confidentiality appears to have been compromised by leaks.

Findings
F3.1: The confidentiality of the City’s Ethics Hotline process has been compromised after the complaints are referred to City staff.

Recommendations
R3.1: By March 31, 2025, the City shall hire an independent third party to investigate the City’s Ethics Hotline process to regain employee and public trust in the system.

Conclusion
The efficient and ethical governing of the City of Stockton is under attack by both external and internal forces. This must be stopped. Externally, individuals utilizing a SMP have consistently attempted to undermine the local democratic process by misleading the Stockton electorate and attempting to affect election results through unethical influence.

Internally, members of the Stockton City Council, who support the efforts of that SMP, are complicit in the deterioration of comradery, trust, respect, and ethical governing in Stockton.

The continued violations of the tenets of the Brown Act by council members undermine the provision of good government to the citizens of Stockton.

The Civil Grand Jury strongly supports the Freedom of Speech Rights guaranteed by the United States Constitution. However, the abuse of those rights by individuals utilizing this Social Media

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25 Platform to spread misinformation and create a threatening work environment for City staff and elected officials is unacceptable and must be stopped.

Glossary
• 209 Times LLC: A limited liability company that is reported on the Secretary of States (SOS) website as “Suspended-FTB”. All officers listed on the SOS website are named as Motecuzoma Patrick Sanchez. This indivual also owns Tecuani LLC and Tlatoani Consulting, both of which are consulting firms that serve politicians • AB 1234: Assembly Bill 1234 requires local agency officials to take an ethics training course upon election or appointment and every two years during their term • Brown Act: Government Code sections 54950 et seq regulating the conduct of public meetings, closed session meetings and related public information requirements • Bully: Aggressive behavior to cause discomfort or cause someone to do something by means of coercion
• CPRA: California Public Records Act: The California Public Records Act allows the public the right to request access to records
• Closed Sessions: The Ralph M. Brown Act in California allows closed sessions for local legislative bodies, such as boards, councils, and commissions, to meet privately in certain circumstances
• et seq: To include sections immediately following the identified section • City Charter: The document establishing the City of Stockton and defining its authority and framework for the government organization, akin to its constitution

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26 • FPPA: Fair Political Practice Act
• FPPC: Fair Political Practice Commission
• Fictitious Name Statement: When operating a business as a sole practitioner but doing so under a name other than yours, you are required to file a Fictitious Business Name statement so the public knows the identity of the business owner • FPPC Form 700: Every elected official and public employee who makes or participates in making governmental decisions is required to submit a Form 700 which is also titled a Statement of Economic Interests. The Form provides transparency and ensures accountability in governmental decisions. Reporting is related to income, investments, interests in real property, and business positions
• Harass: To bother or disturb persistently, to intimidate or coerce, as with persistent demands
• LLC: An LLC is a limited liability corporation which is the underlying legal vehicle of the tasks it purports to do, such as a partnership or a corporation. If the organization is not under a structured legal definition, it could be a sole proprietorship • Misleading: Unsupported by any foundational facts
• NPR: National Public Radio
• SMP: A social media platform called 209 Times, LLC
• SPJ: Society of Professional Journalists- An organization of Professional Journalists and collegiate institutional members, founded in 1920.

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27 • Threat: To state one’s intention to take hostile action against in retribution for something done or not done
• Unethical: Not in compliance with accepted ethical standards for media outlets and journalists
Disclaimers
Civil Grand Jury reports are based on documentary evidence and the testimony of sworn or admonished witnesses, not on conjecture or opinion. However, the Civil Grand Jury is precluded by law from disclosing such evidence except upon the specific approval of the Presiding Judge of the Superior Court, or another judge appointed by the Presiding Judge (Penal Code Section 911. 924.1 (a) and 929). Similarly, the Civil Grand Jury is precluded by law from disclosing the identity of witnesses except upon an order of the court for narrowly defined purposes (Penal Code Sections 924.2 and 929).

This report was issued by the Civil Grand Jury except for one member of the jury. This juror was excluded from all parts of the investigation including interviews, presentations, deliberations, and the development and acceptance of the report.

Response Requirements
California Penal Code Sections 933 and 933.05 require that specific responses to all findings and recommendations contained in this report be submitted to the Presiding Judge of the San Joaquin County Superior Court within 90 days of receipt of the report.

Note: If the responder is an elected official, the response must be sent within 60 days of receipt.

Responding Agency Finding and Recommendation
City of Stockton F3.1
R3.1
Stockton City Council F1.1-1.6, F2.1-2.7
R1.1-1.6, R2.1-2.4

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28 Mail or hand deliver a hard copy of the response to:

Honorable Gus C. Barrera II, Presiding Judge
San Joaquin County Superior Court
180 E Weber Ave, Suite 1306J
Stockton, California 95202
Also, please email a copy of the response to, Irving Jimenez Staff Secretary to the Grand Jury, at [email protected].

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29 2023- 2024 San Joaquin County Civil Grand Jury
Working Title 1: Working Title 2 (Case No. xx20)
City of Tracy: Public Trust Still Not Restored
Case #0323
Summary
The City of Tracy has been plagued with a city council that cannot form a civil, cohesive governing body willing to set aside differences and personal agendas for the benefit of City residents. The 2018-2019 Civil Grand Jury issued a report entitled “Restore the Public Trust”. That investigation highlighted the inability of the Tracy City Council to work together cohesively, manifested by unprofessional behavior towards each other during public meetings. In addition, a consistent 3/2 voting block existed leading to the termination or forced resignation of a City Manager, Assistant City Manager, and Police Chief. The unexplained departures of the City’s administrative leaders created an unstable working environment at City Hall.

The most significant recommendation in that report was for the Council to establish a Code of Conduct to guide them on how to work together more effectively and respectfully. To reduce the impact of a 3/2 voting bloc, a recommendation was made to require a supermajority council vote to approve the removal of the City Manager or the City Attorney. The supermajority vote requirement was approved as well as the adoption of a Code of Conduct. Although it has had numerous

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30 revisions, the Code of Conduct has not led to improved relationships between Council members, nor has it had a positive impact on the effective leadership of the Council.

Unfortunately, the same problems noted in the 2018-2019 Grand Jury Report continue to exist today.

The 2022-2023 Civil Grand Jury received a complaint regarding the continued personal animus between council members displayed openly and unprofessionally at council meetings. The source of many disagreements revolved around philosophical differences in Tracy’s growth, leading to a lack of consistent vision of Tracy’s future and distrust between council members and developers. History repeated itself as evidenced by the Council’s actions that led to the May 2023 resignation of the City Manager. This resulted in a void in City management and leadership. As a consequence, there was a disruption in the efficient delivery of City services. The continuing vacant and temporary senior administrative positions have also led to inefficiency in serving and responding to the public.

Adding to this disruption was an effort by the City Attorney to revamp City agreements and the format of staff reports. The City Attorney's inability to retain staff has resulted in significant delays in the work product from that office. These delays have increased public frustration in working with the City, resulting in project delays, increased costs, and a negative impact on the City of Tracy’s reputation in the business community. This has resulted in a loss of business opportunities.

Through its investigation, the 2023-2024 San Joaquin County Civil Grand Jury has identified opportunities for implementing changes that hopefully, this time, can ensure a more harmonious and productive City Council and improve the morale and efficiency of city staff.

Background
The City of Tracy has experienced significant growth of 8.38% since the 2020 census and is the second-largest city in San Joaquin County. Its proximity to the densely populated Bay Area has

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31 created opportunities to provide more affordable housing options. The availability of land has enabled the development of housing as well as growth in warehouse distribution centers.

The City of Tracy operates under the Council-Manager form of government, as outlined in the Tracy Municipal Code section 2.08.060. It designates the five-member City Council as the governing body of the City, vested with the authority to establish policy, adopt new laws, levy taxes, award contracts, and appoint the City Manager and City Attorney. Council members are limited to serving two four-year terms; the office of Mayor is limited to two two-year terms. The Mayor is the fifth member of the Council and presides over meetings and acts as a figurehead at various city functions.

Council members are responsible to the people for the actions of local government. In the CouncilManager form of municipal government, the Council appoints the City Manager who is responsible for the day-to-day operations of City business. The City Attorney is also appointed by the Council and serves as the primary legal advisor to the City.

Reason for Investigation
The 2023-2024 Civil Grand Jury received complaints claiming unprofessional conduct and animosity by Council members, unprofessional conduct by the City Attorney, and a return of “power politics” resulting in public discord, resignations of senior staff, and low morale of City employees.

Method of Investigation
Materials Reviewed
• San Joaquin County 2018-2019 Civil Grand Jury Report, Tracy City Council: Restore the Public Trust, Case 0418
• 2019-2020 Civil Grand Jury Report, Follow-Up Report, Tracy City Council: Restore the Public Trust

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32 • City of Tracy Code of Conduct, October 15, 2019, revisions: July 21, 2020, February 10, 2021, October 19, 2021, and June 6, 2023
• City of Tracy: Council Meeting Protocols and Rules of Procedure • City Council meeting videos and minutes
• City of Tracy Municipal Code
• Rosenberg’s Rules of Order
• Executive staff performance reviews
• Executive staff employment contracts
• Online Archives: Tracy Press, The Stockton Record
• California League of Cities: Counsel and Council
• California League of Cities: Western City Magazine
• Institute for Local Government: Ethics and Transparency (AB1234) Interviews Conducted
• Former and current City of Tracy elected and appointed officials, commissioners, and employees
• Tracy Citizens
• Residential/Commercial Developers
• San Joaquin County employee
Discussions, Findings, and Recommendations

1.0 Discussion: City Council
Through their unprofessional behavior and inability to work cohesively, members of the Tracy City Council have been unable to govern effectively and have failed the citizens of the city they have pledged to serve.

The City Council violated the Brown Act by posting and discussing personnel performance issues on an open Council agenda. The 2018 San Joaquin County Civil Grand Jury recommended: “City

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33 Manager and City Attorney should be shielded from power politics and shifting alliances by requiring a supermajority (4/1) vote for their termination”. This recommendation was accepted and implemented. In 2023, three members of the City Council attempted to change the ordinance requiring a supermajority vote to a simple majority vote to remove only the City Manager but were not successful. This resulted in another costly resignation.

Findings
F1.1: Through their unprofessional behavior and inability to work cohesively, members of the Tracy City Council have been unable to govern effectively.

F1.2: Tracy City Council has violated the Brown Act in multiple ways: discussing personnel issues in an open meeting and posting personnel issues on an open Council agenda.

F1.3: Some Tracy City Council members have created a toxic work environment within City Hall by spreading accusations of corruption and alleged illegal activities by upper management staff and other Council members.

F1.4: Tracy City Council's behavior has resulted in poor morale within City Hall.

F1.5: The City Council created a void in city administration and leadership through the resignation of another City Manager. It should be noted that there have been six city managers and four city attorneys in the past five years.

F1.6: The unprofessional Council behavior during Council meetings has negatively impacted the City's reputation, affecting new business development and recruitment of potential city employees.

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34 F1.7: Members of the City Council attempted to undermine the ordinance requiring a supermajority vote to remove the City Manager to a simple majority vote.

F1.8: There are no established measurable performance goals and objectives for the City Manager and City Attorney; therefore the City Council cannot conduct effective annual evaluations.

F1.9: Serving as Parliamentarian for Council meetings puts the City Attorney in a conflicting situation. Each decision by the Parliamentarian can be seen as partial to one side or the other.

Recommendations
R1.1: By October 1, 2024, members of the City Council need in-depth and continuous training on the understanding and the effective utilization of the City of Tracy Code of Conduct, City of Tracy Council Meeting Protocols and Rules of Procedures, and Rosenberg’s Rules. Members of the City Council and the City Attorney should refer to the League of California Cities:

Counsel and Council: A Guide to Building a Productive City http://www.calcities.org/ R1.2-R1.6: By October 1, 2024, members of the City Council need in-depth and continuous training in understanding the requirements of the Brown Act.

R1.7: By October 1, 2024, City Council should approve an ordinance requiring a supermajority vote to modify any ordinance requiring a 4/1 vote. Additionally, a 90-day public notice to change this vote requirement ordinance should be mandatory.

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35 R1.8: By October 1, 2024, the employment contracts for the City Manager and the City Attorney should require individual performance goals and objectives established within 90 days of hire. These goals and objectives should be evaluated annually.

R1.9: By October 1, 2024, if a Parliamentarian is deemed necessary at City Council meetings, the position should be held by an independent third party.

2.0 Discussion: City Attorney
The City Attorney determined it was necessary to correct past practices that did not, in her opinion, adequately provide legal protection to the city. These corrections would require a great deal of time.

Compounding this problem are reports by city employees that the City Attorney mistrusts their ability to do their job. As a result, the City Attorney spends a significant amount of time reviewing and modifying work from various departments. It has been reported that the City Attorney has difficulty in delegating and prioritizing their department’s workload. This has caused delays in the timely processing of city work product.

City employees reported that they were publicly berated, belittled, and humiliated by the City Attorney. The City Attorney’s apparent lack of confidence in employees, and unsubstantiated accusations of illegal activities by employees have created an atmosphere of fear and low morale.

This has resulted in the loss of numerous staff members which has impeded the provision of services for the citizens of Tracy.

Findings
F 2.1: Employees reported the work backlog created by updating past practices has negatively impacted the public because of delays in residential and/or commercial agreements with the City.

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36 F2.2: The City Attorney’s difficulty in delegating and prioritizing the workload has caused a delay in the timely processing of City work products.

F2.3: Interviews with former employees indicated that the Tracy City Attorney’s office is understaffed compared to cities of similar population.

F2.4: The current Code of Conduct limits the hiring of outside legal counsel to only the City Attorney. This ties the hands of the City of Tracy when the City Attorney is not available to meet the duties of her office.

F2.5: Reported unprofessional behavior by the City Attorney in dealing with city staff has led to low morale and staff resignations.

Recommendations
R2.1: By October 1, 2024, an outside legal firm should be engaged to help expedite the current work backlog in the City Attorney’s office.

R2.2: By October 1, 2024, the office of the City Attorney should develop and utilize standardized agreements to streamline the review and approval processes.

R2.3: By October 1, 2024, the City of Tracy should budget for and hire additional City Attorney staff.

R2.4: By October 1, 2024, the Code of Conduct regarding the hiring of outside counsel should be amended to allow other city officials to hire outside counsel if the City Attorney is unable to perform their duties, or if the legal issue being addressed gives the appearance of a potential conflict of interest.

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37 R2.5: By October 1, 2024, the City Attorney should be given training in personnel management.

The City Attorney’s actions should be consistent with the League of California Cities:

Counsel and Council Guide: https://www.calcities.org/docs/default-source/city-attorneys/cc-counselcouncil-2022-ver4.pdf In particular Principal 5:
“The city attorney should conduct himself/herself at all times in a professional and dignified manner, interacting with all elected officials, city staff, members of the public, and the media with courtesy and respect.”

3.0 Discussion: Council Hired Staff
The City of Tracy's Human Resources Department (HR) has a grievance process for employees to file complaints. There is a potential conflict of interest in the process for employees who work for the City Attorney or the City Manager. If a grievance is filed against the City Attorney or the City Manager, HR does not have the authority to assist the employee because these positions are overseen by the City Council, not the HR department. If a complaint is filed against the City Attorney, the City Attorney has the sole authority to hire outside counsel for an investigation, if warranted. If this is not a conflict of interest, there is an appearance of one.

Findings
F3.1: The City of Tracy does not have a clear process for filing complaints against council-hired staff.

Recommendations
R3.1: By December 31, 2024, the City of Tracy shall establish a confidential process for employee complaints against council-hired staff. The process should include a third-party vendor to assure complete confidentiality.

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38 Glossary
• City Council, Council, Council members: For this report, these terms are interchangeable and generally refer to the entire five-member Tracy City Council, including the Mayor. • Council-Manager form of Government: A form of municipal government in which the city manager functions as the chief executive of the city, overseeing the day-to-day operations of the city, and serving as the chief advisor to the city council. • Ethics Policy, Code of Conduct, Code of Ethics and Conduct: A set of principles used to guide conduct and decision making. For this report these terms are interchangeable. • League of California Cities: An association of cities within the state of California that provides education, research, support, and advocacy to member cities. • Power politics: Political action by a person or group which makes use or is intended to increase their power or influence.
• Supermajority: In the case of the Tracy City Council, at least four out of five members • Voting Bloc: In the case of the Tracy City Council, a group of votes, three to two, for a common agenda which dominates their voting pattern.

Conclusion
The citizens of Tracy cannot fully enjoy the benefits of a well-run city government if basic standards of civil behavior are not adhered to. With the continued dysfunction amongst elected officials, the public is the ultimate victim. The City Council must abide by the Tracy City Council Code of Conduct if public trust can ever be restored.

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39 Disclaimers
Grand Jury reports are based on documentary evidence and the testimony of sworn or admonished witnesses, not on conjecture or opinion. However, the Grand Jury is precluded by law from disclosing such evidence except upon the specific approval of the Presiding Judge of the Superior Court, or another judge appointed by the Presiding Judge (Penal Code Section 911. 924.1 (a) and 929). Similarly, the Grand Jury is precluded by law from disclosing the identity of witnesses except upon an order of the court for narrowly defined purposes (Penal Code Sections 924.2 and 929).

This report was issued by the Grand Jury except for two members of the jury. These jurors were excluded from all parts of the investigation including interviews, presentations, deliberations, and the development and acceptance of the report.

Response Requirements
California Penal Code Sections 933 and 933.05 require that specific responses to all findings and recommendations contained in this report be submitted to the Presiding Judge of the San Joaquin County Superior Court within 90 days of receipt of the report.

Note: If the responder is an elected official, the response must be sent within 60 days of receipt. The Tracy City Council shall respond to all findings and recommendations. Mail or hand deliver a hard copy of the response to:

Honorable Gus C. Barrera II, Presiding Judge
San Joaquin County Superior Court
180 E Weber Ave, Suite 1306J
Stockton, California 95202
Also, please email a copy of the response to Irving Jimenez, Staff Secretary to the Grand Jury, at [email protected]

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SECTION 3:

SECOND LOOKS
Introduction....................................................Page 43 Micke Grove Zoo............................................Page 44 2018-2019 San Joaquin County Parks and
Recreation Budget Challenges and Matters of
Trust
2018-2019 Micke Grove Zoo: Honoring the Past
Case # 0218
Case # 0118
Cold Cases in San Joaquin County: On the Back
Burner
Case # 0318.....................................................Page 50 Illegal Dumping: Talking Trash
Case # 0519.....................................................Page 61

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43 2023-2024 San Joaquin County Civil Grand Jury
Second Look
Micke Grove Zoo: Honoring the Past, Securing the Future (2018-2019 Case No. 0218) Introduction
The 2023-2024 San Joaquin Civil Grand Jury decided to take a “Second Look” at issues addressed in previous Civil Grand Jury Reports. This decision was based on concerns of the current Civil Grand Jury and citizen complaints.

The 2023-2024 San Joaquin Civil Grand Jury reviewed selected previous reports along with the appropriate agencies responses to ascertain whether or not the reports and/or any implemented recommendation made any significant impact, positive changes, created more efficiency in County operations, or simply made no difference at all.

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44 County 2023 - 2024 San Joaquin Civil Grand Jury
1le 2 (Case No. xx20)
Second Look:
2018-2019 San Joaquin County Parks and Recreation:

Budget Challenges and Matters of Trust Case #0118
2018-2019 San Joaquin County Civil Grand Jury Report:

Micke Grove Zoo: Honoring the Past, Securing the Future Case #0218 Summary/Reason for a Second Look
The 2018-2019 San Joaquin County Civil Grand Jury evaluated the state of the Micke Grove Zoo (MGZ) and produced two reports:
• San Joaquin County (SJC) Parks and Recreation: Budget Challenges and Matters of Trust Case #0118
• Micke Grove Zoo: Honoring the Past, Securing the Future Case #0218 Complete copies of the original reports, all follow up reports, and agency responses can be found on the San Joaquin County Website @ www.sjcourts.org/divisions/civil-grand-jury

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45 The 2018-2019 Civil Grand Jury found the Zoo’s decline was mainly due to inadequate staffing, funding, and lacking a clear direction for improving the zoo. The reports included the following recommendations:
• Develop a Policy and Procedures Manual for all Micke Grove Zoo operations • Develop detailed and comprehensive budgets
• Develop a Preventative Maintenance Schedule and Repairs Record • Developing a professionally designed Master Plan for the MGZ • The SJC General Services is to present to the Joaquin Board of Supervisors (BOS) an analysis and viable options for the future direction of the MGZ including a vision for the next 5, 10, and 20 years
• Secure Zoo Accreditation
• Renegotiate Operating Agreement with Micke Grove Zoological Society • Identify, pursue, and secure additional sustainable funding sources The 2018-2019 Civil Grand Jury thought that these recommendations would not only immediately improve MGZ but establish a vision and blueprint for the Zoo in years to come.

In response to the 2018-2019 San Joaquin County Civil Grand Jury Report, the County Parks Division developed a 5-year Strategic Plan (Plan) for the Micke Grove Zoo. The Plan was presented to the County BOS on February 23, 2021. The Plan identified seven objectives along with strategies and tasks with a schedule for the completion of the tasks. The seven objectives were: Infrastructure, Exhibits, Guest Experience, Nonprofit Partner, Revenue, Accreditation, and a Volunteer Program.

Subsequent Grand Juries decided no further action was necessary knowing that the recommended actions would take 5 years to complete. The 2023-2024 San Joaquin County Civil Grand Jury received a citizen complaint regarding MGZ. After reviewing the 2018-2019 reports, the conclusion was that those reports were quite comprehensive and complete. Therefore, a new investigation was not necessary; however, a “second look” was initiated to gauge the County’s commitment to completing the Strategic Plan tasks and their efforts of improving/restoring MGZ.

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46 Brief History of Micke Grove Zoo
The five-acre Micke Grove Zoo was a gift from William G. Micke to the County of San Joaquin as a memorial to his wife. Mr. Micke also created a trust fund with his intent to utilize trust income to sustain both Micke Grove Park and the Micke Grove Zoo. The zoo opened in 1957 with original exhibits including an extensive collection of animals. Due to overall deterioration and the continued housing of animals in undersize cages, improvements were made to the MGZ in the 1980’s which resulted in the zoo receiving accreditation from the Association of Zoos and Aquariums from 1990- 2006. The animal collection evolved to the housing of much smaller animals to meet the accreditation requirements. The MGZ lost its accreditation due to economic recessions, management, and staffing issues, as well as a deteriorating infrastructure and lack of exhibit upgrades. In addition, substantial withdrawals from the Micke Grove Trust (Trust) by past San Joaquin Board of Supervisors also hampered required improvements to the Zoo.

Method of Investigation
Materials Reviewed
• 2018-2019 Civil Grand Jury Reports
• 2023-2024 San Joaquin Couty Budget for Parks and Recreation • 2022-2023 San Joaquin Couty Budget for Parks and Recreation • 2021-2026 Micke Grove Zoo Five-Year Strategic Plan
• 2008 Micke Grove Master Plan
• 2023-2024 San Joaquin County Capital Improvement Projects Budget • San Joaquin Zoological Society Position Paper (October 19, 2023) • David Tausig & Associates San Joaquin Parks and Recreation Benchmarking and Assessment Report (June 4, 2018)
• Wells Fargo Account Statements for William G. Micke Trust (April 1, 2023-June 30, 2023 and October 1, 2023-December 31, 2023)

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47 Presentations
• San Joaquin Parks and Recreation Division Micke Grove Zoo Presentation (October 27, 2023)
• San Joaquin Zoological Society Executive Director Presentation (October 25, 2023) • San Joaquin County Administrator (February 14, 2024)
Interviews Conducted
• Current San Joaquin County Parks Director (January 10, 2024) • Member of the San Joaquin County Board of Supervisors Sites Visited and Toured
• Micke Grove Zoo (November 27, 2023)
Discussion
The adopted 5-year MGZ Strategic Plan is behind schedule and continues to move slowly. County leadership has demonstrated no sense of urgency to complete the Plan. The Board of Supervisors and Parks Department have failed to provide adequate leadership, staffing, and funding to complete the 5-year MGZ Strategic Plan on the Board approved schedule.

The vacant Zoo Director position has led to the lack of leadership needed to ensure progress on completing the Strategic Plan elements.

The County has failed to develop a comprehensive 5-year budget for the completion of the tasks to meet the timelines laid out in the adopted Strategic Plan.

The annual 5% withdrawal from the Micke Trust for support of MGZ and Park often exceeds the annual Trust income, thus reducing the principal of the Trust. The issue of the previous Board of Supervisors’ withdrawals from the Trust above the specified trust income has never been rectified.

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48 These monies have never been repaid to the Trust. The monies secured from a recent sale of Trust real estate should not be considered “repayment” of those past withdrawals.

Conclusion
The future of the Micke Grove Zoo is at a critical crossroads. If the San Joaquin Board of Supervisors value the Zoo as an asset to the ongoing development of our community’s well-being, they need to consider the following actions:
• Commit the required budget dollars to expedite the completion of the MGZ Strategic Plan • Provide adequate staffing to operate the Zoo
• Stop the Micke Trust withdrawals above the annual Trust income • Outsource the ongoing day-to-day management and operation of the Zoo If the San Joaquin County Board of Supervisors cannot demonstrate their commitment to the revitalization of the Micke Grove Zoo, then closure should be considered.

Disclaimers
Civil Grand Jury reports are based on documentary evidence and the testimony of sworn or admonished witnesses, not on conjecture or opinion. However, the Civil Grand Jury is precluded by law from disclosing such evidence except upon the specific approval of the Presiding Judge of the Superior Court, or another judge appointed by the Presiding Judge (Penal Code Section 911. 924.1 (a) and 929). Similarly, the Civil Grand Jury is precluded by law from disclosing the identity of witnesses except upon an order of the court for narrowly defined purposes (Penal Code Sections 924.2 and 929).

This report was issued by the Civil Grand Jury except for one member of the jury. This juror was recused and excluded from all parts of this investigation including interviews, presentations, tour, deliberations, and the development and acceptance of the report.

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49 Response Requirements
California Penal Code Sections 933 and 933.05 require that specific responses to the conclusions contained in this report be submitted to the Presiding Judge of the San Joaquin County Superior Court within 90 days of receipt of the report.

The San Joaquin County Board of Supervisors shall respond to the conclusions of this report within 60 days of receipt.

Mail or hand deliver a hard copy of the response to:

Honorable Gus C. Barrera II, Presiding Judge
San Joaquin County Superior Court
180 E Weber Ave, Suite 1306J
Stockton, California 95202
Also, please email a copy of the response to Irving Jimenez, Staff Secretary to the Civil Grand Jury, at [email protected]

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50 2023 - 2024 San Joaquin County Civil Grand Jury
Second Look:
2018-2019 San Joaquin County Civil Grand Jury Report
Cold Cases in San Joaquin County: On the Back Burner Case # 0318 Summary
Every year, the San Joaquin County Civil Grand Jury, Law and Justice Committee is charged with reporting the status of and/or investigating matters pertaining to law enforcement, including police, juvenile justice, public protection, probation issues, and inspecting detention facilities within the county. This year’s Civil Grand Jury determined the status of cold cases was also warranted. The 2018-2019 San Joaquin County had produced a report San Joaquin County Civil Grand Jury Report:

Cold Cases in San Joaquin County: On the Back Burner Case # 0318. The Law and Justice Committee determined this report gave a thorough and accurate assessment of the status of cold case investigations in San Joaquin County. However, the Civil Grand Jury decided to take a “Second Look” at the current status of cold cases. The report made ten recommendations that all the law enforcement agencies agreed to implement or least partially implement. Complete copies of the original report, all follow up reports, and the agencies responses can be found on the San Joaquin County Civil Grand Jury website at https://www.sjcourts.org/divisions/civil-grand-jury .

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51 Background
The 2018-2019 San Joaquin County Civil Grand Jury investigated the status of cold case investigations. They concluded that the County lacked leadership, staff, desire, and funding: what were called cold case units were basically nonexistent units.

The Civil Grand Jury found 8 items/areas of concern for cold case investigation:
• Definition of cold cases
• Counting cold cases
• Clearance rates
• Staffing
• Funding
• Investigating
• Solving cold cases in San Joaquin County
• Maintaining contact with family of cold case victims
Their investigation led to the following ten recommendations:
• R1 Each law enforcement agency in San Joaquin County develop a plan to define, prioritize, and digitally track cold case investigations no later than December 31, 2019. Prioritization will emphasize available physical evidence and utilize emerging DNA testing techniques. • R2 Each law enforcement agency in San Joaquin County expands their definition of “cold case” to include missing persons with suspicious circumstances, and sexual assault (forcible rape and attempted rape), in addition to homicide no later than December 31, 2019. • R3 The San Joaquin County Sheriff utilize budget options and staffing reassignments as necessary to provide the equivalent of at least three full-time Sheriff’s Detectives dedicated solely to cold case investigations no later than December 31, 2019.

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52 • R4 The San Joaquin County District Attorney utilize budget options and staffing reassignments as necessary to provide the equivalent of at least two full-time District Attorney Investigators dedicated solely to cold case investigations no later than December 31, 2019.
• R5 The City of Stockton utilizes budget options and staffing reassignments as necessary to provide the equivalent of at least three full-time Police Detectives dedicated solely to cold case investigations no later than December 31, 2019.
• R6 The San Joaquin County District Attorney’s Office develop a plan for a Cold Case Task Force to facilitate collaboration in investigating and prosecuting cold cases for all law enforcement agencies in San Joaquin County no later than December 31, 2019. • R7 The San Joaquin County District Attorney’s Office establish a Cold Case Task Force for all law enforcement agencies in San Joaquin County no later than March 31, 2020. • R8 Each law enforcement agency in San Joaquin County signs a Partnership and Cooperation Agreement with the newly formed Cold Case Task Force no later than March 31, 2020.
• R9 The newly formed Cold Case Task Force partner with the regional CA-DOJ crime laboratories to facilitate the timely and necessary testing of all DNA evidence for cold case investigations no later than March 31, 2020.
• R10 Each law enforcement agency in San Joaquin County develops a procedure and practice for maintaining periodic contact with family members of cold case victims no later than March 31, 2020.

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53 Reason for Investigation
The 2023-2024 San Joaquin County Civil Grand Jury Law and Justice Committee wanted to determine the status of cold case investigations in San Joaquin County today and assess/determine the impact of the 2018-2019 Civil Grand Jury report. Departmental presentations included an update of cold case investigations revealed very little progress.

Method of Investigation
The current Law and Justice Committee sent cold case surveys to all law enforcement agencies in the County to gauge the status of cold case investigations. The response to the surveys was disappointing and the various agency presentations made it clear not much had changed with one notable exception, the San Joaquin County Sherriff’s Office.

Materials Reviewed
• 2018-2019 San Joaquin County Civil Grand Jury Report. “Cold Cases in San Joaquin County: On the Back Burner #0318”
• 2019-2020 San Joaquin County Civil Grand Jury Follow-up Report. “Cold Cases in San Joaquin County: On the Back Burner #0318”
• 2023-2024 San Joaquin County Civil Grand Jury Cold Case Surveys Presentations
• Tracy Police Department
• Manteca Police Department
• Lodi Police Department
• Ripon Police Department

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54 • Lathrop Police Department
• Stockton Police Department
• San Joaquin County Sheriff’s Office
• San Joaquin County District Attorney’s Office
• Escalon Police Department
Interviews Conducted
A total of seven people from three agencies involved with cold case investigations were interviewed.

Sites Visited
• San Joaquin County Sheriff’s Office
• Escalon Police Department
Discussions, Findings, and Recommendations
When the 2018-2019 San Joaquin County Civil Grand Jury began their investigation of cold cases in San Joaquin County, they found that only three agencies claimed to have a dedicated or semidedicated cold case unit. They were the San Joaquin County Sheriff’s Office, the Stockton Police Department, and the District Attorney’s Office.

The Sheriff’s Office had a cold case unit that consisted of two deputies and a sergeant. Upon further investigation it was discovered that due to staff vacancies, the two deputies and the sergeant were assigned to other units, leaving virtually no one to work on cold cases.

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55 The Stockton Police Department’s cold case unit consisted of one retired annuitant. He had limitations due to the number of hours he could work in a year. He also had not been recertified as a police officer and was restricted from performing certain duties.

The District Attorney’s Office had two assigned cold case investigators. At the time, one investigator was on loan to the Tracy Police Department and the other was assigned duties unrelated to cold cases.

No other law enforcement agencies had any dedicated cold case unit or staff. Most cold cases were assigned to the Sheriff’s Office.

After the 2018-2019 Civil Grand Jury released their report, there was consensus that cold cases had not received the attention and consideration they deserved and should be given a higher priority.

Those who responded to the report agreed to either implement or partially implement the report recommendations pending budget approval, departmental reorganization, and availability of staffing and other resources.

San Joaquin County Sheriff’s Office
The Sheriff’s Office has formed a Cold Case Unit, consisting of (1) Lieutenant, (1) Sargeant, and (4) Detectives who also investigate “in-house” crimes, jail incidents, and officer involved shootings.

Their definition of cold cases includes unsolved homicides, long-term missing persons, and violent sexual assaults. The SJCSO cold case database, that includes only SJCSO cases, which could be expanded to include all other law enforcement agencies in the County. All assigned staff regularly attend outside cold case schools and training. They keep up with the latest innovations in investigative technology and techniques, especially those specific to cold case investigations.

The SJCSO are aware of the Stockton Police Department’s and the San Joaquin County District Attorney’s cold case investigators, but do not have any formal or regular working relationship with

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56 them. The Stockton Police Department (SPD) was not aware of the County Cold Case Task Force and was not sure how a task force would work or if it would be beneficial.

The Sheriff’ Office should be commended for their follow through on the 2018-2019 Civil Grand Jury recommendations.

Stockton Police Department
The only improvement related to Cold Cases since the 2018-2019 Civil Grand Jury report is that the retired annuitant has been recertified as a peace officer and can now perform all investigating functions without relying on another officer. None of the Civil Grand Jury recommendations were implemented.

San Joaquin County District Attorney’s Office (DA)
There has been little to no change in the DA’s “Cold Case Unit” including the number of cold case investigators, and their time is divided among other responsibilities. The Chief Deputy District Attorney heading up the cold case unit is also assigned to prosecute current homicide cases.

The DA’s office has no internal cold case database. Because cold cases are a low priority, funding for DNA and lab testing is limited.

Cold Case Task Force (TF)
The 2018-2019 Civil Grand Jury had proposed a county-wide TF with the District Attorney’s Office as the lead agency. There is no county-wide TF. The core membership would have been the three largest agencies, the SJCSO, SPD, and the District Attorney’s Office. All other agencies were encouraged to join. Members would share resources, information, and training which would result in everyone investigating cold cases using the same investigative techniques. All agencies would be on the same page and could step in for one another should the need arise. It would improve

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57 communication and cooperation among agencies. A TF could also leverage their status to obtain agreements with outside laboratories much the same as Tracy Police Department does. Cold cases could also be distributed to other agencies lessening the load of the three main agencies.

Santa Clara County appears to have a well-functioning cold case task force that could be used as a model for San Joaquin County law enforcement agencies.

1.0 FINDINGS
F. 1.0: Overall, county law enforcement agencies failed to implement the 2018-2019 Civil Grand Jury recommendations. All agencies seemed set on continuing as they were, and are protective of their processes, their cases, and their procedures. The failure to implement the 2018-2019 recommendations came down to three factors:
• Lack of leadership
• Lack of desire
• Pandemic disruptions
During the period just after the 2018-2019 Civil Grand Jury there was a disruption of leadership in the Stockton Police Department and a new District Attorney was elected.

The police chief retired and a new chief was hired and faced many challenges to make the department his. It is obvious cold cases were not a priority as there were many improvements that could have been made. For example, hiring more retired annuitants, setting up a new database, using volunteers for data entry of non-sensitive information even having a volunteer to answer phones. He has now been on the job since 2022 and it is time to prioritize cold cases.

A new District Attorney was elected, and has been reorganizing his Office but has not prioritized the cold case unit.

The Pandemic delayed the implementation of recommendations; however, improvements could have been made such as purchasing equipment, setting up databases, and Zoom trainings related to cold

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58 cases. The Sheriff’s Office did manage to implement many of the recommendations in spite of the Pandemic.

With over 500 cold cases, it’s time to get back on track and recommit to implementing those recommendations.

RECOMMENDATIONS
R. 1.0: By October 1, 2024, all Law Enforcement Agencies review and implement the recommendations from the 2018-2019 Civil Grand Jury Report “Cold Cases in San Joaquin County:

On the Back Burner” Case #0318. (These recommendations can be found in the original Civil Grand Jury report and on pages 2 and 3 of this report).

R. 1.1: By October 1, 2024, the task force should be formed and implemented with the San Joaquin County Sheriff’s office as the lead agency.

Conclusion
All of the law enforcement agencies agreed with the 2018-2019 Civil Grand Jury’s Findings and Recommendations but did not implement them. The one exception, the San Joaquin County Sheriff’s Office followed through on most of the recommendations.

Disclaimers
Civil Grand Jury reports are based on documentary evidence and the testimony of sworn or admonished witnesses, not on conjecture or opinion. However, the Civil Grand Jury is precluded by law from disclosing such evidence except upon the specific approval of the Presiding Judge of the Superior Court, or another judge appointed by the Presiding Judge (Penal Code Section 911. 924.1 (a) and 929). Similarly, the Civil Grand Jury is precluded by law from disclosing the identity of

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59 witnesses except upon an order of the court for narrowly defined purposes (Penal Code Sections 924.2 and 929).

Response Requirements
California Penal Code Sections 933 and 933.05 require that specific responses to all findings and recommendations contained in this report be submitted to the Presiding Judge of the San Joaquin County Superior Court within 90 days of receipt of the report.

The San Joaquin County Board of Supervisors shall respond to all findings and recommendations of this report and the 2018-2019 Civil Grand Jury Report “Cold Cases in San Joaquin County: On the Back Burner” Case #0318.

The Stockton City Council shall respond to all Findings and Recommendations of this report R1 and R2 and the 2018-2019 Civil Grand Jury Report “Cold Cases in San Joaquin County: On the Back Burner” Case #0318, R1, R2, R5, R8, and R10.

The Escalon City Council shall respond to all Findings and Recommendations of this report R1 and R2 and the 2018-2019 Civil Grand Jury Report “Cold Cases in San Joaquin County: On the Back Burner” Case #0318, R1, R2, R8, and R10.

The Lodi City Council shall respond to all Findings and Recommendations of this report R1 and R2 and the 2018-2019 Civil Grand Jury Report “Cold Cases in San Joaquin County: On the Back Burner” Case #0318, R1, R2, R8, and R10.

The Manteca City Council shall respond to all Findings and Recommendations of this report R1 and R2 and the 2018-2019 Civil Grand Jury Report “Cold Cases in San Joaquin County: On the Back Burner” Case #0318, R1, R2, R8, and R10.

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60 The Ripon City Council shall respond to all Findings and Recommendations of this report R1 and R2 and the 2018-2019 Civil Grand Jury Report “Cold Cases in San Joaquin County: On the Back Burner” Case #0318, R1, R2, R8, and R10.

The Tracy City Council shall respond to all Findings and Recommendations of this report R1 and R2 and the 2018-2019 Civil Grand Jury Report “Cold Cases in San Joaquin County: On the Back Burner” Case #0318, R1, R2, R8, and R10.

The San Joaquin County District Attorney shall respond to all Findings, where applicable and Recommendations of this report R1 and R2 and the 2018-2019 Civil Grand Jury Report “Cold Cases in San Joaquin County: On the Back Burner” Case #0318, R1, R2, R4, R6, R7, R8, R9 and R10, within 60 days of receipt of the report.

Mail or hand deliver a hard copy of the response to:

Honorable Gus C. Barrera II, Presiding Judge
San Joaquin County Superior Court
180 E Weber Ave, Suite 1306J
Stockton, California 95202
Also, please email a copy of the response to Mr. Irving Jimenez, Staff Secretary to the Civil Grand Jury, at [email protected]

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61 2023 - 2024 San Joaquin County Civil Grand Jury
Working Title 1le 2 (Case No. xx20)
Second Look:
2019-2020 San Joaquin County Civil Grand Jury Report
Illegal Dumping: Talking Trash, Case #0519
Summary
The 2019-2020 Civil Grand Jury investigated the complex issue of illegal dumping in San Joaquin County. The investigation produced multiple findings and recommendations, requiring responses from the County Board of Supervisors and the City of Stockton. The City of Stockton responded with their willingness to participate in all the recommendations.

Subsequent Civil Grand Juries produced three follow-up reports:

The 2020-2021 Civil Grand Jury made multiple attempts to obtain verification of the Task Force formation and resolution of the recommendations. That Civil Grand Jury found that only a few of the recommendations were implemented. All other recommendations remained unsatisfied.

The 2021-2022 Civil Grand Jury verified the Task Force was created and several meetings were held to discuss the issue of illegal dumping. Other recommendations were also fulfilled, but several remained unresolved.

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62 The 2022-2023 Civil Grand Jury determined that the remaining unresolved recommendations from 2021-2022 Civil Grand Jury follow-up report have been sufficiently implemented with the two recommendations of the implementation plan for monitoring cameras and codifying enforcement to being completed. The 2022-2023 Civil Grand Jury recommended no further action should be taken.

The 2023-2024 San Joaquin County Civil Grand Jury had observed “illegal dumping” in several areas of the county despite the implementation of recommendations of the 2019-2020 Civil Grand Jury report Illegal Dumping: Talking Trash Case #0519 and the subsequent follow-up reports to mitigate illegal dumping. The 2023-2024 Civil Grand Jury decided to take a second look at illegal dumping. The 2019-2020 Civil Grand Jury investigation was thorough and complete and a new full investigation was not needed. The focus of this second look was the two largest governmental entities in the county, the City of Stockton and San Joaquin County. Complete copies of the original report, all subsequent follow-up reports, and the agency’s responses are found on the San Joaquin County Civil Grand Jury website at: https://www.sjcourts.org/civil-grand-jury/ .

Picture taken October 24, 2023

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63 Method of 2nd Look Investigation
Materials Reviewed
• 2019-2020 San Joaquin County Civil Grand Jury Report Illegal Dumping: Talking Trash, Case #0519
• 2020-2021 San Joaquin County Civil Grand Jury Follow-up Report to the 2019-2020 Illegal Dumping: Talking Trash, Case #0519
• 2021-2022 San Joaquin County Civil Grand Jury Follow-up Report to the 2019-2020 Illegal Dumping: Talking Trash, Case #0519
• 2021-2022 San Joaquin County Civil Grand Jury Follow-up Report to the 2019-2020 Illegal Dumping: Talking Trash, Case #0519
Presentations:
• City of Stockton Public Works
• San Joaquin County Public Works
Interviews Conducted
• San Joaquin County Assistant Director of Public Works • City of Stockton Public Works
• City of Stockton Code Enforcement
• San Joaquin County Sheriff
Sites Visited
Multiple “Hot Spots” in San Joaquin County were visited: Kyle Rd. in Thornton, West Jahant Rd. in Acampo, Thornton Rd. from Thornton to 8 Mile Road, and Pearson Road in Lodi.

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64 Glossary
CHAPTER 8.104: proposed ordinance pending approval by Stockton City Council To The Stockton Municipal Code Regarding Illegal Dumping
GORequest: San Joaquin County website to report service requests (discontinued 2023) SJC app: My San Joaquin phone app.to report service requests GOGov, Inc.

Reason for Investigation
Members of the 2023-2024 San Joaquin County Civil Grand Jury had observed trash dumped in several areas around the county and the City of Stockton. Members attempted to report the dumpsite via the advertised Trash Hotline, GORequest. It took the members several attempts to get a response and it was discovered the hotline had changed. The Civil Grand Jury members were finally able to get through and report the dump site using the new phone app: SJC app. This led to the Civil Grand Jury questioning whether or not the prior Civil Grand Jury Report had any impact or if the responsible agencies had reverted to inefficient past practices.

Discussions, Findings, and Recommendations
The GORequest reporting app did not work when Civil Grand Jury members attempted to use it to report illegal dumping late in 2023. This was pointed out to both presenters from the City of Stockton Public Works and the San Joaquin County Public Works. The Civil Grand Jury was informed that GORequest was discontinued in 2023 and that it had been replaced with the SJC phone app for reporting. Lack of notification with the GORequest app left the public without a way to report illegal dumping. The new SJC phone app has seemed to work well in 2024. The Civil Grand Jury noted that reported dump sites have been picked up within 48 hours of reporting. Good job!

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65 San Joaquin County
SJC Public Works employees assigned to picking up illegal dumping consist of four staff members and three vehicles. The Illegal Dumping Task Force began meeting in the fall of 2022. However, they no longer meet on a regular basis. The County purchased 14 cameras but there have been major issues with the batteries not remaining charged and only four of them were operational (at time of presentation).

Enforcement has been lacking and the effectiveness of their cameras system is questionable with only three citations having been issued in the past couple years.

The Civil Grand Jury recommends the County upgrade to a more reliable camera system. The County should consider contacting other cities/municipalities that have a higher success rate. A 29% rate of camera functionality is not an efficient use of taxpayer money. Additionally, the County needs to reestablish regular meetings of the Illegal Dumping Task Force. A total of four staff members and three vehicles appear to be stretched thin and the County should add staff and resources. The public awareness/education process, including billboards and public service announcements are laudable and should be continued.

City of Stockton
During the City of Stockton Public Works presentation to the Civil Grand Jury, we were informed that the Stockton Police Department had been working to develop an illegal dumping ordinance. The proposed ordinance: CHAPTER 8.104 The Stockton Municipal Code Regarding Illegal Dumping, was developed with the City Attorney’s Office. The intent of the ordinance is to elicit assistance of citizens in reporting license plates of vehicles/trailers, hopefully with photos or videos, which could greatly improve enforcement and prosecution of illegal dumping. Funds have been allocated for a media campaign advertising a rewards program of up to $250 for citizens who report illegal dumping. As of the date of this Civil Grand Jury report, the ordinance has not yet appeared as a City Council agenda item, and the progress towards implementation of the ordinance is in question.

In addition to the ordinance, the City has 16 cameras and has purchased an additional 125. However, the efficacy of the cameras is questionable; according to their reports, the number of arrests for illegal dumping is a grand total of four over the last seven years. The Civil Grand Jury recognizes

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66 the difficulty in controlling illegal dumping and applauds the efforts to control the problem by the proposed ordinance to encourage public engagement. We commend the City on the new reporting app and the quick response times. Billboards and advertisements have attempted to raise public awareness.

The City/County Task Force recommended by the 2019-2020 Civil Grand Jury does not currently meet on a regular basis and may even have been discontinued. This Task Force would be a valuable resource for establishing best practices and coordinating efforts to control illegal dumping.

Picture taken September 13, 2023
Recommendations
R1.1: By November 1, 2024 the City/County Task Force should meet on a regular basis.

R1.2: The City of Stockton shall adopt the proposed ordinance by December 31, 2024.

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67 Acknowledgments
Thanks to all who truly do a thankless job. You make the county cleaner and safer by taking away health and safety hazards that can harm our children and attract disease-carrying vermin.

Disclaimers
Grand Jury reports are based on documentary evidence and the testimony of sworn or admonished witnesses, not on conjecture or opinion. However, the Grand Jury is precluded by law from disclosing such evidence except upon the specific approval of the Presiding Judge of the Superior Court, or another judge appointed by the Presiding Judge (Penal Code Section 911. 924.1 (a) and 929). Similarly, the Grand Jury is precluded by law from disclosing the identity of witnesses except upon an order of the court for narrowly defined purposes (Penal Code Sections 924.2 and 929).

Response Requirements
California Penal Code Sections 933 and 933.05 require that specific responses to all findings and recommendations contained in this report be submitted to the Presiding Judge of the San Joaquin County Superior Court within 90 days of receipt of the report.

Note: If the responder is an elected official, the response must be sent within 60 days of receipt. The Tracy City Council shall respond to all findings and recommendations. Mail or hand deliver a hard copy of the response to:

Honorable Gus C. Barrera II, Presiding Judge
San Joaquin County Superior Court
180 E Weber Ave, Suite 1306J
Stockton, California 95202
Also, please email a copy of the response to Irving Jimenez, Staff Secretary to the Grand Jury, at [email protected]

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SECTION 4:

LAW AND JUSTICE
Law and Justice Report
with CARE Act Update....................................Page 71

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71 2023-2024 San Joaquin County Civil Grand Jury
Working Title 1: Working Title 2 (Case No. xx20)
Law and Justice Report
Introduction and Background
California Penal Code sections 919(a), and 919(b) authorize the Civil Grand Jury to inquire into the condition of jails and public prisons operated by the state, county, and cities within the jurisdiction of San Joaquin County. The Civil Grand Jury is charged with investigating matters pertaining to law enforcement, including police, juvenile justice, public protection, probation issues, and inspecting court detention facilities within the county. The Civil Grand Jury utilized surveys, information requests, and web-based presentations to fulfill its obligation.

This year’s Civil Grand Jury focused on the state of the local criminal justice system focusing on:
• Cold Cases
• Recruiting & Retention
The 2023-2024 Civil Grand Jury sent out surveys to all local law enforcement agencies, toured the County’s detention facilities, and listened to presentations by law enforcement entities within the County addressing the above items.

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72 Law Enforcement Department Descriptions
The following are overviews of the various law enforcement agencies that the Civil Grand Jury reviewed. The many programs and activities found in the descriptions are not meant to be a complete survey of each department, but rather examples of the types of activities that the Civil Grand Jury noted or were described in presentations. Most programs and activities would overlap in all city police departments or the San Joaquin County Sheriff’s Office. For example, a Neighborhood Watch program is described in the Stockton and Tracy Police Departments, yet likely all or most of the agencies would have such a program.

Summary
The 2023-2024 Civil Grand Jury Report reviewed the law enforcement and public agencies within San Joaquin County including the:
• City police departments of Escalon, Lathrop, Lodi, Manteca, Ripon, Stockton, and Tracy. • San Joaquin County Sheriff’s Office.
• San Joaquin Delta College Police Academy
• San Joaquin County Jail
• Juvenile Detention Facility under the Juvenile Detention Service within the San Joaquin County Probation Department.
• The California Health Care Facility (CHCF).

The Civil Grand Jury had presentations from all of the agencies except the California Health Care Facility. Jury members toured the San Joaquin County Jail, the Juvenile Detention Facility, and the California Health Care Facility. Interviews were also conducted.

The police chiefs and the San Joaquin Sheriff were asked to comment on the following issues:
• Community Mental Health Response Program.
• Homeless issues.
• Cold Cases.
• Staffing demands and recruitment strategies.

The Civil Grand Jury members participated in ride-along sessions with law enforcement agencies to observe the law enforcement officers’ interactions with the citizens they are sworn to serve. All Civil

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73 Grand Jury members who spent time with law enforcement officers during their ride-along sessions commented on the professionalism demonstrated by the officers.

Staff shortages is a common concern expressed by many of the law enforcement agencies. This results in longer response times to calls.

This report includes information obtained from the presentations, facility visits, independent research of agency websites, documents provided by the agencies, and individuals’ ride-along observations.

Collaborative Relations Between Law Enforcement and Citizens A focus common in all the agencies’ presentations was their effort to inform and engage with their communities. All agencies viewed this collaboration as a long-term solution to crime in their areas.

Community Mental Health Response Program
Police often interact with citizens with mental health issues. They coordinate with the San Joaquin County Behavioral Health Department. Mental health personnel are typically available only during business hours.

Homelessness Issues
Homelessness is a problem in San Joaquin County. The law enforcement community recognizes the concerns of the community related to the homeless population and is committed to assisting in dealing with the issue while ensuring the community’s rights are upheld. Many agencies now have staff dedicated to working with members of the homeless community with the goal of assisting them to find the resources available.

Staffing Demands and Recruitment Strategies
Many law enforcement departments are faced with recruiting, hiring, and retention challenges: i.e., fewer people want to become law enforcement officers considering the news and negative public perceptions. Officer pay scales are typically lower in San Joaquin County than those in surrounding counties. Most of the law enforcement agencies expressed concern regarding recruitment. Due to staff shortages, many departments had to come up with creative solutions for making do with less.

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74 Glossary
• Academy: POST-accredited training academy
• AFIS: Automated Fingerprint Identification System
• BSCC: Board of State and Community Corrections (California) • California Penal Code Section 919(a): “The Grand Jury may inquire into the case of every person imprisoned in the jail of the county on a criminal charge and not indicted.” • California Penal Code Section 919(b): “The Grand Jury shall inquire into the condition and management of the public prisons within the county.”
• CDCR: California Department of Corrections and Rehabilitation • CHCF: California Health Care Facility located in Stockton • ComCar: Community Car Program in the San Joaquin County Sheriff’s Office in which deputies work in specific areas to gain greater connections and trust with the community.

ComCar deputies work in specific areas known as “micro-beats.” • CRU: Community Revitalization Unit in the San Joaquin County Sheriff’s Office enforces blight laws in the County
• Delta College: San Joaquin Delta College
• EMP: Electronic Monitoring Program. This is house arrest with a monitoring device • Lateral or Lateral Officer: Experienced law enforcement officers recruited from other agencies
• LEAD: Law Enforcement Applicant Development is a program to assist youth usually aged 16-19 interested in a career in law enforcement
• Measure A: A Stockton three-quarter cent (0.75%) transaction and use tax (sales tax) effective April 1, 2014, extended by City Council December 2023. The proceeds will be used to pay for law enforcement, crime prevention services, and services to Stockton residents. • Marshall Plan: A strategic initiative adopted by the Stockton City Council to reduce crime and increase public safety. The plan was discussed in Council on January 31, 2012, and the Marshall Plan Committee met through 2012 and held a symposium for community leaders on February 8, 2013
• NOBLE: National Organization of Black Law Enforcement • OYCR: Office of Youth and Community Restoration (California)

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75 • one.Cruikshank: The San Joaquin County Office of Education program (named for Judge John F. Cruikshank, Jr.) provides a fully accredited year-round education for all individuals enrolled in the Juvenile Court School. Attending school is mandatory Monday through Friday for all youth
• POST: Peace Officer Standard and Training sets the standards for all law enforcement training.
• POST Academy: Any law enforcement academy approved by POST to provide minimum selection and training standards for California law enforcement • PREA: Prison Rape Elimination Act established in 2003 under the Code of Federal Regulations 28 (CFR Part 115), the Prison Rape Elimination Act sets the standards for the detection, prevention, reduction, and prosecution of prison sexual assault. It also provides funds to help State and local governments implement the act • Principled Policing: Focuses on the way police interact with the public and how these interactions influence crime rates and the public’s view of police and willingness to obey the law. Practicing procedural justice can have a significant impact on compliance, cooperation, public safety, and officer safety
• Resident: Any person confined or detained in a juvenile facility or in a community confinement facility
• SB 823: California Senate Bill 823 was signed into law September 30, 2020. Also known as the “Juvenile Justice Realignment Act,” closes the Division of Juvenile Justice and removes it from the California Department of Corrections and Rehabilitation (CDCR). It places Juvenile Justice under the authority of the Department of Health and Human Services in a new division called the Office of Youth and Community Restoration (OYCR) • SJC: San Joaquin County
• SRO: School Resource Officer
• STARS: Sheriff’s Team of Active and Retired Seniors

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76 Facilities Toured
• Members of the 2023/2024 Civil Grand Jury toured the following facilities:
• San Joaquin County Juvenile Detention Facilities
• San Joaquin County Jail
• California Health Care Facility (CHCF)
The following documents submitted by the San Joaquin County Juvenile Detention Facility were reviewed:
• San Joaquin County Juvenile Detention Facilities Youth Handbook • San Joaquin County Juvenile Detention Facilities Information Packet

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77 Escalon Police Department
The City of Escalon covers about two and a half square miles and has 7,448 (2022) residents. Of the seven cities in San Joaquin County, Escalon has the smallest police department with 11 sworn officers but is augmented by 12 reserve officers. The Escalon Police Department has contracted with the Ripon Police Department to provide full-time dispatch services and mutual aid.

Escalon has a limited residential growth initiative which limits tax revenue to the City. This results in police officer salaries being the lowest in the county. Despite this, the department has been able to recruit new officers wishing to take advantage of the small-town quality of life Escalon has to offer.

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78 Lathrop Police Department
The City of Lathrop is one of Northern California’s fastest-growing cities with a population of over 35,000. The Lathrop Police Department is the newest law enforcement agency in San Joaquin County completing its first year of operation on June 29, 2023. Police accountability, public trust, community outreach, and transparency were the top priorities for the Lathrop community. The Department has 42 sworn officers and 15 non-sworn staff. Dispatch services are provided by the Ripon Police Department. The Department provides Ripon Police Department funding for six dispatchers.

To meet its community outreach priority, the Department hosts regular events such as town halls and public events including a monthly “Coffee with a Cop”. They employ a media relations coordinator who utilizes social media for community outreach.

The Lathrop Police Department’s School Resource Officer (SRO) Unit consists of a Sergeant and four officers. The SROs maintain high visibility before and after classes to assist in the safe flow of vehicular and pedestrian traffic. The goal is “to ensure children make it safely into and out of school campuses on a daily basis.”
Crime statistics from the city’s crime mapping system showed from June 29, 2022, through June 28, 2023, 163 crimes against persons and 454 crimes against property.

The Department has worked with San Joaquin County Behavioral Health Services for training on mental health crisis intervention strategies.

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79 The Lathrop Police Department has a single documented cold case which they inherited from the time when San Joaquin County Sheriff's Office was providing public safety services.

Being fully staffed, the Department is not currently facing a hiring or retention problem. The department’s base salary is above average when compared with other departments in the county.

Because the Department is only entering its second year, sworn employees were hired by the Lathrop Police Department via lateral entry. This ensured the department started with sworn officers with prior law enforcement experience.

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80 Lodi Police Department
The City of Lodi was founded as a township in August 1869. Lodi was incorporated on December 6, 1906. Lodi Police Department’s formation in 1906, the Department has grown to include 75 sworn officer positions, 55 non-sworn employees, and roughly 50 volunteers serving approximately 70,000 citizens and approximately 14 square miles of jurisdiction. The department’s mission is to ensure the safety and security of the community by reducing crime, creating strong partnerships, and investing in its employees to prepare for the future. The Lodi Police Department implemented ACE — Advance, Connect, and Evolve to measure their daily service.

Advance the Department
• Build Relationships
• Be Proactive
• Take Care of Each Other
• Strive to Improve each Other and the Department
Connect with the Community
• Coffee with a Cop
• Meet the Beat
• Citizen’s Academy
• Open House
• National Night Out

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81 • Get out of the Car and Talk with Citizens
Evolve with Policing
• Policing Smarter with Available Resources to Ensure Public Safety • CIT Training
• Technology
• De-escalation Training
• Transparency

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82 Manteca Police Department
The Manteca Police Department’s mission statement reads: “The Manteca Police Department is committed to working together to form a partnership with the community. Through this relationship, we will protect the community while maintaining public trust and a commitment to those we serve.

We will exemplify pride and professionalism in our actions through our core values: honor, integrity, accountability, and fairness”.

The Police Department has 75 sworn positions and six non-sworn positions. The Department is staffed with one captain, two lieutenants, seven sergeants, 56 officers, four Community Service Officers, and two booking officers. The Department is divided into two divisions, Operations and Services totaling 114 full-time police employees. They are not currently facing a hiring or retention problem.

The Operations Division is led by one captain and two lieutenants and is divided into two areas—the East Area Command and the West Area Command. The Operations Division consists of Patrol, Traffic, Community Resource Officers, School Resource Officers, SWAT, K-9, and an Unmanned Aerial Unit (drones). Other technology utilized by the Department includes Automated License Plate Readers and next-generation red light cameras.

The Services Division consists of Code Enforcement, the Communications Center, Detectives, Gang Suppression, Street Crimes Units, Property, Evidence, and Records. This Division also has 65 volunteers known as Seniors Helping Area Residents and Police (SHARP) who provide assistance and support to the city by patrolling school areas and commercial parking lots. They also provide clerical support in the Records Unit.

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83 Ripon Police Department
The City of Ripon, known as the “Almond Capital of the World” and “The Jewel of the Valley” has a population of 16,500 with a total area of 5.5 square miles. Established in 1874, the city was incorporated in 1945.

The Ripon Police Department has 42 employees with 23 full-time sworn officers and 19 non-sworn personnel. In 2022 the department reported 21,955 incidents resulting in 818 total arrests, 680 misdemeanors, and 136 felonies. The department prides itself on its positive community relationship. For the entire year, there were only 4 use of force incidents and 1 formal citizen complaint. This method of policing is described as “Guardian vs. Warrior” mindset, which emphasizes communication over commands, cooperation over compliance, legitimacy over authority, patience over control, and stability over action.

The department’s mission statement and core values reflect their commitment to the community, emphasizing principles such as:
• Reverence for the Law
• Service to Our Community
• Integrity in Our Actions
• Respect for People
The overriding department philosophy is expressed as: “You have the ability to make a difference daily”. Ripon Police Department strives to practice Proactive Policing to prevent crimes from occurring in contrast to Reactive Policing to respond to a crime after it has been committed. The department believes they have the community’s partnership, trust, and respect and are committed to doing everything in their power to maintain that relationship.

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84 Stockton Police Department
The City of Stockton is 65 square miles with a population estimate of 320,000 and is the 13th largest city in California. The Stockton Police Department undertakes a regional approach, covering six geographic districts that help address crime and the quality of life in the community. Three districts are north of the Calaveras River and three are south. The number of calls for service is similar in both north and south Stockton. The Sheriff’s Office (rather than the Stockton Police Department) has responsibility for several unincorporated areas throughout the city, ranging in size from just several blocks to much larger areas.

The Department is led by the Chief of Police, an Assistant Chief, and two Deputy Chiefs. The Department is budgeted for 228 professional staff and 485 sworn officers. At the time of a presentation to the Civil Grand Jury, there were 228 professional staff and 345 sworn officers. A serious staffing shortage of more than 140 officers was reported in March 2023. Specialty assignments such as bicycle and public housing officers were moved to patrol to fill some of the positions. These officers will no longer participate in Law Enforcement Assisted Diversion programs which will have an impact on programs that support the community. The 140 officer shortage creates difficulty for the Department and for the community. Due to staffing issues, calls for service may not receive a timely response. When high priority calls overwhelm the available officers, the department declares a Code Blue and only responds to calls that pose an immediate threat to life or property with lower priority calls receiving attention as time permits. The staffing shortage frequently necessitates

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85 declaration of Code Blue. From January through March 2024, the SPD resorted to Code Blue approximately 24 times per month.

Collaborative Relationships Between Law Enforcement and Citizens Violence Reduction Initiative
Before 2012, the City of Stockton was experiencing a rise in violent crime, specifically homicides, gangs, and gun violence. To address escalating violence, the Stockton Police Chief proposed a “Violence Reduction Initiative” to the Stockton City Council in May 2012, which passed the initiative providing the following:
• Establishment of the Police Department's Community Response Teams • Reactivation of a camera system already installed throughout the city and used to monitor high-crime areas and deploy appropriate resources as conditions change • Refocused gang/street outreach
• Establishment of the Police Chief's Community Advisory Board in November 2012 Community Response Teams
In early 2012, the Department began real-time policing strategies that adjust staffing and deployment driven by intelligence gathering and trending violence data. These strategies focus on data and community input to define neighborhood problems. Integrated Criminal Apprehension Program (ICAP) meetings help deploy available resources in hot-spot neighborhoods to prevent retaliatory shootings. ICAP evolved into the current Community Response Teams which meet with neighborhoods to develop relationships, define problems, and follow up with proactive enforcement and problem-solving.

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86 Efforts to Build Community Trust
Community Advisory Board
The Community Advisory Board intends to foster better communication, trust, and collaboration between the people of Stockton and their police. The board gathers a cross-section of the Stockton community to maintain an open dialogue with the Police Chief.

Operation Ceasefire
Operation Ceasefire is a program adopted by many cities across the country as a partner-based violence reduction strategy using respectful, direct communication with the highest-risk youth and young adults. It is an action item from the City’s Marshall Plan and offers a multi-disciplinary approach to the most at-risk violent offenders.

Operation Peacekeeper
The program mentors youth and young adults with the highest risk of gang involvement, particularly serious gun-related violence, and provides positive alternatives for a healthier, non-violent lifestyle.

Watch Programs
• Neighborhood Watch Groups were developed to encourage citizen involvement to deter crime by early detection.
• Business Watch establishes communication links among various businesses within a specific geographic area such as a plaza, mall, complex, or city block. Each business works with the others to keep the Police Department informed of any activity that could be considered criminal in nature.
• Crime Free Multi-Housing is a partnership between the Stockton Police Department and managers/owners of multi-unit rental properties working together to prevent crime and enforce the penal code and civil code violations. Management and residents agree to work together to keep a well-maintained property and promote good quality of life while reducing crime.

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87 Neighborhood Betterment Teams (NBT)
Funded as a part of Measure A, the NBT works to improve “quality of life” issues within specified neighborhoods through the realization of the following primary goals:
• Blight and crime reduction.
• Strengthening of economic viability within and surrounding NBT areas • Fostering community pride and participation in community policing efforts • Affecting and sustaining improvement to the physical characteristics of the area • Decreasing the number of vacant homes
Community Health Response Program
In a partnership with Community Medical Centers, a pilot project has been started where a care team responds to non-emergency calls for mental health assistance. The “Care Team” includes a social worker, a case manager, a healthcare worker, and a medical assistant.

Expanded Communications
The department offers two-way communication with the community through social media such as Facebook and text-tipping, which allows anonymous tips via email or cell phone.

Increased Law Enforcement Collaborations
The department reaches out and collaborates at the:
• Federal level—U.S. Marshals Task Force, ATF, DEA, and FBI partnerships. • State level—CHP assistance with Community Response Teams. • County level—Countywide Gang Task Force, Countywide Firearms Reduction Consortium, and Countywide Community Corrections Partnership Task Force.

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88 Expanded Outreach and Volunteer Programs
Citizen input has helped expand Crime Stoppers, the Police Chaplaincy, the Stockton Police Youth Activities League, and now the Sentinel Program, a volunteer program for adults.

Dispatching
Call Prioritization Rationale
• The Dispatch Center received 373,710 calls in 2022, of which 198,612 were through 9-1-1 • A call for service priority is determined by the call type, based on whether the crime is in progress, danger to a person or property, and the presence of a suspect • Dispatchers have the option of adjusting the priority of each call for service based on the information received from the caller
Principled Policing
Principled Policing has been integrated throughout the Department with its tenets included in departmental policies, employee evaluations, and special assignment requests. Stockton Police Department personnel have received comprehensive and ongoing training in three areas:

1. Procedural Justice focuses on how the characteristics of police interactions with the public shape the public’s views of the police and improves community-police relations and trust.

2. Implicit Bias focuses on how subconscious psychological processes can shape an officer’s actions and lead to racially disparate outcomes, even where actual prejudice is not present.

3. Trust Building focuses on reconciliation and facilitating honest conversations between communities and police that address historical tensions, grievances, and misconceptions with the ultimate goal of resetting relationships.

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89 Crime Statistics Summary
Available crime statistics through September of 2023 compared to the same time in 2022 showed that total crime was up 6.9%, property crime was up 11.3%, violent crime was down 3.7%, and homicides were down from 43 in 2022 to 39 in 2023.

Recruiting and Retention
Sworn Officer Hiring
• Authorized and budgeted: 485 Officers
• Current Staffing: 350 Officers as of November 2023
• 9 Probationary Officers in a POST academy
• 21 Probationary Officers supervised by Field Training Officers • 10 hired/24 separated
• 6 sworn lateral transfers to other agencies
Recruiting
• Recruiting events: 323
• Current recruiters: 39
• Currently in the background check process:
• 52 Officer candidates
• 25 Professional staff candidates
Measure A
With the extension of Measure A approved by the City Council in December 2023, the police department hopes to see an improvement in the recruitment and retention of staff. The City will be allocating Measure A funding to pay for temporary programs to address critical recruitment and retention issues of police officers.

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90 San Joaquin County Sheriff’s Office
The San Joaquin County Sheriff’s Office (SJSO) was established in 1853 and has over 800 employees. They serve 793,229 citizens of San Joaquin County and is the primary law enforcement provider for the unincorporated areas of the County. The Sheriff’s Office is also responsible for patrolling over 500 miles of navigable Delta waterways.

General Areas of Responsibility
• Airport Security
• Animal Services
• Civil
• Courts
• Criminal
• Custody
• Public Administrator
Animal Services
The Animal Service has taken 8,770 calls for service. They wrote 285 reports and returned 363 animals to their owners. They also sold 2,353 pet licenses.

Collaborative Relationships Between Law Enforcement and Citizens The Sheriff’s Office promotes collaborative relations between law enforcement and citizens in the following areas:

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91 Community Car Program (ComCar)
This program is designed to establish relationships and trust between the Sheriff’s Office and the community. ComCar deputies work in specific areas known as “micro-beats.” Selected deputies must display a willingness to uphold and a knowledge of the ComCar philosophy.

They are expected to become experts in their assigned community, establishing good working relationships with residents and businesses, as well as identifying areas of concern.

Community Revitalization Unit (CRU)
CRU was formed to assist ComCar deputies in identifying and addressing quality of life and blight issues. CRU deputies specialize in non-traditional law enforcement tactics. They have recently been given Code Enforcement powers and detailed training on County Ordinances and available resources. They work with ComCar deputies to identify where neighborhood clean-ups would help change the trajectory and pride in ownership of entire neighborhoods.

Citizens Academy
This eight-week Academy is designed to make citizens better informed by fostering a clear understanding of a deputy and correctional officer’s duties and how they carry out those duties. All applicants must pass a warrant check prior to acceptance into the Academy.

STARS Volunteers and Volunteer Chaplaincy Program
In addition to regular interactions through proactive patrols and responding to calls for service, the Field Forces Division incorporates retired seniors, volunteer chaplains, and civilian staff to bolster the Sheriff’s Office and community relationships. The Sheriff’s Team of Active and Retired Seniors (STARS) is a volunteer program for concerned citizens aged 50 and older. STARS volunteers assist the Sheriff’s Office by enhancing and promoting efforts in crime prevention and other tasks and services as directed. Over the last three years, the Sheriff’s Office has expanded its Chaplaincy Program. Chaplains support deputies when dealing with citizens in incidents such as accidental deaths, suicides, serious accidents, drug

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92 and alcohol abuse, and other appropriate situations. This provides an additional layer of service to the community during tragic events.

LEAD Program
The Law Enforcement Application Development Program (LEAD) operates under the umbrella of the Central Valley Chapter (CVC) of the National Organization of Black Law Enforcement Executives (NOBLE). It is a collaborative operation between the San Joaquin County Sheriff’s Office, Stockton Police Department, Stockton Unified School District Police Department, several private enterprises, and stakeholders in the community. The goal of the program is to introduce and prepare young applicants for the possibility of a career within the law enforcement community.
9-1-1 Dispatch Policies
Priority 1: Requires immediate dispatching of units (Code 3) The highest priority calls are those in which the physical well-being of a person is in jeopardy such as traffic accidents, suicide attempts, or any call involving the use of weapons, including fights and robberies.

Priority 2: Requires dispatching as quickly as possible (Code 2) These calls for service do not require an immediate response but should be dealt with as soon as possible. However, a situation such as a combative shoplifter being detained could fall within the Priority 1 classification.

Priority 3 Requires dispatching as quickly as convenient (Code 1) The majority of calls received fall into this category. They are informational in nature, or the time element dictates that no person or property is in jeopardy. Calls in this category are handled in the order in which they are received.

Dispatch Training
• Approximate 10-month on-the-job training program
• Divided into two sections: taking calls and radio training

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93 • Three-week (120 hours) POST mandated Public Safety Dispatcher Basic Course • Dispatchers must complete 24 hours of POST Continuing Professional Training in each twoyear POST cycle to be compliant Dispatch Statistics for 2022
Calls received by Dispatch 197,141
911 Calls 56,356
Emergency Calls non-911 18,631
Non-Emergency Calls 122,154
San Joaquin County Sheriff’s Office Unified Court Services Division and County Jail Court
The San Joaquin County Sheriff’s Office Unified Court Services Division provides court security to the court facilities in San Joaquin County. This includes the management of in-custody inmates brought to court from the county jail and juvenile facilities, and all temporary inmate holding cells.

This division monitors the safety and security of 125 courtrooms and responds to security issues within and around the courthouse. The Sheriff’s Unified Court Services Division operates with a total allocation of 54 full-time and 48 part-time positions. This includes one captain, one lieutenant, two sergeants, 19 full-time deputies, eight correctional officers, 29 part-time deputies, and correctional officers.

A private non-sworn security company is utilized for courthouse entry screening and after-hours security.

Court locations include Stockton, Manteca, and the Juvenile Detention Facility. The Lodi and Tracy courts are currently closed.

Custody
The Sheriff’s Custody Division is a complex operation that is managed by two captains, nine

ATTACHMENT A
94 lieutenants, and an Inmate Programs Director in compliance with the California Code of Regulation Title 15, Division 3.

Each of the nine lieutenants divide responsibilities consisting of, but not limited to, management of the John Zunino Jail Complex and Honor Farm Complex:
• Intake
• Inmate Work Programs Unit (Alternative Work Program, Electronic Monitoring Program (EMP)
• Work Furlough Program, and Alcohol Monitoring Program • Transportation/Inmate Hospital Security
• Medical Services
• Maintenance
• Food Services Liaison
• Inmate Population Management
• Training, Records Division
• Realignment/AB 109
• PREA Compliance.

Booking
• Live Scan
Local Automated Fingerprint Identification System (AFIS) search to verify the arrestee’s identity
• Consular Notification
Completed during the intake process
Provides notification for foreign nationals to the nearest consulate Article 36(1)(b) of the Vienna Convention on Consular Relations
• Programs and Services
Identify the level of education and utilize jail programs and services • Veterans Affairs
Identify veterans at booking to allow for contact with VA to link for eligible services

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95 Inmate Orientation
• Orientation videos in both English and Spanish
• Inmate Orientation & Rule Book in English and Spanish given upon housing and available on tablets and kiosks
• Housing Guidelines given upon housing, posted on the inmate information board, available in English and Spanish
Inmate Housing
• Inmate housing units 1, 2, 3, and 4
• Two officers for up to a maximum of 131 inmates
• Double bunking
Medical Housing and Sheltered Housing Units
• Comprised of inmates with medical and mental health needs • One officer for 39 inmates for Medical
• Two officers for 99 inmates for Sheltered
Medical/Dental Clinic
• On-site medical care, non-emergency treatment, and behavioral services • Cardiology
• Pulmonology
• Dental
• Podiatry
• Orthopedic
General Population Housing Unit
• Direct supervision housing
• One officer for 64 inmates
Administrative Segregation Unit
• Maximum Security Housing

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96 • Two officers for 94 inmates
• Double bunking
Honor Farm
• 355 Board of State and Community Corrections (BSCC)-rated bed capacity jail population When the jail population reaches its capacity, it triggers a population reduction plan • Total Bed Capacity: 1,585
• State Rated Capacity: 1,550
• BSCC does not include medical housing bed space in their rated capacity – 35 beds • Population as of November 8, 2023, was 1,249
Educational Programs
• G.E.D.
• High School Diploma
• Office Technology
• Creative Writing
• Beyond Incarceration
• Substance Abuse
• Read 180
• Life Skills
• Parenting Skills
• Ownership

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97 Tracy Police Department
The City of Tracy has a population of approximately 98,000. The department currently consists of 107 sworn officers and 61 professional staff members. Tracy Police Department has a long history of using force judiciously, lawfully, and minimally.

The department has a wide range of assets at its disposal. This includes drones for searches, Automatic License Plate Readers, and a canine unit.

The Tracy Police Department's Familiar Faces Homeless Outreach Team contributes to the city’s Homeless Strategic Plan. The team identifies people experiencing or at risk of homelessness in vulnerable subpopulations. They have developed an effective protocol for initiating contact with unhoused people.

Prevention services include programs that teach teenage leadership skills, provide alternatives, and raise awareness about the effects of drugs and alcohol on our community. The Tracy Police Department holds many events, such as Town Hall Meetings and Coffee with the Cops. Programs such as the Public Safety Youth Advisory Board and Police Community Police Academy strive to create a safer and more vibrant community.

The Tracy Police Department places a high priority on training which includes a Field Training Program. Like many other police departments, they have implemented a wellness program through a partnership with Sigma Health. The City of Tracy offers tuition reimbursement of up to $20,000 total maximum for employees to obtain degrees.

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98 San Joaquin County District Attorneys’ Office
The San Joaquin County District Attorneys’ Office was established in 1850. In 2022, a new District Attorney (DA) was elected as the County’s 42nd District Attorney. He has over 30 years of experience in the San Joaquin County District Attorney’s office. He oversees just over 300 employees, (97 attorneys, 60 law enforcement investigators, and the balance being support staff). He stated that when he came into office the vacancy rate was 30% and it is now approximately 7%. He credits the Assistant District Attorney with a recruitment effort that resulted in 52 (25 attorneys) hires in less than a year.

The DA’s Office prosecutes offenders in San Joaquin County courts in Manteca, Stockton, and French Camp. In the future, a South County court facility may be built in Tracy.

The DA believes that if you break the law, you should be held accountable, and his staff will spend more time in court prosecuting offenders. To accomplish those goals, he has increased employee training and streamlined the various units in his department (which is an ongoing process). He described a “mainline division” and a “vertical division”. The mainline division handles both misdemeanors and felonies. They often utilize a team approach where many attorneys may work on a single case. The vertical division handles more complex cases requiring specialized knowledge/experience and refers to them as his “Special Forces”. In these cases, one individual will be assigned, and that person sees the case through to sentencing.

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99 The DA stated that prior to his arrival, the charging rate was at 50%. San Joaquin County’s rate of filing charges is now at 80%. For comparison the state rate is 70%.

The DA stated that the number one problem and major cause of death in San Joaquin County is fentanyl. He said San Joaquin County is now considered the hub of fentanyl traffic in California. He stated his office supported a new bill that could add a 10-20 year sentencing enhancement depending on the amount of fentanyl possessed by the offender. His office filed the first fentanyl related murder charges in San Joaquin County. His office also started a fentanyl response team known as FIRST (Fentanyl Intervention Response and Safety Team) based on a successful program from another county.

The DA has renewed their association with law enforcement organizations and law advocacy groups that further public safety, defend the most vulnerable victims, and seek justice for all citizens. He supports education and programs aimed at keeping youths on the right path in life, such as the Youth Leadership Academy and the Discovery Academy. He uses asset seizure money to fund anti-gang programs and youth/gang advocacy groups.

The DA, along with county law enforcement partners, has targeted “sideshows” not only because it is illegal, but also dangerous. The Sheriff’s Office recently broke up a sideshow making numerous arrests and confiscating approximately 80 vehicles.

The DA admitted he does not have the answer to the homeless problem and noted that nobody else does either. He views it as a complex issue and is evaluating the options, what has worked and what has not. He must act within the guidelines of the current laws as he tries to meet the needs of the homeless, the rights of businesses, and public safety.

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100
The DA stated that “Cold Cases” is one of many priorities; in particular, restarting the Cold Case Task Force recommended in the 2018-2019 San Joaquin County Civil Grand Jury Report, Case #0318 “Cold Cases In San Joaquin County: On the Back Burner”. The new DA stated the ongoing reorganization of his office includes an Assistant DA, in charge of several cold case investigators, who will resume meetings with the other task force partners.

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101
California Health Care Facility
The 2023-24 Civil Grand Jury toured the California Health Care Facility (CHCF) on December 7, 2023. The California Department of Corrections and Rehabilitation (CDCR) California Health Care Facility in Stockton is a licensed medical facility that provides medical, mental health, and dental care to approximately 1,200 inmates. It covers 1.4 million square feet, eight buildings, and sixteen small yards, employing over 1,000 correctional custody staff, 1,300 California Correctional Health Care Services (CCHCS) staff, 1,900 CDCR custody support, psychiatric, clinical, rehabilitation staff and, about 400 contracted employees.

CHCF has a campus-like look to provide a healing environment to the incarcerated population. In addition, CHCF offers:
• low-and high-acuity medical beds for inmate patients of all security levels • palliative care
• memory care unit

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102
• Psychiatric Inpatient Program: acute and intermediate-care mental health beds and treatment
• dental care
• hemodialysis treatment
• telemedicine clinic
• pharmacy, laboratory, x-ray, and other medical treatment and services • career technical and academic education, substance abuse treatment, and religious services
In addition, San Joaquin General Hospital has a Medical Guarding Unit overseen by CHCF which provides more intensive care not available at CHCF. Security for CHCF is based on the direct supervision model of management which requires direct, personal interaction between staff and the incarcerated population, minimizing unnecessary physical barriers. With a total capacity of 29 beds, the renal dialysis unit is one of the largest facilities in the United States. It operates two shifts per day.

The majority of the inmates at the institution have medical or mental health problems. A smaller population of inmates, those without medical or mental health conditions, comprise the workforce that operates the warehouse, laundry, culinary, and plant operations (plumbers, electricians, carpenters, mechanics, and all maintenance). Some jobs include providing personal care to other inmates, such as assisting wheelchair-bound inmates by aiding them in daily functions such as showering, feeding, and moving them within the institution.

The CHCF complex includes a centralized utility plant, warehousing, support facilities, and visitor, and staff entry buildings. The kitchen/culinary facility where all inmates’ meals are prepared is flexible enough to provide any special meals to meet any inmates’ dietary requirements deemed necessary due to the inmates’ medical condition. This can be a daunting task as on any given day they can make 100 or more different types of meals to meet the various dietary requirements of inmates.

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103
The overall population is approximately 3,000 inmates housed in five facilities labeled A through E.

Each facility is comprised of several housing units. Housing in A, B, C, and D are staffed with custody, medical, and/or psychiatric staff. Unit A is the Crisis Care facility where inmates in mental health crisis are temporarily housed until well enough to be returned to their primary institution. If their crisis is not resolved, they are transferred to facility B, the PIP for continued mental health treatment. Facilities C and D house inmates with a variety of medical conditions. One housing unit in facility D is designated as a palliative care unit for terminally ill patients. In the future, a housing unit will be dedicated to inmates with dementia. Another unit may be created specifically for elderly inmates. Facility E houses general population inmates with a section dedicated to the raising and training of puppies for Canine Companions for Independence (CCI). CCI is a nonprofit organization that provides service dogs to people with disabilities free of charge. Inmates train the dogs for up to 18 months and the dogs will then be turned over to a professional training center and eventually paired with a person with a disability.

Family visitation is a privilege inmates earn by meeting certain criteria while maintaining good behavior. There are four apartments for family visitation. Each apartment has a kitchen, living room, bathroom, and two bedrooms. Inmates are eligible for a maximum of six 48 hour-long visits a year.

San Joaquin County Juvenile Detention Center
The San Joaquin County Juvenile Detention Facility is a juvenile detention facility in French Camp.

On March 21, 2024, the Civil Grand Jury toured the San Joaquin County Juvenile Detention Facility

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104
accompanied by the Deputy Chief Probation Officer who provided an overview of the facility's operations.

The 229-bed facility, in operation since 1980, consists of the Juvenile Detention Hall and Camp Peterson. At the time of the visit, the juvenile resident population was at approximately 50 percent of capacity. With the Juvenile Justice Realignment Block SB 823 changes, 22 residents (over age 18) have remained in the facility.

The Juvenile Detention Facility holds youth who 1) have been accused of violating the law, 2) have pending court proceedings, or 3) have been committed by order of the court. When detainees arrive, they are evaluated to assess their risk to the community, others, or themselves. An assessment is conducted by educational, medical, psychiatric, probation, and custody staff. Classification is ongoing as population changes are continuous.

There are six housing units in the facility. Currently, only three are in use. One unit was designated for younger or less sophisticated residents, and another unit was for higher-risk and older residents.

Units include an open area with tables to work with staff, classrooms, and banks of bedrooms where residents are enclosed at night.

Camp Peterson is a separate facility within the Juvenile Justice Facility that has 45 beds for male residents. It is an open dormitory setting, providing bunk bed dorms, a multi-programming area, classrooms, and a living area. A basketball court and outdoor areas were available to residents.

Placement is earned through good behavior and is considered a reward.

Services provided to residents include Evidenced-Based Programming, which helps to guide youths into improving decision-making skills. Additionally, educational and vocational pathways, mentoring, structured activities, counseling services, and family engagement are provided. The goal is to reunite youth with their family whenever possible or transition the offender to safe transitional housing, and sustainable employment. Good behavior allows more privileges such as video game

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105
time, television, food credits, additional phone, and visiting time. Poor behavior results in restricted privileges.

Counseling Services
• Juvenile Detention Facility staff are available to residents at all times • Behavioral Health or substance use counseling is available upon request • Probation Officers are available Monday through Friday Programming/Activities
• Evidence-Based Programming and support services
• Cognitive Behavioral Training Open Group Sessions
• Arts and crafts, table games, video games, television, and access to reading materials in the library • The Dream Center is an incentive-based program providing residents with fun and positive activities away from the living units. In group entertainment areas, such as the Dream Center, efforts are made to provide a calm and welcoming environment showcasing resident art and creative works.

Residents earn incentive points to participate in games and purchase snacks • Culturally Responsive Programs are held monthly to promote residents’ understanding of cultural topics and celebrations. A San Joaquin Delta College class emphasizes social awareness, ethnic studies, and tolerance.

Education
The Juvenile Detention Facility provides school year-round, offered by the San Joaquin County Office of Education (SJCOE) through “one.Cruikshank”, an education program for the residents.

Education is the focus on reducing recidivism. All residents are encouraged to earn a high school diploma or post-secondary education. The facility has initiated a technology and business skills

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training program. A new virtual reality simulator assists youths in gaining certification for Forklift and commercial big-rig operation. These programs could lead to potential employment opportunities upon release. Gardening and landscaping are used as a learning tool to teach math and science. An on-site kitchen will be used for a culinary training program.

The SJCOE also provides tutors to assist the students. Residents who are high school graduates are encouraged to enroll in online classes through San Joaquin Delta College.

Facility Physical Improvements
Improving the aesthetics of the facility was a major emphasis in the last few years and included new furniture and brightly colored walls. A local artist is guiding residents in painting murals in the recreation yards and in the main hallways of the institution. The artist uses art therapy in working with the residents to conceptualize ideas for the artwork. Eight murals have been completed to date.

SJCOE has partnered with Greater Valley Conservation Corps to undertake a full landscaping project to include walking paths, patio space, new sprinkler systems, grass, trees, flower beds, and exercise space. The outdoor courtyard gardens outside Camp Peterson were created through this program.

Family Engagement
Family members are encouraged to participate in programs with the juvenile residents. An attractive visiting area was evident with a place for younger siblings to play. Staffing to cover visits could be an issue due to overall staff shortages.

Resident and Staff Movement Security
Residents were dressed in different colored shirts to identify their unit. Residents were either escorted or on their own, with doors being opened and monitored by staff. Staff also radioed or

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called security to move through hallway doors and outside areas. The camera monitoring room is staffed at all times.

Medical Services
A nurse is on-site seven days a week from 6:00 a.m. to 9:30 p.m. 9-1-1 is called in an emergency. If needed, an ambulance or a staff member takes residents to the San Joaquin County Hospital.

Staffing
The Civil Grand Jury met a very dedicated, hardworking on-site staff. They worked well together.

However, the facility is understaffed and has not been able to maintain desired staff levels due to lower salaries compared to the County Jail, and significant restrictions and rules regarding controlling juvenile residents. Due to the staff shortage, staff works long and double shifts. Despite these issues, the staff promoted a positive and nurturing environment.

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Delta College Basic Peace Officer Academy
The Civil Grand Jury received a presentation from the Director of the San Joaquin Delta College POST Academy. The POST Academy is certified by the Commission on Peace Officer Standards and Training (POST) to present a basic course to peace officers and pre-service students who qualify for program admission. The POST Basic Training Course prepares students to enter a field training program at a police department or sheriff’s department.

The POST Basic Training program is offered in two formats: Intensive (40 hours per week) and Extended (geared toward students who cannot attend a full-time academy). The academy is divided into three modules for a total of 907 hours of training. Graduates of the academy receive an Associate of Science degree in Police Science and the POST certificate required to enter a field training program with a police department in California.

The academy teaches students how to work as a team to accomplish difficult tasks and prepare them for a career in law enforcement. They emphasize a progressive outlook, teaching the latest principled policing, officer wellness, and force avoidance/de-escalation methods.

In 2022, the academy graduated 87 students with a graduation rate of 80%. Many of these students were sponsored by various police agencies in San Joaquin County and neighboring counties in Northern California.

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2023 - 2024 San Joaquin County Civil Grand Jury
Working Title 1: Working Title 2 (Case No. xx20)
San Joaquin County Behavioral Health Services
Care Act Overview
Summary
The 2023-2024 Civil Grand Jury invited the Director of San Joaquin County Behavioral Health Services (SJCBHS) to provide information on the Community Assistance, Recovery, and Empowerment Act (CARE) and how it will be implemented in San Joaquin County and the state of behavioral health services.

Background
On September 14, 2022, California Governor Gavin Newsom approved SB 1338, which enacted the CARE Act. The CARE Act creates a process, called the CARE Process in California’s Civil Courts to provide earlier action, support, and accountability for both individuals with untreated metal health disorders, and identifies local government responsivity for providing behavioral health services to these individuals.

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The CARE Act creates a new pathway to deliver mental health and substance use disorder services to the most severely impaired Californians who too often suffer from homelessness or incarceration without treatment. The CARE Act moves care and support upstream, providing the most vulnerable Californians with access to critical behavioral health services, housing, and support. San Joaquin County (SJC) is planning to implement CARE Court in December 2024. Currently, SJC has been holding CARE Court workgroups that have included Health Care Services, Behavioral Health Services, the Superior Court, the District Attorney and Public Defenders Offices, and the Sheriff’s Department. The CARE Court workgroup participants have been reviewing the legislation, discussing required processes and forms, discussing clinical treatment requirements and court reporting, as well as monitoring the success and challenges that Cohort 1 counties have been experiencing.

SJCBHS has identified the treatment team that will support Care Court participants. This team includes one Full Time Equivalent (FTE) Mental Health Clinician, two FTE Mental Health Specialists, and three FTE Mental Health Outreach Workers/Peer Support. SJCBHS has also submitted a request for two new positions to add to the current team – a Mental Health Clinician III and a Mental Health Clinician II. This will enable the team to meet SJCBHS’ responsibility to provide clinical evaluations to determine eligibility and to provide treatment and on-going court reporting as required by the CARE Act.

SJCBHS plans to take a preventative approach modeled after San Francisco County. SJCBHS intends to develop a dedicated phone line that the community and petitioners can call to discuss any possible referrals, to discuss available services and alternatives to CARE Act proceedings, and for guidance on the required forms petitioners must complete. SJCBHS hopes a preventative approach will increase the number of individuals that voluntarily connect to behavioral health services without the need for formal CARE Act proceedings, as well as diminish referrals that do not meet the specific CARE Act criteria, thus maximizing the efficiency of the referral and petition process. Over the next few months, SJCBHS will continue to participate in the CARE Act workgroups and schedule meetings with the identified judicial officer who will oversee CARE Court to finalize court expectations, processes, and treatment referrals. SJCBHS, in collaboration with their partners, plans

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to hold CARE Act townhall meetings in various areas of San Joaquin County to inform the community of the CARE Act, to discuss the petitioner process and alternative services available, and to create a venue for the community to ask questions about the CARE Act and accessing care.

SJCBHS operates four community response teams. One team is based in Lodi, one in Tracy, and two in Stockton. Additionally, one mobile crisis team member co-located with Manteca PD multiple times a week. SJCBHS is planning to expand by 3 more teams and bring in a contract provider who can cover nights, weekends, and holidays. SJCBHS currently has a total of 1,037 positions. As of March 1, 2024, they currently have 293 vacancies (206 full-time, 87 part-time). It takes about 90 to 125 days to onboard new employees.

SJCBHS is working on reducing no-shows for treatment, barriers to treatment, and how they are being addressed. Transportation is one of the biggest barriers to treatment. The state doesn’t reimburse for transportation costs in Specialty Mental Health, so client transportation is limited. Due to this, clients must rely on bus passes, Uber, or getting their own transportation to appointments.

Clients often cite a lack of transportation for appointment no-shows.

In August 2023, the San Joaquin County Board of Supervisors approved a plan that calls for the development of an addiction and mental health treatment facility dubbed "San Joaquin Be Well Campus". The new facility will be built on about 23 acres located east of the Interstate 5 freeway across from San Joaquin General Hospital. The county’s goal is to have this project completed by the 2025-2026 fiscal year.

Conclusion
The San Joaquin County Behavioral Health Services organization has a great deal of work ahead of them over the next few years in response to the CARE Act and planned housing projects. The San Joaquin County Behavioral Health Services should be commended for the hard work they do with the barriers and challenges they face in hiring and retaining qualified workers.

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SECTION 5:

FOLLOW-UP REPORTS
San Joaquin County Custodial Facilities:

Failing to Comply with the Prison Rape
Elimination Act of 2003
Case # 0222...................................................Page 111 School Safety in San Joaquin County:

Developing a Culture of Safety
Case # 0322.................................................. page 131 Good Intentions Are Failing
San Joaquin County’s At-Risk Children
Case # 0422 .................................................Page 167 Eastern San Joaquin Groundwater Authority:

A Rubik’s Cube of Water Management
Case # 0622..................................................Page 179

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Follow-up Report to the
2022-2023 San Joaquin County Civil Grand Jury
Micke Grove Zoo: Honoring the Past, Securing the Future (2018-2019 Case No. 0218) Case #0222
San Joaquin County Custodial Facilities: Failing to Comply with the Prison Rape Elimination Act of 2003
Preface
This report contains the responses to the 2022-2023 San Joaquin County Civil Grand Jury report regarding the San Joaquin County jail and the San Joaquin County Juvenile Detention Facility.

The 2023-2024 Grady Jury follow-up determinations are presented after the agency’s responses to each recommendation.

Discussions, findings, and recommendations from the 2023-2024 Grand Jury are in text boxes framed in black.

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Complete copies of the original report and the agency’s responses may be found on the San Joaquin County Grand Jury website at: http://www.sjcourts.org/civil-grand-jury/.

Summary
In 2003, the Congress and President Bush recognized a serious issue involving sexual abuse and harassment of incarcerated individuals and passed the Prison Rape Elimination Act (PREA) to establish standards for policies and procedures of every government entity, federal, state, and local, housing incarcerated individuals. The standards were then established by the U.S. Department of Justice and published in the Code of Federal Regulations,(CFR), 28 CFR part 115, in 2012. There are two sets of standards, one for adult detention facilities and one for juvenile detention facilities. In San Joaquin County these federal requirements apply only to the County Jail, Juvenile Detention Facility and Lodi City Police Department jail.

The 2022-2023 Grand Jury report cited numerous incidents of sexual abuse and harassment that had occurred in San Joaquin County (page 16)
When PREA is implemented properly it helps to create a safe and secure detention system by addressing the issue of sexual abuse and harassment in detention facilities and protecting the rights and safety of individuals.

Method of Investigation
The Grand Jury reviewed Federal documentation for PREA, media reports, San Joaquin County custodial facility websites, and detainee/resident complaints including lawsuits and disciplinary actions. The Grand Jury toured the jail and Juvenile Detention Facility and met officers and staff. 116

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Presentations were given by the County Sheriff’s Office and the County Probation Office. Five interviews were conducted Additionally websites were visited and hundreds of pages regarding policies and procedures, booking detention procedures, required records and reports maintained by the facilities were reviewed.

Summary of Responses and Grand Jury Conclusions
Table Legend
Implemented
Follow-up
Not Implement
SJC: San Joaquin County
Respondents Rec. # Responses Grand Jury Conclusion
SJC Sheriff R1.1 Pending Posting of
Audit
2024-2025 Civil Grand Jury
will follow-up
SJC Sheriff R1.2 Implemented No Further Action Taken
SJC Sheriff R1.3 Implemented No Further Action Taken
SJC Sheriff R1.4 Implemented No Further Action Taken
SJC Probation R2.1 Not Implemented
SJC Probation R2.2 Not Implemented
SJC Probation R2.3 Not Implemented
SJC Probation R2.4 Not Implemented
SJC Probation R2.5 Not Implemented
SJC Probation R2.6 Not Implemented
City of Lodi PD
Jail R3.1 Implemented No Further Action Taken
2022-2023 Primary Findings
The 2023-2023 Civil Grand Jury found many required actions of PREA were not being met in the three facilities. PREA requires an audit be done by a certified auditor under the Department of

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Justice and no such audits had been done by the two San Joaquin facilities and only a minor infraction involving the Lodi Jail which comes under a holding unit rule. The required audits ensure compliance and failure to follow their recommendations can lead to inability to receive certain grants and be subject to legal actions involving failure to meet the required standards when an incident occurs.

RESPONSES RECEIVED TO FINDINGS AND RECOMMENDATIONS

1.0 San Joaquin County Sheriff
The Sheriff’s office was able to fund the costly audit required by the U.S. Department of Justice. The physical on-site audit began on October 6, 2023, and concluded on October 8, 2023. It was conducted by a federally certified auditor, Timothy M. Evinger. On November 6, 2023, he signed the interim report:

PREA Facility Audit Report: Interim
Facility: John Zunino Jail Complex and Honor Farm Complex The interim report included the many issues the Civil Grand Jury had found in their statement of Facts. The Code of Federal Regulations sets out the legal requirements to meet the standards of PREA.

Standards not met, referencing the number of mandated requirements in CFR:115.13 Supervision and monitoring`

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• 115.15 Limits to cross-gender viewing and searches
• 115.16 Inmates with disabilities and inmates who are limited English proficient • 115.17 Hiring and promotion decisions
• 115.22 Policies to ensure referrals of allegations for investigations • 115.32 Volunteer and contractor training
• 115.33 Inmate education
• 115.34 Specialized training
• 115.41 Screening for risk of victimization and abusiveness • 115.42 Use of screening information
• 115.43 Protective Custody
• 115.54 Third-party reporting
• 115.61 Staff and agency reporting duties
• 115.71 Criminal and administrative agency investigations • 115.86 Sexual abuse incident reviews
Not being met does not mean not doing, but not fully being implemented as required by the Code of Federal Regulations.

Findings
2023-2024 Civil Grand Jury Finding F1.1: The report remains interim as the Sheriff has been given six months to comply with correcting the listed violations. Sheriff Withrow has commented to have all corrections completed by May 6, 2024. These corrections will satisfy the recommendations of the 2022-2023 Civil Grand Jury report.

Agency response: Agree. The Sheriff agrees with the Grand Jury’s Finding.

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2022-2023 Civil Grand Jury Finding F1.2: The San Joaquin County Sheriff’s Office is not in compliance with CFR 115.33 (f), which requires them to provide written materials and visible posters explaining inmate rights and the Sheriff’s zero-tolerance policy regarding sexual abuse or sexual harassment, which could result in delays in reporting, investigating, and exposes the office to potential lawsuits, financial liability, and reduction in Federal grant funding.

Agency response: Agree. The Sheriff agrees with the Grand Jury’s Finding. 2022-2023 Civil Grand Jury Finding F1.3: The San Joaquin County Sheriff’s Office does not provide accessibility to confidentially report sexual abuse or harassment to an independent public or private entity as required under CFR 115.51 which is a violation of PREA standards and could result in a reduction of Federal grant funding.

Agency response: Agree. The Sheriff agrees with the Grand Jury’s Finding. 2022-2023 Civil Grand Jury Finding F1.4: There was no video or audio recording in interrogation rooms. There should be no area in the jail, absent issues of mandated privacy, where an inmate could be with officers in settings. A potential claim of sexual or physical abuse without providing visual evidence also means the Sheriff’s department would be unable to effectively defend such a claim.

Agency response: Agree. The Sheriff agrees with the Grand Jury’s Finding.

Recommendations
R1.1: Upon completion of the AUDIT and its certification by the Department of Justice, publish said AUDIT for the public on your website and provide completion of the required “not in compliance” sections of the Code of Federal Regulations no later than June 1, 2024, to the Civil Grand Jury.

Agency response: Agree. The Sheriff agrees to implement the Grand Jury’s Recommendation.

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Although the San Joaquin County Sheriff has yet to post the Audit, it has been completed and the Sheriff will post the audit when he receives it.

The 2023-2024 Civil Grand Jury recommends the 2024-2025 Civil Grand Jury followup to ensure full compliance. 2022-2023 Civil Grand Jury Recommendation R1.2: By October1, 2023, the San Joaquin County Sheriff’ develop and provide adequate written materials and visible poster that explain inmate’s rights and the Sheriff’s zero-tolerance policy meeting the requirements of PREA.

Agency response: Agree. The Sheriff agrees to implement the Grand Jury’s Recommendation.
2022-2023 Civil Grand Jury Recommendation R1.3: By October 1, 2023, the San Joaquin County Sheriff’ develop and implement a process for inmates to confidentially report allegations of abuse or harassment to an independent public or private entity as required under 28 CFR 11.54.

Agency response: Agree. The Sheriff agrees to implement the Grand Jury’s Recommendation
2022-2023 Civil Grand Jury Recommendation R1.4: By October 1, 2023, the San Joaquin County Sheriff in conjunction with the County Information Systems Department install video surveillance equipment in the interrogation rooms to ensure the capability of providing visual evidence in the event of a complaint filed by a detainee or inmate.

Agency response: Agree. The Sheriff agrees to implement the Grand Jury’s 121
The 2023-2024 Civil Grand Jury determined to take no action.

The 2023-2024 Civil Grand Jury determined to take no action.

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Recommendation

2.0 San Joaquin County Juvenile Detention Facility: Lacking Full PREA Compliance
The Juvenile Detention Facility, also known as Juvenile Hall, is under the jurisdiction of the San Joaquin County Probation department. It houses juvenile residents under the juvenile classification of those under the age of 18. With the implementation of the Department of Juvenile Justice Realignment under California SB823, there are now older residents ages 18-25 housed in the same facility.

PREA standards are applicable to both juvenile and adult facilities pursuant to 28 CFR 115.401(b).

Procedures to comply with PREA standards at juvenile facilities must be reviewed and updated annually. The last update for the San Joaquin County Probation Department Juvenile Detention Policy and Procedure Manual occurred in 2019. That update failed to capture the extensive changes in PREA rules that have occurred since then because they were prior to SB823 under Juvenile Justice Realignment. The PREA standards require that direct employees and contracted third party employees are trained when hired and then complete training every two years thereafter.

PREA originally was clear that older residents could not be housed with juvenile residents. With the new procedures under the Department of Juvenile Justice realignment in California, adults between the ages of 18 and 25 are now considered older residents and may be housed with juvenile residents at the SJC Juvenile Detention Facility. PREA prohibits older residents and juvenile residents from sharing overnight housing but can be together and intermingle for classes and other joint events.

PREA standards including staffing ratios for juvenile facilities where adult and juvenile residents are housed in the same juvenile facility are 1:8 during waking hours and 1:16 during sleeping hours under 28 CFR 115.14(c). Procedures must explain how that separation is to be maintained and that 122
The 2023-2024 Civil Grand Jury determined to take no action.

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all steps are taken to assure juvenile resident protection from unsupervised adults and older residents.

One purpose of PREA is to assure easy reporting, how to do it, how to protect from retaliation, while providing easy access to a completely confidential reporting office outside the Probation Department. Juvenile Probation offers all juvenile residents a call to the Women’s Center Sexual Assault Crisis Line to make a claim but there is no procedure or protocol how that confidential message will reach an individual with the authority to investigate and maintain confidentiality. There should be written policies and procedures between the Probation Department and the call receiver.

The agency’s website and other public media do not explain how an individual can report sexual abuse or harassment on behalf of a juvenile resident.

PREA Standards for Juvenile Detention Facilities, 28 CFR 115.331 and 28 CFR 115.332, require that all staff, third party contractors, and volunteers working at a juvenile detention facility that have contact with juvenile residents receive comprehensive PREA training and receive refresher training every two years.

Findings
2022-2023 Civil Grand Jury Finding F2.1: Every three years PREA Audits by a Department of Justice certified auditor must be completed. The Probation Department for Juvenile Detention has never scheduled nor completed this mandated audit. This failure diminishes transparency, could put juvenile residents at risk, and could erode public trust, exposing the Probation Department and the Juvenile Detention Facility to potential lawsuits and financial liability.

Agency response: Agree. The Probation Department disagrees with the Grand Jury’s Findings claiming PREA does not apply to juveniles.

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2022-2023 Civil Grand Jury Finding F2.2: The Probation Department for Juvenile Detention has failed to conduct an annual review, mandated by 28 CFR 115.401(b), or updates for required procedures since 2019, which is a violation of PREA standards and could result in reduction of funding or other financial liability.

Agency response: Agree. The Probation Department disagrees with the Grand Jury’s Findings claiming PREA does not apply to juveniles.
2022-2023 Civil Grand Jury Finding F2.3: The Probation Department for Juvenile Detention lacks published material explaining how separation between juveniles and older residents is to be maintained. Failure to maintain separation and ensure steps are taken to protect juvenile residents from unsupervised older residents could result in undesirable interactions leading to potential lawsuits and financial liability.

Agency response: Agree. The Probation Department disagrees with the Grand Jury’s Findings claiming PREA does not apply to juveniles
2022-2023 Civil Grand Jury Finding F2.4: The Probation Department for Juvenile Detention has failed to provide a written policy or procedure to ensure a sexual assault or harassment victim’s report to the Women’s Center Sexual Assault Crisis Line will remain confidential.

Agency response: Agree. The Probation Department disagrees with the Grand Jury’s Findings claiming PREA does not apply to juveniles
2022-2023 Civil Grand Jury Finding F2.5: The Probation Department for Juvenile Detention’s website and other public media fail to explain or reference how a third party can make a confidential report on behalf of a juvenile resident, which creates a lack of transparency and fails to provide required confidential accessibility options to file a report. 124

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Agency response: Agree. The Probation Department disagrees with the Grand Jury’s Findings claiming PREA does not apply to juveniles
2022-2023 Civil Grand Jury Finding F2.6: The Probation Department for Juvenile Detention staff members demonstrated a lack of understanding that all federally mandated PREA standards apply to San Joaquin County’s Juvenile Detention Facility. A lack of comprehensive understanding of all PREA standards that apply could result in a failure to adequately protect juvenile residents, contractors, and employees.

Agency response: Agree. The Probation Department disagrees with the Grand Jury’s Findings claiming PREA does not apply to juveniles.

F2022-2023 Civil Grand Jury Finding 2.7: The Probation Department for Juvenile Detention does not consistently provide training for educators, third party contractors, and volunteers with refresher training every two years, which is a violation of PREA Standards 28 CFR 115.331 and 28 CFR 115.332 and could compromise the safety of staff, volunteers, and juvenile residents.

Agency response: Agree. The Sheriff agrees with the Grand Jury’s Finding.

Recommendations
2022-2023 Civil Grand Jury Recommendation R2.1: By July 1, 2023, The Probation Department for Juvenile Detention schedule an independent audit by a Department of Justice certified auditor in accordance with 28 CFR 115.401(a) and post the audit report on the agency’s website within 30 days of completion.

Agency response: Agree. The Probation Department disagrees with the Grand Jury’s Recommendations claiming PREA does not apply to juveniles. 2022-2023 Civil Grand Jury Recommendation R2.2: By October 1, 2023, The Probation Department for Juvenile Detention conduct an internal review for PREA compliance and update the 125

ATTACHMENT A
Juvenile Detention Procedure Manual within 90 days following the PREA audit mandated by 28 CFR 115.401(b).

Agency response: Agree. The Probation Department disagrees with the Grand Jury’s Recommendations claiming PREA does not apply to juveniles.

R2022-2023 Civil Grand Jury Recommendation 2.3: By October 1, 2023, The Probation Department for Juvenile Detention develop, implement, and publish a written explanation and process describing how juvenile residents and older residents housed at Juvenile Detention Facility will maintain resident separation when required.
2022-2023 Civil Grand Jury Recommendation R2.4: By October 1, 2023, the Probation Department for Juvenile Detention develop and publish written policies and procedures for maintaining resident confidentiality and privacy between the Juvenile Detention Facility and the Women’s Center Sexual Assault Crisis Line.

Agency response: Agree. The Probation Department disagrees with the Grand Jury’s Recommendations claiming PREA does not apply to juveniles. 2022-2023 Civil Grand Jury Recommendation R2.5: By October 1, 2023, the Probation Department for Juvenile Detention develop and publish on their website and other public media a clear explanation and process for how a third party can make a confidential report on behalf of a juvenile resident.

Agency response: Agree. The Probation Department disagrees with the Grand Jury’s Recommendations claiming PREA does not apply to juveniles. 2022-2023 Civil Grand Jury Recommendation R2.6: By October 1, 2023, the Probation Department for Juvenile Detention develop and publish a policy to provide PREA training for all staff members, third party contractors, and volunteers and receive refresher training every two years. 126

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Agency response: Agree. The Probation Department disagrees with the Grand Jury’s Recommendations claiming PREA does not apply to juveniles.

Discussion, Finding and Recommendation

3.0 City of Lodi Police Department Jail: PREA Materials and Posters not Visible The City of Lodi jail is a lockup facility under the jurisdiction of the Lodi Police Department. It is used to detain individuals who have been arrested within the city limits and are waiting for a court appearance or transfer to another facility. The jail provides for the safety, security, and welfare of both the inmates and the staff. During a Civil Grand Jury tour of Lodi jail and Lodi Police Department ride along by Civil The Probation Department believes the juvenile facility under their supervision is not bound by the Federally mandated Prison Rape Elimination Act. They cite changes in California’s Welfare and Institution Code and Title 15 as proof that they do not fall under PREA. They also claim they do adhere to some of the tenets of PREA and that the Board of State and Community Corrections does inspections that includes an inspection of those PREA tenets. They further claim that there has never been a PREA Audit in any juvenile facility in California. The 2023-2024 Grand Jury sought clarification as to whether or not juvenile facilities are subject to Federal law, only to receive conflicting answers, therefore this matter cannot be resolved until the General of California weighs in. 2023-2024 Civil Grand Jury Finding F1.0: It is necessary to get a definitive answer as to whether or not juvenile facilities are subject to PREA to avoid possible lawsuits to the county. 2023-2024 Civil Grand Jury Recommendation R1.0: By October 1, 2024, The County Board of Supervisors must contact the California Attorney General to ascertain whether California juvenile facilities are subject to the Federal PREA law.

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Grand Jury members, it was noted that the jail does not have any posted PREA required materials in a visible location.
2022-2023 Civil Grand Jury Finding F3.1: The Lodi Police Department is not in full compliance with 28 CFR 115.33(f), which requires them to provide written materials and visible posters explaining inmate rights and the Department’s zero-tolerance policy regarding sexual abuse or sexual harassment at the jail. This could result in delays in reporting and investigating, exposing the office to potential lawsuits, financial liability, and reduction in grant funding.

Agency Response: Agree. The City Council of the City of Lodi Agrees with the Grand Jury’s Finding.

Recommendations
R3.1: By October 1, 2023, the City of Lodi Jail and Police Department provide visible posters and written materials explaining inmate rights and the Department's zero-tolerance policy regarding sexual abuse in the booking, processing, and holding areas within the jail.

Agency Response: Has been Implemented. Written materials are available and visible posters explaining inmate rights and the Department’s zero-tolerance policy regarding sexual abuse or sexual harassment at the jail.

The 2023-2024 Civil Grand Jury determined to take no further action

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Disclaimer
Civil Grand Jury reports are based on documentary evidence and the testimony of sworn or admonished witnesses, not on conjecture or opinion. However, the Civil Grand Jury is precluded by law from disclosing such evidence except upon specific approval of the Presiding Judge of the Superior Court, or another judge appointed by the Presiding Judge (Penal Code Section 911.924.1 (a) and 929). Similarly, the Civil Grand Jury is precluded by law from disclosing the identity of witnesses except upon an order of the court for narrowly defined purposes (Penal Code Sections 924.2 and 929).

Response Requirements
California Penal Code Sections 933 and 933.05 require that specific responses to all findings and recommendations contained in this report be submitted to the Presiding Judge of the San Joaquin County Superior Court within 90 days of receipt of the report.

The San Joaquin County Board of Supervisors shall respond to all findings and recommendations.

Mail or hand deliver a hard copy of the response to:

Honorable Gus C. Barrera II, Presiding Judge
San Joaquin County Superior Court
180 E Weber Ave, Suite 1306J
Stockton, California 95202
Also, please email a copy of the response to Mr. Irving Jimenez, Staff Secretary to the Civil Grand Jury, at [email protected].

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Follow-up Report to the
2022-2023 San Joaquin County Civil Grand Jury
Micke Grove Zoo: Honoring the Past, Securing the Future (2018-2019 Case No. 0218) Case #0322
School Safety in San Joaquin County:

Developing a Culture of Safety
Preface
This report contains the responses to the 2022-2023 San Joaquin County Civil Grand Jury report regarding School Safety in San Joaquin County: Developing a Culture of Safety. This follow-up report focuses on the 2023-2024 Grand Jury findings and recommendations and the responses presented verbatim in this report.

The 2023-2024 Grand Jury follow-up determinations are presented after the agency’s responses to each recommendation.

Discussions, findings, and recommendations from the 2023-2024 Grand Jury are in text boxes framed in black.

Complete copies of the original report and the agency’s responses may be found on the San Joaquin County Grand Jury website at: https://www.sjcourts.org/civil-grand-jury/

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Summary
The 2023-2024 Grand Jury reviewed the original 2022-2023 Case #0322, School Safety in San Joaquin County: Developing a Culture of Safety. The 2023-2024 Grand Jury compared the responses received from each school district against the best practices of SB 187 Comprehensive School Safety Plan (CSSP). A plan to identify and address potential risks on campus, prepare for emergencies, and ensure a safe and secure learning environment for students, staff, and visitors. The 2022-2023 San Joaquin Civil Grand Jury focused on:
• CSSP
• Observation during school site visits
• Safety training
Some agencies disagreed with the grand jury’s findings and recommendations, but in spite of that, they implemented the 2022-2023 Grand Jury’s recommendations and/or updated their current policies to be in compliance with California’s CSSP. The 2023-2024 Grand Jury noted that many agencies have agreed to follow the Civil Grand Jury’s recommendations for school safety but have not met the deadline dates to comply.

Method of Follow-up Investigation
Reviewed all responses from:
• San Joaquin County Office of Education
• Banta Unified School District
• Escalon Unified School District
• Jefferson School District
• Lammersville Unified School District
• Lincoln Unified School District

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• Linden Unified School District
• Lodi Unified School District
• Manteca Unified School District
• New Hope Elementary School District
• New Jerusalem School District
• Oak View Elementary School District
• Ripon Unified School District
• Stockton Unified School District
• Tracy Unified School District
• Escalon Police Department
• Lathrop Police Department
• Lodi Police Department
• Manteca Police Department
• Ripon Police Department
• Stockton Police Department
• Tracy Police Department
• San Joaquin County Sheriff
Meetings Attended
• San Joaquin County Office of Education Second Annual Safe School Summit Summary of Responses to the 2022-2023 Grand Jury Recommendations

2.0 Comprehensive School Safety Plan (CSSP)

2.0 CSSP Legend

ATTACHMENT A
134
I: Implemented NFR: Needs Further Review
HNR: Has Not Responded WBI: Will Be Implemented

2.0 Comprehensive School Safety Plan (CSSP) Recommendations Agency or
District R2.1 R2.2 R2.3 R2.5 R2.6 R2.7 R2.8 R2.9 R2.10 R2.11 SJCOE
Superintendent I I I I I I I I WBI WNI/NFR
Banta Unified
School District I I I I I I WBI I I I
Escalon
Unified School
District

I I I I WBI I I I I I
Jefferson
School District WBI I I I WBI I I I I WBI
Lammersville
Unified School
District

WBI WBI I I WBI I I I I I
Lincoln
Unified School
District

I I I I I I WBI I I I
Linden Unified
School District WBI WBI I I WBI WBI I I I I
Lodi Unified
School District I I I WBI I I I I WBI I
Manteca
Unified School
District

I I I NFR I WBI I WBI I I
New Hope
Elementary
School District

I I I WBI WBI I I I I I
New Jerusalem
School District WBI WBI WBI WBI WBI WBI WBI WBI WBI WBI Oak View
Elementary
School District

I I I WBI I I I I I WBI
Ripon Unified
School District I I I I I I I I I I
Stockton
Unified School
District

WBI I I I I I I I I I
Tracy Unified
School District I WBI WBI WBI I I I I I I

ATTACHMENT A
135

2.0 CSSP Police Departments Recommendation 2.4
Lathrop Police Department WBI
Lodi Police Department WBI
Ripon Police Department I
Stockton Police Department HNR
Escalon Police Department I
Manteca Police Department HNR
Tracy Police Department HNR
San Joaquin County Sheriff I

ATTACHMENT A
136

3.0 Training

3.0 Training Legend
I: Implemented PI: Partially Implemented
NFR: Needs Further Review WBI: Will Be Implemented
N/A: Not Applicable WNBI: Will Not Be Implemented

3.0 Training Recommendations
Agency or
District R3.1 R3.2 R3.3 R3.4 R3.5 R3.6 R.3.7 R3.8 R3.9
SJCOE
Superintendent I I N/A WBI I I I I WBI
Banta Unified
School District N/A I I I WBI WBI I I I
Escalon Unified
School District N/A I WNBI/NFR I WBI WBI I I WBI
Jefferson
School District N/A I WNBI I WBI WBI I I WBI
Lammersville
Unified School
District

N/A WBI WBI WBI WBI WBI I I WBI
Lincoln Unified
School District N/A I WNBI I WBI WNBI I I WBI
Linden Unified
School District WBI WBI WBI WBI WBI WBI I WBI I
Lodi Unified
School District N/A WBI I WBI I I I I I
Manteca
Unified School
District

NFR I NFR I WNB

I PI I I WBI
New Hope
Elementary
School

N/A WBI WBI I WBI NFR I WBI I
New Jerusalem
School District N/A WBI WBI I WBI WBI WBI WBI WBI
Oak View
Elementary
School District

N/A I I WBI WBI WBI I I I
Ripon Unified
School District N/A I I I I I I I I

ATTACHMENT A
137
Stockton
Unified School
District

N/A I I I I WNBI I I WBI
Tracy Unified
School District N/A I I I WBI WBI I I WBI

4.0 School Sites Visits

4.0 School Site Visits Legend
I: Implemented PI: Partially Implemented
NFR: Needs Further Review WBI: Will Be Implemented
N/A: Not Applicable WNBI: Will Not Implement

4.0 School Sites Visits Recommendations
R4.1 R4.2 R4.3 R4.4 R4.5 R4.6 R4.7 R4.8 R4.9
SJCOE
Superintendent

WNBI/NF

R I WBI I WBI WNBI/NFR WNBI N/A N/A
Banta Unified
School District I I I I I I WBI N/A N/A
Escalon Unified
School District I I WBI I WBI WBI WBI N/A N/A
Jefferson
School District I I WBI I WBI I WBI N/A N/A
Lammersville
Unified School
District

I I WBI I I I WBI N/A N/A
Lincoln Unified
School District I I WBI I I I NFR N/A N/A
Linden Unified
School District I I WBI I WBI I NFR N/A N/A
Lodi Unified
School District I I PI I I NFR WBI N/A N/A
Manteca
Unified School
District

NFR I WBI I I NFR NFR N/A N/A
New Hope
Elementary
School

I I WBI I WBI WNBI WBI N/A N/A
New Jerusalem
School District I WBI WBI WBI WBI WBI WBI N/A N/A

ATTACHMENT A
138
Oak View
Elementary
School District

I I WBI I WBI I WBI N/A N/A
Ripon Unified
School District I I WBI I I I WBI N/A N/A
Stockton
Unified School
District

WBI WBI WBI WBI WBI WBI NFR N/A N/A
Tracy Unified
School District I I I WBI I WBI WBI N/A N/A
Findings, Recommendations, Agency Responses, and Grand Jury Results Note: for the sake of brevity, findings, and associated Agency Responses are not listed here. They can be found online at https://www.sjcourts.org/divisions/civil-grand-jury/.

The 2022-2023 San Joaquin County Civil Grand Jury recommends that the County Office of Education, the 14 school districts, and law enforcement agencies in the County implement school safety programs that require the following actions:

2.0 Comprehensive School Safety Plan (CSSP)
2022-2023 Civil Grand Jury Recommendation R2.1: By March 1, 2024, the annual updates for each school site’s CSSP address safety issues unique to the site.

The following agencies response: Agreed to and implemented the Civil Grand Jury’s Recommendation
• SJCOE Superintendent
• Banta Unified School District
• Escalon Unified School District
• Lincoln Unified School District
• Lodi Unified School District
• Manteca Unified School District

ATTACHMENT A
139
• New Hope Elementary Unified School District
• Oak View Elementary Unified School District
• Ripon Unified School District
• Tracy Unified School District
The following agencies' response: Agreed to and will implemented the Civil Grand Jury’s Recommendation
• Jefferson School District
• Lammersville Unified School District
• Linden Unified School District
• New Jerusalem School District
• Stockton Unified School District
2022-2023 Civil Grand Jury Recommendation R2.2: By December 15, 2023, while updating the school’s CSSP, each school site collaborates and receives input from representatives of teachers, support staff, students, and parents/guardians.

The following agencies’response: Agreed to and implemented the Civil Grand Jury’s Recommendation
• SJCOE Superintendent
• Banta Unified School District
• Escalon Unified School District
• Jefferson School District
• Lincoln Unified School District
• Lodi Unified School District
• Manteca Unified School District
The 2023-2024 Civil Grand Jury determined to take no further action for these above agencies regarding R2.1.

The 2023-2024 Civil Grand Jury could not confirm the implementation of R2.1, for the above five agencies and suggests confirmation of compliance by the 2024-2025 Civil Grand Jury.

ATTACHMENT A
140
• New Hope Elementary Unified School District
• Oak View Elementary Unified School District
• Ripon Unified School District
• Stockton Unified School District

The following agencies’response: Agreed to and will implement the Civil Grand Jury’s Recommendation
• Lammersville Unified School District
• Linden Unified School District
• New Jerusalem School District
• Tracy Unified School District
2022-2023 Civil Grand Jury Recommendation R2.3: By December 15, 2023, while updating the school’s CSSP, each school site collaborates and receives input from the appropriate emergency response agencies.

The following agencies’response: Agreed to and implemented the Civil Grand Jury’s Recommendation
• SJCOE Superintendent
• Banta Unified School District
• Escalon Unified School District
• Jefferson School District
• Lammersville Unified School District
• Lincoln Unified School District
• Linden Unified School District
• Lodi Unified School District
• Manteca Unified School District
The 2023-2024 Civil Grand Jury determined to take no further action for these agencies regarding R2.2.

The 2023-2024 Civil Grand Jury could not confirm the implementation of R2.2, for the above agencies and suggests confirmation of compliance by the 2024-2025 Civil Grand Jury.

ATTACHMENT A
141
• New Hope Elementary Unified School District
• Oak View Elementary Unified School District
• Ripon Unified School District
• Stockton Unified School District
The following agencies’response: Agreed to and will implement the Civil Grand Jury’s Recommendation
• New Jerusalem School District
• Tracy Unified School District
2022-2023 Civil Grand Jury Recommendation R2.4: By December 15, 2023, each law enforcement agency in San Joaquin County meaningfully collaborates and approve the updated CSSP for school sites within that agency’s jurisdiction.

The following agencies’response: Agreed to and implemented the Civil Grand Jury’s Recommendation
• Escalon Police Department
• Lathrop Police Department
• Lodi Police Department
• Ripon Police Department
• San Joaquin County Sheriff
The following agencies’response: Have not responded to the Civil Grand Jury’s Recommendation
• Manteca Police Department
The 2023-2024 Civil Grand Jury could not confirm the implementation of R2.3, for the above agencies and suggests confirmation of compliance by the 2024-2025 Civil Grand Jury.

The 2023-2024 Civil Grand Jury determined to take no further action for these agencies regarding R2.4.

The 2023-2024 Civil Grand Jury determined to take no further action for these agencies regarding R2.3.

ATTACHMENT A
142
• Stockton Police Department
• Tracy Police Department
2022-2023 Civil Grand Jury Recommendation R2.5: By February 1, 2024, each school site council or safety planning committee hold an advertised public meeting at the school site to allow members of the community an opportunity to express an opinion about the school’s proposed CSSP as required by California Education Code Sections 32288(b)(1) and (2).

The following agencies’response: Agreed to and implemented the Civil Grand Jury’s Recommendation
• SJCOE Superintendent
• Banta Unified School District
• Escalon Unified School District
• Jefferson School District
• Lammersville Unified School District
• Lincoln Unified School District
• Linden Unified School District
• Ripon Unified School District
• Stockton Unified School District
The following agencies’response: Agrees to and implemented the Civil Grand Jury’s Recommendation
• Lodi Unified School District
• New Hope Elementary Unified School District
• New Jerusalem
• Oak View Elementary Unified School District
• Tracy Unified School District
• Manteca Unified School District
The 2023-2024 Civil Grand Jury determined to take no further action for these agencies regarding R2.5.

These three agencies have not responded. The 2023-2024 Civil Grand Jury determined to refer this to the 2024-2025 Civil Grand Jury.

ATTACHMENT A
143
2022-2023 Civil Grand Jury Recommendation R2.6: By March 1, 2024, each school site’s CSSP include the State mandated assessment of the status of crime at the school and school-related functions.

The following agencies’response: Agree to and implemented the Civil Grand Jury’s Recommendation
• SJCOE Superintendent
• Banta Unified School District
• Lincoln Unified School District
• Lodi Unified School District
• Manteca Unified School District
• Oak View Unified School District
• Ripon Unified School District
• Stockton Unified School District
• Tracy Unified School District
The following agencies’response: Agrees to and will implement the Civil Grand Jury’s Recommendation
• Escalon Unified School District
• Jefferson School District
• Lammersville Unified School District
• Linden Unified School District
• New Hope Elementary Unified School District
• New Jerusalem School District
The 2023-2024 Civil Grand Jury could not confirm the implementation of R2.5, for the above four agencies and suggests confirmation of compliance by the 2024-2025 Civil Grand Jury.

The 2023-2024 Civil Grand Jury determined to take no further action for these agencies regarding R2.6.

The 2023-2024 Civil Grand Jury could not confirm the implementation of R2.6 for the above five agencies and suggests confirmation of compliance by the 2024-2025 Civil Grand Jury.

ATTACHMENT A
144
2022-2023 Civil Grand Jury Recommendation R2.7: By March 1, 2024, each school site consults with the appropriate professionals to address the unique needs of students with disabilities when updating the CSSP.

The following agencies’response: Agreed to and implemented the Civil Grand Jury’s Recommendation
• SJCOE Superintendent
• Banta Unified School District
• Escalon Unified School District
• Jefferson School District
• Lammersville Unified School District
• Lincoln Unified School District
• Lodi Unified School District
• New Hope Elementary School District
• Oak View Unified School District
• Ripon Unified School District
• Stockton Unified School District
• Tracy Unified School District
The following agencies’response: Agrees to and will implement the Civil Grand Jury’s Recommendation
• Linden Unified School District
• Manteca Unified School District
• New Jerusalem School District

2022-2023 Civil Grand Jury Recommendation R2.8: By March 1, 2024, each school site’s CSSP be available to the public with the exception of confidential information about tactical responses.

The 2023-2024 Civil Grand Jury determined to take no further action for these agencies regarding R2.7.

The 2023-2024 Civil Grand Jury could not confirm the implementation of R2.7 for the above agencies and suggests confirmation of compliance by the 2024-2025 Civil Grand Jury.

ATTACHMENT A
145
The following agencies’response: Agreed to and implemented the Civil Grand Jury’s Recommendation
• SJCOE Superintendent
• Escalon Unified School District
• Jefferson School District
• Lammersville Unified School District
• Linden Unified School District
• Lodi Unified School District
• Manteca Unified School District
• New Hope Elementary School District
• Oak View Unified School District
• Ripon Unified School District
• Stockton Unified School District
• Tracy Unified School District
The following agencies’response: Agrees to and will implement the Civil Grand Jury’s Recommendation
• Banta Unified School District
• Lincoln Unified School District
• New Jerusalem School District

Agency response: Disagree. Lincoln Unified School District disagrees with the Civil Grand Jury’s Recommendation but will implement.

The district believes that making their CSSP available to the public even with the exception confidential information, will put students and staff in harm’s way. Since they are willing to answer questions about their CSSP the 2023-2024 Civil Grand Jury determined to take no further action.

The 2023-2024 Civil Grand Jury determined to take no further action for these agencies regarding R2.8.

The 2023-2024 Civil Grand Jury could not confirm the implementation of R2.8 for the above agencies and recommends confirming compliance by the 2024-2025 Civil Grand Jury.

ATTACHMENT A
146
2022-2023 Civil Grand Jury Recommendation R2.9: By March 1, 2024, each school site’s CSSP identifies the incident command roles and the individuals who are to perform those roles and their alternate in cases of an emergency.

The following agencies’response: Agreed to and will implement the Civil Grand Jury’s Recommendation
• SJCOE Superintendent
• Banta Unified School District
• Escalon Unified School District
• Jefferson School District
• Lammersville Unified School District
• Lincoln Unified School District
• Linden Unified School District
• Lodi Unified School District
• New Hope Elementary School District
• Oak View Unified School District
• Ripon Unified School District
• Stockton Unified School District
• Tracy Unified School District
The following agencies’response: Agrees to and will implement the Civil Grand Jury’s Recommendation
• Manteca Unified School District
• New Jerusalem School District
The 2023-2024 Civil Grand Jury determined to take no further action for these agencies regarding R2 9.

The 2023-2024 Civil Grand Jury could not confirm the implementation of R2.9 for the above agencies and suggests confirmation of compliance by the 2024-2025 Civil Grand Jury.

ATTACHMENT A
147
2022-2023 Civil Grand Jury Recommendation R2.10: By March 1, 2024, each school site’s CSSP describe the system to reunify parents/guardians with their student in the event of a campuswide evacuation, including how parents/guardians are informed of reunification details.

The following agencies’response: Agreed to and will implement the Civil Grand Jury’s Recommendation
• Banta Unified School District
• Escalon Unified School District
• Jefferson School District
• Lammersville Unified School District
• Lincoln Unified School District
• Linden Unified School District
• Manteca Unified School District
• New Hope Elementary School District
• Oak View Unified School District
• Ripon Unified School District
• Stockton Unified School District
• Tracy Unified School District
The following agencies’response: Agrees to and will implement the Civil Grand Jury’s Recommendation
• SJCOE Superintendent
• Lodi Unified School District
• New Jerusalem School District

2022-2023 Civil Grand Jury Recommendation R2.11: By March 1, 2024, each school site’s CSSPs account for dangers unique to the specific school site (e.g., train tracks, flooding, and freeways)
The 2023-2024 Civil Grand Jury could not confirm the implementation of R2.10 for the above agencies and suggests confirmation of compliance by the 2024-2025 Civil Grand Jury.

The 2023-2024 Civil Grand Jury determined to take no further action for these agencies regarding R2.10.

ATTACHMENT A
150
The following agencies’response: Agreed to and implement the Civil Grand Jury’s Recommendation
• Banta Unified School District
• Escalon Unified School District
• Lammersville Unified School District
• Lincoln Unified School District
• Linden Unified School District
• Lodi Unified School District
• Manteca Unified School District
• New Hope Elementary School District
• Ripon Unified School District
• Stockton Unified School District
• Tracy Unified School District
The following agencies’ response: Agrees to and will implement the Civil Grand Jury’s Recommendation
• Jefferson School District
• New Jerusalem School District
• Oak View Elementary School District

Agency response: Disagree. SJCOE Superintendent disagrees with the Civil Grand Jury’s Recommendation and will not implement.

The 2023-2024 Civil Grand Jury could not confirm the implementation of R2.11 for the above agencies and suggests confirmation of compliance by the 2024-2025 Civil Grand Jury.

The SJCOE is not responsible for each school to assess their unique dangers, the do however review those assessments bi-annually and will incorporate those assessments and recommendation into the CSSP if appropriate. The 2023-2024 Civil Grand Jury determined to take no further actions.

The 2023-2024 Civil Grand Jury determined to take no further action for these agencies regarding R2.11.

ATTACHMENT A
149

3.0 Training
2022-2023 Civil Grand Jury Recommendation R3.1: By December 1, 2023, the San Joaquin County Office of Education and the San Joaquin County Office of Education Board of Trustees develop, adopt, and host an annual School Safety Summit.

Agency response: Agree. SJCOE Superintendent agrees to and implemented the Civil Grand Jury’s Recommendation
The following agencies’response: Agrees to and will implemented the Civil Grand Jury’s Recommendation
• SJCOE Superintendent
2022-2023 Civil Grand Jury Recommendation R3.2: By December 1, 2023, each school district send one or more representatives to the annual School Safety Summit hosted by the San Joaquin County Office of Education.

The following agencies’response: Agreed to and will implemented the Civil Grand Jury’s Recommendation
• SJCOE Superintendent
• Banta Unified School District
• Escalon Unified School District
• Jefferson School District
• Lincoln Unified School District
• Jefferson School District
• Lincoln Unified School District
The 2023-2024 Civil Grand Jury could not confirm the implementation of R3.1 for the above agencies and suggests confirmation of compliance by the 2024-2025 Civil Grand Jury.

The 2023-2024 Civil Grand Jury determined to take no further action.

ATTACHMENT A
152
• Manteca Unified School District
• Oak View Unified School District
• Ripon Unified School District
• Stockton Unified School District
• Tracy Unified School District
The following agencies’response: Agrees to and will implement the Civil Grand Jury’s Recommendation
• Lammersville Unified School District
• Linden Unified School District
• Lodi Unified School District
• New Hope Elementary School District
• New Jerusalem School District

2022-2023 Civil Grand Jury Recommendation R3.3: By September 1, 2023, safety topics be an agenda item at all school site staff meetings with teachers and support staff throughout the school year.

The following agencies’response: Agreed to and will implement the Civil Grand Jury’s Recommendation
• Banta Unified School District
• Lodi Unified School District
• Oak View Unified School District
• Ripon Unified School District
• Stockton Unified School District
• Tracy Unified School District
The 2023-2024 Civil Grand Jury could not confirm the implementation of R3.2 for the above agencies and suggests confirmation of compliance by the 2024-2025 Civil Grand Jury.

The 2023-2024 Civil Grand Jury determined to take no further action for these agencies regarding R3.2.

The 2023-2024 Civil Grand Jury determined to take no further action for these agencies regarding R3.3.

ATTACHMENT A
151
The following agencies’response: Agreed to and will implement the Civil Grand Jury’s Recommendation
• Lammersville Unified School District
• Linden Unified School District
• New Hope Elementary Unified School District
• New Jerusalem School District

The following agencies’response: Disagrees with the Civil Grand Jury’s Recommendation and will not implement it
• SJCOE Superintendent
• Escalon Unified School District
• Jefferson School District
• Lincoln Unified School District
• Manteca Unified School District
These agencies reject having “safety topics on the agenda for all school site staff meetings with teachers and support staff throughout the school year” as not warranted and not reasonable. They currently hold safety meetings with staff periodically throughout the year and believe that is sufficient.
2022-2023 Civil Grand Jury Recommendation R3.4: By September 1, 2023, districts develop, adopt, and implement written procedures for school sites to provide substitute staff with the information they will need in case of a school emergency.

The following agencies’ response: Agreed to and implemented the Civil Grand Jury’s Recommendation
• Banta Unified School District
• Escalon Unified School District
• Jefferson School District
The 2023-2024 Civil Grand Jury could not confirm the implementation of R3.3 for the above agencies and suggests confirmation of compliance by the 2024-2025 Civil Grand Jury.

ATTACHMENT A
154
• Lincoln Unified School District
• Manteca Unified School District
• New Hope Elementary School District
• New Jerusalem School District
• Ripon Unified School District
• Stockton Unified School District
• Tracy Unified School District

The following agencies’response: Agreed to and will implement the Civil Grand Jury’s Recommendation
• SJCOE Superintendent
• Lammersville Unified School District
• Linden Unified School District
• Lodi Unified School District
• Oak View Elementary School District

2022-2023 Civil Grand Jury Recommendation R3.5: By October 1, 2023, personnel identified in the school CSSP for incident command roles be trained and certified in ICS-100 protocols.

The following agencies’response: Agreed to and implemented the Civil Grand Jury’s Recommendation
• SJCOE Superintendent
• Lodi Unified School District
• Ripon Unified School District
• Stockton Unified School District
The 2023-2024 Civil Grand Jury determined to take no further action for these agencies regarding R3.5.

The 2023-2024 Civil Grand Jury determined to take no further action for these agencies regarding R3.4.

The 2023-2024 Civil Grand Jury could not confirm the implementation of R3.4 for the above four agencies and suggests confirmation of compliance by the 2024-2025 Civil Grand Jury.

ATTACHMENT A
153
The following agencies’response: Agreed to and will implement the Civil Grand Jury’s Recommendation
• Banta Unified School District
• Escalon Unified School District
• Jefferson School District
• Lammersville Unified School District
• Lincoln Unified School District
• Linden Unified School District
• New Hope Elementary School
• Tracy Unified School District
• Manteca Unified School District: Will Not Be Implemented

2022-2023 Civil Grand Jury Recommendation R3.6: By October 1, 2023, ICS-402 training be completed for all district-level executive leadership.

The following agencies’response: Agreed to and will implement the Civil Grand Jury’s Recommendation
• SJCOE Superintendent
• Lodi Unified School District
• Ripon Unified School District

The following agencies’response: Agreed to and will implement the Civil Grand Jury’s Recommendation
• Banta Unified School District
The 2023-2024 Civil Grand Jury determined to take no further action for these agencies regarding R3.5.

The 2023-2024 Civil Grand Jury determined to take no further action for these agencies regarding R3.6.

ATTACHMENT A
154
• Escalon Unified School District
• Jefferson School District
• Lammersville Unified School District
• Linden Unified School District
• New Jerusalem School District
• Oak View Elementary School District
• Tracy Unified School District
Agency response: Agree. Manteca Unified School District agreed to and has partially implemented the Civil Grand Jury’s Recommendation. Not all executive leadership have been trained.

Agency response: Agree. New Jerusalem School District agrees and has partially implemented the Civil Grand Jury’s Recommendation. Only the Superintendent/Principal has received training.

Agency response: Agree Oak View Elementary School District agreed to and will implement the Civil Grand Jury’s Recommendation as soon as they finish evaluating the training programs
Agency response: Agree Stockton Unified School District agreed to and will implement the Civil Grand Jury’s Recommendation
Agency response: Disagree Lincoln Unified School District will not implement the Civil Grand Jury’s Recommendation
Agency response: Disagree. New Hope Elementary School District disagrees and will not implement the Civil Grand Jury’s Recommendation because they only have one Superintendent/Principal
2022-2023 Civil Grand Jury Recommendation R3.7: By October 1, 2023, scheduled safety drills be conducted on different days throughout the school year and at various times throughout the school day, including when students are not normally in their classrooms.

The following agencies’response: Agreed to and will implement the Civil Grand Jury’s Recommendation
• SJCOE Superintendent

ATTACHMENT A
155
• Banta Unified School District
• Escalon Unified School District
• Jefferson School District
• Lammersville Unified School District
• Linden Unified School District
• Lincoln Unified School District
• Lodi Unified School District
• Manteca Unified School District
• New Hope Elementary School District
• Oak View Unified School District
• Ripon Unified School District
• Stockton School District
• Tracy Unified School District
Agency response: Agree. New Jerusalem School District agreed to and will implement the Civil Grand Jury’s Recommendation.

2022-2023 Civil Grand Jury Recommendation.R3.8: By October 1, 2023, scheduled safety drills include support staff (classified) in probable emergency roles during the year and document their participation.

The following agencies’response: Agreed to and implemented the Civil Grand Jury’s Recommendation
• SJCOE Superintendent
• Banta Unified School District
• Escalon Unified School District
The 2023-2024 Civil Grand Jury could not confirm the implementation of R3.7 for the above agency and suggests confirmation of compliance by the 2024-2025 Civil Grand Jury.

The 2023-2024 Civil Grand Jury determined to take no further action for these agencies regarding R3.7.

ATTACHMENT A
156
• Jefferson School District
• Lammersville Unified School District
• Lincoln Unified School District
• Lodi Unified School District
• Manteca Unified School District
• Oak View Unified School District
• Ripon Unified School District
• Stockton Unified School District
• Tracy Unified School District

The following agencies’response: Agreed to and will implement the Civil Grand Jury’s Recommendation
• Linden Unified School District
• New Hope Elementary School District
• New Jerusalem School District

2022-2023 Civil Grand Jury Recommendation R3.9: By October 1, 2023, administrators create a post-incident report after all safety drills.

The following agencies’response: Agreed to and implemented the Civil Grand Jury’s Recommendation
• Banta Unified School District
• Linden Unified School District
• Lodi Unified School District
• New Hope Elementary School District
• Oak View Elementary School District
• Ripon Unified School District
The 2023-2024 Civil Grand Jury determined to take no further action for these agencies regarding R3.8.

The 2023-202 and suggests confirmation of compliance by the 2024-2025 Civil Grand Jury. 4 Civil Grand Jury could not confirm the implementation of R3.8 for the above three agencies.

ATTACHMENT A
157
The following agencies’response: Agreed to and will implement the Civil Grand Jury’s Recommendation
• SJCOE
• Escalon Unified School
• Jefferson School District
• Lammersville Unified School District
• Lincoln Unified School District
• Manteca Unified School District
• New Jerusalem School District
• Stockton Unified School District
• Tracy Unified School District

4.0 School Site Visits
2022-2023 Civil Grand Jury Recommendation R4.1: By October 1, 2023, each school site implement an access control program that consistently includes verifying visitors' identity and collection of any issued badge before the visitor leaves the school site.

The following agencies’response: Agreed to and implement the Civil Grand Jury’s Recommendation
• Banta Unified School District
• Escalon Unified School District
• Jefferson School District
• Lammersville Unified School District
• Lincoln Unified School District
• Linden Unified School District
• Lodi Unified School District
The 2023-2024 Civil Grand Jury determined to take no further action for these agencies regarding R3.9.

The 2023-2024 Civil Grand Jury could not confirm the implementation of R3.9 for the above nine agencies and suggests confirmation of compliance by the 2024-2025 Civil Grand Jury.

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• New Hope Elementary School District
• New Jerusalem School District
• Oak View Unified School District
• Ripon Unified School District
• Stockton Unified School District
• Tracy Unified School Distric
Agency response: Disagree. The SJCOE Superintendent disagreed and will not implement the Civil Grand Jury’s Recommendation.

The SJCOE believes that this recommendation is “not warranted or is unreasonable” because every SJCOE school site is equipped with an access control system.

Agency response: Uncertain Manteca Unified School District agreed that visitor accountability is important and they do have a system in place, however they failed to mention if there is a visitor check out process.
2022-2023 Civil Grand Jury Recommendation R4.2: By March 1, 2024, districts develop, adopt, and implement a plan for effective perimeter control of access at all school sites.

The following agencies’response: Agreed to and implemented the Civil Grand Jury’s Recommendation
• SJCOE Superintendent
• Banta Unified School District
The 2023-2024 Civil Grand Jury determined to take no further action for these agencies regarding R4.1.

The 2024-2025 Civil Grand Jury should consider a request to Manteca Unified School District’s visitor access control procedure to determine the procedure meets the standards of this R4.1.

The 2024-2025 Civil Grand Jury should consider follow up on the exact level of accountability the SJCOE school sites have.

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• Escalon Unified School District
• Jefferson School District
• Lammersville Unified School District
• Lincoln Unified School District
• Linden Unified School District
• Lodi Unified School District
• Manteca Unified School District
• New Hope Elementary School District
• Oak View Unified School District
• Ripon Unified School District
• Tracy Unified School District
The following agencies’response: Agrees to and will implement the Civil Grand Jury’s Recommendation
• New Jerusalem School District
• Stockton Unified School District
2022-2023 Civil Grand Jury Recommendation R4.3: By September 1, 2023, all school sites post evacuation maps clearly showing routes from the “You Are Here” perspective be prominently posted at each entry or exit door location in both classrooms and common areas.

The following agencies’response: Agreed to and implemented the Civil Grand Jury’s Recommendation
• Banta Unified School District
• Tracy Unified School District
The 2023-2024 Civil Grand Jury determined that no action be taken for these agencies regarding R4.2.

The 2023-2024 Civil Grand Jury determined to take no further action for these agencies regarding R4.3.

The 2023-2024 Civil Grand Jury could not confirm the implementation of R4.2 for the above two agency and suggests confirmation of compliance by the 2024-2025 Civil Grand Jury.

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The following agencies’response: Agrees to and will implement the Civil Grand Jury’s Recommendation
• SJCOE Superintendent
• Escalon Unified School District
• Jefferson School District
• Lammersville Unified School District
• Lincoln Unified School District
• Linden Unified School District
• Manteca Unified School District
• New Hope Elementary School District
• New Jerusalem School District
• Oak View Unified School
• Ripon Unified School District
• Stockton Unified School District
Agency response: Agree. Manteca Unified School District agreed to and implemented the Civil Grand Jury’s Recommendation, but the signs lacked the words “you are here” 2022-2023 Civil Grand Jury Recommendation R4.4: By March 1, 2024, districts develop, adopt, and implement a plan for door-locking policies to secure classroom and common area doors.

The following agencies’response: Agreed to and implemented the Civil Grand Jury’s Recommendation
• SJCOE Superintendent
The 2023-2024 Civil Grand Jury could not confirm the implementation of R4.3 for the above eleven agencies and suggests confirmation of compliance by the 2024-2025 Civil Grand Jury.

The words “you are here” were not on the signs posted but new signs are being made to include the words. The 2023-2024 Civil Grand Jury determined to take no further action.

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• Banta Unified School District
• Escalon Unified School District
• Jefferson School District
• Lammersville Unified School District
• Lincoln Unified School District
• Linden Unified School District
• Lodi Unified School District
• Manteca Unified School District
• New Hope Elementary School District
• Oak View Unified School
• Ripon Unified School District

The following agencies’response: Agrees to and will implement the Civil Grand Jury’s Recommendation
• New Jerusalem School District
• Stockton Unified School District
• Tracy Unified School District

2022-2023 Civil Grand Jury Recommendation R4.5: By March 1, 2024, all school sites post flip charts or similar summaries of emergency procedures be posted in all classrooms and common areas.

The following agencies’response: Agreed to and implemented the Civil Grand Jury’s Recommendation
• Banta Unified School
• Lammersville Unified School District
The 2023-2024 Civil Grand Jury determined to take no further action for these agencies regarding R4.4.

The 2023-2024 Civil Grand Jury could not confirm the implementation of R4.4 for the above three agencies and suggests confirmation of compliance by the 2024-2025 Civil Grand Jury.

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• Lincoln Unified School District
• Lodi Unified School District
• Manteca Unified School District
• Ripon Unified School District
• Tracy Unified School District
The following agencies’response: Agreed to and will implement the Civil Grand Jury’s Recommendation
• SJCOE Superintendent
• Escalon Unified School District
• Jefferson School District
• Linden Unified School District
• New Hope Elementary School District
• Oak View Elementary School District
• Stockton Unified School District
Agency response: Agree. New Jerusalem School District Agrees to and will implement the Civil Grand Jury’s Recommendation but first they need more time to evaluate the system 2022-2023 Civil Grand Jury Recommendation R4.6: By March 1, 2024, all school sites ensure window coverings are provided for all windows, thereby not allowing a perpetrator a clear line of sight into a classroom or common area.

The 2023-2024 Civil Grand Jury could not confirm the implementation of R4.5 for the above seven agencies and suggests confirmation of compliance by the 2024-2025 Civil Grand Jury.

The New Jerusalem School District had not finished their evaluation of the system for R4.5.

The 2024-2025 Civil Grand Jury should confirm the evaluation is complete and implemented.

The 2023-2024 Civil Grand Jury determined to take no further action for these agencies regarding R4.5.

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The following agencies’response: Agreed to and implemented the Civil Grand Jury’s Recommendation
• Banta Unified School
• Jefferson School District
• Lammersville Unified School District
• Lincoln Unified School District
• Linden Unified School District
• Oak View Elementary School District
• Ripon Unified School District
The following agencies’response: Agrees to and will implement the Civil Grand Jury’s Recommendation
• Escalon Unified School District
• New Jerusalem School District
• Stockton Unified School District
• Tracy Unified School District
The following agencies’response: Agrees with idea of obstructing the line of sight into classrooms and window covering is vague more time is required to evaluate the options o and will not implement the Civil Grand Jury’s Recommendation • SJCOE Superintendent
• Lodi Unified School District
• Manteca Unified School District
• New Hope Elementary School District
These agencies request more time to evaluate their options. The 2023-2024 Civil Grand Jury determined to take no further action on R4.6.

The 2023-2024 Civil Grand Jury determined to take no further action for these agencies regarding R4.6.

The 2023-2024 Civil Grand Jury could not confirm the implementation of R4.6 for the above four agencies and suggests confirmation of compliance by the 2024-2025 Civil Grand Jury.

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2022-2023 Civil Grand Jury Recommendation R4.7: By October 1, 2023, the Board of Trustees, during a public meeting, review and discuss the findings and recommendations of the 2022-2023 San Joaquin County Civil Grand Jury report, Case #0322 – School Safety in San Joaquin County:

Developing a Culture of Safety.

The following agencies’response: Agrees to and will implement the Civil Grand Jury’s Recommendation
• Banta Unified School District
• Escalon Unified School District
• Jefferson School District
• Lammersville Unified School District
• Lincoln Unified School District
• Linden Unified School District
• Lodi Unified School District
• Manteca Unified School District
• New Hope Elementary School District
• New Jerusalem School District\
• Oak View Unified School
• Ripon Unified School District
• Stockton Unified School District
• Tracy Unified School District
Agency response: Disagree. SJCOE Superintendent claims that as an elected official and not an employee of the County Board of Education and the San Joaquin County Board of Education is not a party to the Grand Jury report.

The 2023-2024 Civil Grand Jury could not confirm the implementation of R4.7 for the above 13 agencies and suggests confirmation of compliance by the 2024-2025 Civil Grand Jury The 2023-2024 Civil Grand Jury determined to take no further action for this agency regarding R4.7.

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Conclusion
The Civil Grand Jury appreciates the cooperation of all public school districts in San Joaquin County, along with the San Joaquin County Office of Education, and thanks them for taking the time to consider the Civil Grand Jury recommendations.

School districts in San Joaquin County have taken important steps to make schools safer. More should and can be done to reduce safety threats. While no one can predict an emergency, proper training, drills, plans, and creating a positive school culture, including a strong safety culture, can best mitigate tragic outcomes from those emergencies.

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Follow-up to the
2022-2023 San Joaquin County Civil Grand Jury 0422 Report Good Intentions Are Failing San Joaquin County’s
At-Risk Children Case #0422
Preface
This report contains the responses to the 2022-2023 San Joaquin County Civil Grand Jury report regarding [Good Intentions Are Failing San Joaquin County’s At-Risk Children]. This follow-up report focuses on the 2022-2023 Grand Jury findings and recommendations, and the appropriate agencies’ responses are presented verbatim in this report.

The 2023-2024 Grand Jury follow-up determinations are presented after the agencies’ responses to each recommendation.

Discussions, findings, and recommendations from the 2023-2024 Grand Jury are in text boxes framed in black.

Complete copies of the original report and the agency’s responses may be found on the San Joaquin County Grand Jury website at: https://www.sjcourts.org/civil-grand-jury/ Summary
The agencies of San Joaquin County tasked with caring for the health and safety of our At-Risk Youth need to come together and be proactive in changing the current system. Unfortunately, there is no one-size-fits-all remedy that solves all the problems. What is recommended in this report may

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help in the short term, but long-term solutions require a reevaluation of recent legislative changes and guiding principles.

Locally, the system needs to be given the priority it deserves. County leaders must work together to seek out and take advantage of all existing State and Federal programs. They must become more effective leaders. They need to join, sponsor, and advocate for groups and programs by lobbying for legislative changes. Currently, the County needs more hands-on, face-to-face staffing to care for and guide the most challenging youth. The County needs to have structured placement options with some restrictions to separate the justice-involved youth from the youth Children’s Protective Services has removed for safety reasons.

Summary of Responses to the 2022-2023 Grand Jury Recommendations Agency Recommendation Response Action Taken Grand Jury
Action
SJC BoS/HSA R1.1 Agreed Implemented No further action
SJC Probation Agreed Implemented No further action
SJC BoS/HSA R1.2 Agree Implemented No further action
SJC Probation Agree Implemented No further action
SJC BoS/HSA R1.3 Agree Will not be
Implemented No further action
SJC Probation Agree Implemented No further action
SJC BoS
R1.4
Agree Will be
Implemented No further action
SJC Probation Agree Will be
Implemented No further action
SJC HSA R2.1 Disagree Will not be
Implemented No further action
SJC
HSA/MGCS R2.2 Agree Implemented No further action
SJC HSA R2.3 Agree Implemented No further action
Legend
BoS: Board of Supervisors
HSA: Human Services Agency
SJC: San Joaquin County

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SJC HSA R3.1 Disagree Will not be
Implemented No further action
SJC HSA R3.2 Agree Implemented No further action
SJC Sheriff's R3.3 Agree Implemented No further action
The County should immediately enhance recruitment efforts using a third-party recruiter. In addition, priority should be given to recognizing and aiding at-risk families, helping them stabilize and stay together so foster care will not be needed. The County has plenty of laws, funds, and the knowledge that the system as it currently exists needs to be improved.

Method of Follow-Up Investigation
The current Grand Jury reviewed the original 2022-2023 report #0422, Good Intentions Are Failing San Joaquin County’s At-Risk Children to determine if the agency’s responses to recommendations were complete and comprehensible.
2022-2023 Grand Jury Recommendations
Note: For the sake of brevity, Findings and associate agency responses are not listed here. They can be found online at https://www.sjcourts.org/civil-grand-jury/.

1.0 Increase in the Population of At‐Risk Youth
2022-2023 Grand Jury Recommendation R1.1: By December 31, 2023, the San Joaquin County Board of Supervisors and San Joaquin County Probation Department, through collaboration with Human Services Agency, Children’s Protective Services, Behavioral Health Services develop, adopt, and implement appropriate alternative housing placement options (e.g., transitional housing placement program, small family homes, group homes, and/or short‐term residential therapeutic programs).

Agency Response: The Board of Supervisors/HSA agrees and has implemented this recommendation. The Human Services Agency (HSA) has developed new placement options and

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will continue to do so within the licensing framework designated by the California Department of Social Services Community Care Licensing Division. HSA is working in collaboration with Aspiranet, Stanislaus County Community Services Agency, and Merced County Human Services Agency to develop new placement options for youth with complex care needs. Additionally, on April 21, 2023, HSA initiated programs with two local community-based organizations, Victor Community Support Services and Alternative Family Services, to identify short-term placements in resource homes that are certified at the Intensive Services Foster Care level.

Agency Response: The Board of Supervisors and Probation Department agree and have implemented this recommendation. The Grand Jury infers that San Joaquin County did not have a plan or protocol in place to deal with youth under the age of 12 as described in SB 439. On December 18, 2019, a robust protocol was signed by all law and justice partners in San Joaquin County, which also included San Joaquin County's Behavioral Health Services (BHS) and Human Services Agency. The protocol is titled, "The San Joaquin County Juvenile Justice Alternatives Plan." This plan articulates how to treat a youth aged 12 or younger who comes in contact with local law enforcement.

Additionally, Probation Officers collaborate with community-based organizations and different programs in the community to assist with the needs of our at-risk youth and their families. These programs and services provide support, guidance, encouragement, and a safe place for our youth and their families.
2022-2023 Grand Jury Recommendation R1.2: By December 31, 2023, the San Joaquin County Board of Supervisors and Human Services Agency, through collaboration with the Behavioral Health Services, San Joaquin County Probation Department, San Joaquin County Office of Education, and all San Joaquin County Law Enforcement Agencies, develop, adopt, and implement appropriate programs for justice‐ involved youth, as listed in Finding 1.3.

Agency Responses: The Board of Supervisors and HSA agree and have implemented. The Human Services Agency (HSA) will continue to pursue additional resources to better serve The 2023-2024 Civil Grand Jury determined to take no further action on R1.1

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the County’s youth who are under the jurisdiction of the Juvenile Dependency Court. This effort will continue beyond December 31, 2023, and includes a partnership with Aspiranet, San Joaquin County Human Services Agency, Stanislaus County Community Services Agency, and Merced County Human Services Agency to develop new placement options for youth with complex care needs. Mary Graham Children’s Shelter is not a placement option for youth on probation, as defined in Section 602 of the Welfare and Institutions Code. On April 21, 2023, HSA initiated programs with two local community-based organizations, Victor Community Support Services and Alternative Family Services, to identify short-term placements in resource homes that are certified at the Intensive Services Foster Care level.

Agency Responses: The Probation Department agrees and has implemented. San Joaquin County Probation is always looking for ways to improve the work that we do and capitalize on resources in the community. We are currently working with the Human Services Agency to assist with recruiting Resource Families to provide a home-like environment for the youth with placement orders. We are also looking to explore collaboration with local foster agencies to see if any of their families would be interested in becoming a Resource Family for our youth. We will continue to collaborate with HSA, Child Protective Services (CPS), and BHS to utilize alternative placement options for the youth in our custody recommendation.
2022-2023 Grand Jury Recommendation R1.3: By December 31, 2023, the San Joaquin County Board of Supervisors, through collaboration with Human Services Agency, Probation, and Juvenile Justice Coordinating Council, develop plans for the increased utilization of programs such as the San Joaquin County Office of Education’s Discovery ChalleNGe Academy or the Youth Law Center’s Quality Parenting Initiative.

Agency Responses: The Board of Supervisors and HSA will not implement. The youth system of care is challenged Statewide with a shortage of appropriate placement options for youth The 2023-2024 Civil Grand Jury determined to take no further action on R1.2

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with the most complex care needs. Although the Discovery ChalleNGe Academy is a valuable program, it does not offer the support and services offered by a licensed Short-Term Residential Therapeutic Program (STRTP). The Human Services Agency will continue to present Discovery ChalleNGe Academy as a voluntary option to youth in care when appropriate. The youth will individually decide on participation levels.

Agency Responses: The Probation Department agrees and has implemented this recommendation. The Juvenile Justice Coordinating Council (JJCC) focuses on oversight of the Probation Department's prevention and early intervention programs that are funded through the Juvenile Justice Crime Prevention Act (JJCPA). The JJCC reviews and approves the programs funded through the Juvenile Justice Crime Prevention Act monthly and reviews the overall plan annually.

The San Joaquin County Probation Department utilizes programs designed around prevention and early intervention. Our goal is to intervene and provide services to the youth before they become justice involved. Our Community Accountability Prevention Services (CAPS) Unit is comprised of three Social Workers who provide counseling to the youth on a voluntary basis. Our referrals come from different avenues:
• School Districts
• Law Enforcement Citations (closed at intake)
• Community
• Family Members
• We are always open to new programs within the community. We are developing relationships with new organizations to provide quality services and programs to the youth we serve.

Currently, we rely on our partner agencies and our community-based organizations to provide opportunities for our youth to participate in programs to improve themselves, their surroundings and inflict positive change within them. Youth must be willing to accept the opportunity for change offered to them, and legislatively, cannot be forced to accept assistance with certain programs.

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2022-2023 Grand Jury Recommendation R1.4: By December 31, 2023, the San Joaquin County Board of Supervisors, through collaboration with the Human Services Agency and San Joaquin County Probation Department, develop, adopt, and implement a type of alternative placement for the most difficult‐to‐place youth.

Agency Responses: The Board of Supervisors agrees and the recommendation will be implemented. As the child welfare system was significantly changed by the State of California, with very little notice to prepare and no additional system created, the ability of a County to meet the needs of youth was diminished. Placement types are limited to those licensed by the California Department of Social Services Community Care Licensing Division and any alternative placement would be required to fit within the licensing criteria set forth by the State. As such, the ability of any County to create new types of alternative placements is limited to those that fit within the licensing criteria. The available alternative placement referenced above is the Mary Graham Children’s Shelter (MGCS). The Human Services Agency (HSA) has engaged with the California Department of Social Services through the Plan of Correction process to review and enhance the Plan of Operation for MGCS. This targeted engagement began in November 2022, was finalized in December 2022, and will continue through November 2024.

HSA has developed new placement options and will continue to do so within the licensing framework designated by the California Department of Social Services Community Care Licensing Division. HSA is working in collaboration with Aspiranet, Stanislaus County Community Services Agency, and Merced County Human Services Agency to develop new placement options for youth with complex care needs. Additionally, on April 21, 2023, HSA initiated programs with two local community-based organizations, Victor Community Support Services and Alternative Family Services, to identify short-term placements in resource homes that are certified at the Intensive Services Foster Care level.

The 2023-2024 Civil Grand Jury determined to take no further action on R1.3.