HomeMy WebLinkAboutAgenda Packet - EVWD Board of Directors - 02/08/2011East Valley
Water District
3654 HIGHLAND AVE., SUITE #12, HIGHLAND, CA
BOARD MEETING February 8, 2011 3:00 P.M.
AGENDA
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"In order to comply with legal requirements for posting of agenda, only those items filed with the
District Secretary by 12:00 p.m. on Tuesday prior to the following Tuesday meeting not requiring
departmental investigation, will be considered by the Board of Directors ".
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CALL TO ORDER
PLEDGE OF ALLEGIANCE
Public Comments
2. Approval of Agenda
CONSENT CALENDAR
3. Approval of Board meeting minutes for January 25, 2011
4. Accounts Payable Disbursements: Accounts Payable Checks # 227136 through # 227302
which were distributed during the period of January 5, 2011 through January 12, 2011, in the
amount of $1,143,094.82. Payroll and benefit contributions for the period ended January 12,
2011 and included checks and direct deposits, in the amount of $185,207.95. Total
Disbursement for the period $1,328,032.77
5. General Managers Expenses
OLD BUSINESS
6. Resolution 2011.02 — A Resolution of East Valley Water District authorizing the General
Manager to sign funding agreement, certifications, and amendments for funding under the
safe drinking water state revolving fund, authorizing the General Manager to approve claims
for reimbursement; authorizing the General Manager to execute budget and expenditure
summary; authorizing the General Manager to sign the contractor's release form; and
dedicating revenues from water rates as the source of revenue to repay said loan
7. Resolution 2011.01 — A Resolution of the Board of Directors of the East Valley Water
District Establishing Policies for its Compensation, Reimbursement, Ethics and Sexual
Harassment Training, and Insurance Coverage
1
8. Ordinance 378 — An Ordinance of the Board of Directors of the East Valley Water District
Establishing Guidelines for the Conduct of its Public Nleetim and Activities
NEW BUSINESS
9. Discussion and possible action regarding the District's Strategic Planning process
10. Discussion and possible action regarding the disposal of the District's outdated MRE's
11. Discussion and possible action regarding the notification of nominations for the Special
District Risk Management Authority (SDRMA) Board of Directors elections for 2011
12. Review and approve the District's Flexible Spending Account Plan documents
13. Discussion and possible action regarding the District's billing provisions
14. Review and accept financial statements for the period ended December 31, 2010
15. Directors' fees and expenses for January 2011
REPORTS
16. Review and accept the Investment Report for the quarter ended December 31, 2010
17. General Manager / Staff Reports
18. Consultant Reports
19. Committee Reports
• Legislative (Standing)
• Community Affairs (Standing)
• Policy Committee (Ad -Hoc)
20. Oral comments from Board of Directors
21. Letter to the District from the San Bernardino Valley Water Conservation District regarding the
status report on Wash Plan Activities
22. Letter of appreciation to the District from CWO Daniel "Morgan" Dyer, USMC (Ret),
regarding District employee
23. Water Education Foundation's "2011 Water Tours ", various dates and locations
24. ACWA's 2011 Washington, D.C. Conference, March 1 -3, 20' 1
2
25. Water Education Foundation's "Lower Colorado River Tour ", Las Vegas, March 16 -18, 2011
26. Special District and Local Government Institute "Advanced Studies, The Exceptional Agency ",
Indian Wells, April 28 -29, 2011
CLOSED SESSION
27. CONFERENCE WITH LABOR NEGOTIATOR
[Government Code Section 54957.6(a)]
District Negotiator: To be determined
Employee Organization: S.B.P.E.A.
28. CONFERENCE WITH REAL PROPERTY NEGOTIATOR
[Government Code Section 54956.8]
Property: 0297 -061- 22,0297 - 061 -23
Property with whom District will negotiate: City of Highland
Party who will be negotiating on behalf of the District: Robert Martin
Under Negotiation: Price and Terms of Payment
ANNOUNCEMENT OF CLOSED SESSION ACTIONS
ADJOURN
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Pursuant to Government Code Section 54954.2(a), any request for a disability- related modification or
accommodation, including auxiliary aids or services, that is sought in order to participate in the above -
agendized public meeting should be directed to the District's Administrative Manager at (909) 885 -4900
at least 72 hours prior to said meeting.
3
Subject to approval
EAST VALLEY WATER DISTRICT
REGULAR BOARD MEETING
MINUTES
JANUARY 25, 2011
President Wilson called the meeting to order at 3:00 p.m. Mr. Sturdivan led the flag
salute.
PRESENT: Directors: Le Vesque, Malmberg, Morales, Sturgeon, Wilson
ABSENT: Directors: None
STAFF: Robert Martin, General Manager; Ron Buchwald, District Engineer;
Brian Tompkins, Chief Financial Officer; Gary Sturdivan , Safety &
Regulatory Affairs Director; Cecilia Contreras, Administrative
Office Assistant II; Justine Hendricksen, Administrative Manager
LEGAL COUNSEL: Steve Kennedy
GUEST(s): Charles Roberts (Highland Community News), Cara Van Dijk (CV
Strategies)
APPROVAL OF AGENDA
President Wilson requested that items #9 & #10 be deferred until the next board meeting.
The General Manager requested that item 46 be removed from the agenda and be
submitted to the board at a later date.
M/S /C (Sturgeon - Malmberg) that the January 25, 2011 agenda be approved as
amended.
PUBLIC PARTICIPATION
President Wilson declared the public participation section of the meeting open at 3:02
p.m. There being no written or verbal comments, the public participation section was
closed.
Minutes: 01/25/11
APPROVAL OF BOARD MEETING MINUTES FOR DECEMBER 28, 2010
M/S /C (Sturgeon - Malmberg) that the December 28.:'.010, Board meeting minutes
be approved as submitted.
APPROVAL OF BOARD MEETING MINUTES FOR JANUARY 11, 2011
M/S /C (Sturgeon - Malmberg) that the January 11. 201 1. Board meeting minutes be
approved as submitted.
DISBURSEMENTS
M/S /C (Sturgeon - Malmberg) that General Fund Disbursements #227136 through
#227302 distributed during the period of January 5, 2011 through January 12, 2011 in the
amount of $1,143,094.82 and Payroll Fund Disbursements for t'ie period January 12, 2011
in the amount of $185,207.95 totaling $1,328,032.77 be apprc. °ed.
DISCUSSION AND POSSIBLE ACTION REGARDING' THE DISTRICT'S DRUG
FREE WORKPLACE POLICY
Director Malmberg would like to know if the policy requires that the District meet and
confer with the San Bernardino Public Employees Association ( SBPEA) prior to
approving the document.
Mr. Kennedy stated that the current Personnel Rules that were adopted in 2001 give the
General Manager the authorization to implement and /or _mend the previous policy.
However, the District should notify the SBPEA and provide a copy to the union regarding
the newly adopted policy.
M /S /C (Malmberg- Morales) that the Board appro, e the Drug Free Workplace
Policy.
DISCUSSION AND POSSIBLE ACTION REGARDING PUBLIC HEARING AND
PROPOSED SEWER TREATMENT RATE INCREASE
The General Manager stated that the City of San Bernardino Water Department has
adopted their new wastewater treatment rates; that the rates go into effect February 1,
2011 and an additional increase takes affect January 1, 2012; that the District has prepared
a draft 218 notice to comply Rith the increases; that the Citv has given the District some
latitude in implementing the increase; the impact to the Disiri,,l is approximately $39K to
$52K per month; that the City increased their rates due to capital and regulatory needs
and requirements.
Director Sturgeon is uncomfortable with having an additional increase so soon; that the
City of San Bernardino is cutting their budget, furloughing employees and other items;
that one option is to furlough District employees; however he might be agreeable to put
2 Minutes: 01/25/11
off the first rate increase until October but not to have an additional increase in January
2012; that he would also like the Board to consider getting rid of the $2 surcharge for
customers east of Boulder and to spread that rate over the entire customer base; that he
does not like the sewer charges separately on the bills.
Vice President LeVesque is not comfortable with answers that Ms Aldstadt provided to
the Board regarding the sewer rate increase; that there are other options and alternatives
that the District needs to review before raising sewer rates; which includes the upcoming
union negotiations where everything will be laid on the table.
Director Malmberg stated that he agrees with the other Directors comments, however the
District has a financial obligation and that the increases are necessary; he recommends
that staff proceed with the Proposition 218 notice; and that he would also like to
implement a level pay plan for our customers.
Director Morales stated that the JPA committee is meeting and will be reviewing the
agreement with the City of San Bernardino; that it looks as if there are two types of funds
addressed in the agreement; that he needs more information and would like to review
budgeting specifics; that he would support delaying the rate increase only temporarily.
President Wilson stated that he understands that a rate increase is inevitable but is unsure
how to proceed; that he would like more information on ways that the District can cut
costs from the budget and that he is also concerned that the District could technically
default on its bonds.
The General Manager and Chief Financial officer will prepare a draft budget and bring it
back to the Board to review.
M/S (Sturgeon- LeVesque) that this item is deferred until a draft budget has been
prepared by the General Manager and Chief Financial Officer.
Directors Sturgeon and LeVesque amended their motions to include that the District will
not proceed with a mid -year budget review at this time.
M/S /C (Sturgeon - LeVesque) that this item is deferred until a draft budget has been
prepared by the General Manager and Chief Financial Officer and the District will not
proceed with a mid -year budget review at this time.
A roll call vote was taken:
President Wilson voted YES.
Vice President LeVesque voted YES.
Director Sturgeon voted YES.
Director Malmberg voted NO.
Director Morales voted YES.
3 Minutes: 01/25/11
GENERAL MANAGER /STAFF REPORTS
The General Manager reported on the District's operations to date; that the Highland City
Council is presenting certificates to agencies and/or companies who provided support
during the recent flooding; that he recently attended CM(fk's Capitol Day and the trip
was very successful.
Mr. Tompkins reviewed the investment report with the Board and stated that this item will
be on the next agenda.
Director Morales asked Mr. Tompkins a number of questions regarding the report.
Mr. Sturdivan provided an overview of the recent AR1, STORM Summit event he
attended; that an ARkSTORM scenario is preliminarily scheduled for February 18, 2011;
that there was also an article in the Sun Telegram regarding the ARkSTORM summit; that
the District has received the funding agreement for Plant 150. Information only.
CONSULTANT REPORTS
Ms Van Dijk stated that CV Strategies is working and/or completed a number of projects
including:
1. Communications strategic planning
2. Reviewing the draft proposition 218 notice
3. Press release relating to flood victims
4. Santa Ana Sucker Fish Task Force strategies
COMMITTEE REPORTS
a. Legislative (Standing) — Director Morales stated that the committee met on January
21 and discussed a number of items:
1. Proposed legislation, including a public goods charge (meter tax).
2. Strategies for CMUA's Capitol Day
3. The District's current legislative members and the committee that they are
assigned to.
Director Malmberg stated that many of the legislators were not aware of the
problems that the District is facing regarding the Santa Ana Sucker Fish. Director
Malmberg also stated that the District's state legislative lobbyist Mr. Reeb has an
impeccable reputation in Sacramento.
b. Community Affairs (Standing) — Director Sturgeon stated that the committee is
reviewing the budget related to community affairs project , consultants etc.
c. Policy Committee (Ad -Hoc) — Director Morales stated that the committee met on
January 12`h regarding the Drug Free Workplace Police and also discussed the
District's policy on background checks.
4 Minutes: 01/25/11
Information only.
ORAL COMMENTS FROM BOARD OF DIRECTORS
Director Sturgeon stated that he would like the District to consider a level pay plan for our
constituents. Information only.
ASSOCIATION OF THE SAN BERNARDINO COUNTY SPECIAL DISTRICT'S
MEMBERSHIP MEETING HOSTED BY RBF CONSULTING, MARIE
CALLENDERS, ONTARIO, JANUARY 24, 2011
WESTCAS 2011 WINTER CONFERENCE, WORTHINGTON RENAISSANCE
HOTEL, TEXAS, FEBRUARY 23-25,2011
ADJOURN
The meeting was adjourned at 4:47 p.m.
Robert E. Martin, Secretary
George E. Wilson, President
5 Minutes: 01/25/11
t4D East Valley
Water District
3654 East Highland Avenue, Suite 18, Highland, CA 92346 Serving Our Community for Over 5CI Years
P.O. Box 3427, San Bernardino, CA 92413
BOARD OF DIRECTORS
Board Memorandum
From: Brian W. Tompkins / Chief Financial Officer
Subject : Disbursements. I
Recommendation:
Approve the attached list of accounts payable checks and
payroll issued during the period January 13, 2011 through
February 1, 2011.
Background:
George E. "Skip'• Wilson
President
Main Le Vesque
Vlce President
Date February 8, 2011KpDirecto eon
James Mora yes, Jr
Director
Larry Malmberg
Directo
Robert E. Martin
General Manager
Brian W. Tompkins
Chief Financia� Officer
Ronald E. Buchwald
District Eng near
Accounts payable checks are shown on the attached listing and include numbers 227303 to 227448 for
A total of $475,176.90.
The source of funds for this amount is as follows:
Unrestricted Funds $475,176.90
Bond Financing
State Financing
Payroll and benefit contributions paid for this period totaled $225,650.13.
Total disbursements $700,827.03
Administration (909) 885 -4900, Fax (909) 889 -5732 • Engineering (909) 888 -8986, Fax (909) 383 -1481
Customer Service (909) 889 -9501, Fax (909) 888 -6741 • Finance (909) 381 -6463, Fax (909) 888 -6741
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t4D East Valley
Water District
3654 East Highland Avenue, Suite 18, Highland, CA 92346 Serving Our Community for Over 6( Years
P.O. Box 3427, San Bernardino, CA 92413
Board Memorandum
From: Brian W. Tompkins / Chief Financial Officer
Subject: General Manager's Expenses.
Recommendation:
Approve the attached list of payments and reimbursements
for General Manager expenses during the period January
13, 2011 through February 1, 2011.
Background:
BOARD OF DIRECTORS
George E. "Skip,- Wilson
Date: February 8, 2011 Preside-it
Matt Le Vesque
Vice President
Kip E. Sturgeon
Director
James Morales, Jr
Director
Larry Malmberg
Director
Robert E. Martin
General Manager
Brian W. Tompkins
Chief Financial Officer
Ronald E. Bu-hwald
District Eng,neer
Business and Travel expenses incurred by the General Manager and paid during the reporting period
stipulated above totaled $1207.66.
A summary of theses expenses by authorized payment methods follows:
American Express — R Martin
1139.31
American Express — J Hendricksen
CalCard — R Martin
CalCard — J Hendricksen
CalCard — E Bateman / C Contreras
Direct Reimbursement
68.35
Total
1207.66
Administration (909) 885 -4900, Fax (909) 889 -5732 • Engineering (909) 888 -8986, Fax (909) 383 -1481
Customer Service (909) 889 -9501, Fax (909) 888 -6741 • Finance (909) 381 -6463, Fax (909) 888 -6741
RESOLUTION FOR A PLANNING FUNDING AGREEMENT J
RESOLUTION NO. 2011.02
RESOLUTION OF East Valley Water District AUTHORIZING THE General Manager TO SIGN
FUNDING AGREEMENT, CERTIFICATIONS, AND AMENDMENTS FOR FUNDING UNDER THE SAFE
DRINKING WATER STATE REVOLVING FUND; AUTHORIZING THE General Manager TO APPROVE
CLAIMS FOR REIMBURSEMENT; AUTHORIZING THE General Manager TO EXECUTE BUDGET AND
EXPENDITURE SUMMARY; AUTHORIZING THE General Manager TO SIGN THE CONTRACTOR'S
RELEASE FORM; AND DEDICATING REVENUES FROM Water Rates AS THE SOURCE OF REVENUE TO
REPAY SAID LOAN.
WHEREAS, on November 8, 2008 , East Valley Water District made application to the California
Department of Public Health for a $ 500,000 funding under the Safe Drinking Water State Revolving Fund; and
WHEREAS, on January 14, 2011, the California Department of Public Health issued a Notice of Application
Acceptance to East Valley Water District committing $ 100,000 in Loan Funding and $ 400,000 in Grant Funding
from the Safe Drinking Water State Revolving Fund for 3610064 -003; and
WHEREAS, on December 20, 2010, East Valley Water District Board of Directors adopted a project budget
totaling $ 1,126,756; and
WHEREAS, on January 14, 2011, the California Department of Public Health committed funding in the amount
of S 500,000 under the Safe Drinking Water State Revolving Fund program; and
WHEREAS, the remaining $ 626,756 of.project costs are to be funded under the East Valley Water
District Bond funding; and
WHEREAS, the Funding Agreement under the Safe Drinking Water State Revolving Fund will provide for a live
(5) year repayment period at a 0 percent interest rate.
WHEREAS, prior to the California Department of Public Health issuing a Funding Agreement, East Valley Water
District Board of Directors is required to pass a resolution formally establishing a dedicated source of revenue to repay the
loan, authorizing an officer to execute the Funding Agreement, amendments, and certifications, designating a person to
approve claims for reimbursement, and designating a person (registered engineer depending upon the work being done) to
sign the Budget and Expenditure Summary.
NOW, THEREFORE, BE IT RESOLVED AND ORDERED, that the General Manager is hereby authorized to
incur Indebtedness pursuant to the funding agreement. (The term "Indebtedness" as used herein means all grants, debts,
obligations and liabilities, currently existing or now or hereafter made, incurred or created in connection with the Loan
Funding and Grant Funding, and sign the Safe Drinking Water State Revolving Fund program funding agreement and any
amendments thereto; and
BE IT FURTHER RESOLVED AND ORDERED, that the General Manager is hereby authorized to approve
Claims for Reimbursement under the Safe Drinking Water State Revolving Fund program; and
BE IT FURTHER RESOLVED AND ORDERED, that the General Manager is hereby authorized to exeeate
the Budget and Expenditure Summary for the Safe Drinking Water State Revolving Fund program; and
BE IT FURTHER RESOLVED AND ORDERED, that the General Manager is hereby authorized to sign the
Contractor's Release Form for the Safe Drinking Water State Revolving Fund Program; and
Rev. 12/16/10 Page I oft
BE IT FURTHER RESOLVED AND ORDERED, that the East valley Water District does hereby designate
revenues from its Net Revenues of the Water Operating Fund as the clecicated source of revenue to repay this Safe
Drinking Water State Revolving Fund loan and Net Revenues of the Water Operatinta Fund as the pledged collateral and
dedicated source of revenue to repay this Safe Drinking Water State Revolving; I L td loan.. This dedication shall remain in
full force and effect until such loan is fully discharged, unless modification of c Mange of such dedication is approved in
writing by the California Department off) blic Health. If for any reason, the scu-cc of revenues proves insufficient to satisfy
the debt service of the Safe Drinking Water State Revolving Fund loan, sufftcier, funds shall be raised through increased
water rates, user charges, or assessments or any other legal means available to meet this loan obligation and to operate and
maintain this project.
BE IT FURTHER RESOLVED AND ORDERED, the authority granted hereunder shall be deemed retroactive.
All acts authorized hereunder and performed prior to the date of this Resc wio t are hereby ratified and affirmed. The
California Department of Public Health s authorized to rely upon this Re,o et on until written notice to the contrary,
executed by each of the undersigned, is received by the California Departmen. of =ublic Health. The California Department
of Public Health shall be entitled to act in reliance upon the matters contain ,!d herein, notwithstanding anything to the
contrary contained in the formation documents of the East Valley Water District o: in any other document.
......................................... ............................... 0....... 0. a.
Passed and adopted by the East Valley Water District Board of Directors on ; ebr.tary 8, 2011 by the following vote:
AYES: Directors
NOES: Directors
EXCUSED: Directors
President
ATTEST:
Robert E. Martin . Secretary of the East Valley Water District Board of Directors
in
Deputy Clerk
Rev, 12/16/2010 Page 2 of 2
RESOLUTION NO. 2011.01
A RESOLUTION OF THE BOARD OF DIRECTORS
OF THE EAST VALLEY WATER DISTRICT
ESTABLISHING POLICIES FOR ITS COMPENSATION,
REIMBURSEMENT, ETHICS AND SEXUAL HARASSMENT TRAINING,
AND INSURANCE COVERAGE
WHEREAS, the Board of Directors of the East Valley Water District finds as follows:
A. The East Valley Water District ( "the District ") is a county water district organized and
operating pursuant to California Water Code Section 30000 et seq.
B. The District is governed by an elected Board of Directors ( "the Board ") whose
activities are subject to the requirements of California law, including but not limited to the "Local
Government Sunshine Bill" ( "AB 1234 "), which took effect on January 1, 2006.
C. The purpose of this resolution is to ensure compliance with AB 1234 and to establish
policies with respect to (1) Board member compensation, (2) Board member reimbursement, (3)
Board member ethics training, (4) Board member sexual harassment training, and (5) Board member
insurance coverage.
NOW THEREFORE, BE IT RESOLVED BY THE BOARD OF DIRECTORS of the East
Valley Water District as follows:
Section 1. COMPENSATION.
1.1. Amount. The amount of Board member compensation paid by the District shall be
determined in accordance with all applicable requirements of the California Water Code. Pursuant to
said requirements, the Board shall set the rate of such compensation for a day's service, and shall set
the maximum number of day's service for which a Board member may receive compensation each
month from the District, by adoption of a separate ordinance.
1.2. Day's Service.
1.2.1. Meetings. For purposes of determining Board member entitlement to
compensation under the ordinance referenced in Section 1.1 of th7s Resolution, the term "day's
service" is defined as attendance or participation of a Board member. in person or by telephone, at an
eligible meeting with one or more other parties for the performance of official duties on behalf of the
District. An "eligible meeting" as used herein includes, but is not l;mited to, the following:
(a) Any occurrence that is listed in Government Code Section 53232.1(a);
(b) A regular, special, or emergency meeting of the Board;
(c) A meeting of a standing, ad hoc, or advisory committee of the Board;
(d) A meeting with the District's General Manager involving the
operations of the District;
(e) A meeting of organizations with interests in matters involving the
functions and operations of the District;
(f) A conference, seminar, or organized educational activity involving
matters related to the functions and operations of the District; and
(g) All other occurrences for which the Board member has obtained prior
approval from the Board to attend or participate on behalf of the District.
1.2.2. Daily Limitation. If a Board member attends or participates in multiple
meetings in a single day, the Board member shall only be entitled to compensation for one eligible
meeting on that day.
1.2.3. Ineligible Meetings. Meetings that would not generally be considered an
eligible meeting for purposes of Board member entitlement to l:istrict compensation under the
ordinance referenced in Section 1.1 of this Resolution shall include social gatherings, picnics, awards
2
banquets, holiday events, retirement dinners, and similar functions, unless previously pre- approved
by the Board.
1.3. Procedure. To receive compensation for attendance or participation at eligible and/or
approved meetings, a Board member shall submit to the District's General Manager a payment
request for the calendar month by noon Tuesday preceding the first regular Board meeting of the
following month, at which time the Board will consider approval of the payment request. Payment
requests that are not timely filed will be considered at a subsequent Board meeting.
Section 2. REIMBURSEMENT.
The District shall reimburse Board members for costs incurred related to attendance or
participation at eligible and/or approved meetings as defined in Section 1 of this Resolution, as
provided herein.
2.1. Eligible Expenses. Expenses eligible for reimbursement shall be limited to (1)
registration or tuition costs, or other charges for participation at the meeting; (2) transportation to and
from the meeting, including airfare, car rental, or mileage for use of a Board member's own
automobile, and other miscellaneous transportation costs (shuttle, taxi, parking, etc.); (3) lodging at
the single -room rate; and (4) reasonable costs of meals.
2.2. Budget Limits. The maximum amount of District -paid expenses that each Board
member may annually incur without separate prior Board approval is $8,000 each fiscal year.
Expenses incurred by the District that are unused by a Board member requesting District payment
thereof may be charged back to that individual Board member at the discretion of the Board.
2.3. Rates.
2.3.1. Registration, Tuition. and Meeting Charges. The District reimbursement rate
for registration or tuition costs, or other charges for participation at a meeting, shall be the actual
3
amount incurred.
2.3.2. Transportation.
(a) Members of the Board must use goy ernment and group rates offered by
a provider of transportation services for travel when available. 1 f such rates are not available, the
District reimbursement rate for Board member transportation shall b,- t:ne actual amount incurred, not
to exceed $100.00 per day's service (except for airfare, which shall not exceed the cost of round -trip
coach airfare).
(b) The District reimbursement rate for mileage by use of a Board
member's own vehicle shall be calculated on the basis of total mi les driven for District purposes at
the rate specified in the Internal Revenue Code in effect at the time c f the vehicle usage.
(c) The District reimbursement rate ('cr vehicle parking by a Board
member shall be the actual amount incurred.
2.3.3. Loclaine. Members of the Board must use government and group rates offered
by a provider of lodging services when available. If the lodging is in connection with an accepted
conference or organized educational activity, lodging costs must rot exceed the maximum group rate
published by the conference or activity sponsor, provided that lodging at the group rate is available to
the member of the Board at the time of booking. If a government or group rate is not available, the
District reimbursement rate for Board member lodging shall be the tactual amount incurred, not to
exceed the rate for comparable lodging.
2.3.4. Meals. The District reimbursement rate for'3oard member meals shall be the
actual amount incurred, not to exceed $125.00 per day's service.
2.3.5. Other. District reimbursement of all otFer actual and necessary expenses
incurred by a Board member shal' be computed using the applicahle Internal Revenue Service rates
4
for reimbursement as established in Publication 463, or any successor publication. All expenses that
do not fall within this reimbursement policy or the Internal Revenue Service reimbursable rates, as
provided above, shall be approved by the Board in a public meeting before the expense is incurred.
If a Board member chooses to incur additional costs that are above the rates established herein, and
those costs have not been approved by the Board in a public meeting before the expense is incurred,
then the Board member may do so at his or her own expense.
2.4. Inelieible Expenses. Board members shall not be eligible for District reimbursement
of any expenses that are incurred in connection with an ineligible meeting described in Section 1.2.3
of this Resolution, nor for any expenses that are otherwise incurred by any person traveling or
attending a meeting as a guest of the Board member. No Board member shall be eligible for District
reimbursement of any expenses for personal services not related to District business.
2.5. Expense Forms. The District shall provide expense report forms to be filed by the
members of the Board for reimbursement for actual and necessary expenses incurred on behalf of the
District in the performance of official duties. The expense reports shall document that expenses
meet the policy reflected in this Resolution for expenditure of public resources. Board members
shall submit to the District's General Manager expense reports for the calendar month by noon
Thursday preceding the first regular Board meeting of the following month, and the reports shall be
accompanied by the receipts documenting each expense. At the first regular Board meeting of each
month, the Board will consider approval of District reimbursement of Board member expenses
incurred during the previous month as reflected in the timely -filed expense reports. Expense reports
that are not timely filed will be considered at a subsequent Board meeting. All documents related to
reimbursable District expenditures are public records subject to disclosure under the California
Public Records Act.
2.6. Report. Board members shall provide brief repots on meetings attended at the
expense of the District at the next regular meeting of the Board.
Section 3. ETHICS TRAINING.
3.1. Requirement.
3.1.1. Service Prior To Effective Date. Each local agency official in District service
as of the effective date of this Resolution must receive training in eth i c ; laws at least once every two
years.
3.1.2. Service On Or After Effective Date. Each local agency official who
commences service with the District on or after the effective date of this Resolution must receive
training in ethics laws no later than six months from the first day of service with the District.
Thereafter, each local agency official must receive such training at least once every two years.
3.2. Application.
3.2.1. Local Agency Official. As used in Section 3.'. of this Resolution, the term
"local agency official" means all of the following:
(a) All Board members; and
(b) All executive staff of the District.
3.2.2. Ethics Laws. As used in Section 3.1 of this Resolution, the phrase "ethics laws"
includes, but is not limited to, the following:
(a) La"s relating to personal financial gain by public servants, including,
but not limited to, laws prohibiting bribery and conflict -of- interest laws;
(b) Laws relating to claiming perquisites of office, including, but not
limited to, gift and travel restrictions, prohibitions against the use of public resources for personal or
political purposes, prohibitions against gifts of public funds, mass mailing restrictions, and
G
prohibitions against acceptance of free or discounted transportation by transportation companies;
(c) Government transparency laws, including, but not limited to, financial
interest disclosure requirements and open government laws; and
(d) Laws relating to fair processes, including, but not limited to, common
law bias prohibitions, due process requirements, incompatible offices, competitive bidding
requirements for public contracts, and disqualification from participating in decisions affecting
family members.
3.3. District Responsibilities.
3.3.1. Records. The District shall maintain records indicating (a) the dates that local
agency officials satisfied the requirements of Section 3 of this Resolution and (b) the entity that
provided the training. The District shall maintain these records for at least five years after local
agency officials receive the training. These records are public records subject to disclosure under the
California Public Records Act.
3.3.2. Notice. The District is required to provide information on training available to
meet the requirements of Section 3 of this Resolution to its local agency officials at least once
annually.
Section 4. SEXUAL HARASSMENT TRAINING.
4.1. Requirement.
4.1.1. Service Prior To Effective Date. Each Board member in District service as of
the effective date of this Resolution must participate in the District's program of providing at least
two hours of classroom or other effective interactive training and education regarding sexual
harassment to its supervisory employees at least once every two years.
4.1.2. Service On Or After Effective Date. Each Board member who commences
7
service with the District on or after the effective date of this Resolution must participate in the
District's program ofproviding at least two hours of classroom or ot:ner effective interactive training
and education regarding sexual harassment to its supervisory employees no later than six months
from the first day of service with the District. Thereafter, each Bo arc member must participate in
such training at least once every tyro years.
4.2. District Responsibilities. The training and education required by Section 4 of this
Resolution shall include information and practical guidance regarding the federal and state statutory
provisions concerning the prohibition against and the prevention and ecrrection of sexual harassment
and the remedies available to victims of sexual harassment in employment. The training and
education shall also include practical examples aimed at instructing District supervisors in the
prevention of harassment, discrimination, and retaliation, and shall be presented by trainers and
educators with knowledge and expertise in the prevention of harassment, discrimination, and
retaliation.
Section 5. INSURANCE COVERAGE FOR BOARD MEMBERS.
5.1 Current Directors. Pursuant to California Water Code Section 31008 and the
applicable provisions of California Government Code Section 53200-5321 0, the District, subject to
such terms and conditions as may be established by the Board, shall Make health and welfare benefits
available to its active Board members and their spouses and deper lent children under the age of 21,
dependent children under the age of 25 who are full -time students at a college or university, and
dependent children regardless of age who are physically or mentally incapacitated (collectively,
"Dependents "). The District shall pay the costs of such insurance coverage for those Board members
and their spouses and Dependents who elect to accept said benefit. (luring the period of time that
such Board members are serving in office as Board members of the District. Effective January 1,
r
2009, the health and welfare benefits made available under this Section shall not exceed the level of
insurance benefits provided by the District to its regular full -time employees.
5.2. Former Directors.
5.2.1. Continuation of District -Paid Benefits.
(a) Pursuant to the requirements of California Government Code Sections
53200 -53210 and the policy adopted by the Board by minute action on November 28, 1988, and
subsequently clarified by minute action on February 13, 2007, the District, subject to such terms and
conditions as may be established by the Board, shall pay the costs of health and dental insurance
coverage to former Board members who (a) elect to accept such benefits, (b) served in office after
January 1, 1981, (c) were not first elected to a term of office that began on or after January 1, 1995,
and (d) served not less than 12 years on the Board at the time of termination.
(b) Pursuant to the requirements of California Government Code Sections
53200 - 53210, the District, subject to such terms and conditions as may be established by the Board,
shall pay all, or such portion as the Board may elect, of the premiums, dues, or other charges for
health and welfare benefits of those former Board members, and the spouses and Dependents of such
former Board members for whom those health and welfare benefits have been provided by the
District, who elect to accept such benefits and were Board members who (a) were first elected or
appointed to the Board prior to July 1, 1994, and are thus not otherwise excluded from membership
in the Public Employees Retirement System ( "PERS "), (b) obtained membership in PERS due to
their membership on the Board, (c) are eligible to retire from membership in PERS, and (d) formally
retire from membership in PERS.
5.2.2. Continuation of Self -Paid Benefits. Pursuant to the requirements of California
Government Code Sections 53200 - 53210, the District, subject to such terms and conditions as may
0
be established by the Board, shall make health and welfare benefis available to its former Board
members who do not meet the requirements of subsections (a) or (h) of Section 5.2.1 above, and to
the spouses and Dependents of such former Board members, who agree to and do pay the full costs
of such insurance coverage and otherwise participate on a self -pay hasis, and who satisfy any and all
additional eligibility requirements imposed by PERS. The electior: requirements for the insurance
coverage provided herein, and the length of time in which said coverage shall be made available to
such participants upon election, shall be the same as is set forth for the continuation of benefits under
the Consolidated Omnibus Budget Reconciliation Act of 1985.
Section 6. REVIEW OF RESOLUTION.
At times deemed appropriate by the Board, the Board shall review this Resolution to
determine its effectiveness and the necessity for its continued operation. The District's General
Manager shall report to the Board on the operation of this Resolution, and make any
recommendations deemed appropriate, including proposals to amend the Resolution. Upon
conclusion of its review, the Board may take any action it deems appropriate concerning this
Resolution.
Section 7. SEVERABILITY.
If any provision of this Resolution, or the application thereof to any person or circumstances,
is held invalid, such invalidity shall not affect other provisions or applications of this Resolution
which can be given effect without the invalid provision or application. and to this end the provisions
of this Resolution are declared to be severable.
Section 8. EFFECTIVE DATE.
The provisions of this Resolution shall become effective upon adoption and shall supersede
the provisions of Resolution No. 2009.22 adopted by the Board or. November 24, 2009.
10
Adopted this 25`" day of January, 2011.
AYES:
NOES:
ABSTAIN:
ABSENT:
ATTEST:
Secretary, Board of Directors
11
President, Board of Directors
RESOLUTION NO. 2071.
A RESOLUTION OF THE BOARD OF DIRECTORS
OF THE EAST VALLEY WATER DISTRICT
ESTABLISHING POLICIES FOR ITS COMPENSATION,
REIMBURSEMENT, ETHICS AND SEXUAL HARASSMENT TRAINING,
AND INSURANCE COVERAGE
Deleted: Q9
. _ _.. Deleted: z2 r�
WHEREAS, the Board of Directors of the East Valley Water District finds as follows:
A. The East Valley Water District ("the District ") is a county waterdistrict organized and
operating pursuant to California Water Code Section 30000 et seq.
B. The District is governed by an elected Board of Directors ( "the Board ") whose
activities are subject to the requirements of California law, including but not limited to the "Local
Government Sunshine Bill" ( "AB 1234 "), which took effect on January 1, 2006.
C. The purpose ofthis resolution is to ensure compliance with AB 1234 and to establish
policies with respect to (1) Board member compensation, (2) Board member reimbursement, (3)
Board member ethics training, (4) Board member sexual harassment training, and (5) Board member
insurance coverage.
NOW THEREFORE, BE IT RESOLVED BY THE BOARD OF DIRECTORS of the East
Valley Water District as follows:
Section 1. COMPENSATION.
1.1. Amount. The amount of Board member compensation paid by the District shall be
determined in accordance with all applicable requirements of the California Water Code. Pursuant to
said requirements, the Board shall set the rate of such compensation for a day's service, and shall set
the maximum number of day's service for which a Board member may receive compensation each
month from the District, by adoption of a separate ordinance.
1.1 Day's Service.
1.2.1. Meetings. For purposes of determining Board member entitlement to
compensation under the ordinance referenced in Section 1.1 of this Resolution. the term "day's
service" is defined as attendance or participation ofa Board member, in person or bN- telerhone, at an
eligible meeting with one or more other pan ies for the performance of official dutie s opt behalf ofthe
District. An "eligible meeting" as used herein includes, but is not limited to, the fol,,ov ing:
(a) Any occurrence that is listed in Government CodeSecti(a 53232.1(a);
(b) A regular. special, or emergency meeting of the Board:
(c) A meeting of a standing, ad hoc, or advisory committee of the Board;
(d) A meeting with the District's General Manage, involving the
operations of the District;
(e) A meeting of organizations with interests in matters im olving the
functions and operations of the District;
(f) A conference, seminar, or organized educational artiJt, involving
matters related to the functions and operations of the District; and
(g) All other occurrences forwhich the Board member has obtained prior
approval from the Board to attend or participate on behalf of the District.
1.2.2. Daily Limitation. If a Board member attends or participates in multiple
meetings in a single day, the Board member shall only be entitled to compensation for one eligible
meeting on that day.
1.2.3. Ineligible Meetings. Meetings that would not generally be considered an
eligible meeting for purposes of Board member entitlement to District compensnon under the
. Deleted: District- sponsored
ordinance referenced in Section 1.1 ofthis Resolution shall include social gatherings, picnics, awards
2
banquets, holiday events, retirement dinners, and similar functions, unless previously pre- approved
by the Board.
1.3. Procedure. To receive compensation for attendance or participation at eligible and/or
approved meetings, a Board member shall submit to the District's General Manager a payment
Deleted: Thursdey
request for the calendar month by noon Tu, esdav preceding the first regular Board meeting of the
following month, at which time the Board will consider approval of the payment request. Payment
requests that are not timely filed will be considered at a subsequent Board meeting.
Section 2. REIMBURSEMENT.
The District shall reimburse Board members for costs incurred related to attendance or
participation at eligible and /or approved meetings as defined in Section 1 of this Resolution, as
provided herein.
2.1. Eligible Expenses. Expenses eligible for reimbursement shall be limited to (1)
registration or tuition costs, or other charges for participation at the meeting; (2) transportation to and
from the meeting, including airfare, car rental, or mileage for use of a Board member's own
automobile, and other miscellaneous transportation costs (shuttle, taxi, parking, etc.); (3) lodging at
the single -room rate; and (4) reasonable costs of meals.
2.2. Budget Limits. The maximum amount of District -paid expenses that each Board
member may annually incur without separate prior Board approval is $8,000 each fiscal year.
Expenses incurred by the District that are unused by a Board member requesting District payment
thereof may be charged back to that individual Board member at the discretion of the Board.
2.3. Rates.
2.3.1. Registration. Tuition, and Meeting Charges. The District reimbursement rate
for registration or tuition costs, or other charges for participation at a meeting, shall be the actual
3
amount incurred.
2.3.2. Transportation.
(a) Members of the Board must use government and group rates offered by
a provider of transportation services for travel when available. If such rates are no: available, the
District reimbursement rate for Board member transportation shall be the actual amount incurred, not
to exceed $100.00 per day's service (except for airfare, which shall not exceed the cosy of round -trip
coach airfare).
(b) The District reimbursement rate for mileage by use, cf a Board
member's own vehicle shall be calculated on the basis of total miles driven for District purposes at
the rate specified in the Internal Revenue Code in effect at the time of the vehicle usage.
(c) The District reimbursement rate for vehicle parkins by a Board
member shall be the actual amount incurred.
2.3.3. Lod in . Members of the Board must use government and group rates offered
by a provider of lodging services when available. If the lodging is in connection with an accepted
conference or organized educational activity, lodging costs must not exceed the Maximum group rate
published by the conference or activity sponsor, provided that lodging at the group rate is available to
the member of the Board at the time of booking. If a government or group rate is not available, the
District reimbursement rate for Board member lodging shall be the actual amount incurred, not to
exceed the rate for comparable lodging.
2.3.4. Meals. The District reimbursement rate for Board member meals shall be the
actual amount incurred, not to exceed $125.00 per day's service.
2.3.5. Other. District reimbursement of all other actual and necessary expenses
incurred by a Board member shall be computed using the applicable Internal Revenus Service rates
4
for reimbursement as established in Publication 463, or any successor publication. All expenses that
do not fall within this reimbursement policy or the Internal Revenue Service reimbursable rates, as
provided above, shall be approved by the Board in a public meeting before the expense is incurred.
If a Board member chooses to incur additional costs that are above the rates established herein, and
those costs have not been approved by the Board in a public meeting before the expense is incurred,
then the Board member may do so at his or her own expense.
2.4. Inelieible Expenses. Board members shall not be eligible for District reimbursement
of any expenses that are incurred in connection with an ineligible meeting described in Section 1.2.3
of this Resolution, nor for any expenses that are otherwise incurred by any person traveling or
attending a meeting as a guest of the Board member. No Board member shall be eligible for District
reimbursement of any expenses for personal services not related to District business.
2.5. Expense Forms. The District shall provide expense report forms to be filed by the
members of the Board for reimbursement for actual and necessary expenses incurred on behalf of the
District in the performance of official duties. The expense reports shall document that expenses
meet the policy reflected in this Resolution for expenditure of public resources. Board members
shall submit to the District's General Manager expense reports for the calendar month by noon
Thursday preceding the first regular Board meeting of the following month, and the reports shall be
accompanied by the receipts documenting each expense. At the first regular Board meeting of each
month, the Board will consider approval of District reimbursement of Board member expenses
incurred during the previous month as reflected in the timely -filed expense reports. Expense reports
that are not timely filed will be considered at a subsequent Board meeting. All documents related to
reimbursable District expenditures are public records subject to disclosure under the California
Public Records Act.
2.6. Resort. Board members sl-all provide brief reports on meetings attended at the
expense of the District at the next regular meeting of the Board.
Section 3. ETHICS TRAINING.
3.1. Requirement.
3.1.1. Service Prior ToBffective Date. Each local agency official n Dis*.rict service .
as of effective date ofthis Resolution must receive training in ethics lawsAi least once every two, -
years.
3.1.2. Service On Or After Effective Date. Each local ager,c� official who
commences service with the District on or after,ihe effective date of this Resolution must receive
training in ethics laws no later than IS'x memths from the first day of service with the District.
Thereafter, each local agency official must receive such training at least once every two years.
3.2. Application.
3.2.1. Local Agency Official. As used in Section 3.1 of this Resolution, the term
"local agency official" means all of the following:
(a) All Board members; and
(b) All executive staff of the District.
3.2.2. Ethics Laws. As used in Section 3.1 of this Resolution, the phase "ethics laws"
includes, but is not limited to, the following:
(a) Laws relating to personal financial gain bypublic se-vants, including,
but not limited to, laws prohibiting bribery and conflict -of- interest laws;
(b) Laws relatine to claiming perquisites of office, including, but not
limited to, gift and travel restrictions, prohibitions against the use of public resources for personal or
political purposes, prohibitions against gifts of public funds, mass mailing resarictions, and
6
LDeleted: LW6
Deleted: January 1, 2006, except for
board members whose term of omce ends
before January 1, 2007,
Deleted: before January 1, 2007.
Thereafier, each local agency officYel must
receive such training
Deleted: 2006
Deleted: January 1, 2006,
Deleted: one year
prohibitions against acceptance of free or discounted transportation by transportation companies;
(c) Government transparency laws, including, but not limited to, financial
interest disclosure requirements and open government laws; and
(d) Laws relating to fair processes, including, but not limited to, common
law bias prohibitions, due process requirements, incompatible offices, competitive bidding
requirements for public contracts, and disqualification from participating in decisions affecting
family members.
3.3. District Responsibilities.
3.3.1. Records. The District shall maintain records indicating (a) the dates that local
agency officials satisfied the requirements of Section 3 of this Resolution and (b) the entity that
provided the training. The District shall maintain these records for at least five years after local
agency officials receive the training. These records are public records subject to disclosure under the
California Public Records Act.
3.3.2. Notice. The District is required to provide information on training available to
meet the requirements of Section 3 of this Resolution to its local agency officials at least once
annually.
Section 4. SEXUAL HARASSMENT TRAINING.
4.1. Requirement.
Deleted: �sna —�
4.1.1. Service Prior To-Effective Date. Each Board member in District service as of "
- Deleted: January ]. 2008 _�
jhe effective date of this Resolution must participate in the District's program of providing at least
two hours of classroom or other effective interactive training and education regarding sexual _
DNetM� . m Isar tben six months from
harassment to its supervisory employees at least once every two years. the enemw date or this Resolution.
." Thereafter, each Board me,,ber must
participate m such training
4.1.2. Service On Or Afterj;ffective Date. Each Board member who commences Deleted: zme
7
Deleted: January t, 2008,
service with the District on or after jhe effective date of this Resolution must participate in the
District's program of providing at least two hours ofclassroom or other effective interactivetraining
and education regarding sexual harassment to its supervisory employees no later :ian six months
from the first day of service with the District. Thereafter, each Board member mcst participate in
such training at least once every two years.
4.2. District Responsibilities. Tie training and education required by Section 4 of this
Resolution shall include information and practical guidance regarding the federal and state statutory
provisions concerning the prohibition against and the prevention and correction of st xcal harassment
and the remedies available to victims of sexual harassment in employment. Tie training and
education shall also include practical examples aimed at instructing District supe-visors in the
prevention of harassment, discrimination. and retaliation, and shall be presented by trainers and
educators with knowledge and expertise in the prevention of harassment, discrimination, and
retaliation.
Section 5. INSURANCE COVERAGE FOR BOARD MEMBERS.
5.1 Current Directors. Pursuant to California Water Code Section : 1008 and the
applicable provisions of California Government Code Section 53200 - 53210, the District, subjectto
such terms and conditions as maybe established by the Board, shall make health and's eIf'are benefits
available to its active Board members and their spouses and dependent children uncle' the age of 21,
dependent children under the age of 25 who are full -time students at a college or t.niversity, and
dependent children regardless of age who are physically or mentally incapacitated (collectively,
"Dependents "). The District shall pay the costs of such insurance coverage for those Board members
and their spouses and Dependents who elect to accept said benefits, during the period of time that
such Board members are serving in office as Board members of the District. Effecrive January 1,
8
2009, the health and welfare benefits made available under this Section shall not exceed the level of
insurance benefits provided by the District to its regular full -time employees.
5.2. Former Directors.
5.2.1. Continuation of District -Paid Benefits.
(a) Pursuant to the requirements of California Government Code Sections
53200 -53210 and the policy adopted by the Board by minute action on November 28, 1988, and
subsequently clarified by minute action on February 13, 2007, the District, subject to such terms and
conditions as may be established by the Board, shall pay the costs of health and dental insurance
coverage to former Board members who (a) elect to accept such benefits, (b) served in office after
January 1, 1981, (c) were not first elected to a term of office that began on or after January 1, 1995,
and (d) served not less than 12 years on the Board at the time of termination.
(b) Pursuamto the requirements ofCalifomiaGovemment Code Sections
53200 - 53210, the District, subject to such terms and conditions as may be established by the Board,
shall pay all, or such portion as the Board may elect, of the premiums, dues, or other charges for
health and welfare benefits of those former Board members, and the spouses and Dependents of such
former Board members for whom those health and welfare benefits have been provided by the
District, who elect to accept such benefits and were Board members who (a) were first elected or
appointed to the Board prior to July 1, 1994, and are thus not otherwise excluded from membership
in the Public Employees Retirement System ( "PERS "), (b) obtained membership in PERS due to
their membership on the Board, (c) are eligible to retire from membership in PERS, and (d) formally
retire from membership in PERS.
5.2.2. Continuation of Self -Paid Benefits. Pursuant to the requirements of California
Government Code Sections 53200 - 53210, the District, subject to such terms and conditions as may
be established by the Board, shall make health and welfare benefits available to its �omner Board
members who do not meet the requirements cf subsections (a) or (b) of Section 5.2.1 above, and to
the spouses and Dependents of such former Board members, who agree to and do pay the full costs
of such insurance coverage and otherwise participate on a self - paybasis, and who satisfy any and all
additional eligibility requirements imposed by PERS. The election requirements Lo- the insurance
coverage provided herein, and the length of time in which said coverage shall be made available to
such participants upon election, shall be the same as is set forth forthe continuation ofberefits under
the Consolidated Omnibus Budget Reconciliation Act of 1985.
Deleted: ON ANNUAL BASIS
Section 6. REVIEW OF RESOLUTION.
rot times deemed appropriate by the Board, the Board shall review this Resolution to
determine its effectiveness and the necessit} for its continued operation. The District's General
Manager shall report to the Board on the operation of this Resolution, and make any
recommendations deemed appropriate, including proposals to amend the Resolution. Upon
conclusion of its review, the Board may take any action it deems appropriate ccnceming this
Resolution. ....... ...............................
Section 7. SEVERABILITY.
If any provision of this Resolution, or the application thereof to any person or circumstances,
is held invalid, such invalidity shall not affect other provisions or applications of'this Resolution
which can be given effect withoutthe invalid provision or application, and to this end the provisions
of this Resolution are declared to be severable.
Section 8. EFFECTIVE DATE.
Deleted: Each Itm
Deleted: Nothing herein shall preclude
the Board from taking action on the
Resolution at times other than upon
conclusion of the annual renew.
The provisions ofthis Resolution shall become effective upon adoption and shall supersede MDeleted:
I
the provisions of Resolution No. 200Q adopted by the Board on November 24. 200E. 19
_ _ _
E
Adopted this _ day of_ 2( 1 1.
AYES:
NOES:
ABSTAIN:
ABSENT:
President, Board of Directors
ATTEST:
Secretary, Board of Directors
Deleted N :
Deleted: ovembtt
Deleted:09 —
ORDINANCE NO. 378
AN ORDINANCE OF THE BOARD OF DIRECTORS
OF THE EAST VALLEY WATER DISTRICT
ESTABLISHING GUIDELINES FOR THE
CONDUCT OF ITS PUBLIC MEETINGS AND ACTIVITIES
WHEREAS, the Board of Directors of the East Valley Water District finds as follows:
A. The East Valley Water District ( "the District ") is a county water district organized and
operating pursuant to California Water Code Section 30000 et seq.
B. The District is governed by an elected Board of Directors ( "the Board ") whose
meetings are subject to the requirements of the Ralph M. Brown Act, California Government Code
Section 54950 et seq. ( "the Brown Act ").
C. The Board is authorized by Government Code Section 54953.7 to impose
requirements upon itself which allow greater access to its meetings than prescribed by the Brown
Act.
D. The purpose of this ordinance is to ensure that the Board's deliberations are open to
the public to the fullest extent permitted by law and its activities are performed in a manner that
reflect a dedication to the highest standards of integrity and accountability so as to continue to earn
the trust and confidence of the public served by the District.
THEREFORE, THE BOARD OF DIRECTORS of the East Valley Water District does
hereby adopt and ordain as follows:
Section 1. PUBLIC ACTIVITIES.
To the extent not otherwise inconsistent with applicable law or any existing or future
ordinances, resolutions, rules, regulations, or particular practices of the District, the Board hereby
adopts as a matter of general policy the Board Norms and Procedures attached hereto as Exhibit "A"
1
and incorporated herein by this reference.
Section 2. PUBLIC MEETINGS.
2.1. Statutory Requirements. All meetings of the Board and all committees thereof shall
be conducted in compliance with all applicable requirements of the Brown Act.
2.2. Additional Requirements.
2.2.1. Regular Meetings. Pursuant to Government Code Section 54954(a), all
regular meetings of the Board shall be held at 3:00 p.m. on the second and fourth Tuesdays of each
month at the District offices located at 3654 East Highland Avenue. Suite # 12, Highland, California.
2.2.2. Special Meetin s. Special meetings of the Board shall be called and
conducted in accordance with Government Code Section 54956. The Board shall not add any non-
agendized item to the agenda of a special meeting. Further, no agenda for a special meeting shall
provide an opportunity for the Board to consider the possible addit ion of any non - agendized item to
the agenda.
2.2.3. A¢endas. The agendas of all Board meetings and all committee meetings that
are open to the public shall be posted in the following locations: (1) an exterior bulletin board
located outside the District headquarters which is accessible twenty -four (24) hours a day; (2) on -line
at the District's website known as "eastvalley.org "; and (3) an interior bulletin board located in the
lobby of the District headquarters.
Section 3. REVIEW OF ORDINANCE.
At times deemed appropriate by the Board, the Board shall review this ordinance to
determine its effectiveness and the necessity for its continued operation. The District's General
Manager shall report to the Board on the operation of this ordinance, and make any
recommendations deemed appropriate, including proposals tc amend the ordinance. Upon
2
conclusion of its review, the Board may take any action it deems appropriate concerning this
ordinance.
Section 4. SEVERABILITY.
If any provision of this ordinance, or the application thereof to any person or circumstances,
is held invalid, such invalidity shall not affect other provisions or applications of this ordinance
which can be given effect without the invalid provision or application, and to this end the provisions
of this ordinance are declared to be severable.
Section 5. EFFECTIVE DATE.
The provisions of this ordinance shall supersede Ordinance No. 374 adopted by the Board on
December 22, 2008, and shall take effect immediately upon adoption.
Adopted this 250' day of January, 2011.
ROLL CALL
Ayes:
Noes:
Abstain:
Absent:
ATTEST:
Robert E. Martin
Secretary, Board of Directors
tj
George E. Wilson
President, Board of Directors
Exhibit "A'
BOARD NORMS AND PROCEDURES
GENERAI.
1. To take courageous action when necessary to keep the EVWD a progressive, well
managed, innovative District.
2. Board of Directors provides leadership and participates in regional, state and
national programs and meetings.
3. Board of Directors looks to Constituents and other elected officials for
independent advice.
4. Other community leaders are consulted in the decision- making process when
appropriate.
5. There can be extensive citizen participation and work on District programs.
6. There are numerous meetings, other than regular Board of Directors meetings.
7. We stress training for staff and Board of Directors.
8. Board of Directors will inform the General Manager's Administrative Manager
when they will be out of town as early as possible.
9. Board of Directors get the same information as much as possible: citizen
complaints, letters, background, etc., in a timely manner.
io. Board of Directors members will each determine specific routine information
they want to receive such as Committee or City Agendas.
11. Return unwanted reports and documents to staff for distributing to the public or
for recycling.
12. The Board of Directors may ask General Manager or designee for information,
providing such information requests can be reasonably accommodated without
significant interruption in staff work load. The General Manager shall not be
required to copy all Board Members with information obtained by other Board
Members.
EVWD — Board of Directors Norms and Procedures
13. All project assignments requested by Board Members shall be directed through
the General Manager. The General Manager may place project items on the
agenda if the project requires Board policy direction ar ipproval to be
implemented.
14.Items of significant expenditure of time /energy or financial impact must go to
Board of Directors /General Manager to be agendized.
15. The General Manager receives formal work direction from the Board of Directors
at public meetings or in closed session. Individual 13 and Members may not
delegate formal work direction to the General Manager without approval by the
rest of the Board of Directors.
16.The General Manager or Board President can request an item be placed on the
agenda.
17. Read Committee Minutes in order to find out what is being worked on.
18.General Manager will discuss significant future Agenda topics with Board
Members.
19.General Manager will meet regularly with Board President on Agenda
preparation.
20. Board of Directors (minority side on vote) can not bring item back for one year;
majority can bring it back at gill.
21. Board Members will do their homework (i.e., Read packets, complete committee
work, etc.).
22.General Manager to give routine updates to Board of Directors.
BOARD OF DIRECTORS' VALUES
23.The Board of Directors and General Manager are a participatory team.
24. Board of Directors values high energy, open mindedness, and is achievement -
oriented.
25. Board of Directors will care and have respect for each other.
26. Board of Directors will be straightforward, with no hidden agendas.
27.District Board of Directors values humor.
28.Traditions are respected.
29.No member of the Board of Directors shall use his or her position of public
service with the District as a means to benefit his or her personal or private
interests.
2of8
EVWD - Board of Directors Norms and Procedures
BOARD OF DIRECTORS INTERACTION AND COMMUNICATION
30.Individuals are responsible to initiate resolution of problems A.S.A.P. and not let
them fester.
3i. Board of Directors will not direct personal attacks at each other during public
meetings, in the press, or any other place /time.
32. Relationships are informal, but not casual in public. Business attire at Board
meetings is appropriate.
33. Board of Directors will be cooperative in covering for each other.
34• Substantive Board of Directors /General Manager items are to receive advance
notice and public notification.
35 -Committee areas belong to the whole Board; they are not seen as territorial.
36. Committees are responsible to keep the rest of the Board Members informed;
and other members are responsible for letting the Committee know if they want
more information or to give input.
37. Before Elected officials start moving in a new direction, they will get direction
from the rest of the Board Members.
38.The Board President forms Committees or disbands and is responsible for
selection.
39. Committee reports will be made under Board Reports, when appropriate.
40. Committee summaries will be sent on an interim basis to update other Board
members on:
o Issues being discussed
o Options being considered
o Progress
41. Board of Directors and Committees will give clear and focused communication
promptly.
42. If Committee and Staff disagree, it is the practice to bring the issue to full Board
of Directors.
BOARD INTERACTION AND COMMUNICATION WITH STAFF
General Manager
43. Board of Directors will provide annual goals to provide direction to the General
Manager at the time of the annual evaluation.
44. Board Members should always feel free to go to the General Manager and vice
versa.
7 _C.
EVWD — Soord of Directors Norms and Procedures
45•When a Board Member is unhappy about a department or issues, he /she should
always talk it over with the General Manager not the Department Head or other
Board members.
46.Concerns about a Department Head must be taken to the General Manager or
Board Attorney only.
47.Critical information will be passed to all Board Mem hers by appropriate
personnel.
48.The General Manager will provide ongoing feedback. information, and
perceptions to the Board of Directors, including some response to written
communications requesting feedback.
49•The General Manager deals with issues that cross department boundaries.
50.Board of Directors will provide the General Manager ,%ith a written evaluation
annually and provide some General Manager goals.
Staff in General
51. Board of Directors will always be informed by staff when an unusual event occurs
that the public would be concerned about, i.e., Health Department notice, big
Water breaks, etc. in a timely manner (if press or media is involved).
52. Extreme emergencies (i.e., fatalities) are immediately communicated to Board
Members by General Manager or staff.
53•The Board of Directors and staff will not blind side eael• other in public.
Consideration for each other is our practice.
54• If a Board Member has a question on an agenda item, that member will make
every effort to contact the General Manager or designee prior to the meeting.
Board Attorney
55•Board Attorney shall partner with Board of Directors. General Manager and Staff
when and where appropriate.
56.Board Attorney goes through the General Manager on routine areas.
57.Board Attorney to regularly consult with Board Members on items of concern on
the upcoming agenda at the earliest time possible.
58. Board Attorney can consult directly with General Manager as needed.
59. Board Attorney will track Committee's actions, and relevant agendas of Board of
Directors for needed input.
6o. Board Attorney must oversee specialist attorneys; they are paid through the
General Manager.
4of8
EVWD — Boord of Directors Norms and Procedures
61. Board Attorney to pro - actively inform and protect the Board of Directors from
potential violations and conflicts.
CHAIR SELECTION
62. The Board President's succession is governed by the Board practices.
63. The Board President is selected by the Board of Directors. The Board President
remains as one member of the Board and has no rights or authority different
from any member of the Board.
64.In the event of an early vacancy in the position of Board President, the Vice
President shall become Board President for the remaining portion of the outgoing
Board President's term as Board President.
CHAIR'S ROLE
65. Each Board President is unique; the role is defined by the person, based on that
person's style.
66.The Board President acts as the ceremonial head or representative of the District
at various civic affairs.
67.The Board President is the spokesperson for the Board of Directors when
appropriate media or external organization requests are made.
68.The Board President acts as signatory to all documents requiring Board's
execution.
69.The Board President makes appointments to Ad Hoc and special advisory
Committees.
70.The Board President makes declarations, extends official recognition of groups or
events.
71. The Board President will inform the Board of any informal correspondence sent
out to anyone in relation to District business.
72. The Board President regularly communicates with the General Manager.
CITIZEN COMPLAINTS
73. Board of Directors will be informed of significant, urgent and repetitive
complaints.
74.Staff will draft responses (letters).
75.Board of Directors shall not attempt to fix Citizens' problems on their own; it will
be referred to the General Manager.
76.Responses to Citizens are customized.
c _! U
EVWD— Board of Directors Norms and Procedures
77. Copies of responses to be included in individual packets or in Board Member's
mail box.
78.If a Board Member wants action based on citizen complaint, they should go
through the General Manager's office.
79.The level of detail in written responses A] be selective.
80.Generally, communications are acknowledged with discretion.
PUBLIC MEETINGS
81.General Manager sets the Agenda for regular Board of Directors meetings.
82.Public comment shall be received on all action items.
83.Board of Directors members will treat everyone with courtesy.
84-Corrections to minutes are passed to the Board Secretary as soon as possible.
85. Each member may share his /her views about the issue and the reasons for
his /her vote.
Consent Calendar
86.There is judicious use of the Consent Calendar, such as minutes, routine District
business, some appeals, things already approved in the budget.
87. If a Board Member has a question on a Consent Calendar item for their
information only, they are to ask staff ahead of time, rather than having it pulled
off for discussion during the meeting.
88.Staff is prepared to report on every agenda item.
Public Input on Individual Agenda Items
89. once public input is closed, further public input A] not be allowed unless re-
opened by Board President.
9o.Citizen's, Board President's and invited guests' comments will be limited to a
reasonable time.
9i.Board President will allow other Board Members to speak first and then give
his /her views and summarizes.
Public Comment Section of the Agenda
92.Public comments shall be limited to 3 minutes per speaker.
93•Each speaker will be thanked.
6of8
EVWD — Board of Directors Norms and Procedures
94. Generally, Board Members will not respond to Public Comments except for the
Board President referring matters to the General Manager for follow up.
Occasionally, a quick informational response is appropriate when an obvious
answer is available. The Board of Directors will not debate or make decisions in
response to public comments as they are not agenda matters under
consideration.
Votin
95•Everyone may speak before a motion.
96.Attempts will be made to get consensus on significant policy issues.
97.There will be roll call votes on request when a divided Board is obvious.
98. Department heads will generally attend when asked by the General Manager.
99. Board of Directors member discussions will not be redundant if they concur with
what has already been said.
Closed Session
ioo.Closed Session materials and conversations are confidential; Board Members
may retain Closed Session paper documents for analysis; documents must be
destroyed when no longer needed /used. Board Members will get written reports
for Closed Session items as much as possible; these reports are to be turned in at
the end of the meeting.
io1.General Manager may ask for Closed Sessions to be held at the convenience of
the Board.
102.No violation of Closed Session confidentiality; Board Members will not talk to
affected / opposing parties or anyone else (press, etc.) per the Brown Act at
specific Closed Session meetings.
103. Confidentiality relates to any non - public discussion items.
Special Meetings
104.Special meetings may be called by Board President pursuant to the Brown Act.
COMMITTEES AND BOARDS
105. Problem solving issues with Committees will be done as much as possible with
Chairs.
io6.All Committees of Board of Directors should know Board's needs:
.To know Board's vision /mission.
*Encouraged to participate in Board - sponsored events.
*Understanding of their roles /authority / "no- no's."
I -4C 4
EVWD— Board of Directors Norms and Procedures
•To know annual priorities /goals.
•Process /parameters within which to work. i.e., citizen involvement.
*Board of Directors reserves the right to make its own decisions.
107.Board President and Vice President are encouraged to receive annual support
training.
108.All Board Members Aill receive annual training.
These Board Dorms will be reviewed on an annual basis.
Approved: July 27, 2010
Approved July 27th, 2010
8of8
ORDINANCE NO.
AN ORDINANCE OF THE BOARD OF DIRECTORS
OF THE EAST VALLEY WATER DISTRICT
ESTABLISHING GUIDELINES FOR THE
CONDUCT OF ITS PUBLIC MEETINGS AND ACTIVITIES
WHEREAS, the Board of Directors of the East Valley Water District finds as follows:
A. The East Valley Water District ( "the District ") is a county water district organized and
operating pursuant to California Water Code Section 30000 et seq.
B. The District is governed by an elected Board of Directors ( "the Board ") whose
meetings are subject to the requirements of the Ralph M. Brown Act, California Government Code
Section 54950 et seq. ( "the Brown Act ").
C. The Board is authorized by Government Code Section 54953.7 to impose
requirements upon itself which allow greater access to its meetings than prescribed by the Brown
Act.
D. The purpose of this ordinance is to ensure that the Board's deliberations are open to
the public to the fullest extent permitted by law and its activities are performed in a manner that
reflect a dedication to the highest standards of integrity and accountability so as to continue to earn
the trust and confidence of the public served by the District.
THEREFORE, THE BOARD OF DIRECTORS of the East Valley Water District does
hereby adopt and ordain as follows:
Section 1. PUBLIC ACTIVITIES.
To the extent not otherwise inconsistent with applicable law or any existing or future
ordinances, resolutions, rules, regulations, or particular practices of the District, the Board hereby
adopts as a matter of general policy the,__ attached hereto as Exhibit "A" and
Deleted 224
DeleteA: Gadehnerf �fnnd•¢r
incorporated herein by this reference.
Section 2. PUBLIC MEETINGS.
2.1. Statutory Rea uirements. All meetings of the Board and all committee; thereof shall
be conducted in compliance with all applicable requirements of the Brown Act.
2.2, Additional Requirements.
2.2.1. Repular Meetings. Pursuant to Government Code Section 54954(a), all
regular meetings of the Board shall be held at 3:00 p.m. on the second and fourth I uesdays of each
month at the District offices located at 3654 East Highland Avenue, Suite 412, High land. California.
2.2.2. Special Meetings. Special meetings of the Board shall be called and
conducted in accordance with Government Code Section 54956. The Board shall noT acd any non -
agendized item to the agenda of a special meeting. Further, no agenda for a special meeting shall
provide an opportunity for the Board to consider the possible addition of any non- agetdized item to
the agenda.
2.2.3. Aeendas. The agendas of all Board meetings and all committee meetings that
are open to the public shall be posted in the following locations: (1) an exterior oulletin board
located outside the District headquarters which is accessible twenty -four (24) hours a day; (2) on -line
at the District's website known as "eastvalley.org' ; and (3) an interior bulletin board located in the
lobby of the District headquarters.
Section 3. REVIEW OF ORDINANCE
Deleted: ON ANNUAL k Is
Deleted: Each year I
,At times deemed appropriate by the Board the Board shall revie" this ordinance to
determine its effectiveness and the necessity for its continued operation. The District's General
Manager shall report to the Board on the operation of this ordinance, and make any
recommendations deemed appropriate, including proposals to amend the ordinarce. Upon
E
conclusion of its review, the Board may take any action it deems appropriate conceming this
_
Dele[!d: Nothing herein shall yreclude
=d
ordinances
the from _king action on he
_
ordinance m times other then upon
conclmim oft"' aomml re ic"
Section 4. SEVERABILITY.
If any provision of this ordinance, or the application thereof to any person or circumstances,
is held invalid, such invalidity shall not affect other provisions or applications of this ordinance
which can be given effect without the invalid provision or application, and to this end the provisions
of this ordinance are declared to be severable.
Section 5. EFFECTIVE DATE.
ONeted:2 _�
The provisions of this ordinance shall supersede Ordinance No. 374 adopted bythe Board on ..
Deleted: tune to
December 22, 2008, and shall take effect immediately upon adoption.
Deleted: 22'"
Adopted this day of- 2..1(!�l . _ _ _ _ _ _. _ _ _ _ .::
Deleted: December
Deleted: 08
ROLL CALL
Ayes:
Noes:
Abstain:
Absent:
ATTEST:
Robert E. Martin
Secretary, Board of Directors
3
Geode E. Wilson
President, Board of Directors
Deleted: Donald D. Go"m
DhstValley
Water District
Board Memorandum No. B -05 -2011 Date: FebruaTy 8, 2011
From: Gary Sturdivan, Safety & Regulatory Affairs Director
Subject: Disposal of the outdated MRE's (Meals Ready to Eat)
Recommendation : Authorize staff to dispose of the outdated MRE's
Background:
EV WD has approximately 70 cases of Meals Ready to Eat ( MRE's). These MRE's were
purchased for emergency supplies in 2005. The MRE warranty is on a sliding scale per
the storage temperature (this scale is attached). The District store's the MRE's at 60
degrees in a room at the District Yard. However, most District employees store their
MBE's in their garage or in a non - controlled environment. Therefore, the shelf life of our
MRE's has expired. In doing research on our MRE's and calling the manufacture, I was
informed that the MRE's do have an expiration date code on them. The expiration date is
listed as 5010 which translates to the 5 t month of 2010.
The District has ordered freeze dried meals which should be delivered to the District by
the middle of February. All employee emergency kits are being recalled to replace the
MRE's.
It is my recommendation that the Board of Directors authorize staff to dispose of the
outdated MRE's.
aPack Ready Meals - Self - Heating Emergency Meals
The chart below indicates the shelf life of AmeriQual's C -MRE APack Ready Meals.
Information is based on NATICK's study and evaluation of the n-iiitary's Meals Ready to
Eat (MIRE), which employ=_ Identical packaging and production technologies as our C-
MIRE, APack Ready Meals.
140....._
LL 120
b
100
s 60
7 6o
6 40
E
r° 20
0
1 2 6 18 36 40 4B 60
Shell Lille (months)
No product guarantee or warranty is implied by the table above, nor snould it b, m� =rpreted as such.
It is Intended for educational use o °ly.
Close Window
Page I of 1
http:// www. readymea l.com /shelflifechart.html 1/20/2011
Special Distract Risk
1112 1 Street, Suite 300
Management Ant ionly
Sacramento, California 95814.2865
T 916.231 4141
Maximimng Protection
F 916 231 4111
M,n,mll Risk
Toll free 800 537 7790
ww sdrma.org
Notification of Nominations — 2011 Election
SDRMA Board of Directors
January 19, 2011
Mr. George "Skip" Wilson
Board President
East Valley Water District
Post Office Box 3427
San Bernardino, California 92413 -3427
Dear Mr. Wilson:
SDR&AA
Notice of Nominations for the Special District Risk Management Authority (SDRMA) Board of Directors 2011
Election is being provided in accordance with the SDRMA Sixth Amended and Restated Joint Powers
Agreement. The following nomination information is enclosed: Nomination Packet Checklist, Board of Director
Fact Sheet, Nomination /Election Schedule, SDRMA Election Policy No. 2011 -02, Candidate Nomination
Resolution and Candidate Statement of Qualifications.
Genera/ Election Information - Three (3) Directors seats are up for election. The nomination filing deadline is
Wednesday, May 4, 2011. Ballots will be mailed to all SDRMA member agencies in mid -May. Mail -in ballots
will be due September 16, 2011.
Nominee Qua lifications- Nominees must be a board member or full -time management employee (see SDRMA
Election Policy 2011 -02, Section 4.1) and be an active member agency of either SDRMA's property /liability or
workers' compensation programs. Candidates must be nominated by resolution of their member agency's
governing body and complete and submit a "Statement of Qualifications ".
Nomination Documents and Information - Nomination documents (Nominating Resolution and Candidates
Statement of Qualifications) and nomination guideline information may also be obtained on SDRMA's website
at www.sdrma.org. To obtain documents electronically:
From the SDRMA homepage, click on the '2011 Nomination & Election tnformahon" button. All
necessary nomination documents and election information may be downloaded and printed.
Term of Office - Directors are elected to 4 -year terms. The term of office for the newly elected Directors will
begin January 1, 2012 and expire December 31, 2015.
Nomination Fi /ing Deadline- Nomination documents must be received in SDRMA's office no later than 5:00
P.M. on Wednesday, May 4, 2011.
Please do not hesitate to contact me at 800.537.7790, if you have any questions regarding the 2011 SDRMA
Board of Director Nominations or the election process.
Sincerely,
Special District Risk Management Authority
regor
Chief Executive Officer
a p ouo Caufornr Sr i Districts California Special Districts Association GSDA Finance Corporation
ri,ance partner 11121 Street, Suite 200 11121 Street, Suite 200
Sacramerno, Carlomia 95814.2865 Sacramento. California 958142865
lou -free 877 924 GSDA (2732) toil free 877 924 GSDA (2732)
Fax 916 442 7889 Fa. 916 442 7889
2011 Nomination Packet Checklist
SDRMA BOARD OF DIRECTORS
NOMINATION AND ELECTION GUIDELINES
SDRMA
January 5, 2011, marked the official commencement of nominations for the SDRMA Board of Directors. Three seats
on the Board of Directors are up for election in September 2011.
For your convenience we have enclosed the necessary nomination documents and election process
schedule. Please note that some items have important deadlines. All document contained in this packet, as wells as
additional information regarding SDRMA Board elections are available on o.0 website www.sdrma.org and /or by
calling SDRMA Chief Executive Officer Greg Hall at 800.537.7790.
Attachment One: SDRMA Board of Directors Fact Sheet: SDRMA Board of Directors has established a
policy that requires candidates seeking election to the SDRMA Board of Directors to be:
1) a Board member or full -time management empt:tyee (per SDRMA Election Policy
2011 -02, Section 4.1) of their respective member agency, and 2) nominated by resolution
of the Board of Directors of their respective member agency. This document also reviews
the Board of Directors' Role and Responsibilities alr)ng with additional information.
Attachment Two: SDRMA Board of Directors 2011 Election Schedule: Please review this document for
important deadlines.
Attachment Three: SDRMA Election Policy No. 2011 -02: A Policy of the Board of Directors of the Special
District Risk Management Authority establishing guidelines for Director elections.
Attachment Four: Resolution for Candidate Nomination: A resolution of the Governing Body of the
Agency nominating a candidate for the Special District Risk Management Authority Board
of Directors
Attachment Five: Candidate Statement of Qualifications: Please be advised that no statements are
endorsed by SDRMA. Candidate statements of qualification will be distributed to the
membership with the SDRMA election ballot, "exactly as submitted" by the candidate.
Please complete and return all required nomination and election documents to:
SDRMA Election Committee
C/O Paul Frydendal, CFO
Special District Risk Management Authority
1112'9" Street, Suite 300
Sacramento, California 95814
800.537.7790
Special District Risk Management Aothonty I A Property, Liability, Workers Compensat" aro Health Benefits Program
Attachment One
SDRMA BOARD OF DIRECTORS
FACT SHEET
A NO
SDRMA_
Special District Risk Management Authority . A Property, Liability, Workers' Compensation and Health Benefits Program
Fact Sheet SDRMA
SDRMA BOARD OF DIRECTORS
ROLE AND RESPONSIBILITIES
Special District Risk Management Authority (SDRMA) is a public entity Joint Powers Authority established to provide
cost - effective property, liability and worker's compensation coverages and comprehensive risk management
programs for special districts and other public agencies and providers of r Lli copal services throughout California.
SDRMA is governed by a Board of Directors elected from the membership by the programs' members.
Number of Board Members 7 -Board Members: SDRMA Board of Directors consists of seven (7) Board
Members, who are elected at -large from memoers participating in either program.
Board of Directors' Role
SDRMA Board of Directors provide effective governance by supporting a unified
vision, and ensuring accountability, setting direction based on SDRMA's mission
ano purpose, as well as establishing anc approving policy to ensure SDRMA
meets its obligations and commitment to Its members.
Board of Directors'
Board Member responsibilities include a - ornmitment to: serve as a part of a
Responsibilities
unified governance body; govern within Board of Directors' policies,
standards and ethics, commit the time and energy to be effective; represent
and make policy decisions for the benefit, and in the best interest, of all SDRMA
members; support collective decisions; communicate as a cohesive Board of
Directors with a common vision and vin ce and operate with the highest
standards of integrity and trust.
Three (3) Seats
3- Seats: Elections for Directors are staggered and held every two years, four
For this Election
seats during one election and three seats in the following election. Three seals
are up for election this year.
Term of Directors
4 -Year Terms: Directors are elected for 4 -year terms. Terms for directors elected
this election begin January 1, 2012 and erc on December 31, 2015.
Board Member Travel
Board Members are reimbursed for reasonab a travel and lodging in accordance
Reimbursement
with SDRMA Board Policy Manual 2006 -04 and applicable laws.
Number of Meetings per Year
12 -Board Meetings Annually: Generally not more than one (1) meeting per
month, with an average of nine (9) meetings per year.
Meeting Location
SDRMA office in Sacramento, California.
Meeting Dates
Typically the first Wednesday of each month (overnight stay recommended the
night prior to the meeting).
Meeting Starting Time
8:30 a.m.: Meetings begin promptly.
Meeting Length
6 - 8 hours: Length of meetings on average
Average Time Commitment
15 - 20 hours Commitment per month
"The mission of Special District Risk Management Authority is to provide renewable, efficiently
priced risk financing and risk management services through a financially sound pool to CSDA
member districts, delivered in a timely, cost efficient manner, respons;va to the needs of the districts."
Special District Risk Management Authority j A Property, Liability, Workers Com per sa,c n and Health Benefits Program
Attachment Two
SDRMA BOARD OF DIRECTORS
2011 ELECTION SCHEDULE
A
5E)RM)k
Special District Risk Management Authority I A Property. Liability, Workers' Compensation and Health Benefits Program
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Attachment Three
SDRMA BOARD OF DIRECTORS
ELECTION POLICY NO. 2011 -02
JDPJM.
Special District Risk Management Authority I A Property, Liability, Workers Compensation and Health Benefits Program
Policy No. 2011 -02 SDRMA
A POLICY OF THE BOARD OF DIRECTORS OF SPECIAL DISTRICT RISK MANAGEMENT AUTHORITY
ESTABLISHING GUIDELINES FOR DIRECTOR ELECTIONS, DIRECTOR APPOINTMENTS, AND CREATION OF
A SUPERVISING ELECTION COMMITTEE
WHEREAS, SPECIAL DISTRICT RISK MANAGEMENT AUTHORITY (SDRMA) is a joint powers authority,
created pursuant to Section 6500, et, seq. of the California Government Code; and
WHEREAS, the Board of Directors recognizes that it is in the best interest of the Authority and its members to
adopt a written policy for conducting the business of the Board; and
WHEREAS, establishing guidelines for Director elections and appointments will help ensure a process that is
consistent for all nominees and candidates, will promote active participation by SDRMA members
in. the election /appointment process, and will help ensure election /appointment of the most
qualified candidate(s); and
WHEREAS, the Bylaws provide the Board with the option of conducting the election using a mail -in ballot
process; and
WHEREAS, the Board of Directors of SDRMA has an overriding and compelling Interest In insuring the
accuracy of the election /appointment process of its Board members through the creation of an
election committee;
NOW, THEREFORE, it is the policy of the Board of Directors of SPECIAL DISTRICT RISK MANAGEMENT
AUTHORITY, until such policy shall have been amended or rescinded, that the following procedures shall be
followed when conducting Director elections or filling a Director vacancy by appointment:
1.0. Election Schedule
1.1. Not later than the first Board meeting of each election year, the Board of Directors shall approve an election
schedule based on the following criteria and time frames.
"gr4lill
2.1. The Board of Directors herein establishes an election committee with the following composition, duties and
responsibilities; The five (5) members of the Election Committee shall include two presently sitting
members of the Board of Directors of SDRMA whose seats are not up for election, the Chief Financial
Officer of SDRMA, and the CPA/auditor regularly used and retained by SDRMA at the time of counting
ballots of and for an election to the Board of Directors. For good reason found and stated, the Board of
Directors of SDRMA may appoint any CPA /auditor who, in the discretion of the Board of Directors, would
appropriately serve the Election Committee. The General Counsel for SDRMA shall also sit as a member of
the Election Committee with the additional obligation of providing legal advice to the balance of the
Committee as legal questions may arise.
3.0. Member Notification of Election
3.1. Authority staff shall provide written notification, of an election for the Board of Directors, to all member
agencies during March of each election year. Such written notification shall be provided a minimum of
ninety (90) days prior to the distribution of ballots and shall include; (1) the number of Director seats to be
filled by election; (2) a copy of this nomination and election procedure; and (3) an outline of
nomination /election deadline dates.
E � f . 11
4.1. A candidate seeking election, re- election or appointment to SDRMA's Board of Directors must be a member
of the Governing Body or a full -time management employee of an SDRMA member. To qualify as a "full-
Special District Risk Management Authority Page 1 of 6
Director Election and Appointment Policy January 5, 2011
Al
Policy No. 2011 -02 __ S'BWLAL
time management employee." the candidate must be a full -time, mana,,er ent -level (as determined by the
Governing Body) employee .+hose wages are reported to the iF_ c- a "W -2" form. Only one (1)
representative from any Membe- may serve on the Board of Dlrecors a; lnt same time. [Per Bylaws, Article
II, (2) (b)
4.2. Each nominated candidate crust submit a properly completed and si,r�d "Statement of Qualifications"
(required form attached) on or before the filing deadline In June in ode, for the candidate's name to be
placed on the official ballot 6 candidate shall provide resporses 1( r. questions on the candidate's
'Statement of Qualifications'. E =ch nominated candidate's "Statemen „ Qualltications' must be filed on or
before the aforementioned deadline by (1) personal delivery to SCP.MA'I ntlice; or (2) by U.S. mail received
by the SDRMA office. Wher allots are mailed to the members-![ i ach candidate's "Statement of
Qualifications" form will be distributed to the membership exactly as subTi"ted by the candidate to SDRMA.
However, any attachments submitted by the candidate(s) with the S,ta er, ent of Qualifications will not be
sent by SDRMA with the ballots to any members.
4.3. If a nominated candidate elect=_ not to use the provided form "Staterrien,. c` Qualifications," and prepares
instead the candidate's own s.mpleted form, the candidate's form rcus: Include the title "Statement of
Qualifications" and contain exec ly all information required and requeste J -y the provided form.
NOTE: The candidate's "Statement of Qualifications" form must be s-t mired as a part of the nominating
process. When ballots are mailed to the membership, each candidate "Statement of Qualifications' form
will be distributed 'exactly as submitted" to SDRMA, except t,a* ern, attachments submitted by the
candidate will not be sent to any SDRMA members
4.4. A candidate that does not submit a Candidate's Statement of Qualiflccstr ns which complies with Section 4.2
or 4.3 will be disqualified by the SDRMA Election Committee.
5.0. Nominal Procedure
5.1. Candidates seeking election o, reelection must be nominated by actr..r of their respective Governing Body.
Only one (1) candidate may be nominated per member agency and ore '1) candidate shalt not represent
more than one (1) member agency. A resolution from the candidates district/agency Governing Body
nominating the candidate must be received by the Authority on or :efun the scheduled date in June. (A
sample of the resolution Is enclosed). Actual receipt by the Authontr cn rr before the scheduled deadline
date in June is required. The resolution nominating the candidate may be hand- delivered to the Authority or
sent by U.S. mail. In the evert a candidate is nominated by Me (2) or more member agencies, he or she
shall represent the member agency whose nominating resolution is fist receved by the Authority. The other
member agency or agencies that nominated the candidate shall b' entitled to select a replacement
nominee as long as a resolution nominating the replacement is w\, c by the Authority prior to the
scheduled deadline date.
5.2. A member may not nominate a candidate unless that member i, n `good standing' on the date the
nominations are due. "Good standing" is defined as no accounts rece:v:. ble more than ninety (90) days past
due.
5.3. The Election Committee, as hereinabove defined and comprised. shad rev ew all nominations received from
members and will reject any nominations that do not meet all cf the nualif cations specified and set forth in
this policy. Following the Elect oa Committee's review of all nornmanc ^s. the Election Committee shall direct
Mat a ballot be prepared stating and listing all of the qualified nominees The ballot of qualified nominees
shall be distributed to the mein ,ership for election by mail as descritec' br-low.
54. Upon verification or rejection of each nominee by the Election Commrlre staff will mail acknowledgment to
both the nominee and the dlst, cl/agency of its acceptance or relecbo, ss a qualified nominee for election.
Special District Risk Management Authort) Page 2 of 6
Director Election and Appointment Policy January 5, 2011
All.
Policy No 2011 -02 SDRMA
5.5. A nominee requesting that his/her nomination be withdrawn prior to the election, shall submit such
requests in writing to SDRMA's office a minimum of three (3) days prior to the scheduled date for mailing
the ballots. After that date, all qualified nominees names shall appear on the ballot mailed to the
membership.
6.0. Terms of Directors
6.1. The election of directors shall be held in each odd - numbered year. The terms of the directors elected by
the Members will be staggered. Four directors will serve four -year terms, to end on December 31 of one
odd- numbered year. Three directors will serve four -year terms, to end on December 31 of the alternate off -
numbered year. [Per Bylaws, Article II, (3), paragraph 11.
7.0. Campaigning
7.1. SDRMA staff will mail each qualified candidate's *Statement of Qualifications ", "exactly as submitted" by the
candidate with the ballots to the membership.
7.2. Candidates, at their own expense, may distribute additional information to member agency(s) after the
ballots have been mailed and prior to the election.
7.3. SDRMA staff is prohibited from actively promoting a candidate or participating in the election process while
on Authority premises.
7.4. SDRMA staff may provide member information, mailing lists, financial reports or operational data and
information, that is normally available through the Public Records Act, to candidates to assist them in their
research and campaigning. In addition to obtaining such information under the Public Records Act,
candidates may request SDRMA staff prepare mailing labels for the distribution of campaign materials to
member agencies. Under existing policy, charges will apply for this service. The SDRMA logo is
trademarked for use by SDRMA only. Neither the logo, nor any other Trademark of SDRMA may be used in
any campaign literature. No campaign literature is to imply support of any candidate by SDRMA.
7.5. SDRMA election mailings to the membership, including ballots and candidates' 'Statement of
Qualifications ", shall be sent via first class mail.
8.1. As used in this section the following terms have the following meanings:
'Campaign Activity" means any activity that expressly advocates the election or defeat of a candidate or
provides direct support to a candidate for his or her candidacy. 'Campaign activity" does not include the
incidental and minimal use of public resources, such as equipment or office space, for campaign purposes
or the use of public resources to nominate a candidate or vote in any Board of Directors election.
"Candidate" means an individual who has been nominated by the Member Agency to have his or her name
listed on the ballot for election to the Board of Directors.
'Expenditure' means a payment of Member Agency funds that is used for communications that expressly
advocate the election or defeat of a clearly identified candidate. 'Expenditure' does not include the use of
public funds to nominate a candidate or vote in any Board of Directors election.
"Public resources" means any property or asset owned by the Member Agency, including, but not limited
to, land, buildings, facilities, funds, equipment, supplies, telephones, computers, vehicles, travel, and
Member Agency- compensated time.
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Director Election and Appointment Policy January 5. 2011
Ak-
Policy No. 2011 -02 SDRMA
8.2. An officer, official, employee, or consultant of a Member Agenq nay not expend or authorize the
expenditure of any of the `urds of the Member Agency to support r,r ofoose the election or defeat of a
candidate for the Board of Directors.
83. No officer, official, employee, Y consultant of a Member Agency sta ! uce or permit others to use public
resources for campaign ac',vty
8.4. At any time during an elecf:cn campaign, if a Member Agency e, a officers, officials, employees or
consultants violate this section, that Member Agency shall be ineiig,;;ia 'c nominate a candidate for the
Board of Directors election in which the violation occurred. Any caned, to of an offending Member Agency
shall be deemed to have withdrawn his or her candidacy. Pno, to dec c ring a Member Agency ineligible to
nominate a candidate or a sperific candidate's candidacy withdrawn, r:e - lections Committee shall hold a
hearing to determine whether ;r not a violation of this section occu,re9 Tie hearing shall be conducted
pursuant to reasonable proced; res that the Elections Committee sha' I ret,cnbe, provided that the affected
Member Agency or candidate shall have an opportunity to dispute .e violation. At the conclusion of the
hearing, the Elections Comm tlp -. shall determine by a majority vote wheher -he violation occurred.
9.1. A ballot containing nominees for the Board of Directors, accepted and anp owed by the Election Committee,
shall be mailed by first class Trail, to each SDRMA member agenc /, ecrept as provided in Section 9.2
below, no less than sixty (60) days prior to the deadline for receiving ba lots and the closing date for voting.
Ballots shall show the date a -rd time the ballots must be received .0 S-rRMA's office. A self - addressed,
stamped, return envelope shall be mailed with each ballot.
9.2. In the event that the number of auaiified /approved nominees is equal to or less than the number of director
seats up for election, the mailing, of the ballots as outlined in Section 9 1 srall be waived.
9.3. Only those qualified nominees approved by the Election Committee v, ill be eligible candidates on the ballot.
Write -in candidates shall not be accepted.
9.4. It is required that the Governing Body of each member vote on behJf of their agency (sample Resolution
enclosed) and the ballot MUST be signed by the agency's Pres ding Of'r7er
9.5. A member may not vote unless the member was a member of the Acthxity in "good standing' on or before
the nomination due date for the pending election. 'Good standing is c,'ined as no accounts receivable
more than ninety (90) days past due.
9.6. A member may cast only one (1) vote for the same candidate. By vny of example, if there are four (4)
candidates on the ballot, a member may not cast two (2) to four (4r rubs for any single candidate. Any
ballot casting more than one C t vote for the same candidate will be :�)n; cered void.
9.7. A member may vote by using the official ballot provided by SDRMA, a- r cr,py of SDRMA's original ballot, or
a reasonable duplicate prepared by the member agency. Whichever ;r ii,r three foregoing formats is used,
the ballot must contain an orgmal signature and confirmation that -' e ballot was approved at a public
meeting of the agency's Goverr:ing Body. Ballots submitted without a- arginal signature and /or without
confirmation that the form of t`ia, "allot was approved at a public meat ng of the agency's Governing Body
will be considered void.
9.8. Ballots may be returned using either hand - delivered or mailed In bali-1, - faxed or e- mailed ballots will not
be accepted. Mailed in ballots must be addressed to, and hand- tlehvereC ballots must be delivered to, the
Special District Risk Management Authority office presently locuah°d at 1112 I Street, Suite 300,
Sacramento, California 95814 -2K? .
9.9. Any ballot received after the specified deadline will not be counted and ,vill be considered void.
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Director Election and Appointment Policy January 5, 2011
Policv No. 2011 -02 SDRMA
10.0. Election Results
10.1. All ballots will be opened and counted at SDRMA's office only after the deadline for receiving ballots. Ballots
will be opened by SDRMA's Election Committee, no more than five (5) days after the closing deadline.
Candidates receiving the highest number of votes shall be declared the elected director(s).
10.2. In the event of a tie, a coin toss shall be used to determine the elected director. The coin toss shall be
conducted by the Election Committee at the time and place of the conclusion of counting ballots.
PROCEDURE: In the event more than two (2) candidates tie, the coin toss shall be between two (2)
candidates at a time based on the order in which their name appeared on the ballot This process shall be
repeated, as needed, in cases where there are more than two (2) candidates.
1D.3. Excluding tie votes, within five (5) days after the ballots are opened and tabulated Authority staff shall
advise the candidates and their respective agency in writing of the final election results. Copies of the
results shall also be mailed /distributed to SDRMA's Board of Directors, staff and consultants and published
in the first available CSDA newsletter.
10.4. If a director -elect withdraws after the election or fails to accept the Director seat prior to December 31, the
Board shall name a new director -elect by going back to the ballots and awarding the seat to the candidate
receiving the next highest number of votes during the election.
10.5. Staff shall invite newly elected director(s) to attend the Annual Membership meeting and all scheduled
Board meeting(s) after confirmation of election results until the director(s) elect assume office. Director(s)
elect will be reimbursed for expenses, except for director stipends, in accordance with approved director
reimbursement policy (copy of policy shall be provided to newly elected directors).
10.6. A member or candidate dissatisfied with the election result may, within ten (10) days after the ballots are
opened and tabulated, file with the Authority a written challenge and appeal. The challenge and appeal
must clearly set forth the complaint and any and all facts in support of the challenge and appeal. Within ten
(10) days after the ballots are opened and tabulated, the challenge and appeal shall be delivered and
received by the Authority. Within five (5) days of receipt of the challenge and appeal, the Authority shall
deliver the same to the Election Committee for decision. The Election Committee shall have absolute
authority for deciding the challenge and appeal. Notice of the decision of the Election Committee shall be
provided to the party filing the challenge and appeal within ten (10) days.
11.0. Director vacancy
11.1. If a director vacancy(s) occurs (Note 1), appointment of a replacement director for the balance of the
unexpired term will be made by the remaining members of the SDRMA Board. In order to accomplish this
in an orderly and consistent manner, when a vacancy(s) of an elected Director(s) occurs, the SDRMA
Board of Directors, after discussion and consideration, shall, when deemed appropriate, instruct staff to:
a) notify all then member entities that a vacancy has occurred; and
b) said notice shall refer to the applicable Article in the By -laws in advising member entities and their
eligible candidates of the steps to take to apply for appointment; and
c) the SDRMA Board shall establish the closing date for the receipt of applications; and
d) candidates shall submit the following, by the date specified in the notice:
i) a letter of interest; and
ii) a resume, with particular emphasis on the candidate's knowledge of special districts and
risk management; and
iii) a resolution from, or a letter approved by, the candidate's Governing Body nominating the
candidate; and
e) the Election Committee shall review all applications received, and shall reject any that do not meet
all of the qualifications specified and set forth in this policy; and
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Director Election and Appointment Policy January 5, 2011
Policv No. 2011
SDRMA
f) upon verification or rejector of each application by the Election Core ;o.e, staff will mail
acknowledgement to both the applicant and the district/agency cf cs - cceplance or rejection of the
applicant as a qualified canndate for appointment; and
g) candidates shall be intervie tied at the next regularly scheduled r^eetrng rf the SDRMA Board of
Directors following the date r' closure for the applications. Intervev.'a �,— I be in person, or if an
unforeseen emergency arises, the interview may be by telephone al tf e same scheduled time; and
h) the SDRMA Board shall mawe the appointment without undue de'at, 't..' need not act at the same
meeting.
Note 1: If the Director vacancy occurs within nine (9) months after the date if e::andidates were certified by the
Election Committee or within nine (9) months after a candidate was appomled to f I a vacancy, then the Board shall
have the option to interview and appoint the candidate(s) who did not receive sc'icient votes to be elected OR to
interview and appoint from the pool of candidates from 11.1.g) above. If the Po, rd determines in its sole discretion
that neither of these two options is appropriate, then staff shall be instructed 'r, nrr:,eed with the process described
above in steps 11.1 a) to h).
Revised and adopted this 51' day of jar aary 2011, by the Board of Directors ;I S:)ecial District Risk Management
Authority, at a regular meeting thereof
This policy rescinds existing Policy No %009 -07 and all other policies inconsiS :eni rerewrth.
APP ED:
1 t
David Aranda, President
Board of Directors
ATTES -:
3regory f.. Fall, ARM
Chief Executive Officer
Special District Risk Management Authority Page 6 of 6
Director Election and Appointment Policy January 5, 2011
Attachment Four
SAMPLE
RESOLUTION FOR
CANDIDATE NOMINATION
Available for download in Microsoft Word file format
visit our website at www.sdrma.org
Ak
SDRMA
Special District Risk Management Authority I A Property, Liability, Workers' Compensation and Health Benefits Program
]AGENCY NAME]
RESOLUTION NO.
A RESOLUTION OF THE GOVERNING BODY OF THE Al GENCY NAMEI NOMINATING
[CANDIDATE'S NAMEI AS A
CANDIDATE FOR ELECTION TO THE SPECIAL DISTRICT RISK MANAGEMENT
AUTHORITY BOARD OF DIRECTORS
WHEREAS, the Special District Risk Management Authorit. ( SDRMA) is a Joint Powers
Authority formed under California Government Code, Section 6500 et.seq., for the purpose of
providing risk management and risk financing for California Special Districts and other local
government agencies; and
WHEREAS, the Joint Powers Agreement (JPA) and Bylaw, c f SDRMA set forth director
qualifications, terms of office and election requirements; and
WHEREAS, the Board of Directors of SDRMA established procedures and guidelines for
the Director Election process; and
WHEREAS, the Board of Directors of SDRMA established a policy requiring candidates
seeking election to the SDRMA Board of Directors to be: 1) a board member or full -time management
employee per SDRMA Election Policy 2011 -02, Section 4.1 and be an ac-ive member agency of either
SDRMA's property/liability or workers' compensation programs. and 2' be nominated by resolution
of their member agency's governing body, and 3) each nominated candidate must submit a completed
and signed "Statement of Qualifications" on or before the filing deadline in June in order for the
candidate's name to be placed on the official ballot.
NOW, THEREFORE, BE IT RESOLVED the governing body of [AGENCY NAMEI
nominates [CANDIDATE'S NANIEJ its [POSITION TITLE], as a candidate for the Board of
Directors of the Special District Rick Management Authority: and further directs that a copy of this
resolution be delivered to SDRMA on or before the May 4, 2011 filing deadline.
ADOPTED this [DATE] of [MONTH/YEARI by the Governing Body of [AGENCY NAMEI by the
following roll call votes:
AYES: [LIST NAMES of GOVERNING BOARD VOTES]
NAYES:
ABSTAIN: "
ABSENT:
APPROVED
President
Board of Directors
ATTEST
Secretary
Attachment Five
CANDIDATE'S STATEMENT
OF
QUALIFICATIONS
Ak
SDR,MA,
Special District Risk Management ANhonty I A Property, Liability, Workers' Compensation and Health Benefits Program
Special District Risk Management Authority
Board of Directors
Candidate's Statement of Qualifications
This information will be distributed to the membership with the ballot, "exactly as submitted" by
the candidates — no attachments will be accepted. No statements are endorsed by SDRMA.
Nominee /Candidate
District /Agency
Work Address
Work Phone
Home Phor
Why do you want to serve on the SDRMA Board of Directors? (Response Required)
What Board or committee experience do you have that would help you to be an effective Board
Member? (SDRMA or any other organization) (Response Required)
Page 1 of 2 November 2010
Special District Risk Management Authority
Board of Directors
Candidate's Statement of Qualifications
What special skills, talents, or experience (including volunteer experience) do you have?
(Response Required)
1 certify that I meet the candidate qualifications as outlined in the SDRMA election policy. I further
certify that I am willing to serve as a director on SDRMA's Board of Directors. I will commit the
time and effort necessary to serve. Please consider my application for nomination /candidacy to
the Board of Directors.
Candidate Signature
Page 2 of 2 November 201 ]
East Val ley
Water District
Board Memorandum No. B -08 -2011
From: Brian W. Tompkins / Chief Financial Officer /
Subject: Flexible Spending Account Documents
Date: February 8, 2011
Recommendation:
Review and adopt The Flexible Spending Account Plan and Summary Plan Description (SPD) with an
effective date of January 1, 2011
Background:
In 2007 the employees association requested that Flexible Spending Accounts be made available by
the District as an additional, inexpensive benefit. As a result, FSAs were included in the MOU with the
Employees Association that was approved by the board in June 2007. After approval of the MOU, plan
specifics were developed with ADP, agreements signed and submitted, and FSA participant accounts
activated on February 1, 2008. Thereafter, each November, the District has held open enrollment for
employees wishing to add to or drop their participation in the plan, and those changes are transmitted
to ADP.
ADP has advised staff that, in addition to recording changes in participation, staff should be submitting
plan documents to the board for review and approval on an annual basis. Accordingly, attached are the
two FSA plan documents.
The first is the Flexible Spending Account Plan. This document gives definitions, describes the plan's
operation and general provisions. The second document is the Flexible Spending Account Plan
Summary Plan Description (SPD) which describes the specific options of EVWD's plan and guides
employees in their plan participation using a Q & A format.
Staff recommends that the board adopt these plan documents for the 2011 year.
EAST VALLEY w,ATGR DISTRICT
FLEXIBLE SPENDING ACCOUNT PLAN
The Effective Date of this Document is JANUARY 1, 2011
ARTICLE I - DEFINITIONS ............................................................
..............................1
1.01
Affiliated Employer ................... ...............................
......... ............................... 1
1.02
Anniversary Date .......................... ...............................
....... ............................... 1
1.03
Board of Directors ...............................................................
............................... 1
1.04
Change in Status ..................................................................
............................... 1
1.05
Code ............................................ ...............................
......... ..............................1
1.06
Compensation .......................... ............................... .............
..............................1
1.07
Dependent ................................ ............................... .............
..............................1
1.08
Dependent Care Reimbursement ............................. ...........
............................... 1
1.09
Earned Income .......................... ............................... ............
............................... 1
1.10
Effective Date .......................... ............................... ............
............................... 2
1.11
Eligible Day Care Expenses .................................................
............................... 2
1.12
Eligible Medical Expenses ....................................................
............................... 2
1.13
Empl oyee ...............................................................................
..............................2
1.14
Employer ...............................................................................
............................... 2
1.15
ERISA ........................................ ...............................
........... ..............................3
1.16
Health Care Reimbursement ..................................................
............................... 3
1.17
Highly Compensated. Individual ............................................
............................... 3
1.18
Key Employee ......................................................................
............................... 3
1.19
NonelectiveContribution( s) ..................................................
..............................3
1.20
Participant .............................................................................
..............................3
1.21
Plan .......................................................................................
............................... 3
1.22
Plan Administrator ................................................................
............................... 3
1.23
Plan Year ..............................................................................
............................... 3
1.24
Pre -tax Contribution( s) ........................................................
............................... 3
1.25
Qualifying Employment- Related Expenses .........................
............................... 4
1.26
Qualifying Individual ...........................................................
............................... 4
1.29
Reimbursement Account(s) or Account(s) ...........................
............................... 4
1.30
Salary Reduction Agreement ................................................
............................... 4
1.31
Spouse ....................................................................................
..............................4
1.32
Student ...................................................................................
..............................4
1.33
Summary Plan Description or SPD ......................................
............................... 5
ARTICLE II -- ELIGIBILITY AND PARTICIPATION ................ ..............................5
2.01 Eligibility to Participate ....................................................... ............................... 5
2.02 Termination of Participation ................................................ ............................... 5
2.03 Qualifying Leave Under the Family and Medical Leave Act .............................. 5
2.04 Non -FMLA Leave ................................................................. ............................... 5
ARTICLE III -- BENEFIT F. LECTIONS ......................................... ..............................5
3.01 Election of Contributions .................................................... ............................... 5
3.02 Initial Election Period .......................................................... ............................... 5
3.03 Annual Election Period ........................................................ ............................... 6
3.04 Change of Election .............................................................. ............................... 6
3.05 Impact of Termination of Employment on Election or Cessation of Eligibility.. 7
ARTICLE IV -- BENEFIT FUNDING AND CREDITS AND DEBITS TO
ACCOUNTS......................................................................................... ..............................7
4.01 Source of Benefit Funding ..................................................... ............................... 7
4.02 Reduction of Certain Elections to Prevent Discrimination ... ............................... 7
4.03 Health Care Reimbursement .................................................. ............................... 7
4.04 Dependent Care Reimbursement ........................................... ............................... 8
ARTICLE V -- BENEFITS ................................................................. ..............................9
5.01 Reimbursement Accounts ...................................................... ............................... 9
5.02 Cash Benefit .......................................................................... ............................... 9
5.03 Repayment of Excess Reimbursements ................................. ............................... 9
5.04 Termination of Reimbursement Accounts ............................. ............................... 9
5.05 Coordination of Benefits under the HCSA ............................ ............................... 9
ARTICLE VI -- PLAN ADMINISTRATION.
6.01
Allocation of Authority .........................
6.02
Payment of Administrative Expenses....
6.03
Reporting and Disclosure Obligations...
6.04
Indemnification ....... ...............................
6.05
Substantiation of Expenses ....................
6.06
Reimbursement ....... ...............................
6.07
Annual Statements .. ...............................
ARTICLE VII -- FUNDING AGENT
....................... .............................11
ARTICLE VIII -- CLAIMS PROCEDURES ................................... .............................12
ARTICLE IX -- AMENDMENT OR TERMINATION OF PLAN ............................12
9.01
Permanency ......................................................................... ...............................
12
9.02
Employer's Right to Amend ................................................ ...............................
12
9.03
Employer's Right to Terminate ........................................... ...............................
12
9.04
Determination of Effective Date of Amendment or Termination ......................
12
ARTICLE X -- GENERAL PROVISIONS ....................... ...............................
10.01 Not an Employment Contract .................................. ...............................
10.02 Applicable Laws ...................................................... ...............................
10.03 Post- Mortem Payments ........................................... ...............................
10.04 Nonalienation of Benefits ........................................ ...............................
10.05 Mental or Physical Incompetency ........................... ...............................
10.06 Inability to Locate Payee ......................................... ...............................
10.07 Requirement for Proper Forms ................................ ...............................
10.08 Source of Payments ................................................. ...............................
10.09 Multiple Functions ................................................... ...............................
10.10 Tax Effects ............................................................... ...............................
10.11 Gender and Numbers ............................................... ...............................
10.12 Headings .................................................................. ...............................
10.13 Severability .............................................................. ...............................
FA
...........13
.......... 13
.......... 13
.......... 13
.......... 13
.......... 13
.......... 13
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10.14 Effect of Mistake ....................................... ...............................
10.15 Provisions Relating to Insurers .................. ...............................
10.16 Forfeiture of Unclaimed Reimbursement Account Benefits .....
ARTICLE XI — HIPAA PRIVACY AND SECURITY ........
11.01 Scope and Purpose ....... . ................................. I ........ .. .
11.02 Effective Date .............................. ...............................
11.03 Use and Disclosure of PHI .......... ...............................
11.04 Conditions Imposed on Employer ..............................
11.05 Designated Emplovees Who May Receive PHI ..... _..
11.06 Restrictions on Employees with Access to PHI .........
11.07 Policies and Procedures ............ ............................... ..
11.08 Organized Health Care Arrangement .........................
11.09 Privacy and Security Official ....... ...............................
11.10 Noncompliance ........................... ...............................
11.11 Definitions .................................. ...............................
11.12 Interpretation and Limited Applicability ....................
11.13 Services Performed for the Employer ........................
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ARTICLE XII -- CONTINUATION COVERAGE UNDER COBRA .......................18
3
PREAMBLE
The Employer hereby establishes a Flexible Spending Account Plan ( "Plan") for its
Employees for purposes of providing eligible Employees with the opportunity to choose
from among a Health Care Spending Account ( "HCSA ") and/or a Dependent Care
Spending Account ( "DCSA ") available under the Plan. The Plan is intended to qualify as
• cafeteria plan under the provisions of Code § 125. The DCSA is intended to qualify as
• Code § 129 dependent care assistance plan, and the HCSA is intended to qualify as a
Code § 105 medical expense reimbursement plan.
FLEXIBLE BENEFITS PLAN
ARTICLE I — DEFINITIONS
1.01 "Affiliated Employer" means any entity who is considered with the
Employer to be a single employer in accordance with Code § 414(b), (c), or (m) of the
Code.
1.02 "Anniversary Date" means the first day of any Plan Year.
1.03 "Board of Directors" means the Board of Directors or other governing
body of the Employer (the "Board "). The Board, upon adoption of this Plan, appoints the
Plan Administrator to act on the Employer's behalf in all matters regarding the Plan.
1.04 "Change in Status" means any of the events described in the SPD, as
well as any other events included under subsequent changes to Code § 125 or regulations
issued under Code § 125, that the Plan Administrator (in its sole discretion) decides to
recognize on a uniform and consistent basis as a reason to change the election mid -year.
Note: See the SPD for requirements that must be met to permit certain mid -year election
changes on account of a Change in Status.
1.05 "Code" means the Internal Revenue Code of 1986, as amended.
1.06 "Compensation" means the cash wages or salary paid to an Employee by
the Employer.
1.07 "Dependent" means any individual who is a tax dependent of the
Participant as defined generally in Code § 152; however, for Health Care Spending
Account purposes, a Dependent shall be defined as set forth in Code § 105(b), and for
Dependent Care Spending Account purposes (if offered under the Plan), a Dependent
shall be defined as set forth in Code § 21(b).
1.08 "Dependent Care Reimbursement" shall have the meaning assigned to
it by Section 5.01 of the Plan.
1.09 "Earned Income" means all income derived from wages, salaries, tips,
self - employment, and other Compensation (such as disability or wage continuation
benefits), but only if such amounts are includable in gross income for the taxable year.
Earned Income does not include any other amounts excluded from Earned Income under
Code § 32(c)(2), such as amounts received under a pensior or annuity, or pursuant to
workers' compensation.
1.10 "Effective Date" of this Plan is the effective date set forth in the SPD.
1.11 "Eligible Day Care Expenses" means those Qualifying Employment -
Related Expenses (as defined below) paid or incurred incident to searching for or
maintaining employment after the date of the Employee's participation in the DCSA and
during the Plan Year, other than amounts paid to:
(a) an individual with respect to whom a Dependent deduction is allowable
under Code § 151(c) to the Participant or his Spo Ase;
(b) the Participant 's Spouse or parent of the Qualifying Individual; or
(c) a "child" (as defined in Code § 152(f)(i)) of the Participant who is under
19 years of age at the end of the taxable year n which the expenses were
incurred.
1.12 "Eligible Medical Expenses" means those expenses incurred by the
Employee, or the Employee's Spouse or Dependents, after the date of the Employee's
participation in the HCSA and during the Plan Year to the extent that the expense
satisfies the conditions set forth in the Summary Plan Descr,ption and are for "medical
care" as defined by Code § 213(d). For purposes of this Plan„ the following expenses are
not considered "Eligible Medical Expenses" even if they otherwise constitute "medical
care" under Code § 213(d): (i) expenses for qualified long -term care services (as defined
in Code § 7702B(c)); and (ii) expenses incurred for health insurance premiums. For
purposes of this Plan, an expense is "incurred" when the Participant or beneficiary is
furnished the medical care or services giving rise to the claimed expense, regardless of
when the expense is paid.
1.13 "Employee" means any individual who is considered to be in a legal
employer - employee relationship with the Employer for federal tax - withholding purposes.
Such term includes "former employees" for the limited purpose of allowing continued
eligibility for benefits hereunder for the remainder of the Plan Year in which an
Employee ceases to be employed by the Employer. The term "Employee" shall not
include any leased employee (as that term is defined in Code § 414(n)) or any self -
employed individual who receives from the Employer "net earnings from self -
employment" within the meaning of Code § 401(c)(2) unless such individual is also an
Employee.
1.14 "Employer" means the Employer and the Affiliated Employers named in
the SPD provided, however, that when the Plan provides that the Employer has a certain
power (e.g., the appointment of a Plan Administrator, entering into a contract with a third
party insurer, or amendment or termination of the Plan) the term "Employer" shall mean
only that entity named on the first line of the Plan Information Appendix of the SPD, and
not any Affiliated Employer. Affiliated Employers who sign the Plan Information
2
Appendix and/or otherwise adopt the Plan shall be bound by the Plan as adopted and
subsequently amended unless they clearly withdraw from participation herein.
1.15 "ERISA" shall mean the Employee Retirement Income Security Act of
1974, as amended.
1.16 "Health Care Reimbursement" shall have the meaning assigned to it by
Section 5.01 of the Plan.
1.17 "Highly Compensated Individual' means an individual defined under
Code § 105(h), 125(e), or 414(q), as amended, as a "highly compensated individual" or a
"highly compensated employee."
1.18 "Key Employee" means an individual who is a "key employee" as
defined in Code § 125(b)(2), as amended.
1.19 "Nonelective Contribution (s)" means any amount that the Employer, in
its sole discretion, may contribute on behalf of each Participant to provide benefits for
such Participant and his or her Spouse and Dependents, if applicable, under one or more
of the Reimbursement Account benefits offered under the Plan. The amount of Employer
contribution that is applied towards the cost of the Reimbursement Account benefits(s)
for each Participant and/or level of coverage shall be subject to the sole discretion of the
Employer. The amount of Nonelective Contribution for each Participant may be adjusted
upward or downward in the contributing Employer's sole discretion. The amount shall
be calculated for each Plan Year in a uniform and nondiscriminatory manner and may be
based upon the Participant's Dependent status, commencement or termination date of the
Participant's employment during the Plan Year, and such other factors as the Employer
shall prescribe. To the extent set forth in the SPD or enrollment material, the Employer
may make Nonelective Contributions available to Participants and allow Participants to
allocate the Nonelective Contributions among the various Reimbursement Accounts
offered under the Plan in a manner set forth in the SPD of additional, taxable
Compensation except as otherwise provided in the SPD or enrollment material.
1.20 "Participant" means an Employee who becomes a Participant pursuant to
Article II.
1.21 "Plan" means the Flexible Spending Account Plan, the Summary Plan
Description and (if applicable) the related Trust created by this document.
1.22 "Plan Administrator" means the person(s) or Committee identified in the
SPD that is appointed by the Employer with authority, discretion, and responsibility to
manage and direct the operation and administration of the Plan. If no such person is
named, the Plan Administrator shall be the Employer.
1.23 "Plan Year" shall be the period of coverage set forth in the SPD.
1.24 "Pre -tax Contribution(s)" means amounts withheld from an Employee's
Compensation pursuant to a Salary Reduction Agreement before any applicable state and
federal taxes have been deducted. The amounts are withheld for purposes of purchasing
one or more of the Reimbursement Accounts available unde- the Plan. This amount shall
not exceed the contribution :'.imits attributable to the Reirr hursement Accounts afforded
hereunder, and for purposes of Code § 125, shall be treated as an Employer contribution
(this amount may, however, be treated as an Employee cor:tr hution for purposes of state
insurance laws).
1.25 "Qualifying Employment- Related Expenses" means those expenses that
would be considered to be employment- related expenses under § 21(b)(2) of the Code
(relating to expenses for household and dependent care services necessary for gainful
employment).
1.26 "Qualifying Individual' means an individual defined as a "Qualifying
Individual" in the Summary Plan Description.
1.29 "Reimbursement Account(s)" or "Account(s)" shall be the funding
mechanism by which amounts are withheld from an Employee's Compensation and
retained for future Health Care Reimbursement and Dependent Care Reimbursement to
the extent adopted by the Employer as set forth in the SPD No money shall actually be
allocated to any individual Participant Account(s); any such Account(s) shall be of a
memorandum nature, maintained by the Plan Administrator for accounting purposes, and
shall not be representative of any identifiable trust assets. No interest will be credited to
or paid on amounts credited to the Participant Account(s).
1.30 "Salary Reduction Agreement" means the actual or deemed agreement
pursuant to which an eligible Employee or Participant elects to contribute his share of the
cost of chosen Reimbursement Accounts with Pre -tax or after -tax Contributions and/or
benefit credits (if offered under the Plan) in accordance with Article III herein. If the
Employer utilizes an interactive voice response (IVR) system or web -based program for
enrollment, the Salary Reduction Agreement may be maintained on an electronic
database in accordance with all applicable federal and /or state laws.
1.31 "Spouse" means an individual who is legally married to a Participant (and
who is treated as a spouse under the Code), but for purposes of the Dependent Care
Reimbursement Plan provisions, shall not include an individual who, although married to
the Participant, files a separate federal income tax return, maintains a separate, principal
residence from the Participant during the last six months of the taxable year, and does not
furnish more than one -half of the cost of maintaining the principal place of abode of the
Qualifying Individual.
1.32 "Student" means an individual who, during each of five (5) or more
calendar months during the Plan Year, is a full -time student at any college or university,
the primary function of which is the conduct of formal instrtciion, and which routinely
maintains a regular faculty and curriculum and normally has an enrolled student body in
attendance at the location where its educational activities are regularly presented.
4
1.33 "Summary Plan Description" or "SPD" means the document attached
as Attachment I to the Plan document that describes the term of Plan not set forth herein.
The SPD is attached hereto and incorporated into this document by reference.
ARTICLE II — ELIGIBILITY AND PARTICIPATION
2.01 Eligibility to Participate. Each Employee who satisfies the eligibility
requirements set forth in the SPD shall be eligible to participate in this Plan as of any
applicable entry date set forth in the SPD.
2.02 Termination of Participation. Participation shall terminate on the
earliest of the dates set forth in the SPD.
2.03 Qualifying Leave Under the Family and Medical Leave Act.
Notwithstanding any provision to the contrary in this Plan, if a Participant goes on a
qualifying leave under the Family and Medical Leave Act of 1993 (the "FMLA "), then to
the extent required by the FMLA, the Participant will be entitled to continue the
Reimbursement Accounts and HCSA benefits on the same terms and conditions as if the
Participant were still an active Employee. The requirements for continuing coverage,
procedures for FMLA leave, and payment option(s) provided by the Employer (as
described above) will be set forth in the SPD and will be administered in accordance with
the regulations issued under Code § 125 and in accordance with the FMLA.
2.04 Non -FMLA Leave. If a Participant goes on an unpaid leave of absence
that does not affect eligibility under this Plan or the Reimbursement Accounts chosen by
the Participant, then the Participant will continue to participate and the contributions due
for the Participant will be paid by one or more of the payment options described in the
SPD. If a Participant goes on an unpaid leave that affects eligibility under this Plan or the
Reimbursement Accounts chosen by the Participant, the election change rules in Section
3.04 will apply. If such policy requires coverage to continue during the leave but permits
a Participant to discontinue contributions while on leave, the Participant will, upon
returning from leave, be required to repay the contributions not paid by the Participant
during the leave.
ARTICLE III — BENEFIT ELECTIONS
3.01 Election of Contributions. A Participant may elect any combination of
Pre -tax Contributions to fund the Reimbursement Accounts available under the Plan.
The Employer may, but is not required, to allocate Nonelective Contributions to one or
more Reimbursement Accounts and to the extent set forth in the SPD or enrollment
material, may allow a Participant to allocate his allotted share of Nonelective
Contributions among the various Reimbursement Accounts in a manner set forth in the
SPD or enrollment material.
3.02 Initial Election Period.
(a) Currently Eligible Employees. An Employee who is eligible to become
a Participant in this Plan as of the Effective Date must complete, sign and
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file a Salary Reduction Agreement with the Plan Administrator or its
designee during the election period (as specified by the Plan
Administrator) immediately preceding the Effective Date of the Plan in
order to become a Participant on the Effective Date. The elections made
by the Participant on this initial Salary Reduction Agreement shall be
effective, subject to Section 3.04, for the Plan Year beginning on the
Effective Date
(b) New Employees and Employees Who Have Not Yet Satisfied The
Plan's Waiting Period. An Employee who becomes eligible to become a
Participant in this Plan after the Effective Date must complete, sign and
file a Salary Reduction Agreement with the Plan Administrator (or its
designated third party administrator as set forth on the Salary Reduction
Agreement) during the Initial Election Period set forth in the SPD or the
enrollment material. Participation will commerce under this Plan as set
forth in the SPD. Coverage under the component Reimbursement
Accounts will be effective in accordance with the governing provisions of
such Reimbursement Accounts.
(c) Failure to Elect. An eligible Employee who fails to complete, sign and
file a Salary Reduction Agreement in accordance with paragraph (a) or (b)
above during an initial election period may become a Participant on a later
date in accordance with Section 3.03 or 3.04.
3.03 Annual Election Period. Each Employee whe is a Participant in this Plan
or who is eligible to become a Participant in this Plan shall be notified, prior to each
Anniversary Date of this Plan, of his right to become a Participant in this Plan, to
continue participation in this Plan, or to modify or to cease part: cipation in this Plan, and
shall be given a reasonable period of time in which to exercise sach right. Such period of
time shall be known as the Annual Election Period. The date that the Annual Election
Period commences and ends will be set forth in the SPD and'or the enrollment material.
An election is made during the Annual Election Period in the manner set forth in the
SPD. The consequences of failing to make an election during the Annual Election Period
will be set forth in the SPD.
3.04 Change of Election. A Participant shall not make any changes to the Pre-
tax Contribution amount or, where applicable, to the Participant's elected allocation of
Nonelective Contributions except for election changes permitted under this Section 3.04,
and for changes made during the Annual Election Period ( Section 3.03), changes caused
by termination of employment (Section 3.05) and changes pursuant to FMLA (Section
2.04).
Except as provided in the SPD for HIPAA special enrollment rights arising from
the birth, adoption, or placement for adoption of a child, all election changes shall be
effective on a prospective basis only (i.e., election changes will become effective no
earlier than the first day of the first pay period coinciding with or immediately following
the date that the election change was filed but, as determined by the Plan Administrator,
0
election changes may become effective later to the extent the coverage in the applicable
component plan commences later). The circumstances under which a Participant may
change his election under this Plan are set forth in the SPD.
3.05 Impact of Termination of Employment on Election or Cessation of
Eligibility. Termination of employment or cessation of eligibility shall automatically
revoke any Salary Reduction Agreement. Except as provided below, if revocation occurs
under this Section 3.05, no new election with respect to Pre -tax Contributions may be
made by such Participant during the remainder of the Plan Year. Rules governing
elections for former Participants rehired during the same Plan Year shall be set forth in
the SPD.
ARTICLE IV — BENEFIT FUNDING AND CREDITS AND DEBITS TO
ACCOUNTS
4.01 Source of Benefit Funding. The cost of coverage under the
Reimbursement Accounts shall be funded by the Participant's Pre -tax Contributions
and/or any Nonelective Contributions provided by the Employer. The required
contributions for each of the Reimbursement Accounts offered under the Plan shall be
made known to Employees in enrollment materials. Pre -tax Contributions shall equal the
contributions required from the Participant less any available Nonelective Contributions
allocated thereto by the Employer, or where applicable, the contributions required from
the Participant for coverage of the Participant or the Participant's Spouse or Dependents
under the Reimbursement Accounts elected by the Participant under this Plan. Amounts
withheld from a Participant's Compensation as Pre -tax Contributions shall be applied to
fund benefits as soon as administratively feasible.
4.02 Reduction of Certain Elections to Prevent Discrimination. If the Plan
Administrator determines, before or during any Plan Year, that the Plan may fail to
satisfy for such Plan Year any requirement imposed by the Code or any limitation on Pre-
tax Contributions allocable to Key Employees or to Highly Compensated Individuals, the
Plan Administrator shall take such action(s) as it deems appropriate, under rules
uniformly applicable to similarly situated Participants, to assure compliance with such
requirement or limitation. Such action may include, without limitation, a modification or
revocation of a Highly Compensated Individual's or Key Employee's election without
the consent of such individual.
4.03 Health Care Reimbursement. Each Participant's HCSA will be credited
for Health Care Reimbursement with amounts withheld from the Participant's
Compensation and any Nonelective Contributions allocated thereto by the Employer or,
where applicable, the Participant. The Account will be debited for Health Care
Reimbursements disbursed to the Participant in accordance with Article V of this
document. The entire amount elected by the Participant on the Salary Reduction
Agreement as an annual amount for the Plan Year for Health Care Reimbursement less
any Health Care Reimbursements already disbursed to the Participant for Eligible
Medical Expenses incurred during the Plan Year shall be available to the Participant at
any time during the Plan Year without regard to the balance in the HCSA (provided that
7
the periodic contributions have been made). Thus, the maximum amount of Health Care
Reimbursement at any particular time during the Plan Year %,,it not relate to the amount
that a Participant has had credited to his HCSA. In no event will the amount of Health
Care Reimbursements in any Plan Year exceed the annual amount specified for the Plan
Year in the Salary Reduction Agreement for Health Care Re,mbursement. Any amount
credited to the HCSA shall be forfeited by the Participant and restored to the Employer if
it has not been applied by the end of the Run -out Period set �oith in the SPD to provide
Health Care Reimbursement for expenses incurred during the Plan Year. The Employer
has the discretion to establish a grace period following the end of the Plan Year during
which amounts unused as of the end of the Plan Year may be used to reimburse Eligible
Medical Expenses incurred during the grace period. In no event can the grace period
exceed two (2) months and fifteen (15) days following the end of the Plan Year. The
Employer may establish a Run -out Period following the :nd of the grace period. If
adopted, all amounts allocated to the HCSA that are not used to reimburse Eligible
Medical Expenses incurred during the Plan Year and /or the grace period shall be
forfeited. Amounts so forfeited shall be used in a manner that is permitted within the
applicable Department of Labor ( "DOL") or Internal Revenue Service ( "IRS ")
regulations. The maximum annual reimbursement under the HCSA shall be set forth in
the SPD. The Employer may establish a minimum annual reimbursement amount as set
forth in the SPD.
4.04 Dependent Care Reimbursement. To the extent offered under the Plan,
each Participant's DCSA will be credited for Dependent Care Reimbursement with
amounts withheld from the Participant's Compensation and any Nonelective
Contributions allocated thereto by the Employer or, where applicable, the Participant.
The Dependent Care Account will be debited for Dependent Care Reimbursements
disbursed to the Participant in accordance with Article V of this document. In the event
that the amount in the Account is less than the amount of reimbursable claims at any time
during the Plan Year, the excess part of the claim will be carried over into following
months within the same Plan Year, to be paid out as the Dependent Care Account balance
becomes adequate. In no event will the amount of Dependent Care Reimbursements
exceed the amount credited to the Dependent Care Account for any Plan Year. Any
amount allocated to the Dependent Care Account shall be forfeited by the Participant and
restored to the Employer if it has not been applied by the end of the Run -out Period to
provide Dependent Care Reimbursement for the Plan Year within the Run -out Period set
forth in the SPD The Employer has the discretion to establish a grace period following
the end of the Plan Year during which amounts unused as of the end of the Plan Year
may be used to reimburse Eligible Day Care Expenses incur, ed during the grace period.
In no event can the grace period exceed two (2) months and fifteen (15) days following
the end of the Plan Year. The Employer may establish a Run -out Period following the
end of the grace period. If adopted, all amounts allocated to the DCSA that are not used
to reimburse Eligible Day Care Expenses incurred during the Plan Year and/or the grace
period shall be forfeited. Amounts so forfeited shall be used in a manner that is permitted
within the applicable Department of Labor ( "DOL ") or Internal Revenue Service ( "IRS ")
regulations. The maximum annual reimbursement under the DCSA shall be set forth in
the SPD. The Employer may establish a minimum annual reimbursement amount as set
forth in the SPD.
E3
ARTICLE V — BENEFITS
5.01 Reimbursement Accounts. The Plan shall provide reimbursement (direct
or indirect) for eligible expenses under the Reimbursement Account(s) elected by the
Participant. The HCSA shall provide Health Care Reimbursement, which is
reimbursement for Eligible Medical Expenses. The DCSA shall provide Dependent Care
Reimbursement, which is reimbursement for Eligible Day Care Expenses. Payment shall
be made to the Participant in cash as reimbursement for Eligible Medical Expenses
and/or Eligible Day Care Expenses, whichever is elected by the Participant, that are
incurred by the Participant or, where applicable, his Spouse or Dependents while he is a
Participant during the Plan Year for which the Participant's election is effective, provided
that the substantiation requirements of Section 6.05 herein are satisfied.
5.02 Cash Benefit. To the extent that a Participant does not elect to have the
maximum amount of his Compensation contributed as a Pre -tax Contribution, such
amount not elected shall be paid to the Participant in the form of normal Compensation
payments; provided, however, that any applicable Nonelective Contributions may not be
received in the form of cash Compensation, except as otherwise provided for in the SPD
or the enrollment material.
5.03 Repayment of Excess Reimbursements. If, as of the end of any Plan
Year, it is determined that a Participant has received payments under this Plan that
exceed the amount of Eligible Medical Expenses and/or Eligible Day Care Expenses that
have been substantiated by such Participant during the Plan Year as required by Section
6.05 herein, the Plan Administrator shall give the Participant prompt written notice of any
such excess amount, and the Participant shall repay the amount of such excess to the
Employer within sixty (60) days of receipt of such notification.
5.04 Termination of Reimbursement Accounts. Coverage under the HCSA
and/or DCSA shall cease as of the day in which a Participant is no longer employed by
the Employer. Provided, however, that the Employer may allow Participants to submit
claims for reimbursement for Eligible Day Care Expenses arising during the Plan Year,
including the period of coverage following the date participation has ceased at any time
until the end of the Run -out Period set forth in the SPD, but only up to the amount
allocated to the DCSA as of the date of termination. Participants in the HCSA may
submit claims for reimbursement for Eligible Medical Expenses arising during the Plan
Year and before the date of separation from service at any time until the end of the Run -
out Period set forth in the SPD. Unless a COBRA election is made as set forth in the
SPD, Participants shall not be entitled to receive reimbursement for Eligible Medical
Expenses incurred after employment ceases under this Section. Any unused amounts
remaining in the Participant's HCSA and/or DCSA at the expiration of the Plan Year (as
set forth in the SPD) shall be treated in accordance with Sections 4.03 or 4.04.
5.05 Coordination of Benefits under the HCSA. The HCSA is intended to
pay benefits solely for otherwise unreimbursed medical expenses. Accordingly, it shall
not be considered a group health plan for coordination of benefits purposes, and its
2
benefits shall not be taken into account when determining benefits payable under any
other plan. `
ARTICLE VI — PLAN ADMINISTRATION
6.01 Allocation of Authority. The Board of Directors or applicable governing
body (or an authorized officer of the Employer) appoints a Piar� Administrator that keeps
the records for the Plan and shall control and manage the operation and administration of
the Plan. The Plan Administrator shall have the exclusive right to interpret the Plan and
to decide all matters arising thereunder, including the right to make determinations of
fact, and construe and interpret possible ambiguities, inconsistencies, or omissions in the
Plan and the SPD issued in connection with the Plan. All determinations of the Plan
Administrator with respect to any matter hereunder shall be con :lusive and binding on all
persons. Without limiting the generality of the foregoing. the Plan Administrator shall
have the following powers and duties:
(a) To require any person to furnish such reasonable information as it may
request for the purpose of the proper administration of the Plan as a
condition to receiving any benefits under the Plar;
(b) To make and enforce such rules and regulations and prescribe the use of
such forms as it shall deem necessary for the efficient administration of
the Plan;
(c) To decide on questions concerning the Plan and the eligibility of any
Employee to participate in the Plan and to make or revoke elections under
the Plan, in accordance with the provisions of the Plan;
(d) To determine the amount of benefits which shall be payable to any person
in accordance with the provisions of the Plan; to inform the Employer or
insurer as appropriate, of the amount of such benefits; and to provide a full
and fair review to any Participant whose claim for benefits has been
denied in whole or in part;
(e) To designate other persons to carry out any duty or power which may or
may not otherwise be a fiduciary responsibility of the Plan Administrator
under the terms of the Plan (such entity will he referred to as a third party
administrator and shall be identified in the SPD ):
(f) To keep records of all acts and determinations, and to keep all such
records, books of account, and data and other documents as may be
necessary for the proper administration of the Plan; and
(g) To do all things necessary to operate and administer the Plan in
accordance with its provisions.
10
6.02 Payment of Administrative Expenses. Except as otherwise provided in
the SPD, the Employer currently pays all reasonable expenses incurred in administering
the Plan.
6.03 Reporting and Disclosure Obligations. Unless specified otherwise, it
shall be the Employer and Plan Administrator's sole responsibility to comply with all
filing, reporting, and disclosure requirements imposed by the DOL and /or IRS,
specifically including, but not limited to, creating, filing and distributing Summary
Annual Reports, Form 5500s, and SPDs. Furthermore, the Employer and Plan
Administrator shall be required to amend the Plan as is necessary to ensure compliance
with applicable tax and other laws and regulations.
6.04 Indemnification. The Plan Administrator shall be indemnified by the
Employer against claims, and the expenses of defending against such claims, resulting
from any action or conduct relating to the administration of the Plan except claims arising
from gross negligence, willful neglect, or willful misconduct.
6.05 Substantiation of Expenses. Each Participant must submit a written
claim to the Plan Administrator identified in the SPD or its designated Plan service
provider to receive reimbursements from the HCSA and/or DCSA. Such claim must be
submitted on a form provided by the Plan Administrator and must be accompanied by a
written statement/bill from an independent third party stating that the expense has been
incurred and the amount thereof. The forms shall contain such evidence as the Plan
Administrator shall deem necessary as to substantiate the nature, the amount, and
timeliness of any expenses that may be reimbursed.
6.06 Reimbursement. Reimbursements shall be made as soon as
administratively feasible after the required forms have been received by the Plan
Administrator identified in the SPD or its designated Plan service provider.
Reimbursements of less than $15 may be carried forward and aggregated with future
reimbursements until the reimbursable amount is greater than $15. However, claims for
reimbursements outstanding at the end of the Plan Year shall be reimbursed without
regard to the $15 threshold limit. Year-end expense reimbursement requests must be
submitted to the Plan Administrator (or its designee, as set forth in the SPD) before the
end of the Run -out Period set forth in the SPD.
6.07 Annual Statements. The Plan Administrator shall furnish each
Participant with an annual statement, showing the amounts paid or expenses incurred by
the Employer in providing Medical and/or Dependent Care Expense Reimbursement
during the previous calendar year and the respective Reimbursement Account balance(s)
on or before January 31 following the close of the applicable Plan Year.
ARTICLE VII — FUNDING AGENT
The Plan shall be funded with amounts withheld from Compensation pursuant to
Salary Reduction Agreements, and/or Nonelective Contributions provided by the
Employer, if any. The Employer will apply all such amounts, without regard to their
11
source, to pay for the welfare benefits provided herein as soon as administratively
feasible and shall comply with all applicable regulations promulgated by the DOL taking
into consideration any enforcement procedures adopted by the DOL. Except as set forth
in the SPD, all amounts will be paid from the Employer's general assets.
ARTICLE VIII —CLAIMS PROCEDURES
The Plan has established procedures for reviewing claims denied under this Plan
and those claims review procedures are set forth in the SPE The Plan's claim review
procedures set forth in the SPD shall only apply to issues germane to the pre -tax benefits
available under this Plan (e.g., such as a determination of a Change in Status; change in
cost or coverage; or eligibility and participation matters under this Plan document), and to
the extent offered under the Plan, claims for benefits under the Reimbursement Accounts.
ARTICLE IX — AMENDMENT OR TERMINATION OF PLAN
9.01 Permanency. While the Employer fully expects that this Plan will
continue indefinitely, permanency of the Plan will be subject to the Employer's right to
amend or terminate the Plan, as provided in Sections 9.02 and 9.03 below. Nothing in
this Plan is intended to be or shall be construed to entitle any Participant, retired or
otherwise, to vested or non - terminable benefits.
9.02 Employer's Right to Amend. The Employer reserves the right to amend
at any time any or all of the provisions of the Plan. All amendments shall be made in
writing and shall be approved by the Employer in accordance with its normal procedures
for transacting business (e.g., by approval by the Board of Directors through a meeting or
unanimous consent of all Board members). Such amendments may apply retroactively or
prospectively as set forth in the amendment. Any amendment made by the Employer
shall be deemed to be approved and adopted by any Affiliated Employer.
9.03 Employer's Right to Terminate. The Employer reserves the right to
discontinue or terminate the Plan without prejudice at any time and for any reason
without prior notice. Such decision to terminate the Plan shall be made in writing and
shall be approved by the Employer in accordance with its normal procedures for
transacting business. Affiliated Employers may withdraw from participation in the Plan
but may not terminate the Plan.
9.04 Determination of Effective Date of Amendment or Termination. Any
such amendment, discontinuance, or termination shall be effective as of such date as the
Employer shall determine. No amendment, discontinuance, or termination shall allow the
return to any Employer of any Reimbursement Account balance for its use for any
purpose other than for the exclusive benefit of the Participants and their beneficiaries
except as provided in Section 4.03 and 4.04 herein.
12
ARTICLE X — GENERAL PROVISIONS
10.01 Not an Employment Contract. Neither this Plan nor any action taken
with respect to it shall confer upon any person the right to continue employment with any
Employer.
10.02 Applicable Laws. The provisions of the Plan shall be construed,
administered and enforced according to applicable federal law and the laws of the state of
the principal place of business of the Employer to the extent not preempted.
10.03 Post - Mortem Payments. Any benefit payable under the Plan after the
death of a Participant shall be paid to his surviving Spouse (if any), otherwise, to his
estate. If there is doubt as to the right of any beneficiary to receive any amount, the Plan
Administrator may retain such amount until the rights thereto are determined, without
liability for any interest thereon.
10.04 Nonalienation of Benefits. Except as expressly provided by the Plan
Administrator, no benefit under the Plan shall be subject in any manner to anticipation,
alienation, sale, transfer, assignment, pledge, encumbrance, or charge, and any attempt to
do so shall be void. No benefit under the Plan shall in any manner be liable for or subject
to the debts, contracts, liabilities, engagements, or torts of any person.
10.05 Mental or Physical Incompetency. Every person receiving or claiming
benefits under the Plan shall be presumed to be mentally and physically competent and of
age until the Plan Administrator receives a written notice, in a form and manner
acceptable to it, that such person is mentally or physically incompetent or a minor, and
that a guardian, conservator, or other person legally vested with the care of his estate has
been appointed.
10.06 Inability to Locate Payee. If the Plan Administrator is unable to make
payment to any Participant or other person to whom a payment is due under the Plan
because it cannot ascertain the identity or whereabouts of such Participants or other
person after reasonable efforts have been made to identify or locate such person, such
payment and all subsequent payments otherwise due to such Participant or other person
shall be forfeited one year after the date any such payment first became due.
10.07 Requirement for Proper Forms. All communications in connection with
the Plan made by a Participant shall become effective only when duly executed on any
forms as may be required and furnished by, and filed with, the Plan Administrator.
10.08 Source of Payments. The Employer shall be the sole source of benefits
under the Plan unless the Employer has established a trust. No Employee or beneficiary
shall have any right to, or interest in, any assets of the Employer upon termination of
employment or otherwise, except as provided from time to time under the Plan, and then
only to the extent of the benefits payable under the Plan to such Employee or beneficiary.
10.09 Multiple Functions. Any person or group of persons may serve in more
than one fiduciary capacity with respect to the Plan.
13
10.10 Tax Effects. Neither the Employer, its agents, nor the Plan Administrator
makes any warranty or other representation as to whether any Pre -tax Contributions made
to or on behalf of any Participant hereunder will be treated as excludable from gross
income for local, state, or federal income tax purposes. If for any reason it is determined
that any amount paid for the benefit of a Participant or bcnefciary is includable in an
Employee's gross income for local, state, or federal income tax purposes, then under no
circumstances shall the recipient have any recourse against the Plan Administrator or the
Employer with respect to any increased taxes or other losses or damages suffered by the
Employees as a result thereof. The Plan is designed and is intended to be operated as a
"cafeteria plan" under § 125 of the Code.
10.11 Gender and Number. Masculine pronouns include the feminine as well
as the neuter genders, and the singular shall include the plural, unless indicated otherwise
by the context.
10.12 Headings. The Article and Section headings contained herein are for
convenience of reference only, and shall not be construed as defining or limiting the
matter contained thereunder.
10.13 Severability. Should any part of this Plan subsequently be invalidated by
a court of competent jurisdiction, the remainder thereof shall be given effect to the
maximum extent possible.
10.14 Effect of Mistake. In the event of a mistake as to the eligibility or
participation of an Employee, the allocations made to the Account of any Participant, the
amount of distributions made or to be made to a Participant or other person, the Plan
Administrator shall, to the extent it deems possible, cause to be allocated or cause to be
withheld or accelerated, or otherwise make adjustment of, such amounts and will, in its
judgment, accord to such Participant or other person the credits to the Account or
distributions to which he is properly entitled under the Plar. Such action by the Plan
Administrator may include withholding of any amounts due the Plan or the Employer
from Compensation paid by the Employer.
10.15 Provisions Relating to Insurers. No insurer shall be required or
permitted to issue an insurance policy or contract that is inconsistent with the purposes of
this Plan, nor be bound to take any action not in accordance with the terms of any policy
or contract with this Plan. The insurer shall not be deemed to be a party to this Plan, nor
shall it be bound to interpret the construction or validity of The Plan. The insurer shall be
protected from its good faith reliance on the written representations and instructions of
the Trustee and the Plan Administrator, and shall not be responsible for the initial or
continued qualified status of the Plan.
10.16 Forfeiture of Unclaimed Reimbursement Account Benefits. Any
Reimbursement Account benefit payments that are unclaimed (e.g., uncashed benefit
checks) by the close of the Plan Year following the Plan fear in which the Health or
Dependent Care Expense was incurred shall be forfeited.
14
ARTICLE XI — HIPAA PRIVACY AND SECURITY
11.01 Scope and Purpose. With regard to the HCSA, the Plan will use
protected health information ( "PHI ") to the extent of and in accordance with the uses and
disclosures permitted by the Health Insurance Portability and Accountability Act of 1996
( "HIPAA "). Specifically, the Plan will use and disclose PHI for purposes related to
health care treatment, payment for health care, and health care operations as set forth
below.
11.02 Effective Date. This Article XI is effective on the applicable effective
date of the Privacy and Security Rules.
11.03 Use and Disclosure of PHI.
(a) General. The Plan will use PHI to the extent of and in accordance with the
uses and disclosures permitted by HIPAA, including but not limited to
health care treatment, payment for health care, health care operations and
as required by law. The Privacy Notice will list the specific uses and
disclosure of PHI that will be made by the Plan.
(b) Disclosure to the Employer. The Plan will disclose PHI to the Employer,
or where applicable, an Affiliated Employer only upon receipt of written
certification from the Employer that:
(i) The Plan document has been amended to incorporate the
provisions in this Article XI; and
The Employer agrees to implement the provisions in Section 11.04
herein.
11.04 Conditions Imposed on Employer. Notwithstanding any provision of
the Plan to the contrary, the Employer agrees:
(a) Not to use or disclose PHI other than as permitted or required by this
Article XI or as required by law;
(b) To ensure that any agents, including a subcontractor, to whom the
Employer provides PHI received from the Plan agree to the same
restrictions and conditions that apply to the Employer with respect to PHI
received or created on behalf of the Plan and ensure that such individuals
agree to implement reasonable and appropriate security measures to
protect electronic PHI;
(c) Not use or disclose an individual's PHI for employment- related purposes
(including hiring, firing, promotion, assignment or scheduling) unless
authorized by the Individual;
15
(d) Not to use or disclose an Individual's PHI in connection with any other
non - health benefit program or employee benefit plan of the Employer
unless authorized by the Individual;
(e) To report to the Plan any use or disclosure of PHI that is inconsistent with
this Article XI, if it becomes aware of an inconsistent use or disclosure,
and to report to the Plan any use or diSCIOSIII "e of PHI that is a Security
Incident of which it becomes aware;
(f) To provide Individuals with access to PHI in accordance with 45 C.F.R.
§ 164.524;
(g) To make available PHI for amendment and incorporate any amendments
to PHI in accordance with 45 C.F.R. § 164.526;
(h) To make available the information required to provide an accounting of
disclosures in accordance with 45 C.F.R. § 154.5 28;
(i) To make internal practices, books and records relating to the use and
disclosure of PHI received from the Plan available to the Secretary of
Health and Human Services for purposes of determining the Plan's
compliance with HIPAA;
(j) If feasible, to return or destroy all PHI received from the Plan that the
Employer maintains in any form, and retain no copies of such PHI when
no longer needed for the purpose for which disclosure was made. If return
or destruction is not feasible, limit further uses and disclosures to those
purposes that make the return or destruction infeasible; and
(k) To ensure adequate separation between the Plan and Employer as required
by 45 C.F.R. § 164.504(f)(2)(iii) and described ir. this Article XI.
11.05 Designated Employees Who May Receive PHI. In accordance with the
Privacy Rules, only certain Employees who perform Plan administrative functions may
be given access to PHI. Those Employees who have access to PHI from the Plan are
listed in the Privacy Notice, either by name or individual posit ion.
11.06 Restrictions on Employees with Access to PHI. The Employees who
have access to PHI listed in the Privacy Notice may only use: and disclose PHI for Plan
administration functions that the Employer performs for the Plan, as set forth in the
Privacy Notice, including but not limited to, quality assurance, claims processing,
auditing, and monitoring.
11.07 Policies and Procedures. The Employer will implement Policies and
Procedures setting forth operating rules to implement the provisions hereof. In addition,
the Employer will implement administrative, physical and technical safeguards that
reasonably and appropriately protect the confidentiality, ntegn-ity, and availability of
16
electronic PHI that the Employer creates, receives, maintains or transmits on behalf of the
Plan.
11.08 Organized Health Care Arrangement. The Plan Administrator may
intend the Plan to form part of an Organized Health Care Arrangement along with any
other benefit under a covered health plan (under 45 C.F.R. § 160.103) provided by the
Employer.
11.09 Privacy and Security Official. The Plan shall designate a Privacy and a
Security Official, who will be responsible for the Plan's compliance with HIPAA's
Privacy Rules and HIPAA's Security Rules. The Privacy Official and the Security
Official may be the same individual. The Privacy and Security Official may contract
with or otherwise utilize the services of attorneys, accountants, brokers, consultants, or
other third party experts as the Privacy and Security Official deems necessary or
advisable. In addition and notwithstanding any provision of this Plan to the contrary, the
Privacy Official shall be responsible for and have the authority to perform the following:
(a) Accepting and verifying the accuracy and completeness of any
certification provided by the Employer under this Article XI;
(b) Transmitting the certification to any third parties as may be necessary to
permit them to disclose PHI to Employer;
(c) Establishing and implementing Policies and Procedures with respect to
PHI that are designed to ensure compliance by the Plan with the
requirements of H1PAA;
(d) Establishing and overseeing proper training of the Plan, or Employer
personnel who will have access to PHI;
(e) Any other duty or responsibility that the Privacy and Security Official, in
his or her sole capacity, deems necessary or appropriate to comply with
the provisions of HIPAA and the purposes of this Article XI.
11.10 Noncompliance. The Employer shall provide a mechanism for resolving
issues of noncompliance, including disciplinary sanctions for personnel who do not
comply with the provisions of this Article XI.
11.11 Definitions. As used in this Article XI, each of the following capitalized
terms shall have the respective meaning given below:
"Individual" means the person who is the subject of the heath information
created, received or maintained by the Plan or Employer.
"Organized Health Care Arrangement" means the relationship of separate
legal entities as defined in 45 C.F.R. § 160.103.
17
"Privacy Notice" means the notice of the Plan's privacy practices distributed to
Plan Participants in accordance with 45 C.F.R. § 164.520, as amended from time to time.
"Privacy Rules" means the privacy provisions of HIPAA and the regulations in
45 C.F.R. Parts 160 and 164.
"Protected Health Information" or "PHI" means individually identifiable
health information as defined in 45 C.F.R. § 160.103.
"Security Incident" means an incident as defined in 45 ^.F.R. §164.304.
11.12 Interpretation and Limited Applicability, This Article XI serves the
sole purpose of complying with the requirements of HIPAA. and shall be interpreted and
construed in a manner to effectuate this purpose. Neither this Article XI nor the duties,
powers, responsibilities, and obligations listed herein shall he taken into account in
determining the amount or nature of the benefits provided to any person covered under
this Plan, nor shall they inure to the benefit of any third parlies. To the extent that any of
the provisions of this Article XI are no longer required by IiIPAA, they shall be deemed
deleted and shall have no further force or effect.
11.13 Services Performed for the Employer. 'Notwithstanding any other
provision of this Plan to the contrary, all services performed by a business associate for
the Plan in accordance with the applicable service agreemew shall be deemed to be
performed on behalf of the Plan and subject to the administrative simplification
provisions of HIPAA contained in 45 C.F.R. parts 160 throul >h 164, except services that
relate to eligibility and enrollment in the Plan. If a business associate of the Plan
performs any services that relate to eligibility and enrollment to the Plan, these services
shall be deemed to be performed on behalf of the Employer in its capacity as Plan
Sponsor and not on behalf of the Plan.
ARTICLE XII — CONTINUATION COVERAGE UNDER COBRA
The SPD includes provisions that shall be applicable to the HCSA to the extent
the HCSA is a "group health plan" as defined by Code §§ 4980B and 5000(b)(1) and the
regulations promulgated thereunder and to the extent it is offered under the Plan. The
intent of those provisions (as incorporated in this Article) is to extend continuation rights
required by COBRA.
IN WITNESS WHEREOF, the Employer has caused this Plan and Summary Plan
Description to be executed on the day of to ratify the
adoption of the Plan adopted and effective as of the Effective Date.
WITNESS:
Corporate Officer
Employer:
19
East Valley Water District
FLEXIBLE SPENDING ACCOUNT PLAN SUMMARY PLAN DESCRIPTION ( "SPD ")
Table of Contents
INTRODUCTION TO THE FLEXIBLE SPENDING ACCOUNT PLAN SUMMARY PLAN
DESCRIPTION....................................................................................... ..............................1
PART I: GENERAL INFORMATION ABOUT THE PLAN ..................... ..............................2
Q -1. What is the purpose of the Plan? ................................................................. ..............................2
Q -2. Who can participate in the Plan? ................................................................ ..............................2
Q -3. When does my participation in the Plan end? ............................................. ..............................2
Q -4. How do I become a Partic� pant? ................................................................. ..............................2
Q -5. What are the enrollment periods under the Plan? ....................................... ..............................3
Q -6. How are the contributions to the spending accounts made under the Pl an? ..............................3
Q -7. Can I ever change my election during the Plan Year? ................................ ..............................4
Q -8. How long will the Plan remain in effect? .................................................... ..............................7
Q -9. What effect will Plan participation have on Social Security, and other benefits ? ......................8
PART II. HCSA BENEFITS .................................................................... ..............................9
Q -10.
What is the "Health Care Spending Account "? .......................................... ..............................9
Q -11.
What is the maximum annual reimbursement amount that I may elect under the HCSA? .......9
Q -12.
How are amounts allocated to the HCSA withheld from my pay? .............. ..............................9
Q -13.
What amounts will be available for reimbursement of Eli gible Medical Expenses at any
particular time during the Plan Year? .......................................................... ..............................9
Q -14.
How do I receive reimbursement under the HCSA? ................................... ..............................9
Q -15.
What is an 'Eligible Medical Expense "? .................................................... .............................10
Q -16.
When must the expenses be incurred in order to receive reimbursement? ..............................1
1
Q -17.
What if the Eligible Medical Expenses I incur during the Plan Year are less than the annual
amount I have allocated to the HCSA? ....................................................... .............................11
Q -18.
What happens if a claim for benefits under the HCSA is denied? .............. .............................11
Q -19.
What happens to unclaimed HCSA reimbursements° ................................ .............................12
Q -20.
What is COBRA continuation coverage? ................................................... .............................12
Q -21.
Will my health information be kept confidential? ........................................ .............................14
Q -22.
How does this HCSA interact with a Health Reimbursement Arrangement sponsored by my
Employer? ................................................................................................... .............................14
Q -23.
How long will the HCSA remain in effect? ............................................... .............................14
PARTIII DCSA BENEFITS ................................................................... .............................17
Q -24. What is the "Dependent Care Spending Account"? ................................... .............................17
Q -25. What is the maximum reimbursement amount that I may elect under the DCSA ? .................17
Q -26. How are amounts allocated to the DCSA withheld from m}, pay? ............. .............................17
Q -27. What amounts will be available for reimbursement of El igible Day Care Expenses at any
particular time during the Plan Year? ....................................................... .............................17
Q -28. How do 1 receive reimbursement under the DCSA? ................................. .............................17
Q -29. What are "Eligible Day Care Expenses" ................................................... .............................18
Q -30. When must the expenses be incurred in order to receive reimbursement? . .............................19
Q -31. What if the Eligible Day Care Expenses I incur during the Plan Year are less than the annual
PLAN INFORMATION APPENDIX ........................................................ ..............................1
INTRODUCTION TO THE FLEXIBLE SPENDING ACCOUNT PLAN SUMMARY PLAN
DESCRIPTION................................................................................................... ..............................1
PART I: GENERAL INFORMATION ABOUT THE PLAN ................................. ..............................2
Q -1.
amount I have allocated to the DCSA? ....................................................... .............................19
2
Q -32
What happens if a claim for benefits under the DCSA is denied? .............. .............................20
2
Q -33.
What happens to unclaimed DCSA reimbursements? ................................ .............................20
2
Q -34.
Will I be taxed on the DCSA reimbursement I receive? ............................. ............................:20
2
Q -35.
If I participate in the DCSA, will I still be able to claim the household and dependent care
3
Q -6.
credit on my federal income tax return? ..................................................... .............................20
3
Q -36.
What is the household and dependent care credit? ..................................... .............................20
4
PLAN INFORMATION APPENDIX ........................................................ ..............................1
INTRODUCTION TO THE FLEXIBLE SPENDING ACCOUNT PLAN SUMMARY PLAN
DESCRIPTION................................................................................................... ..............................1
PART I: GENERAL INFORMATION ABOUT THE PLAN ................................. ..............................2
Q -1.
What is the purpose of the Plan? ............................................................................. ...............................
2
Q -2.
Who can participate in the Pl an? ............................................................................. ...............................
2
Q -3.
When does my participation in the Plan end? ......................................................... ...............................
2
Q -4.
How do I become a Participant? ............................................................................. ...............................
2
Q -5.
What are the enrollment periods under the Plan? .................................................... ...............................
3
Q -6.
How are the contributions to the spending accounts made under the Plan? ............ ...............................
3
Q -7.
Can I ever change my election during the Plan Year? ............................................ ...............................
4
Q -8.
How long will the Plan remain in effect? ................................................................ ...............................
7
Q -9.
What effect will Plan participation have on Social Security and other benefits? .... ...............................
8
PART
II. HCSA BENEFITS ................................................................................ ..............................9
Q-10.
What is the "Health Care Spending Account"? ....................................................... ...............................
9
Q -11.
What is the maximum annual reimbursement amount that I may elect under the HCSA ? ....................
9
Q -12.
How are amounts allocated to the HCSA withheld from my pay? ......................... ...............................
9
Q -13.
What amounts will be available for reimbursement of Eligible Medical Expenses at any particular
time
duringthe Plan Year? .............................................................................................. ...............................
9
Q -14.
How do I receive reimbursement under the HCSA? ............................................... ...............................
9
Q-15.
What is an "Eligible Medical Expense "? .............................................................. ...............................
10
Q -16.
When must the expenses be incurred in order to receive reimbursement? ........... ...............................
11
Q -17.
What if the Eligible Medical Expenses I incur during the Plan Year are less than the annual amount I
haveallocated to the HCSA? ................................................................................ ...............................
11
Q -18.
What happens if a claim for benefits under the HCSA is denied? ........................ ...............................
1 1
Q -19.
What happens to unclaimed HCSA reimbursements? .......................................... ...............................
12
Q -20.
What is COBRA continuation coverage? .............................................................. ...............................
12
Q -21.
Will my health information be kept confidential? ................................................. ...............................
14
Q -22.
How does this HCSA interact with a Health Reimbursement Arrangement sponsored by my Employer?
14
Q -23.
How long will the HCSA remain in effect? .......................................................... ...............................
14
PART III DCSA BENEFITS ................................................................................ .............................17
Q -24. What is the "Dependent Care Spending Account "? .............................................. ............................... 17
Q -25. What is the maximum reimbursement amount that I may elect under the DCSA ? .............................. 17
ii
Q -26. How are amounts allocated to the DCSA withheld from my pay? ....................... ............................... 17
Q -27. What amounts will be available for reimbursement of Eligible Dad• Care Expenses at any particular time
PLAN INFORMATION APPENDIX ............................................................... ............................... PI -1
iii
duringthe Plan Year? ...........................................................................................
............................... 17
Q -28.
How do I receive reimbursement under the DCSA? ...........................................
............................... 17
Q -29.
What are 'Eligible Day Care Expenses "? ...........................................................
............................... 18
Q -30.
When must the expenses be incurred in order to receive reimbursement? ...........
............................... 19
Q -31.
What if the Eligible Day Care Expenses I incur during the Play. Year are less
than the annual amount I
have allocated to the DCSA` ......................... ............................... .....................
............................... 19
Q -32
What happens if a claim for oenefits under the DCSA is denied". . .........................................
.......... 19
Q -33.
What happens to unclaimed DCSA reimbursements? ........................................
............................... 19
Q -34.
Will I be taxed on the DCSA reimbursement 1 receive? ......... - ..........................
............................... 19
Q -35.
If I participate in the DCSA. will I still be able to claim the household and dependent care credit on my
federal income tax return? ...................................................................................
............................... 20
Q -36.
What is the household and dependent care credit? ...............................................
............................... 20
PLAN INFORMATION APPENDIX ............................................................... ............................... PI -1
iii
Introduction to the Flexible Spending Account Plan Summary Plan Description
East Valley Water District
(the "Employer ") is pleased to sponsor an employee benefit program known as The Flexible
Spending Account Plan (the "Plan "). There are two types of flexible spending accounts provided
under the Plan: a Health Care Spending Account ( "HCSA ") and a Dependent Care Spending
Account ( "DCSA ").
The Plan is called a "flexible" spending account plan because you determine the amount of
unreimbursed eligible medical and/or dependent day care expenses that you (and where
applicable, your eligible family members) will likely incur during the Plan Year and you elect to
have the Employer withhold equal amounts from your pay (subject to Plan limitations) on a pre-
tax basis for reimbursement of such expenses. Any amounts that you elect to have withheld for
reimbursement of eligible medical expenses will be credited to the HCSA and any amounts that
you elect to have withheld for reimbursement of dependent day care expenses will be credited to
the DCSA. You must elect wisely because any amounts allocated to a flexible spending account
that are not used for expenses incurred during the Plan Year will generally be forfeited.
The Plan is beneficial to you because amounts that you elect to have withheld from your pay for
reimbursement of eligible medical and/or dependent day care expenses are withheld before any
federal income and employment taxes (e.g., FICA and FUTA) are applied, and in most cases,
before any applicable state taxes are applied. If you have unreimbursed medical and/or
dependent day care expenses, participation in this Plan will actually increase your take home pay
over what your net take home would be if you paid for such expenses with after -tax dollars.
The SPD is divided into four parts: Part I- General Information about the Plan; Part II -HCSA
Benefits; Part III -DCSA Benefits; and Part IV -the Plan Information Appendix. The first three
parts of the SPD are in Question and Answer format. We encourage you to read the entire SPD,
but if you have questions about your rights and obligations under the Plan, please refer to the
Table of Contents above for the Question that most resembles your question. Information
relating to the Plan that is specific to your Employer is described in the Plan Information
Appendix attached to this SPD. You will be referred to the Plan Information Appendix
throughout the SPD. In addition, terms that are capitalized throughout are terms that are
specifically defined in the SPD or the Plan document.
This SPD and the Plan Information Appendix attached hereto (collectively, the "SPD ") describe
the basic features of the Plan, how it operates, and how you can get the maximum advantage from
it. The Plan is also established pursuant to a Plan document into which this SPD has been
incorporated. If there is a conflict between the official Plan document and the SPD, the SPD will
govern. The effective date of this SPD is set forth in the attached Plan Information Appendix.
If you have any questions regarding the terms of the Plan, the HCSA and/or the DCSA, contact
the Plan Administrator identified in the Plan Information Appendix. The Plan Administrator's
name, address and telephone number appear in the Plan Information Appendix attached to this
SPD. Other important information has been provided in the Plan Information Appendix attached
to this SPD.
Flexible Spending Account Plan
Questions and Answers
Part I: General Information about the Plan
Q -1. What is the purpose of the Plan?
The purpose of the Plan is to allow eligible employees tc usr pre -tax dollars ( "Pre -tax
Contributions ") to pay for certain otherwise unreimbursed mecical and/or dependent day care
expenses.
Q -2. Who can participate in the Plan?
Each employee of the Employer who satisfies the Plan's "Eligibility Requirements" will be
eligible to begin participating in this Plan on the applicable "Eligibility Date." The Eligibility
Requirements and the Eligibility Date are identified in the Plar Information Appendix. Those
employees who actually participate in the Plan are called "Participants "
Q -3. When does my participation in the Plan end?
You continue to participate in the Plan until the earlier of the date that (i) you elect not to
participate in this Plan; (ii) you no longer satisfy the Eligibility Recui-ements (e.g., you terminate
employment); or (iii) the Plan is terminated or amended to exclude you or the class of employees
of which you are a member.
If you cease to satisfy the Eligibility Requirements during the Plar Year but become eligible for
the Plan again during the same Plan Year and more than 30 days after ceasing to satisfy the
Eligibility Requirements, you may make new elections under the Pear. If you cease to satisfy the
Eligibility Requirements during the Plan Year but become eligible for the Plan again during the
Plan Year and within 30 days or less after ceasing to satisfy the Eligibility Requirements, your
prior elections will be reinstated and will remain in effect for the - emainder of the Plan Year.
Q -4. How do I become a Participant?
You become a Participant in the Plan by (i) completing the designated election form on which
you indicate the amount of your pay you wish to have withheld and then allocated to the HCSA
and/or the DCSA and (ii) timely submitting the election form tc -he entity /person designated on
the election form during one of the enrollment periods described nelow. You will be provided
with an election form (or you will be provided with access to ar. election form) on or before the
beginning of the applicable enrollment period.
IMPORTANT: If you want tax -free reimbursement of unreimbursed medical expenses,
you must affirmatively elect to participate in the HCSA. If you want tax -free
reimbursement of dependent day care expenses, you must affirmatively elect to participate
in the DCSA. You can choose either one or both.
You cannot become a Participant in this Plan prior to the date you complete and submit your
election form.
2
You may be required to complete an election form via telephone or voice response technology,
electronic communication, or any other method prescribed by the Plan Administrator. In order to
utilize a telephone system or other electronic means, you may be required to sign an authorization
form authorizing issuance of a personal identification number ( "PIN') and allowing such PIN to
serve as your electronic signature when utilizing the telephone system or electronic means. The
Plan Administrator and all parties involved with Plan administration will be entitled to rely on
your directions through use of the PIN as if such directions were issued in writing and signed by
you.
Q -5. What are the enrollment periods under the Plan?
When you are first hired, you must enroll during the "Initial Enrollment Period" if you want to
participate. The enrollment material provided by the Employer (or the Third Party Administrator
identified in the Plan Information Appendix) will identify the beginning and end dates of the
Initial Enrollment Period. If you make an election during the Initial Enrollment Period, your
participation in the spending account(s) that you elect will begin on the later of your Eligibility
Date or the date that your election is received and processed by the entity processing your
election form. The election that you make during the Initial Enrollment Period is effective for the
remainder of the Plan Year and generally cannot be revoked during the Plan Year unless you
experience a specified event that will allow a mid -year election change (see below for more
details on mid -year election changes).
If you do not make an affirmative election to participate in either of the spending accounts during
the Initial Enrollment Period, you will be deemed to have elected not to participate in this Plan for
the remainder of the Plan Year unless you experience an event that allows you to change that
election during the Plan Year.
The Plan also has an "Annual Enrollment Period" during which you may enroll (if you did not
enroll during the Initial Election Period), continue your previous election or change your previous
elections for the next Plan Year. You will be notified each year of the beginning and end dates of
the Annual Enrollment Period. You must make an affirmative election to participate, change
your election, or continue your current election for the next Plan Year. The election that you
make during the Annual Enrollment Period is effective the first day of the following Plan Year
and is irrevocable for the entire Plan Year unless you have experienced an event that allows a
mid -year election change.
If you are a current Participant in the Plan and you fail to complete and submit an election form
during the Annual Enrollment Period, you will be deemed to have elected not to participate
during the next Plan Year.
The Plan Year is generally a 12 -month period (except during the initial or last Plan Year of the
Plan). The beginning and ending dates of the Plan Year are described in the Plan Information
Appendix.
Q -6. How are the contributions to the spending accounts made under the Plan?
When you become a Participant in the Plan, your share of the contributions for the elected
spending accounts will be paid with Pre -tax Contributions that you elected on the election form.
Pre -tax Contributions are amounts withheld from your gross income before any applicable federal
taxes (and in most cases, state taxes) have been deducted. In addition, all or a portion of the cost
of the spending accounts may, in the Employer's discretion, be paid with contributions made by
K
the Employer on behalf of each Participant (these are called "Nonelective Contributions "). The
amount of Nonelective Contribution that is applied towards one or both of the cost of the
spending accounts for each Participant is subject to the sole discretinn of the Employer and it may
be adjusted upward or downward in the Employer's sole discretion. The Nonelective
Contribution amount, if any, will be calculated for each Plan Year in a uniform and
nondiscriminatory manner and may be based upon your dependent status, commencement or
termination date of your employment during the Plan Year, and such other factors that the
employer deems relevant. In n2 event will any Nonelective Cotnribution be disbursed to you in
the form of additional, taxable compensation except as otherwise provided in the enrollment
material. To the extent set forth in the enrollment material, the Employer may provide you with
Nonelective Contributions and then allow you to allocate the Nonelective Contributions towards
one or both of the spending accounts (subject to restrictions described in the enrollment material).
Q -7. Can I ever change my election during the Plan Year?
Generally, you cannot change your election to participate in the Plan or vary the Pre -tax
Contribution that you have elected to allocate to the HCSA and'or the DCSA. That being said,
your election to participate in the Plan will automatically temmmate if you cease to satisfy the
applicable Eligibility Requirements. Otherwise, you may change your Pre -tax Contribution
elections only during the Annual Enrollment Period, and then, only for the coming Plan Year.
There is an important exception to this general rule that you cannot revoke your elections during
the Plan Year: You may change or revoke your elections during the Plan Year if you submit a
written request (or where applicable, an electronic request) for an election change with the Plan
Administrator (or the Third Party Administrator identified in the Plan Information Appendix)
within 30 days of experiencing one of the following events. Note that not all of the events apply
to HCSA elections.
1. Change in Status. If one or more of the following "Changes in Status" occur, you
may revoke your old election and make a new election, provided that Both the revocation and new
election are on account of and correspond with the Change in Status (as described below). Those
occurrences that qualify as a Change in Status include the events described below, as well as any
other events that the Plan Administrator determines are permitted under subsequent IRS
regulations:
• A change in your legal marital status (such as marriage, legal separation,
annulment, divorce or death of your spouse);
• A change in the number of your tax dependents (sach as the birth of a child,
adoption or placement for adoption of a dependent. nr death of a dependent);
• Any of the following events that change the employment status of you, your
spouse, or your dependent that affect benefit eligibility under a cafeteria plan
(including this Plan and the plan of another employer) or other employee benefit
plan of an employer of you, your spouse, or v ->u dependents. Such events
include any of the following changes in employment status: termination or
commencement of employment, a strike or lockout, a commencement of or
return from an unpaid leave of absence, a change in worksite, switching from
salaried to hourly -paid, union to non - union, or pan -time to full -time; incurring a
reduction or met ease in hours of employment; or any other similar change which
makes the individual become (or cease to be) e'igib e for a particular employee
benefit;
M
• An event that causes your dependent to satisfy or cease to satisfy an eligibility
requirement for a particular benefit (such as attaining a specified age, or ceasing
to be a student; and
• A change in your, your spouse's or your dependent's place of residence.
The election change must be on account of and correspond with the Change in Status event as
determined by the Plan Administrator. With the exception of an election change to the HCSA
resulting from birth, placement for adoption or adoption, all election changes are prospective. As
a general rule, a desired election change will be found to be consistent with a Change in Status
event if the event affects eligibility for coverage under the Plan. A Change in Status affects
eligibility for coverage if it results in an increase or decrease in the number of dependents who
may benefit under the Plan. In addition, you must also satisfy the following specific requirements
in order to alter your election based on that Change in Status:
• Gain of Coverage Eligibility under Another Employer's Plan. For a Change in Status
in which you, your spouse, or your dependent gain eligibility for coverage under
another employer's cafeteria plan (or benefit plan) as a result of a change in your
marital status or a change in your, your spouse's, or your dependent's employment
status, your election to cease or decrease coverage for that individual under the Plan
would correspond with that Change in Status only if coverage for that individual
becomes effective or is increased under the other employer's plan. You may be
required to provide proof that coverage will become effective.
• Dependent Care Reimbursement Plan Benefits. With respect to the Dependent Care
Reimbursement Plan benefit, you may change or terminate your election only if (1)
such change or termination is made on account of and corresponds with a Change in
Status that affects eligibility for coverage under the Plan; or (2) your election change
is on account of and corresponds with a Change in Status that affects the eligibility of
dependent care assistance expenses for the available tax exclusion.
Example: employee Mike is married to Sharon, and they have a 12 year -old daughter.
The employer's plan offers a dependent care expense reimbursement program as part
of its cafeteria plan. Mike elects to reduce his salary by $2,000 during a plan year to
fund dependent care coverage for his daughter. In the middle of the plan year when
the daughter turns 13 years old, however, she is no longer eligible to participate in the
dependent care program. This event constitutes a Change in Status. Mike's election to
cancel coverage under the dependent care program would be consistent with this
Change in Status.
2. Special Enrollment Rights (NOTE: This applies only to HCSA elections and
only to the extent that the HCSA is not an "excepted benefit" as defined by the Health
Insurance Portability and Accountability Act of 1996). If you, your spouse and/or a
dependent are entitled to special enrollment rights under HCSA as set forth in the Health
Insurance Portability and Accountability Act of 1996 ( "HIPAA "), you may change your election
to correspond with the special enrollment right. Thus, for example, if you declined enrollment for
yourself or your eligible dependents because of other medical coverage and eligibility for such
coverage is subsequently lost due to certain reasons (e.g., due to legal separation, divorce, death,
termination of employment, reduction in hours, or exhaustion of COBRA period), you may be
5
able to elect HCSA coverage £or yourself and your eligible dependents who lost such coverage.
Furthermore, if you have a new dependent as a result of marriage. birth, adoption, or placement
for adoption, you may also be able to enroll yourself, your spouse. and your newly acquired
dependents, provided that you request enrollment within the 30 -dav election change period. An
election change that corresponds with a special enrollment must be prospective, unless the special
enrollment is attributable to the birth, adoption, or placement for adoption of a child, which may
be retroactive up to 30 days.
3. Certain Judgments, Decrees and Orders. If a judgment, decree or order from a
divorce, separation, annulment or custody change requires your dependent child (including a
foster child who is your tax dependent) to be covered under t it Plan, you may change your
election to provide coverage for the dependent child identified in the order. If the order requires
that another individual (such as your former spouse) cover th:- dependent child, and such
coverage is actually provided. you may change your election a revoke coverage for the
dependent child.
4. Entitlement to Medicare or Medicaid. If you. your spouse, or a dependent
becomes entitled to Medicare or Medicaid, you may cancel that person's HCSA coverage.
Similarly, if you, your spouse. or a dependent that has been entitled to Medicare or Medicaid
loses eligibility for such, you may, subject to the terms of the underlying plan, elect to begin or
increase that person's HCSA coverage.
5. Change in Cost (applies only to DCSA elections). V you are notified that the cost
of your DCSA coverage under the Plan has significantly increased or decreased or will
significantly increase or decrease during the Plan Year, you may make certain prospective
election changes. If the cost significantly increases, you may chocse either to make an increase in
your contributions, revoke your election and choose another day care provider, or drop coverage
altogether if you are unable to find another provider. If the cost significantly decreases, you may
revoke your election and make a new election to correspond w th the decrease in cost. For
insignificant increases or decreases in the cost of DCSA coverage, however, your Pre -tax
Contributions will change automatically to reflect the minor change in cost. The Plan
Administrator will have final authority to determine whether the requirements of this section are
met.
6. Change in Coverage (applies only to DCSA elections). If your coverage under the
DCSA is significantly curtailed. you may revoke your election and either choose another day care
provider or drop coverage altogether. Further, if you change day care providers, you may revise
your elections to correspond to the new provider. Also, you may make an election change that is
on account of and corresponds w ith a change made under another employer plan (including a plan
of the Employer or another employer), so long as: (i) the other employer plan permits its
participants to make an election change permitted under the IRS regulations; or (ii) the plan year
for this Plan is different from the plan year of the other employer plan.
Additionally, your election(s) may be modified downward during the plan year if you are a Key
Employee or Highly Compensated Individual (as defined by .hc Internal Revenue Code) if
necessary to prevent the Plan from becoming discriminatory A:thin the meaning of the federal
income tax law.
P
7. Approved Leave of Absence. If you take an approved leave of absence, your
elections are subject to the following terms (depending, in part, on the type of leave you take):
If you go on a qualifying unpaid leave under the Family and Medical Leave Act
of 1993 (FMLA), to the extent required by the FMLA, the Employer will
continue to maintain your HCSA coverage on the same terms and conditions as
though you were still active.
Your Employer may elect to continue all coverage for Participants while they are
on paid leave (provided Participants on non -FMLA paid leave are required to
continue coverage). If so, you will pay your share of the contributions with Pre-
tax Contributions withheld from pay you receive while on leave.
In the event of unpaid FMLA leave (or paid leave where coverage is not required
to be continued), if you opt to continue your HCSA, you may pay your share of
the contribution with after -tax dollars while on leave, or you may be given the
option to pre -pay all or a portion of your share of the contribution for the
expected duration of the leave (not to exceed the end of the Plan Year) with Pre-
tax Contributions from your pre -leave compensation by making a special election
to that effect before the date such compensation would normally be made
available to you, or by other arrangements agreed upon between you and the Plan
Administrator (for example, the Plan Administrator may fund coverage during
the leave and withhold amounts from your compensation upon your return from
leave). The payment options provided by the Employer will be established in
accordance with Code Section 125, FMLA and the Employer's internal policies
and procedures regarding leaves of absence. Alternatively, the Employer may
require all Participants to continue coverage during the leave. If so, you may
elect to discontinue your share of the required contributions until you return from
leave. Upon return from leave, you will be required to repay the contribution not
paid during the leave in a manner agreed upon with the Plan Administrator.
If your HCSA coverage ceases while on FMLA leave (e.g., for non - payment of
required contributions), you will be permitted to re -enter the HCSA upon return
from such leave on the same basis as you were participating in the HCSA prior to
the leave, or as otherwise required by the FMLA. Your HCSA coverage may be
automatically reinstated provided that coverage for employees on non -FMLA
leave is automatically reinstated upon return from leave.
The Employer may, on a uniform and consistent basis, continue your HCSA
coverage for the duration of the leave following your failure to pay the required
contribution. Upon return from leave, you will be required to repay the
contribution in a manner agreed upon by you and Employer.
If you are commencing or returning from unpaid FMLA leave, your DCSA
election under this Plan shall be treated in the same manner that elections for
non - health plans are treated with respect to Participants commencing and
returning from unpaid non -FMLA leave.
Q -8. How long will the Plan remain in effect?
Although the Employer expects to maintain the Plan indefinitely, it has the right to modify or
terminate the program at any time for any reason. It is also possible that future changes in state or
federal tax laws may require that the Plan be amended accordingly.
Q -9. What effect will Plan participation have on Social Security and other benefits?
Plan participation will reduce the amount of your taxable compensation. Accordingly, there
could be a decrease in your Social Security benefits and/or other benefits (e.g., pension, disability
and life insurance) that are based on taxable compensation.
Flexible Spending Account Plan
Part 11. HCSA Benefits
The following Questions and Answers relate to the HCSA benefits. This section only applies to
the extent that you have elected to allocate Pre -tax Contributions to the HCSA.
Q -10. What is the "Health Care Spending Account "?
The Health Care Spending Account ( "HCSA ") is the portion of the Plan that provides for
reimbursement of Eligible Medical Expenses incurred by the Participant and his/her Eligible
Dependents. If you elect benefits under this portion of the Plan, a non - interest bearing
bookkeeping account will be set up to keep a record of Pre -tax Contributions (and where
applicable, any non - elective Employer contributions) allocated to the account and the
reimbursements for Eligible Medical Expenses to which you are entitled during the Plan Year.
No actual account is established; it is merely a bookkeeping account.
Q -11. What is the maximum annual reimbursement amount that I may elect under the
HCSA?
You may choose any reimbursement amount you desire subject to the maximum annual HCSA
Reimbursement Amount (and HCSA Minimum Reimbursement Amount) described in the Plan
Information Appendix.
Any change in your election affecting annual contributions to the HCSA will change the
maximum available reimbursement for the remainder of the Plan Year. Such maximum available
reimbursements will be determined on a prospective basis only by a method determined by the
Plan Administrator that is in accordance with applicable law. The Plan Administrator (or its
designated claims administrator) will notify you of the applicable method when you make your
election change.
Q -12. How are amounts allocated to the HCSA withheld from my pay?
When you enroll online, you specify the amount of reimbursement for Eligible Medical Expenses
you wish to pay for with Pre -tax Contributions. Thereafter, an equal pro -rata portion of the
annual contribution, reduced by any non - elective Employer Contributions (if any) allocated to
your HCSA, will be withheld from each paycheck by your Employer.
Q -13. What amounts will be available for reimbursement of Eligible Medical Expenses at
any particular time during the Plan Year?
The full annual amount of reimbursement you have elected under the HCSA (reduced by prior
reimbursements made during the Plan Year) will be available at any time during the Plan Year
without regard to how much you have contributed to the HCSA.
Q -14. How do I receive reimbursement under the HCSA?
When you incur an Eligible Medical Expense, you file a claim with the Plan's Third Party
Administrator by completing and submitting a Request for Reimbursement Form. You may
obtain a Request for Reimbursement Form from the Plan Administrator or the Third Party
Administrator. You must include with your Request for Reimbursement Form a written
0
statement from the service pro%-ider (e.g., a receipt, explanation of henefits or "EOB ") associated
with each expense that indicates the following:
• The nature of the expense (e.g., what type of service or treatment was provided). If
the expense is for an over -the- counter drug, the wr tten statement must indicate the
name of the drug:
• The date the expense was incurred; and
• The amount of the expense.
You may be required to provide additional substantiation to the extent determined necessary to
support your claim. The Third Party Administrator will process the claim once it receives the
Request for Reimbursement Fornn from you. Reimbursement for expenses that are determined to
be Eligible Medical Expenses will be made as soon as possib e afer receiving the claim and
processing it. If the expense is determined to not be an "Eligible Medical Expense" you will
receive notification of this determination. You must submit all claims for reimbursement for
Eligible Medical Expenses prior to the end of the Run -out Period. The Run -out Period is
described in the Plan Information Appendix.
NOTE: If your health plan administrator or insurance carrier automati:,ally submits an EOB to the
Third Party Administrator for processing, you may not have to provide any additional
substantiation or certification.
You may also be able to use an electronic payment card to pay expenses at the time they are
incurred. If the Employer provides an electronic payment card, the terms of the electronic
payment card will be set forth in the Plan Information Appendix.
Q -15. What is an "Eligible Medical Expense "?
An "Eligible Medical Expense" is an expense that has been incur Ted by you and/or your Eligible
Dependents that satisfies the following conditions:
• The expense is for "medical care" as defined by Code Section 213(d). Whether an
expense is for "medical care" is within the sole discretion of the Plan Administrator;
and
• The expense has not been reimbursed by any other source and you will not seek
reimbursement for the expense from any other source.
An "Eligible Dependent" is your legal spouse (in accordance with federal law) and any other
individual who is a "dependent" as defined in Code Section 105(1•) (i.e., a dependent who is
eligible to receive tax -free health coverage under the Code). Coverage for an individual covered
as an Eligible Dependent under the HCSA ends on the date that the rtdividual ceases to meet the
requirements to be an Eligible Dependent.
The Code generally defines "medical care" as any amounts incurred .o diagnose, treat or prevent
a specific medical condition or for purposes of affecting any firnotion or structure of the body.
This includes, but is not limited to, both prescription and over -the- counter drugs (and over -the-
counter products and devices). Not every health related expense you or your eligible dependents
incur constitutes an expense for "medical care." For example, an expense is not for "medical
care," as that term is defined by the Code, if it is merely for the hereficial health of you and/or
your eligible dependents (e.g., vitamins or nutritional supplemews hat are not taken to treat a
10
specific medical condition) or for cosmetic purposes, unless necessary to correct a deformity
arising from illness, injury, or birth defect. You may, in the discretion of the Third Party
Administrator/Plan Administrator, be required to provide additional documentation from a health
care provider showing that you have a medical condition and/or the particular item is necessary to
treat a medical condition. Also, "stockpiling" of over - the - counter drugs and/or items is not
permitted and expenses resulting from stockpiling are not reimbursable. There must be a
reasonable expectation that such drugs or items could be used during the Plan Year (as
determined by the Plan Administrator). Expenses for cosmetic purposes are also not
reimbursable unless they are necessary to correct an abnormality caused by illness, injury or birth
defect.
In addition, certain expenses that might otherwise constitute "medical care" as defined by the
Code are not reimbursable under any HCSA (per IRS regulations):
• Health insurance premiums;
• Expenses incurred for qualified long term care services; and
• Any other expenses that are specifically excluded by the Employer as set forth in the
Plan Information Appendix and/or enrollment material.
Q -16. When must the expenses be incurred in order to receive reimbursement?
Eligible Medical Expenses must be incurred during the Plan Year and while a Participant. An
expense is incurred when the service or treatment giving rise to the expense has been performed
and not in advance of the services. You may not be reimbursed for any expenses arising before
the HCSA becomes effective, before your HCSA election becomes effective, or after a separation
from service (except for expenses incurred during an applicable COBRA continuation period).
If the Employer has adopted a grace period, you may also be able to use amounts allocated to the
HCSA that are unused at the end of the Plan Year for expenses incurred during the grace period
following the end of the Plan Year. The terms of the "grace period," if adopted, will be described
in the Plan Information Appendix.
Q -17. What if the Eligible Medical Expenses I incur during the Plan Year are less than the
annual amount I have allocated to the HCSA?
You will not be entitled to receive any direct or indirect payment of any amount that represents
the difference between the actual Eligible Medical Expenses you have incurred and the annual
reimbursement amount that you have elected. Except as otherwise set forth in the Plan
Information Appendix, any amount allocated to the HCSA will be forfeited by the Participant if it
has not been applied by the end of the Run -out Period to reimburse expenses incurred during the
Plan Year. The Run -out Period is described in the Plan Information Appendix. Amounts so
forfeited shall be used to offset administrative expenses and future costs, and/or applied in a
manner that is consistent with applicable rules and regulations.
If the Employer has adopted a grace period following the end of the Plan Year, amounts allocated
to the HCSA that are unused at the end of the Plan Year may also be used to reimburse expenses
incurred during the grace period following the end of the Plan Year.
Q -18. What happens if a claim for benefits under the HCSA is denied?
11
If you are denied a benefit under the HCSA, you should proceed in accordance with the claims
and appeal procedures set forth in the Plan Information Appendix
Q -19. What happens to unclaimed HCSA reimbursements?
Any reimbursements under the HCSA that are unclaimed (e.g., encashed benefit checks) by the
close of the Plan Year following the Plan Year in which the F ligible Medical Expense was
incurred shall be forfeited.
Q -20. What is COBRA continuation coverage?
Federal law requires most employers sponsoring group health plans to offer employees and their
families the opportunity for a temporary extension of health care coverage (called "continuation
coverage ") at group rates in certain instances where coverage under the plans would otherwise
end. These rules apply to the HCSA, unless the Employer is a small - employer within the
meaning of the applicable regulations. The Plan Administrator can tell you whether the
Employer is a small employer (and thus not subject to these rules).
When Coverage May Be Cont Hued
If you are a Participant in the HCSA, then you generally have a r ght to choose continuation
coverage under the HCSA if you lose your coverage because of:
• A reduction in your hours of employment; or
• A voluntary or involuntary termination of your employment (for reasons other than gross
misconduct).
If you are the spouse of a Participant, then you generally have the right to choose continuation
coverage for yourself if you lose coverage for any of the following casons:
• The death of the Participant;
• A voluntary or involuntary termination of the Participant's employment (for reasons other
than gross misconduct) or reduction in your spouse's hours of employment; or
• The divorce or legal separation from the Participant.
In the case of a dependent child of a Participant, he or she has the -fight to choose continuation
coverage if coverage is lost for any of the following reasons:
• The death of the Participant;
• A voluntary or involuntary termination of the Participant's employment (for reasons other
than gross misconduct; or reduction in the Participant's hours of employment;
• His or her parents' divorce or legal separation; or
• He or she ceases to be a dependent child.
Those events that entitle you to elect coverage are called "Qualifying Events." Those covered
individuals who are entitled to continue coverage under (--t)BRA are called "Qualified
Beneficiaries." A child who is born to, or placed for adoptic:- w in, the Participant during a
period of continuation coverage is also entitled to continuation coverage under COBRA as a
Qualified Beneficiary.
12
NOTE: Notwithstanding the preceding provisions, you generally do not have the right to elect
COBRA continuation coverage if the cost of COBRA continuation coverage for the remainder of
the Plan Year equals or exceeds the amount of reimbursement you have available for the
remainder of the Plan Year. You will be notified of your particular right to elect COBRA
continuation coverage.
Tvne of Continuation Coveraee
If you choose continuation coverage, you may continue the level of coverage you had in effect
immediately preceding the Qualifying Event. However, if Plan benefits are modified for
similarly situated active employees, then they will be modified for you and other Qualified
Beneficiaries as well. You will be eligible to make a change in your benefit election with respect
to the Plan upon the occurrence of any event that permits a similarly situated active employee to
make a benefit election change during a Plan Year.
If you do not choose continuation coverage, your coverage under the HCSA will end with the
date you would otherwise lose coverage.
Notice Requirements
You or your covered dependents (including your spouse) must notify the COBRA Administrator
identified in the Plan Information Appendix in writing of a divorce, legal separation, or a child
losing dependent status under the Plan within 60 days of the later of the date of the event or the
date on which coverage is lost under the Plan because of the event. When the COBRA
Administrator is notified that one of these events has occurred, the COBRA Administrator will in
turn notify you that you have the right to choose continuation coverage by sending you the
appropriate election forms. Notice to an employee's spouse is treated as notice to any covered
dependents who reside with the spouse.
An employee or covered dependent is responsible for notifying the COBRA Administrator if he
or she becomes covered under another group health plan or entitled to Medicare.
Election Procedures and Deadlines
Each Qualified Beneficiary is entitled to make a separate election for continuation coverage under
the Plan if they are not otherwise covered as a result of another Qualified Beneficiary's election.
In order to elect continuation coverage, you must complete the Election Form(s) within 60 days
from the date you would lose coverage as a result of a Qualifying Event or the date you are sent
notice of your right to elect continuation coverage, whichever is later and send it to the COBRA
Administrator identified in the Plan Information Appendix of this SPD. Failure to return the
election form within the 60 -day period will be considered a waiver of your continuation coverage
rights.
Cost
You will have to pay the entire cost of your continuation coverage. The cost of your continuation
coverage will not exceed 102% of the applicable premium for the period of continuation
coverage. The first premium payment after electing continuation coverage will be due 45 days
after making your election. Subsequent premiums must be paid within a 30 -day grace period
following the due date. Failure to pay premiums within this time period will result in automatic
termination of your continuation coverage. Claims incurred during any period will not be paid
13
until your premium payment is received for that period. If you timely elect continuation coverage
and pay the applicable premium. however, then continuation coverage will relate back to the first
day on which you would have lost regular coverage.
When Continuation Coverage Ends
You may be able to continue coverage under the HCSA until the end of the Plan Year in which
the Qualifying Event occurs. However, continuation coverage may end earlier for any of the
following reasons on the dates indicated:
• The first day of the month following the month for which you made a timely and
complete premium payment (Note if your payment is insuf icient by the lesser of 10% of
the required COBRA premium, or $50, you will be given 30 days to cure the shortfall);
• The date that you first become covered under another grow) health plan under which you
are not subject to a pre- existing condition exclusion litmtation after you have elected
COBRA continuation coverage;
• The date that you first become entitled to Medicare afer you have elected COBRA
continuation coverage; or
• The date the Employer no longer provides group health coverage to any of its employees.
Q -21. Will my health information be kept confidential?
Under the Health Insurance Portability and Accountability Act of 1996 ( "HIPAA ") group health
plans such as the HCSA and the third party service providers are required to take steps to ensure
that certain "protected health information" is kept confidential. You may receive a separate
privacy notice that outlines the Employer's health privacy policies.
Q -22. How does this HCSA interact with a Health Reimbursement Arrangement sponsored
by my Employer?
Typically, a HCSA is the payer of last resort. This means the HCSA cannot reimburse expenses
that are reimbursable from any other source. However, if you are also participating in a Health
Reimbursement Arrangement or "HRA" that covers expenses covered by this HCSA, the
employer may require the HCSA pay first, rather than the HRA. If the HCSA pays first, you
must exhaust your HCSA balance before using funds allocated to your HRA. The Plan
Information Appendix will indicate whether the HCSA or HRA must nay first.
Q -23. How long will the HCSA remain in effect?
Although the Employer expects to maintain the HCSA indefinite]}. it has the right to modify or
terminate the program at any time and for any reason.
Other Important HCSA Information
ERISA Rights
The HCSA Plan is an ERISA welfare benefit plan. As a Participam in an ERISA- covered benefit,
you are entitled to certain rights and protections under the Employee Retirement Income Security
Act ( "ERISA "). ERISA provides that all Plan Participants shall be entitled to:
14
• Receive information about your Plan and benefits.
• Examine, without charge, at the Plan Administrator's office and at other specified
locations, such as work -sites and union halls, all documents governing the Plan, including
insurance contracts, collective bargaining agreements and a copy of the latest annual
report (Form 5500 series) filed by the Plan with the U.S. Department of Labor and
available at the Public Disclosure Room of the Employee Benefits Security
Administration.
• Obtain, upon written request to the Plan Administrator, copies of all documents
governing the operation of the Plan, including insurance contracts and collective
bargaining agreements, and copies of the latest annual report (Form 5500 series) and
updated SPD. The Plan Administrator may make a reasonable charge for the copies.
• Receive a summary of the Plan's annual financial report (if any). The Plan Administrator
is required by law to furnish each Participant with a copy of this summary annual report.
• Continue Group Health Plan Coverage. You may continue health care coverage for
yourself, spouse or dependent children if there is a loss of coverage under the Plan as a
result of a Qualifying Event. You or your eligible dependents will have to pay for such
coverage. You should review e COBRA section of this HCSA appendix for more
information concerning your COBRA continuation coverage rights.
(To the extent the HCSA is subject to HIPAA's portability rules) You may be eligible for a
reduction or elimination of exclusionary periods of coverage for pre- existing conditions under
your group health plan if you move to another plan and you have creditable coverage from this
Plan. You will be provided a certificate of creditable coverage, free of charge, from the HCSA
when you lose coverage under the Plan, when you become entitled to elect COBRA continuation
coverage, when your COBRA continuation coverage ceases, if you request it before losing
coverage, or if you request it up to 24 months after losing coverage. Without evidence of
creditable coverage, you may be subject to a pre- existing condition exclusion for 12 months (18
months for late enrollees) after your enrollment date in your coverage in another plan.
Prudent Actions by Plan Fiduciaries
In addition to creating rights for Plan Participants, ERISA imposes duties upon the people who
are responsible for the operation of the employee benefit plan. The people who operate your
Plan, called "fiduciaries" of the Plan, have a duty to do so prudently and in the interest of the Plan
Participants and beneficiaries. No one, including your employer, your union, or any other person,
may fire you or otherwise discriminate against you in any way to prevent you from obtaining a
welfare benefit from the Plan, or from exercising your rights under ERISA.
Enforce Your Rights
If your claim for a welfare benefit under an ERISA- covered plan is denied in whole or in part,
you must receive a written explanation of the reason for the denial. You have the right to have
the Plan review and reconsider your claim. Under ERISA, there are steps you can take to enforce
the above rights. For instance, if you request materials from the Plan and do not receive them
within 30 days, you may file suit in a federal court. In such a case, the court may require the Plan
Administrator to provide the materials and pay you up to $110 a day until you receive the
materials, unless the materials were not sent because of reasons beyond the control of the Plan
Administrator. If you have a claim for benefits that is denied or ignored in whole or in part, you
may file suit in a state or federal court. In addition, if you disagree with the Plan's decision or
lack thereof concerning the qualified status of a domestic relations order or a medical child
15
support order, you may file suit in federal court. If it should happen that Plan fiduciaries misuse
the Plan's money, or if you are discriminated against for assert:iig your rights, you may seek
assistance from the U.S. Department of Labor, or you may file sin, it a federal court. The court
will decide who should pay court costs and legal fees. If you are successful, the court may order
the person you have sued to pay these costs and fees. If you lose. the court may order you to pay
these costs and fees, for example, if it finds your claim is frivolous.
Assistance with Your Questions
If you have any questions about the Plan, you should contact the Plan Administrator. If you have
any questions about this statement or about your rights under ERISA, or if you need assistance
obtaining documents from the Plan Administrator, you should contact the nearest office of the
U.S. Department of Labor, Employee Benefits Security Admini�lration ( "EBSA ") listed in your
telephone directory, or the Division of Technical Assistance and Inquiries, Employee Benefits
Security Administration, U.S. Department of Labor, 200 Constinvion Ave., N.W., Washington,
D.C., 20210. You may also obtain certain publications about _vow- rights and responsibilities
under ERISA by calling the publications hotline of the employee Benefits Security
Administration.
Newborns' and Mothers' Health Protection Act of 1996
Group health plans and health insurance issuers generally may not. under federal law, restrict
benefits for any hospital length of stay in connection with childbi-th for the mother or newborn
child to less than 48 hours following a vaginal delivery, or less than 96 hours following a
cesarean section. However, feceral law generally does not prohibit the mother's or newborn's
attending provider, after consulting with the mother, from discharging the mother or her newborn
earlier than 48 hours (or 96 hours, as applicable). In any case, plans and issuers may not, under
federal law, require that a provider obtain authorization from the Plan or the issuer for prescribing
a length of stay not in excess of 48 hours (or 96 hours).
16
Flexible Spending Account Plan
Part HL DCSA Benefits
The following Questions and Answers relate to the DCSA benefits. This section only applies to
the extent that you have elected to allocate Pre -tax Contributions to the DCSA.
Q -24. What is the "Dependent Care Spending Account "?
The DCSA is the portion of the Plan that provides for reimbursement of Eligible Day Care
Expenses incurred by the Participant. If you elect benefits under this portion of the Plan, a non-
interest bearing bookkeeping account will be set up to keep a record of Pre -tax Contributions (and
where applicable, any non - elective Employer contributions) allocated to the account and the
reimbursements for Eligible Day Care Expenses to which you are entitled during the Plan Year.
No actual account is established; it is merely a bookkeeping account.
Q -25. What is the maximum reimbursement amount that I may elect under the DCSA?
You may choose any reimbursement amount you desire subject to the maximum annual DCSA
Reimbursement Amount (and DCSA Minimum Reimbursement Amount) described in the Plan
Information Appendix. In addition, the amount of reimbursement that you receive cannot exceed
the lesser of your or your spouse's earned income (as defined in Code Section 32). For purposes
of this DCSA, your spouse will be deemed to have earned income of $250 ($500 if you have two
or more Qualifying Individuals (as defined in Q -29), for each month that your spouse is
(i) physically or mentally incapable of caring for himself or herself, or (ii) a full -time student (as
defined by Code Section 21).
Q -26. How are amounts allocated to the DCSA withheld from my pay?
When you enroll online, you specify the amount of reimbursement for Eligible Day Care
Expenses you wish to pay for with Pre -tax Contributions. Thereafter, an equal pro -rata portion of
the annual contribution, reduced by any non - elective Employer Contributions (if any) allocated to
your DCSA sub - account, will be withheld from each paycheck by your Employer.
Q -27. What amounts will be available for reimbursement of Eligible Day Care Expenses at
any particular time during the Plan Year?
Under the DCSA, you may be reimbursed only up to the amount of your DCSA sub - account
balance at the time the request for reimbursement is processed.
Q -28. How do I receive reimbursement under the DCSA?
When you incur an Eligible Day Care Expense, you file a claim with the Plan's Third Party
Administrator by completing and submitting a Request for Reimbursement Form. You may
obtain a Request for Reimbursement Form from the Plan Administrator or the Third Party
Administrator. You must include with your Request for Reimbursement Form a written
statement from the service provider (e.g., an invoice) associated with each expense that indicates
the following:
• The nature of the expense;
• The date or dates the services were provided; and
• The amount of the expense.
17
The Third Party Administrator will process the claim once it receives the Request for
Reimbursement Form from you. Reimbursement for expenses that are determined to be Eligible
Day Care Expenses will be made as soon as possible after recei,.irg the claim and processing it.
If the expense is determined to not be an "Eligible Day Care lixpense" you will receive
notification of this determination. You must submit all claims for reimbursement for Eligible
Day Care Expenses prior to the end of the Run -out Period. The Rua -out Period is described in
the Plan Information Appendix.
Q -29. What are "Eligible Dar Care Expenses "?
You may be reimbursed for work- related dependent day care expenses ( "Eligible Day Care
Expenses "). In other words, the expenses have to be incurred in order for you and your spouse (if
applicable) to work or look for work. Generally, an expense mus' meet all of the following
conditions for it to be an Eligible Day Care Expense:
1. The expense is incurred for services rendered after the date of your election to
receive Dependent Care Reimbursement benefits and during the calendar year to which it applies.
2. Each individual for whom you incur the expense is a 'Qualifying Individual." A
"Qualifying Individual" is:
• An individual that you can claim on your federal income tax return as a
"Qualifying Child" (as defined in Code Section ''2(a)(1)) and who is age 12 or
under, or
• A spouse or other tax "Dependent" (as defined generally in Code Section 21)
who is physically or mentally incapable of caring ]-or himself or herself and who
has the same principal place of abode as you for more than half of the year. For
purposes of this DCSA only, a "Dependent" under Code Section 21 means an
individual who is your tax dependent as defined it Code Section 152 or any
individual who would otherwise qualify as your tax dependent under Code
Section 152 but for the fact that (i) the individual has income in excess of the
exemption amount set forth in Code Section 151(c): (ii) the individual is a child
of a Participant who is a tax dependent of another taxpayer under Code Section
152; or (iii) the individual is married and files a joint return with his/her spouse.
In addition, a child to whom Section 152(e) applies (a child of divorced or
separated parents who resides with one or both parents for more than half the
year and receives over half of his/her support from one or both parents) may only
be the qualifying individual of the "custodial parent" (as defined in Code Section
152(e)(3)) without regard to which parent claims the child as a dependent on his
or her tax return.
3. The expense is incurred for the custodial care cf a Qualifying Individual (as
described above), or for related household services, and is incurred to enable you (and your
spouse, if applicable) to be gainfully employed or look for work. 'Vk hether the expense enables
you (and your spouse if applicable) to work or look for work is determined on a daily basis.
Normally, an allocation must be made for all days for which you (ane your spouse, if applicable)
are not working or looking for work; however, an allocation is not required for temporary
absences beginning and ending within the period of time for which the day care center requires
you to pay for day care. Expenses for overnight stays or overnight camp are not Eligible Day
Care Expenses. Expenses that are primarily for education, food and/or clothing are not
considered to be for "custodial" care. Consequently, tuition expenses for kindergarten (or its
equivalent) and above do not qualify as custodial care. However, summer day camps are
considered to be for custodial care even if they provide primarily educational activities. .
4. If the expense is incurred for services outside your household and such expenses are
incurred for the care of a Qualifying Individual who is age 13 or older, such dependent regularly
spends at least 8 hours per day in your home.
5. If the expense is incurred for services provided by a dependent care center (i.e., a
facility that provides care for more than 6 individuals not residing at the facility), the center
complies with all applicable state and local laws and regulations.
6. The day care is not provided by a "child" (as defined in Code Section 152(f)(1)) of
yours who is under age 19 the entire year in which the expense is incurred or an individual for
whom you or your Spouse is entitled to a personal tax exemption as a Dependent. Moreover,
the day care cannot be provided by the Participant's Spouse or the parent of the Qualifying
Individual. .
7. You must supply the taxpayer identification number for each dependent care service
provider to the IRS with your annual tax return by completing IRS Form 2441.
You are encouraged to consult your personal tax advisor or IRS Publication 503 for further
guidance as to what is or is not an Eligible Day Care Expense if you have any doubts. In order to
exclude from income the amounts you receive as reimbursement for Eligible Day Care Expenses,
you are generally required to provide the name, address and taxpayer identification number of the
dependent care service provider on your federal income tax return.
Q -30. When must the expenses be incurred in order to receive reimbursement?
Eligible Day Care Expenses must be incurred during the Plan Year and while a Participant. An
expense is "incurred" when the service or treatment giving rise to the expense has been performed
and not in advance of the services. You may not be reimbursed for any expenses arising before
the DCSA becomes effective, before your DCSA election becomes effective, or after a separation
from service.
Q -31. What if the Eligible Day Care Expenses I incur during the Plan Year are less than
the annual amount I have allocated to the DCSA?
You will not be entitled to receive any direct or indirect payment of any amount that represents
the difference between the actual Eligible Day Care Expenses you have incurred and the annual
reimbursement amount that you have elected. Except as otherwise set forth in the Plan
Information Appendix, any amount allocated to the DCSA shall be forfeited by the Participant if
it has not been applied by the end of the Run -out Period to reimburse expenses incurred during
the Plan Year. The Run -out Period is described in the Plan Information Appendix. Amounts so
forfeited shall be used to offset administrative expenses and future costs, and/or applied in a
manner that is consistent with applicable rules and regulations.
R
Q -32 What happens if a claim for benefits under the DCSA is denied?
If you are denied a benefit under the DCSA, you should proceed in accordance with the claims
and appeal procedures set forth in the Plan Information Appendix.
Q -33. What happens to unclaimed DCSA reimbursements?
Any DCSA reimbursements that are unclaimed (e.g., uncashed benefit checks) by the close of the
Plan Year following the Plan Year in which the Eligible Day Care Ex pense was incurred shall be
forfeited.
Q -34. Will I be taxed on the DCSA reimbursement I receive?
You will not normally be taxed on your DCSA reimbursement. provided that your family's
aggregate dependent day care reimbursement (under this DCSA and/or another employer's
DCSA) does not exceed the statutory limits set forth above. However, to qualify for tax -free
treatment, you will be required to list the names and taxpayer identification numbers on your
annual tax return of any persons who provided you with dependent care services during the
calendar year for which you have claimed a tax -free reimbursement
Q -35. If I participate in the DCSA, will I still be able to claim the household and
dependent care credit on my federal income tax return?
You may not claim any other tax benefit for the tax -free amounts received by you under this
DCSA, although the balance of your Eligible Day Care Expenses not reimbursed under this
DCSA may be eligible for the dependent care credit.
Q -36. What is the household and dependent care credit?
The household and dependent care credit is an allowance for a percentage of your annual Eligible
Day Care Expenses as a credit against your federal income tax liability under the Code. In
determining what the tax credit would be, you may take into account only $3,000 of such
expenses for one Qualifying Individual, or $6,000 for two or more Qualifying Individuals.
Depending on your adjusted gross income, the percentage could be as much as 35% of your
Eligible Day Care Expenses (to a maximum credit amount of $1,050 for one Qualifying
Individual or $2,100 for two or more Qualifying Individuals.) to a minimum of 20% of such
expenses. The maximum 35% rate must be reduced by 1% (but not below 20 %) for each $2,000
portion (or any fraction of $2,000) of your adjusted gross income over SI 5,000.
Illustration: Assume you have one Qualifying Individual for whom you have incurred Eligible
Day Care Expenses of $3,600, and that your adjusted gross income is $21,000. Since only one
Qualifying Individual is invoked, the credit will be calculated by applying the appropriate
percentage to the first $3,000 of the expenses. The percentage is, in turn, arrived at by
subtracting one percentage point from 35% for each $2,000 of your adjusted gross income over
$15,000. The calculation is: 35% -- [($21,000 - 15,000)/$2,000 X I %] = 32 %. Thus, your tax
credit would be $3,000 X 32 0h = $960. If you had incurred the same expenses for two or more
Qualifying Individuals, your credit would have been $3,600 X 32 "c = $1,152, because the entire
expense would have been taken into account, not just the first $3 000
20
Flexible Spending Account Plan
Plan Information Appendix
This Plan Information Appendix provides information specific to the East Valley Water
District
Flexible Spending Account Plan.
I. EMPLOYERIPLAN SPONSOR INFORMATION
1. Name, address, and telephone number
of the Employer/Plan Sponsor:
East Valley Water District
3654 E Highland Ave Ste 18
Highland CA 92346
909 - 381 -6463
2. Employer's federal tax identification
number:
95- 6005364
3. Adopting Employers participating in
the Plan:
n/a
4. Effective Date of the Plan:
January 1, 2011
5. Effective Date of Amendment /
Restatement if different from 4):
n/a
6. The initial Plan Year:
January 1, 2011 to December 31, 2011
7. All subsequent Plan Years:
n/a
8. Name, address, and telephone number
of the Plan Administrator:
The Plan Administrator has the exclusive
right to interpret the Plan and to decide all
matters arising under the Plan, including the
right to make determinations of fact, and
construe and interpret possible ambiguities,
inconsistencies, or omissions in the Plan
and this SPD.
Brian Tompkins
3654 E Highland Ave Ste 18
Highland CA 92346
909 -381 -6463
9. Plan Number:
n/a
10. Third -Party Administrator:
ADP Benefit Services
2575 Westside Parkway, Suite 500
Alpharetta, GA 30004 -3852
PI -1
11. COBRA Administrator: Justine Hendric };sen
II. ELIGIBILITY, EFFECTIVE DATE OF COVERAGE, and ELECTIONS
(a) The Flexible Spending Account Plan
Each employee who passes the 180 day probation period ( "Eligibility Requirements ") will be
eligible to participate in this Plan on the first of the month following eligibility ( "Eligibility Date ").
The employee's commencement of participation in the Plan is conditioned on the employee
properly enrolling online as summarized in the SPD.
III. Spending Account Reimbursement Limits
(a)(1) HCSA Reimbursement: The HCSA Reimbursement Amount shall not exceed the
amount elected under the Plan. which cannot exceed $5000.00 pc-7 Plan Year. The HCSA Minimum
Reimbursement Amount that may be elected is $260.00.
(a)(2) Interaction with HRA. See below regarding this HCSA's rules with respect to
coordination with an HRA
Does the Employer sponsors an HRA?
Does this HCSA or the HRA pay first with
no
respect to any expenses that are covered by
n/a
both the HRA and HCSA?
(b) DCSA Reimbursement. The DCSA Reimbursement Amount shall not exceed
the amount elected, which cannot exceed the statutory maximum. The DCSA minimum
reimbursement amount that may be elected is $260.00.
You should note that the statutory maximum annual
you (this only applies if "statutory maximum"
reimbursement that may be elected under the DCSA):
Are married and file a joint return;
amount is currently $5,000 per Plan Year if
is identifed as the maximum manual
Are married but your spouse maintains a separate residence for the last 6 months of
the calendar year, you file a separate tax return, and you furnish more than one -half
the cost of maintaining those Qualifying Individuals for whom you are eligible to
receive tax -free reimbursements under the DCSA; or
Are single.
If you are married and reside together, but file a separate federal income tax return, the statutory
maximum reimbursement amount under the DCSA that you may elec. is $2,500.
IV. RUN -OUT PERIOD FOR PLAN YEAR EXPENSES
PI -2
(a) The Run -out Period for active employees is March 15 after the end of the Plan Year.
(b) The Run -out Period for Participants whose coverage is terminated employees is 60
days following termination.
V. CLAIMS AND APPEAL PROCEDURES
If you are denied a benefit under this Plan, you should proceed in accordance with the following
claims review procedures.
Step 1: Notice is received from Third Party Administrator. If your claim is denied, you will
receive written notice from the Third Party Administrator that your claim is denied as soon as
reasonably possible, but no later than 30 days after receipt of the claim. For reasons beyond the
control of the Third Party Administrator, the Third Party Administrator may take up to an
additional 15 days to review your claim. You will be provided written notice of the need for
additional time prior to the end of the 30 -day period. If the reason for the additional time is that
you need to provide additional information, you will have 45 days from the notice of the
extension to obtain that information. The time period during which the Third Party Administrator
must make a decision will be suspended until the earlier of the date that you provide the
information or the end of the 45 -day period.
Step 2: Review your notice carefully. Once you have received your notice from the Third Party
Administrator, review it carefully. The notice will contain:
• The reason(s) for the denial and the Plan provisions on which the denial is based;
• A description of any additional information necessary for you to perfect your claim,
why the information is necessary, and your time limit for submitting the information;
• A description of the Plan's appeal procedures and the time limits applicable to such
procedures; and
• A right to request all documentation relevant to your claim.
Step 3: Ifyou disagree with the decision, file an appeal. If you do not agree with the decision of
the Third Party Administrator, you may file a written appeal. You should file your appeal with
the Third Party Administrator no later than 180 days after receipt of the notice described in Step
1. You should submit all information identified in the notice of denial as necessary to perfect your
claim and any additional information that you believe would support your claim.
Step 4: Notice of Denial is received from claims reviewer. If the claim is again denied, you will
be notified in writing no later than 30 days after receipt of the appeal by the Third Party
Administrator.
Step 5: Review your notice carefully. You should take the same action that you take in Step 2
described above. The notice will contain the same type of information that is provided in the first
notice of denial provided by the Third Party Administrator.
Step 6: Ifyou still disagree with the Third Party Administrator's decision, file a 2id Level Appeal
with the Plan Administrator. If you still do not agree with the Third Party Administrator's
decision, you may file a written appeal with the Plan Administrator within 60 days after receiving
the first level appeal denial notice from the Third Party Administrator. You should gather any
PI -3
additional information that is identified in the notice as necessa-y to perfect your claim and any
other information that you believe would support your claim.
If the Plan Administrator denies your 2 n Level Appeal, you w It re -eive notice within 30 days
after the Plan Administrator receives your claim. The notice v ill contain the same type of
information that was referenced in Step 1 above.
Important Information
Other important information regarding your appeals
• Each level of appeal will be independent from the previous level (i.e., the same
person(s) or subordinates of the same person(s) involved in a prior level of appeal
would not be involved in the appeal).
• On each level of appeal, the claims reviewer will -eview relevant information that
you submit even if it is new information.
• The Plan Administrator is required to give the Participant notice of any internal rules,
guidelines, protocols or similar criteria used as a basis for the adverse determination.
• You cannot file suit in federal court until you have exhausted these appeals
procedures, however, you have the right to file suit under ERISA Section 502
following an adverse appeal decision.
• Each Participant has the right to request and obtain documents, records and other
information as it pertains to their Benefit Plan(s).
VI. GRACE PERIOD
The Employer has established a "grace period" for the hcsa /dcsa that follows the end of the Plan
Year during which any amounts unused at the end of the Plan Year may be used to reimburse
Eligible Expenses incurred during the grace period.
The grace period will begin on the first day of the next Plan Year and will end two (2) months
and fifteen (15) days later. For example, if the Plan Year ends December 31, 2005, the grace
period begins January 1, 2006 and ends March 15, 2006.
In order to take advantage of the grace period, you must be:
A Participant in the HCSA and /or DCSA (as applicable) on the last day of the Plan Year
to which the grace period relates, or
(for HCSA only) A Qualified Beneficiary who is receiving COBRA coverage under the
HCSA on the last day of the Plan Year to which the grace period relates.
Expenses incurred during a grace period must be submitted before the end of the Run -out Period
described in this SPD. This is the same Run -out Period for expenses incurred during the Plan
Year to which the grace period relates. Any unused amounts from the end of a Plan Year to
which the grace period relates that are not used to reimburse eligible expenses incurred either
during the Plan Year to which the grace period relates or during the grace period will be forfeited
if not submitted for reimbursement before the end of the Run -out Period. The Employer may
establish procedures whereby reimbursement for expenses incurred during the grace period (to
the extent submitted before the end of the Run -out Period applicable to the prior Plan Year) are
P 1 -4
reprocessed so that you are able to maximize your annual election amount for the current Plan
Year. The procedures will be uniform and nondiscriminatory.
VII. ELECTRONIC PAYMENT CARDS
The Employer does permit Participants to use an electronic payment cards to pay for Eligible
Expenses at the point of service. If the Employer permits Participants to use an electronic
payment card, the following rules apply.
Electronic Payment Card Terms of Usage
You may use the electronic payment card to pay for HCSA expenses.
You have two reimbursement options under the account(s) identified above. You can complete
and submit a written claim for reimbursement ( "Traditional Paper Claims ") as indicated above.
Alternatively, you may use an electronic payment card ( "Electronic Payment Card" or the "Card ")
provided by the Employer to pay the expense. In order to be eligible for the Electronic Payment
Card, you must agree to abide by the terms and conditions of the Electronic Payment Card
Program (the "Program ") as set forth herein and in the Electronic Payment Cardholder Agreement
(the "Cardholder Agreement ") including any fees applicable to participate in the program,
limitations as to Card usage, the Plan's right to withhold and offset for ineligible claims, etc). The
following is a summary of how the Electronic Payment Card option works.
Electronic Payment Card: The Electronic Payment Card allows you to pay for Eligible Medical
Expenses at the time that you incur the expense. Here is how the Electronic Payment Card
works.
(a) You must make an election to use the Card. In order to be eligible for the Electronic Payment
Card, you must agree to abide by the terms and conditions of the Program as set forth herein and
in the Electronic Payment Cardholder Agreement (the "Cardholder Agreement ") including any
fees applicable to participate in the Program, limitations as to Card usage, the Plan's right to
withhold and offset for ineligible claims, etc. A Cardholder Agreement will be provided to you.
The Card will be turned off effective the first day of each Plan Year if you do not affirmatively
agree to abide by the terms of the Program. The Cardholder Agreement is part of the terms and
conditions of your Plan and this SPD.
(b) The Card will be turned off when employment or coverage terminates. The Card will be
turned off when you terminate employment or coverage under the Plan. You may not use the
Card during any applicable COBRA continuation coverage period.
(c) You must certify proper use of the Card. As specified in the Cardholder Agreement, you
certify during the applicable election period that the amounts in your HCSA will only be used for
Eligible Medical Expenses, that you have not been reimbursed for the expense, and that you will
not seek reimbursement for the expense from any other source. Failure to abide by this
certification will result in termination of Card use privileges.
(d) Reimbursement under the Card is limited to certain merchants. Use of the Card for Eligible
Medical Expenses is limited to merchants identified by the Plan Administrator or its designee as
an eligible merchant. The Card will be administered in accordance with applicable IRS
guidance.
PI -5
(e) You swipe the Card at the merchant like you do any other rred.'t or debit card. When you
incur an Eligible Medical Expense at an eligible merchant, such a< a co- payment or prescription
drug expense, you swipe the Card at the merchant much like yo.i ,would a typical credit or debit
card. The merchant is paid for the expense up to the maximum reimbursement amount available
under the HCSA. Every time you swipe the Card, you certify to the Plan that the expense for
which payment under the HCS A is being made is an Eligible Medical Expense, that you have not
been reimbursed from any other source and you will not see:b: reimbursement from another
source.
(f) You must obtain and retain a receipt /third party statement each time you swipe the Card. You
must obtain a third party statement from the merchant (e.g., receipt or invoice) that includes the
following information each time you swipe the Card:
• The nature of the expense (e.g., what type of service or treatment was provided);
• If the expense is for an over - the - counter drug, the written statement must indicate
the name of the drug;
• The date the expense was incurred; and
• The amount of the expense.
You should retain this receipt for one year following the close of ,he Plan Year in which the
expense is incurred. Even though payment is made under the Card arrangement, a written third
party statement is generally required to be submitted (except as otherwise set forth in the
applicable law and/or related guidance). You will receive a letter from the Third Party
Administrator that a third party statement is needed. You must provide the third party statement
to the Third Party Administrator within 45 days (or such longer period provided in the letter from
the Third Party Administrator) of the request. In accordance with applicable guidance, there may
be situations in which the Third Party Administrator does not ask for substantiation related to a
Card swipe.
(g) You must payback any improperly paid claims. If you are unable to provide adequate or
timely substantiation as requested by the Third Party Administrator. you must repay the Plan for
the unsubstantiated expense. The deadline for repaying the Plan is set forth in the Cardholder
Agreement. If you do not repay the Plan within the applicable time period, the Card will be
turned off and an amount equal to the unsubstantiated expense will be offset against future
Eligible Medical Expenses. If no claims are submitted prior to the date you terminate coverage in
the Plan, or claims are submitted but they are not sufficient to c )N er the unsubstantiated expense
amount, then the amount may be withheld from your pay (as specified in the Cardholder
Agreement) or the remaining unpaid amount may be treated by the Employer as any other bad
debt, which will result in additional gross income for you.
(h) You can use either the Electronic Payment Card cr the traditional paper claims
approach. You have the choice as to how to submit your eligible claims. If you elect not to use
the Electronic Payment Card, you may also submit claims under the Traditional Paper Claims
approach discussed above. Claims for which the Electronic Payment Card has been used cannot
be submitted as Traditional Paper Claims.
PI -6
East Val ley
Water District
Board Memorandum No. B -09 -2010 Date: February 8, 2011
From: Brian W. Tompkins / Chief Financial Officer
Subject: Financial Statements for the month ended December 31, 2010
Recommendation: Accept and file the attached financial report.
Balance Sheet
Total Assets decreased by $5,577,052 in December due to the use of restricted cash to formally retire
the 2001 COPS. CIP did increase by $620,244 as several jobs had activity in December — see further
discussion under Capital Projects below.
Total Liabilities decreased by $5,745,913 as the 2001 COPs with a balance of $5,935,000 were
officially retired, but current liabilities increased by approximately $220,000 with increased construction
activity. Specifically, the month end payables included the first billing from SSC Construction for
$333,665 for work on the Plant 134 project.
The increase in current liabilities caused the current ratio (current assets to current liabilities) to
weaken, dropping from 1.45:1 to 1.35:1, and the liquidity indicator of Unrestricted Cash and
Investments compared to Current Liabilities fell from 96% to 92% coverage. However, the negative
effect of a large payable to contractors at month end is temporary due to the fact that the District can
request reimbursement from the state SRF fund, or from restricted bond proceeds to replenish
unrestricted cash. Without the large payable to SSC, the ratios would have changed to 1.42:1 and
97 %, respectively.
Revenue & Expenses Statement
Operating Revenue
Water sales in December were $113,109 under budget. In terms of volume, sales were down 9.5%
from November to 492,556 HCF, and are down 100,226 HCF, or 16.9 %, compared to December 2009.
Compared to two years ago, sales are down 82,452 HCF or 14.3 %.
Year -to -date, sales are down 436,673 HCF or 8.2% compared to the first six months in fiscal year
2009 -10.
Other District operating revenues were $2,407 over budget in December, and Sewer Treatment
charges which are passed through to the City were $11,417 under budget.
Both the sewer system and sewer treatment charges are significantly under budget as a result of a
12/09 to 12/10 drop of 21,693 HCF in water consumption by our commercial customers. Collection
charges (delinquent, disconnect) are $30,263 over budget, (an average of $10,000 per month for
October to December) as a result of the new $5 final notice charge (pink tag) that went into effect in
October.
Year to date, operating revenues are $520,836 under budget.
Operating Expenses
Operating Expenses were approximately $125 thousand under budget in December due primarily to the
significant underutilization of contracted water treatment units.
in the Source of Supply cost center. the District remitted two payments totaling $170,000 to SBVMWD.
The first was for $120,000 and the District's participation in the Cooperative Groundwater Recharge
Project, the second for $50,000 was to pre - purchase 400 acre -feet of water at the discounted rate of
$125 /Acre Foot.
Pumping costs were almost $30,000 under budget as maintenance expenditures were far lower than
budgeted, and Water Treatment was $88,302 under budget due to low usage levels of the Envirogen
treatment units. However, in January, a take -or -pay payment of approximately $80,000 will be made to
Envirogen to satisfy contract requirements to pay a reduced rate for the deficit between water treated
and the minimum volume of water treatment stipulated in our contracts with Envirogen.
Transmission and Distribution costs were under budget for only the second time this fiscal year as more
of the maintenance crew labor was diverted to Capital Projects.
In General and Administrative expenses —
• a large, annual software maintenance payment caused Office Equipment to exceed budget by
$33,000, and
• the awards banquet and longevity incentive payments distributed in December were the reason
employee programs exceeded budget by $15,000.
Total operating expenses are under budget $545,393 year to date, and although operating revenue is
also under budget by $520,836, Operating Income for the July through December is still $24,557 over
projections at $2,786,142. Budgeted operating income for the 2010 -11 fiscal year is $4,430,105
Capital Projects
Capital expenditures during December included continuing work on leasehold improvements to Suite
30. There was also $456,939 spent on the CIP during December, consisting primarily of $79,943 spent
on the Hillview main replacement project and $352,361 in costs incurred on Plant 134 as SSC began
their construction work.
East Valley Water District
Balance Sheet - Unaudited
December 31, 2010
ASSETS
UTILITY PLANT - at cost:
Utility Plant in Service - water department
$125,135,088
Utility Plant in Service - sewer department
30,803,610
155,938,698
Less: Accumulated Depreciation
(48,381,429)
107,557,269
Construction in Progress
6,659,897
114,217,166
RESTRICTED ASSETS:
Customer / Construction Deposits 1,873,141
Capacity Fees 57,837
Construction Funds 16,022,129
Debt Service Funds - Trust Accts 972,202
18,867,472
CURRENT ASSETS:
Cash and Investments 24,681,483
Less: Restricted Cash and Investments 18,867,472
5,814,011
Accounts Receivable (net of allowance) 1,191,426
Other Receivables (net of allowance) 304,126
Inventory 1,020,301
Prepaid Expenses 233,647
8,563,511
OTHER ASSETS AND DEFERRED COSTS (Net of Amortization):
Bond discount and incidental bond expenses 318,759
Deferred financing charges 420,645
739,404
TOTAL ASSETS 142,387,553
Balance Sheet Page 1
East Valley Water District
Balance Sheet - Unaudited
December 31, 2010
LIABILITIES AND EQUITY
LONG -TERM DEBT:
2010 Revenue Bonds $32,490,000
Premium on 2010 Revenue Bonds 2,213,063
DWR Loan 131,861
Less: Deferred amount on refunding of COPS (457,686)
34,377,238
CURRENT LIABILITIES:
Accounts payable
2,096,996
Accrued payroll and benefits
1,296,729
Customer service deposits
1,656,220
Construction deposits
216,921
Accrued interest payable
6,475
Long Term Debt - amounts due within one year
1,071,307
6,344,648
TOTAL LIABILITIES 40,721,886
EQUITY:
Contributed Capital:
Restricted Developer Fees
57,837
Invested in Utility Plant
39,193,724
Other Contributed Capital
3,699,778
Retained Earnings:
Reserved for water bond funds
6,475
Reserved for emergencies
2,170,000
Reserved for Unemployment Insurance
16,450
Unreserved
53,949,999
Net Income for current year
2,571 404
TOTAL EQUITY 101,665,667
TOTAL LIABILITIES AND EQUITY 142,387,553
Balance Sheet Page 2
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EAST VALLEY WATER DISTRICT
CAPITAL IMPROVEMENT PROGRAM
INCLUDING CAPITAL BUDGET FOR
FISCAL YEAR 2010 -2011
Updated through December 2010
Page 1
EAST VALLEY WATER DISTRICT
Capital Improvement Program
Updated through December 2010
Page 2
Prior Current
(Memo)
Projects - By Type
Years Year
2010 -11 2011 -12
Actual Actual
Budget Year 2
Source of Supply
Plant 150 Wells
-
Lower Zone Wells (2)
-
Sunrise Ranch Wells (4)
-
Total Source of Supply Projects
-
Treatment Facilities
Plant 134 - Upgrade Technology
1,758,011
443,587
10,547,500 5,175,500
Plant 134 - Membrane Replacement
Plant 150 - Lower Zn Perch Treat. PI - Phase 1
1,825,125
32,250
1,200,000 7,890,000
Plant 150 - Lower Zn Perch Treat. PI - Phase 2
-
-
- -
Plant 152 - Inter. Zone Perch Treat. Plant
-
- -
Total Treatment Projects
3,583,136
475,836
11,747,500 13,065,500
Pumping Facilities
Plant 9 - Rehab Forebay and Booster Station
-
-
50,000 -
Plant 40 - Inter to Upper Zone Transfer
2,096
125
300,000
Plant 127 - Lower to Inter Zone Transfer
-
-
- -
Plant 12 - Replace Boosters / Well
-
-
- 500,000
Plant 134 - Upper to Canal Zone Transfer
-
-
- -
Plant 39 - Inter to Upper Zone Transfer
-
-
- -
Plant 25 - Inter to Upper Zone Transfer
-
-
- -
Plant 143 - Inter to Upper Zone Transfer
-
-
1,000,000 -
Total Pumping Projects
2,096
125
1,350,000 500,000
Wastewater Collection System
Sewer System Studies / Planning
142,662
7,370
50,000 250,000
Sewer Main Lining
200,000 450,000
Conejo Main Replacement
112,889
28,905
1,040,000 -
Total Wastewater Collection Projects
255,551
36,275
1,290,000
700,000
Page 2
20112.13
Year 3
2013.14
Year 4
2014.15 V
Year 5
2015 -16
Year 6
- `
Project
Totals
Beyond
Year 6
-
1,925,000
1,925,000
-
3,300,000
3,300,000
-
4,400,000
4,400,000
-
9,625,000
9,625,000
-
7,377,098
10,750,000
1,075,000
-
-
21,572,375
-
-
5,050,000
2,850,000
-
7,900,000
-
-
-
19,160,000
19,160,000
10,750,000
1,075,000
5,050,000
2,850,000
19,160,000
56,009,473
250,000
-
-
-
250,000
-
-
2,221
-
300,000
300,000
500,000
-
-
-
1,000,000
520,000
780,000
-
-
1,300,000
-
-
2,200,000
-
2,200,000
400,000
-
400,000
-
-
-
-
2,900,000
2,900,000
1,270,000
300,000
780,000
2,600,000
2,900,000
8,352,221
-
-
-
400,032
450,000
450,000
450,000
450,000
1,800,000
4,050,000
-
-
141,794
450,000
450,000
450,000
450,000
1,800,000
4,591,826
Page 3
EAST VALLEY WATER DISTRICT-
Capital Improvement Program
Updated through December 2010
Page 4
Prior Current
(Memo).
Projects- By Type
Years Yea,
2010 -11 2011 -12
Actual Actual
Budget Year 2
Transmission & Distribution System
6th St 20" Pipeline - Plants 11 & 12 to 150
-
-
510,000
Live Oak Main Replacement
9,943
"97,136
70,000 -
Harlan Lane Main Replacement
7,957
-
90,000 70,000
Cunningham / Hillview / Crest / Bruce
-
:?87,972
450,000 -
6th St 30" Pipeline - Plant 151 to Plant 40
-
33,573
100,000 3,815,000
6th St 30" Pipeline - PI 40 to PI 143
9th St 12" Pipeline - Del Rosa to Sterling
-
AMR Meter Replacement Program
38,447
200,000 300,000
Plant 59 Recoating
-
-
- 300,000
Plant 143 - 10mg Inter Zone Storage
-
1,205
1,050,000 -
Reservoir- Greenspot Rd S Curve
-
-
-
Reservoir -Seven Oaks Dam Rd
-
-
-
Relocation of Facilities for Other Agencies
54,733
15,244
100,000
Eastwood Farms Assessment District
112,529
51,561
2,211,399 -
Baseline Gardens
94
Total Trans & Distribution Projects
185,162
625,231
4,271,399
4,995,000
General Projects
GIS Implementation
457,752
115,719
160,000 100,000
Headquarters Building
-
-
- -
Total General Projects
457,752
115,719
160,000 100,000
77T
Miscellaneous / Developer Projects
Developer Water Facilities (Reimb by Fees)
226,444
(20,693)
Developer Sewer Facilities (Reimt by Fees)
(17,590)
5,514
Regional Treatment Plant
24,246
Seven Oaks Dam (SAR) Discharge
206,057
2010 Flood Clean Up - Highland
744
2010 Flood Clean U - EVWD Facilities
:7-4. =N=
...
Page 4
2012 -13
2013 -14
2014 -15 2015 -16
TBeyond
Project
Year 3
Year 4
Year 5 Year 6
Year 6
Totals
510,000
207,079
77,957
287,972
2,060,000
-
-
5,908,573
1,300,000
1,000,000
-
5,400,000
7,700,000
-
-
700,000
-
700,000
300,000
300,000
-
938,447
_
_
300,000
-
10,700,000
10,701,205
-
10,700,000
10,700,000
-
10,700,000
10,700,000
-
69,977
_
_
_
-
164,090
3,660,000
1,300,000
700,000
37,500,000
48,965,299
_
_
-
673,471
10,000,000
10, 000,000
10,000,000
10,673,471
205,751
(12,076)
24,246
Page 5
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EAST VALLEY WATER DISTRICT
DIRECTOR'S FEES AND EXPENSE REPORT
DIRECTOR
Matt Le Vesque
MONTH January
2011
Board Meetings
1/11,1/25
Conferences and Other Meetings
DATE
ORGANIZATION
PURPOSE
10 -Jan
ACE
Seven Oaks Dam
10 -Jan
SBVMWD
SAS Task Force
12 -Jan
EVWD
Public Affairs Committee
13 -Jan
USARWA
Meeting
19 -Jan
CPS
Strategic Workforce Planning & Management
21 -Jan
EVWD
Mtg. w/ CV re Community Affairs
26 -Jan
EVWD
Mtg. w/ SBSO, Bob re security
27 -Jan
MEM
Instruction
TOTAL # OF MEETINGS 9 @ $175.00 each $
1,575.00
Travel Expenses: (Details on Back)
$
Total Director's Meetings & Expenses $
1,575.00
Director's Signature
Date of
Board Approval
Administrative
Manager
Miscellaneous
Notes
Less Any Advance Payments $
TOTAL DUE DIRECTOR $ 1,575.00
TRAVEL EXPENSES
Lodgings: (Detailed receipts attached *)
DATE FUNCTION ATTENDED _ AMOUNT
TOTAL LODGING $
Personal Auto: (Detailed receipts attached *)
PARKING
DATE FUNCTION ATTENDED MILES FEES
¢
TOTAL FEES $
CURRENT RATE: $0.51 TOTAL NAILES $
Meals: (Detailed receipts attached *)
DATE FUNCTION ATTENDED
Other: (Detailed receipts attached *)
DATE FUNCTION / NATURE OF EXPENSE
* ORIGINAL RECEIPTS REQUIRED
TOTAL MEALS $
TOTAL OTHER $
TRAVEL EXPENSES $
AMOUNT
EAST VALLEY WATER DISTRICT
DIRECTOR'S FEES AND EXPENSE REPORT
DIRECTOR
Larry Malmberg
MONTH January , 2011 _
Board Meetings
*1- 11 -11; *1 -25 -11
Conferences and Other Meetings
DATE
ORGANIZATION
PURPOSE
5 -Jan
* SBACC
Chamber of Commerce Koffee Klatch
10 -Jan
*EVWD
7 Oaks Dam inspection and video
12 -Jan
*EVWD
Public Affairs Committee Meeting
12 -Jan
SBACC
Chamber of Commerce Koffee Klatch
19 -Jan
SBACC
Chamber of Commerce Koffee Klatch
19 -Jan
*EVWD
ERNIE Meeting
21 -Jan
*EVWD
Legislative Committee Meetin
21 -Jan
EVWD
Meeting with CV Stratagies.
24 -Jan
*CMUA
Legislative Meeting in Sacramento
26 -Jan
*EVWD
Meet with Bob, Mayor, COP re: Security
27 -Jan
*CDSA
Seminar in Riverside.
TOTAL # OF MEETINGS 10@ $175.00 each $ 1,750.00
Travel Expenses: (Details on Back)
$ 78A0
Total Director's Meetings & Expenses $ 1,828.40
Director's Signatur Less Any Advance Payments $
Date of
Board Approval - TOTAL DUE DIRECTOR $ 1,828.40
Administrative
Manager
Miscellaneous
Notes
TRAVEL EXPENSES
Lodgings: (Detailed receipts attached`)
DATE FUNCTION ATTENDED AMOUNT
TOTAL LODGING $
Personal Auto: (Detailed receipts attached')
PARKING
DATE FUNCTION ATTENDED MILES FEES
24 -Jan CMUA Legislative Day Sacramento CA Drop off and Pick up CIA 56 $
24 -Jan Shuttle to downtown Sacramento $ 14.00
27 -Jan CSDA Seminar in Riverside 49 $
c
TOTAL FEES $ 14.00
CURRENT RATE: $0.51 TOTAL MILES 105 $ 53.55
Meals: (Detailed receipts attached')
DATE FUNCTION ATTENDED AMOUNT
24 -Jan Breakfast at CIA $ 10.85
TOTAL MEALS $ 10.85
Other: (Detailed receipts attached')
DATE FUNCTION I NATURE OF EXPENSE AMOUNT
TOTAL OTHER $
ORIGINAL RECEIPTS REQUIRED TRAVEL EXPENSES $ 78.40
EAST VALLEY WATER DISTRICT
DIRECTOR'S FEES AND EXPENSE REPORT
DIRECTOR: _Morales MONTH January_ 2011
Board Meetings: _11, 25
Conferences and Other Meetings
DATE ORGANIZATION PURPOSE
10 City San Bernardino Council Meeting - Sewer Rate Agenda Item
12 EVWD Policy Ad Hoc Committee
13 EVWD/Mathis District Strategic Plan Upd
21 E\ WD___j,� LegisWve Committee
21 CVS Str` i Pubkc Relations Strategic Plan (no charge)
27 Main Evert Mgmt._ Model- Netics Management training (no charge)
TOTAL # OF MEETINGS-6_@ $175.00 each $1,050.00_
Travel Expenses: (Details on Back)
Total Director's Expenses $
Total Director's Meetings & Expenses $1,050.00_
Director's Signature Less any Advance Payments $
Date of Board Approval
EVWD Eto JAN 201 1A
TOTAL DUE DIRECTOR $1,050.00_
TRAVEL EXPENSES
Lodgings: (Detailed receipts attached')
DATE FUNCTION ATTENDED AMOUNT
TOTAL LODGING $
Personal Auto: (Detailed receipts attached')
DATE FUNCTION ATTENDED MILES PARKING FEES
TOTAL FEES $
TOTAL MILES x $.50 per mile
Meals: (Detailed receipts attached')
DATE FUNCTION ATTENDED
AMOUNT
TOTAL MEALS $
Other: (Detailed receipts attached')
DATE FUNCTION ATTENDED AMOUNT
I
TOTAL OTHER $
* ORIGINAL RECEIPTS REQUIRED
TRAVEL EXPENSES $
(Enter this total on the front of form)
EAST VALLEY WATER DISTRICT
DIRECTOR'S FEES AND EXPENSE REPORT
DIRECTOR Sturgeon MONTH January 201:1
Board Meetings 11 & 25
Conferences and Other Meetings
DATE
ORGANIZATION
31
Dr. Mathis
04
City of Redlands
25
General Manager
19
CPS
12
Community Affairs
21
CV Strategies
20
County of SB
05
SB C of C
27
Model - Netics
07
Seven Oaks Dam
12
Policy Committee
PURPOSE
Council Meeting
Meeting
Strategic Workforce Meeting
Meeting
Meeting
Vision of the County Workshop
Breakfast Meeting
Instruction
Tour
Meeting
TOTAL # OF MEETINGS 9 @ $175.00 each $ 1 , 575
Travel Expenses: (Details on Back) $
Total Director's Meetings & Expenses $ 11575
Director's Signature
Date of
Board Approval February 8, 2011
Administrative
Manager
Miscellaneous
Notes
Less Any Advance Payments $
TOTAL DUE DIRECTOR $ 1, 5 7 5
TRAVELEXPENSES
Lodgings: (Detailed receipts attached')
DATE FUNCTION ATTENDED AMOUNT
Personal Auto: (Detailed receipts attached`)
DATE FUNCTION ATTENDED
TOTAL LODGING $
PARKING
MILES FEES
TOTAL FEES $
CURRENT RATE: $0.50 TOTAL MILES $
Meals: (Detailed receipts attached')
DATE FUNCTION ATTENDED AMOUNT
TOTAL MEALS $
Other: (Detailed receipts attached')
DATE FUNCTION ATTENDED AMOUNT
TOTAL OTHER $
ORIGINAL RECEIPTS REQUIRED TRAVEL EXPENSES $
EAST VALLEY WATER DISTRICT
DIRECTOR'S FEES AND EXPENSE REPORT
DIRECTOR Wilson
Board Meetings 1/11;1/25
Conferences and Other Meetings
DATE
ORGANIZATION
10 -Jan
BTAC & Sucker Task Force
18 -Jan
SBVMWD
21 -Jan
EVWD
1/23 -1/25
CMUA
26 -Jan
EVWD
Travel Expenses: (Details on Back)
Director's Signature
Sate of
3oard Approval
kdministrative
danager
Aiscellaneous
dotes
MONTH Jan _201 �__
PURPOSE
Board Meeting
Meeting with Cara D
Briefing & Visits
Meeting with Gen Mgr
TOTAL # OF MEETINGS 7 Q $175.00
each $ 1,225.00
$ 513.70
Total Director's Meetings & Expenses $ 1,738.70
Less Any Advance Payments $ 513.70
TOTAL DUE DIRECTOR $ 1.225.00
TRAVEL EXPENSES
Lodgings: (Detailed receipts attached*)
DATE FUNCTION ATTENDED AMOUNT
1123 -1/25 CMUA $ 283.30
TOTAL LODGING $ 283.30
Personal Auto: (Detailed receipts attached`)
DATE FUNCTION ATTENDED Y_ MILES
$
$
TOTAL FEES $
CURRENT RATE: $0.51 TOTAL MILES $
Meals: (Detailed receipts attached -)
DATE FUNCTION ATTENDED
a
e
PARKING
FEES
L•Cd9P12Y1
TOTAL MEALS $
Other. (Detailed receipts attached')
DATE FUNCTION / NATURE OF EXPENSE AMOUNT
1/23;1/25 Air Fare- _ $ 230.40
.ORIGINAL RECEIPTS REQUIRED
TOTAL OTHER $ 230.40
TRAVEL EXPENSES $ 513.70
t4vater stValley
District
Board Memorandum No. B -07 -2011
From: Brian W. Tompkins / Chief Financial Officer /Ok
Subject: Investment Report for the quarter ended December 31, 2010
Recommendation: Accept and file the attached report
Unrestricted Investments
LAIF
Date: February 8, 2011
The balance held in LAIF at the beginning of the quarter was $3,021,780. During October, interest
earnings related to the third calendar quarter of $4,212 were posted to the account leaving an ending
balance of $3,025,991. There were no transfers to or from the LAIF account during quarter.
Fourth quarter earnings on the LAIF account were $3,476 calculated at an apportionment rate of .460/0.
This represents a further decline in the apportionment rate from .51% for the previous quarter. These
earnings were posted to our account on January 14, 2011.
Citizen's Business Bank Wealth Management
The total (book) value of the assets held with CBB increased $6,826 to $4,085,800 during the quarter
ended 12/31/10. The purchase and sale of securities is shown on the attached supplemental schedule.
Semi - annual interest payments received on securities in the District's portfolio were $8,994 for the
quarter ended December 31, while the money market fund earned $540. These earnings were reduced
by losses of $1,133 realized when bonds purchased at a premium, and therefore having a carrying
value higher than their face value, matured.
Investment manager fees paid during the quarter were $1,575.
There were no transfers to or from this investment account during the fourth quarter.
Restricted Investments
Union Bank
The 2001 COPs were paid off in December and therefore the Installment Payment Fund for that COP
issue was closed.
Four new accounts were opened to service the activity related to the 2010 Revenue Bonds: Acquisition
Funds for both water and sewer, an Interest Fund, and a Revenue Fund.
The Water Acquisition Fund was established with $15 million in bond proceeds and will provide the
funding for water capital projects. Money in the Fund is currently invested in Union Bank's Blackrock
T(reasury) mutual fund, but $14,000,000 was moved to an LAIF bond proceeds account on January
25`h in order to obtain a better yield. Interest earned on the account curing the quarter was $215.
The Sewer Acquisition Fund was established with $1 million in bond proceeds to provide funding for
sewer projects. It is invested in Union Bank's Blackrock T fund and will be kept there through March. If
new projects, in addition to the Conejo sewer main replacemem. are not identified by March 31, a
majority of the balance will be moved to LAIF.
The Interest Fund received $655,721 in bond proceeds. This amount is intended to help defray some
of the debt service burden related to the new bonds until the second phase of the District's water rate
increase becomes effective. One half of this account will be used to pay the April 1, 2011 bond interest
payment and the balance of the account will be used for the October 1. 2011 payment.
The Revenue fund was established to receive payments from the District for purposes of making
payment to the bond holders. Annual debt service increments are being divided into 12 monthly
installments, which are remitted to the Trustee on the 25t" of each month. Current year installments are
$158,227 and installment payments were made in both November and December. Interest of $3
earned on the account brings the balance to $316,457 at December 31 51.
Combining Investments
At the last meeting director Morales noted that new treasuries being purchased by our investment
manager at CBB wealth management have yields below 1 %, some as low as .375 %. In addition, we
pay trustee fees to CBB of between $500 and $600 per month.
By comparison, LAIFs apportionment rate, or yield, for the past quarter was .46% and we pay no
explicit fees to LAIF, only those that may be built into the apportionment rate.
Riskier investments, such as mortgage backed securities, are available at higher rates but we have
asked the CBB investment manager to keep investment in these types of instruments to a very low
percentage of our portfolio. Staff does not recommend taking on additional risk at this point as reserve
targets have not been met.
For calendar year 2010, the CBB investment account earned interest of $37,185 while paying $6,824 in
trustee fees. The net earnings of $30,361 represents a return of .75% on an average investment
portfolio of $4,056,565. Using this same portfolio total, and actual quarterly apportionment rates used
by LAIF during 2010, LAIF would have returned $21,192, $9,169 less than CBB.
I spoke to our investment manager last Tuesday to discuss investment options. He noted that the
Treasury earning .375% (mentioned above) was purchased in early November and that the Treasury
yields for two year notes have improved to around .6 %. We also ciscussed his purchase of some
Fannie Mae and GNMA bonds with longer terms and higher yields, knowing they will be called in 6 to
12 months, in search of slightly better yields. His goal for our portfolio, working within parameters
established by EVWD, is an average yield of 1 %.
Unless there are objections by the board, staff recommends maintaining the current split between LAIF
and CBB given that the returns by our CBB account are 30% higher. Staff will continue to monitor the
yields and bring this issue back to the board if there is a significant change in investment results.
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�PSER CONSERVAT ION O'ST
Ox'
UR NAME IS OUR N255�
January 6, 2011
Robert Martin
East Valley Water District
PO Box 3427
San Bernardino, CA 92413
SAN BERNARDINO VALLEY WATER CONSERVATION DISTItICT
Established 1932
1630 West Redlands Boulevard, Suite A
Redlands, CA 92373 -8032
(909) 793 -2503
Fax: (909) 793 -0188
RE: Status Report on Wash Plan Activities
Dear Mr. Martin,
P.O. Box 1839
Redlands, CA 92373 -0581
Email: info@sbvwcd.dst.ca.us
w .sbvwcd.dst.ca.us
It has been a several months since the last Wash Plan Task Force meeting and I believe that a brief status report on
Wash Plan activities is in order to keep you informed of our progress.
You will recall that at the March 04, 2010 Task Force meeting, Water Conservation District staff reported that the draft
Habitat Conservation Plan (HCP) had been completed and that the administrative draft Final Environmental Impact
Statement (EIS) on the Land Exchange had been submitted to the BLM for approval and public release. The BLM did
issue the EIS, and public comment was received, and draft responses were prepared. BLM also initiated informal
consultation with the U.S. Fish and Wildlife Service (USFWS) on the EIS. A preliminary review draft of the HCP had
been submitted to Nancy Ferguson with USFWS back in September, 2009, and up until September of this year, and the
District had been awaiting the results of her review. The final steps in the approval process, both in terms of finalizing
the EIS and ultimately issuing the ESA incidental take permits, primarily hinge on the USFWS.
You may recall that discussion at the March Task Force meeting also focused on current fiscal issues associated with
the Wash Plan. Based on the presentation at the Task Force meeting, the governing committee recommended that the
District invoice Task Force members for future project management costs and any other anticipated costs necessary to
complete the Wash Plan, and obtain the incidental take permits required for project implementation. The Task Force
directed the District to make a careful estimate of final project completion costs, given the sensibilities of any
additional funding requests, in the current fiscal climate. In order to prepare a reliable estimate of future costs, the
District was awaiting USFWS feedback on the HCP and the Section 7 process.
Unfortunately, we had great difficulty engaging the USFWS in completing the Wash Plan review process, until
recently. After several requests for a meeting, we finally met on September 9'" with Ms. Ferguson and her new boss,
Assistant Field Supervisor Ken Corey, at a meeting also attended by the BLM. We have had a series of meetings with
the BLM and the USFWS since September, with the last meeting on October 28'"
The direction and feedback we have received from USFWS was not what we had hoped, and unfortunately not
consistent with representations USFWS had made through the many years of negotiating the compromises on mining
and mitigation properties through the development of the Wash Plan. The bottom line is that the USFWS will not
support the land exchange as it is presented currently configured, and will require extensive revisions to the HCP.
BOARD Richard W. Corneille Arnold L. Wright David E. Raley GENERAL Daniel B. Cozad
OE Clare henry Day John l,ongville Melody McDonald MANAGER
DIRECTORS Manuel Aranda, Jr.
Additionally, the BLM is concerned with the adequacy of the EIS based on the comments from the Center for
Biological Diversity, and a recent case holding from the Ninth Circuit on z similar factual situation in Arizona.
Our meeting of October 28" was designed to get the two federal agencies communicating with each other productively
again on processing the Wash Plan, and to flush out exactly what defects USF`,VS found with the plan it had helped
develop for land uses after the exchange. We also sought, and received. technical comment on the HCP. Attached is
the first formal response that we have received from the USFWS regarding their views on the overall plan and what is
needed to complete the federal review process.
At our October 28'h meeting, the USFIA'S and the BLM did offer an approach to changing the current documents in
manner that would remedy the existing problems, as they see them. Their proposed approach would entail preparing a
new draft EIS that presents the land exchange and the HCP as combined projects. The new draft EIS would include an
expanded alternatives analysis for the EIS and a full environmental analysis of "Plan A ". The USFWS and the BLM
would be "co -lead agencies" for the NEPA document.
This approach offers the benefit of providing a single NEPA compliance for all federal actions involved in
implementing the Wash Plan, and it would greatly simplify the Section 7 consultation process associated with the land
exchange. (Indeed, this was our original approach, before USFWS directed us in 2006 to process the Land Exchange
and ESA permitting separately.) The approach carries the burden, however, of the need for extensive changes to the
HCP, and EIS.. We have reviewed the changes the federal agencies have requested, and have concluded that they are
possible, but there will be considerable cost and time involved in making these changes.
We are in the process of obtaining cost estimates and an estimate of the time involved in the revisions so that we can
present a complete financial picture, to enable the Task Force to make an informed decision on how, or whether, to
proceed. We anticipate convening a Task Force meeting in late January or early February to present this information.
Thank you for your patience and support of the Wash Plan program. Please do not hesitate to contact me or Daniel
Cozad, General Manager, with any questions that you may have regarding this update.
Sincerely,
and Sc It
Wash Plan Project Manager
Enclosure: USFWS letter dated December 8, 2010
Cc: Task Force Governing Committee Members
QSP NT OF
United States Department of the Interior
FISH AND WILDLIFE SERVICE
Ecological Services
Carlsbad Fish and Wildlife Office
6010 Hidden Valley Road, Suite 101
Carlsbad, California 92011
In Reply Refer To:
FWS- SB- 08BO318- IOTA0126
DEC 0 8 2010
Mr. Daniel B. Cozad
General Manager
San Bernardino Valley Water Conservation District
1630 Redlands Boulevard, Suite A
P.O. Box 1839
Redlands, California 92373
Subject: Upper Santa Ana River Habitat Conservation Plan (USARHCP), Cities of Highland
and Redlands, San Bernardino County, California
Dear Mr. Cozad:
The San Bernardino Valley Water Conservation District (SBVWCD) submitted a draft of the
Upper Santa Ana River Habitat Conservation Plan (informally known as "Plan B ") to us on
January 12, 2010 (ICF Jones & Stokes, dated January 12, 2010). The implementation of this
proposed Habitat Conservation Plan (HCP) is dependent upon two Federal actions to be
undertaken by the Bureau of Land Management (BLM): specifically, an amendment to the South
Coast Resource Management Plan (RMP) for which the Record of Decision was signed in June
of 1994, and an exchange of federally owned land currently managed pursuant to this RMP for
land owned by the SBVWCD. The lands currently owned by the BLM proposed for exchange
are designated as Areas of Critical Environmental Concern in the RMP. The draft HCP
addresses the federally endangered San Bernardino kangaroo rat (Dipodomys merriami parvus,
"SBKIV ), Santa Ana River woolly -star (Eriastrum densifolium ssp. sanctorum, "woolly- star"),
and the slender -horned spineflower (Dodecahema leptoceras, "spineflower "), collectively
referred to as the "covered species" in the draft HCP. Designated critical habitat for the SBKR is
within the HCP area. The RMP addresses the woolly -star and spineflower; both of these plant
species are also listed as endangered under the California Endangered Species Act.
We provided written comments on the draft HCP to David Cosgrove and Randy Scott,
representatives of the SBVWCD, via electronic mail on September 30, 2010. We met with Dave
and Randy and personnel from ICF Jones & Stokes at various times during the months of
September and October of this year; the BLM was involved in some, but not all, of these
meetings. At our most - recent meeting of October 28, 2010, we were asked to identify in writing
our primary concerns regarding Plan B above so that the SBVWCD and stakeholders in this HCP
would have more specific direction from our agency on how to proceed.
TAKE FRIDEO I&
IN�M ERICA = ..�.,,,�•
Mr. Daniel B. Cozad (FWS- SB- 08BO318- IOTAO126) 2
We provide the following information in keeping with our responsibilities under the Endangered
Species Act of 1973 (Act), as amended (16 U.S.C. 1531 et seq.), and in keeping with our
agency's mission to work "with others to conserve, protect, and enhance fish, wildlife, and plants
and their habitats for the continuing benefit of the American people."
Plan B is primarily a management -based HCP. We have agreed that management to benefit the
covered species on Federal lands is an acceptable part of the overall, broader conservation
strategy; however, because the loss of species and their habitat would be into perpetuity, the
assurances of long -term conservation and management of lands to offset these losses must be
into perpetuity as well. To date, the BLM and our agency have not yet determined how such
protection and management assurances could be provided on public lands.
A sufficiently robust management plan to address the management -based aspects of the
conservation strategy in Plan B is currently lacking in the draft HCP. Habitat management to
benefit the proposed covered species would be experimental in nature. Although our agency is
working with the U.S. Army Corps of Engineers (Corps) on the implementation of a long -term
management plan for these species within the Woolly -star Preserve Area which is within the
boundaries of Plan B, some of the experimental manipulations of habitat are just being initiated
and no conclusive results have yet been obtained.
Financial assurances that the proposed management would be carried out are also needed. An
Implementing Agreement that identifies the means by which those financial commitments would
be met will be necessary before the HCP can be circulated for public review.
We are aware that the mining stakeholders in Plan B, Robertson's Ready Mix (RRM) and
CEMEX, are proposing to pursue mining on privately -owned lands within the Plan B boundary
and are beginning the pre- application phase with the Corps for issuance of a § 404 permit from
pursuant to the Clean Water Act [33 U.S.C. § 1251 et seq. (1972)]. Representatives of RRM and
Cemex have stated that they consider this proposal an interim strategy until the Federal actions
and the HCP process are completed. If so, we anticipate that our agency would be asked to
consider a proposal to mine within the Plan B boundary under section 7 of the Act. If
implemented, this activity would result in significant revisions to the draft HCP.
We were asked to provide this information in part, so that your agency and the Plan B
stakeholders could better - consider future financial commitments that may be needed in order to
complete the HCP process; specifically, document preparation. In addition to the consideration
that should be given to the proposal to mine on private lands within the Plan B boundary, we
strongly recommend that serious consideration be given to the development of the critical
management aspects of Plan B and a realistic timeframe for implementation of the BLM actions.
Should the HCP process move forward, our agency is considering including our evaluation of the
draft HCP in a single, revised NEPA Environmental Impact Statement for the BLM's proposed
amendment of the RMP Amendment and exchange of Federal lands.
Mr. Daniel B. Cozad (FWS- SB- 08B0318- 1OTA0126)
We are available to assist in further discussions regarding the above. Any questions or
comments regarding this should be directed to Nancy Ferguson at (760) 431 -9440, extension
244.
Ke ey
As 'stant Field Supervisor
cc:
John Kalish, Bureau of Land Management, Palm Springs, California
David B. Cosgrove, Rutan & Tucker LLP, Costa Mesa, California
Christine Geoyvaert, Robertson's Ready Mix, Corona, California
Scott Hess, Cemex, Moorepark, California 93020
Robin Maloney- Rames, California Department of Fish and Game, Ontario, California
J4ER CONS ER VArl0,V O /S
�P "p,
Uq NAME IS OUR Wssko
January 14, 2011
General Manager
East Valley Water District
PO Box 3427
San Bernardino, CA 92413
SAN BERNARDINO VALLEY WATER CONSERVATION DISTRICT
Established 1932
1630 West Redlands Boulevard, Suite A
Redlands, CA 92373 -8032
(909) 793 -2503
Pax: (909) 793 -0188
RE: Status Report on Wash Plan Activities
Dear Sir or Madam,
P.O. Box 1839
Redlands, CA 92373 -0581
Email: info @sbvwcd.c.st.ca.us
www.sbvwcd.est. ca.us
It has been a several months since the last Wash Plan Task Force meeting and I believe that a brief status report on
Wash Plan activities is in order to keep you informed of our progress.
You will recall that at the March 04, 2010 Task Force meeting, Water Conservation District staff reported that the draft
Habitat Conservation Plan (HCP) had been completed and that the administrative draft Final Environmental Impact
Statement (EIS) on the Land Exchange had been submitted to the BLM for approval and public release. The BL,\4 did
issue the EIS, and public comment was received, and draft responses were prepared. BLM also initiated informal
consultation with the U.S. Fish and Wildlife Service (USFWS) on the EIS. A preliminary review draft of the HCP had
been submitted to Nancy Ferguson with USFWS back in September, 2009, and up until September of this year, and the
District had been awaiting the results of her review. The final steps in the approval process, both in terms of finalizing
the EIS and ultimately issuing the ESA incidental take permits, primarily hinge on the USFWS.
You may recall that discussion at the March Task Force meeting also focused on current fiscal issues associated with
the Wash Plan. Based on the presentation at the Task Force meeting, the governing committee recommended that the
District invoice Task Force members for future project management costs and any other anticipated costs necessary to
complete the Wash Plan, and obtain the incidental take permits required for project implementation. The Task Force
directed the District to make a careful estimate of final project completion costs, given the sensibilities of any
additional funding requests, in the current fiscal climate. In order to prepare a reliable estimate of future costs, the
District was awaiting USFWS feedback on the HCP and the Section 7 process.
Unfortunately, we had great difficulty engaging the USFWS in completing the Wash Plan review process, until
recently. After several requests for a meeting, we finally met on September 9'n with Ms. Ferguson and her new boss,
Assistant Field Supervisor Ken Corey, at a meeting also attended by the BLM. We have had a series of meetings with
the BLM and the USFWS since September, with the last meeting on October 28'h
The direction and feedback we have received from USFWS was not what we had hoped, and unfortunately not
consistent with representations USFWS had made through the many years of negotiating the compromises on mining
and mitigation properties through the development of the Wash Plan. The bottom line is that the USFWS will not
support the land exchange as it is presented currently configured, and will require extensive revisions to the HC;P.
Additionally, the BLM is concerned with the adequacy of the EIS based on the comments from the Center for
Biological Diversity, and a recent case holding from the Ninth Circuit on a similar factual situation in Arizona
BOARD Richard W. Corneille Arnold L. Wright David F. Raley GiSNF.RAI. Daniel B. Cozad
OP Clare Ilenry Day John Longville Melody McDonald MANAGER
D]RP,CTURS Manuel Aranda, Jr.
Our meeting of October 28'h was designed to get the two federal agencies communicating with each other productively
again on processing the Wash Plan, and to flush out exactly what defects I SFWS found with the plan it had helped
develop for land uses after the exchange. We also sought, and received. technical comment on the HCP. Attached is
the first formal response that we have received from the USFWS regardin.2 their views on the overall plan and what is
needed to complete the federal review process.
At our October 28th meeting, the USFWS. and the BLM did offer an approach to changing the current documents in
manner that would remedy the existing problems, as they see them. Their p-oposed approach would entail preparing a
new draft EIS that presents the land exchange and the HCP as combined pro iects. The new draft EIS would include an
expanded alternatives analysis for the EIS and a full environmental analysis cf "Plan A ". The USFWS and the BLM
would be "co -lead agencies" for the NEPA document.
This approach offers the benefit of providing a single NEPA compliance for all federal actions involved in
implementing the Wash Plan, and it would greatly simplify the Section 7 consultation process associated with the land
exchange. (Indeed, this was our original approach, before USFWS directed us in 2006 to process the Land Exchange
and ESA permitting separately.) The approach carries the burden, however, of the need for extensive changes to the
HCP, and EIS.. We have reviewed the changes the federal agencies have requested, and have concluded that they are
possible, but there will be considerable cost and time involved in making these changes.
We are in the process of obtaining cost estimates and an estimate of the time involved in the revisions so that we can
present a complete financial picture, to enable the Task Force to make an informed decision on how, or whether, to
proceed. We anticipate convening a Task Force meeting in late January or early February to present this information.
Thank you for your patience and support of the Wash Plan program. Please do not hesitate to contact me or Daniel
Cozad, General Manager, with any questions that you may have regarding this update.
Sincerely,
Rand sc tt
Wash Plan Project Manager
Enclosure: USFWS letter dated December 8, 2010
cc: Task Force Technical Committee Members
United States Department of the Interior
° FISH AND WILDLIFE SERVICE
- ° Ecological Services
a� N 3'O� Carlsbad Fish and Wildlife Office
6010 Hidden Valley Road, Suite 101
Carlsbad, California 92011
In Reply Refer To:
F WS- SB- 08B0318 -1 OTAO 126
DEC 0 8 2010
Mr. Daniel B. Cozad
General Manager
San Bernardino Valley Water Conservation District
1630 Redlands Boulevard, Suite A
P.O. Box 1839
Redlands, California 92373
Subject: Upper Santa Ana River Habitat Conservation Plan (USARHCP), Cities of Highland
and Redlands, San Bernardino County, California
Dear Mr. Cozad:
The San Bernardino Valley Water Conservation District (SBVWCD) submitted a draft of the
Upper Santa Ana River Habitat Conservation Plan (informally known as "Plan B ") to us on
January 12, 2010 (ICF Jones & Stokes, dated January 12, 2010). The implementation of this
proposed Habitat Conservation Plan (HCP) is dependent upon two Federal actions to be
undertaken by the Bureau of Land Management (BLM): specifically, an amendment to the South
Coast Resource Management Plan (RMP) for which the Record of Decision was signed in June
of 1994, and an exchange of federally owned land currently managed pursuant to this RMP for
land owned by the SBVWCD. The lands currently owned by the BLM proposed for exchange
are designated as Areas of Critical Environmental Concern in the RMP. The draft HCP
addresses the federally endangered San Bernardino kangaroo rat (Dipodomys merriami parvus,
"SBKR" ), Santa Ana River woolly -star (Eriastrum dens folium ssp. sanctorum, "woolly- star "),
and the slender -horned spineflower (Dodecahema leptoceras, "spineflower "), collectively
referred to as the "covered species" in the draft HCP. Designated critical habitat for the SBKR is
within the HCP area. The RMP addresses the woolly -star and spineflower; both of these plant
species are also listed as endangered under the California Endangered Species Act.
We provided written comments on the draft HCP to David Cosgrove and Randy Scott,
representatives of the SBVWCD, via electronic mail on September 30, 2010. We met with Dave
and Randy and personnel from ICF Jones & Stokes at various times during the months of
September and October of this year; the BLM was involved in some, but not all, of these
meetings. At our most -recent meeting of October 28, 2010, we were asked to identify in writing
our primary concems regarding Plan B above so that the SBVWCD and stakeholders in this HCP
would have more specific direction from our agency on how to proceed.
TAKE PRIDE "�_�, .,
INAMERtCA .�
Mr. Daniel B. Cozad (FWS- SB- 08BO318- 1OTA0126) 2
We provide the following information in keeping with our responsibilities under the Endangered
Species Act of 1973 (Act), as amended (16 U.S.C. 1531 et seq.), and in keeping with our
agency's mission to work "with others to conserve, protect, and enhance fish, wildlife, and plants
and their habitats for the continuing benefit of the American people "
Plan B is primarily a management -based HCP. We have agreed that management to benefit the
covered species on Federal lands is an acceptable part of the overall, broader conservation
strategy; however, because the loss of species and their habitat would be into perpetuity, the
assurances of long -term conservation and management of lands to offset these losses must be
into perpetuity as well. To date, the BLM and our agency have not yet determined how such
protection and management assurances could be provided on public lands.
A sufficiently robust management plan to address the management -based aspects of the
conservation strategy in Plan B is currently lacking in the draft HCP. Habitat management to
benefit the proposed covered species would be experimental in nature. Although our agency is
working with the U.S. Army Corps of Engineers (Corps) on the implementation of a long -term
management plan for these species within the Woolly -star Preserve Area which is within the
boundaries of Plan B, some of the experimental manipulations of habitat are just being initiated
and no conclusive results have yet been obtained.
Financial assurances that the proposed management would be carried out are also needed. An
Implementing Agreement that identifies the means by which those financial commitments would
be met will be necessary before the HCP can be circulated for public review.
We are aware that the mining stakeholders in Plan B, Robertson's Ready Mix (RRM) and
CEMEX, are proposing to pursue mining on privately -owned lands within the Plan B boundary
and are beginning the pre - application phase with the Corps for issuance of a § 404 permit from
pursuant to the Clean Water Act [33 U.S.C. § 1251 et seq. (1972)]. Representatives of RRM and
Cemex have stated that they consider this proposal an interim strategy until the Federal actions
and the HCP process are completed. If so, we anticipate that our agency would be asked to
consider a proposal to mine within the Plan B boundary under section 7 of the Act. If
implemented, this activity would result in significant revisions to the draft HCP.
We were asked to provide this information in part, so that your agency and the Plan B
stakeholders could better - consider future financial commitments that may be needed in order to
complete the HCP process; specifically, document preparation. In addition to the consideration
that should be given to the proposal to mine on private lands within the Plan B boundary, we
strongly recommend that serious consideration be given to the development of the critical
management aspects of Plan B and a realistic timeframe for implementation of the BLM actions.
Should the HCP process move forward, our agency is considering including our evaluation of the
draft HCP in a single, revised NEPA Environmental Impact Statement for the BLM's proposed
amendment of the RMP Amendment and exchange of Federal lands.
Mr. Daniel B. Cozad (FWS- SB- 08B0318- 1OTA0126)
We are available to assist in further discussions regarding the above. Any questions or
comments regarding this should be directed to Nancy Ferguson at (760) 431 -9440, extension
244.
Field Supervisor
cc:
John Kalish, Bureau of Land Management, Palm Springs, California
David B. Cosgrove, Rutan & Tucker LLP, Costa Mesa, California
Christine Geoyvaert, Robertson's Ready Mix, Corona, California
Scott Hess, Cemex, Moorepark, California 93020
Robin Maloney - Rames, California Department of Fish and Game, Ontario, California
General Manager
East Valley Water District
3654 E. Highland Ave #18
Highland, CA 92346
Dear General Manager:
January 21. 2011
Thank you Sir for your quick response to my letter dated January 14, 2011.
Your employee "Norm" was at our home yesterday and explained the situation with the
Pressure/air in our water pipes. He also turned on the Fire Hydrant that is in front of our
home for a time. He also checked the water pressure and tested our water regulator to our
home.
Thank you again for your response. With an employee like "Norm" you are blessed to
have such knowledgeable and concerned employees who set a high level of performance.
He is a credit to your pany, East Valley Water District.
Sincerely yours:
CWO Daniel "Morgan" Dyer, USMC (Ret)
cc: Larry Mc Callon, Mayor of Highland
rya.,; z 4 ?011
'?�` Valiey Water District
'22(0 111 WIFatierr� �oursll�nINO 0 ; 1051C 110
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offer participants a firsthand look at the water facilities,
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range of speakers representing different viewpoints.
The tours are praised for being balanced, thorough and Fun. Participants learn
about local, stare anal f-deral issues from experts on all sides. Time for socializing and
networking is included :r. he acrion- packed itineraries.
Six tours will be offered in 2011. Tour registration fee includes transportation and
lodging while on tha t yr meals and background materials. Attorneys can earn
continuing legal education credits for an additional fee. Water plant or wastewater
plant operators also can earn California Department of Health Services continuing
education credits.
NOTE: Tour stops arc subject to change because of new issues and because of limited
access based on poser ral ecurity concerns.
Lower Colorado t ieer Tour - This 3 -day, 2 -night tour follows the cuursc of
the lower Colorado '�., ei Through Nevada, Arizona and California, and includes a
private tour of Hoover Dam. Tour stops include the Yuma Desalting Plant, farms in
the Imperial and Gncicl.a valleys, MWD's Gene Village, the All- American Canal
lining and Drop 2 pm,ecrs and the Salton Sea. Issues discussed include drought
management, the C, n ral Arizona Project, southern Nevadas water needs, U.S.-
Mexico border nsuo, endangered species and tribal water rights. The tour begins in
Las Vegas and erds .., .a:dornia's Ontario International Airport.
Central Valley Tour - This 3 -day, 2-nighr tour travels the length of the San
Joaquin Valley, gi,ing .,dr-icipanrs a clear understanding of the State Water Project
and Central Vallcp -'n> ec. Stops include the Kern County Water Bank, the San
Joaquin River, Termino.s Dam, Mendota Pool, Friant Dam, San Luis National
Wildlife Refuge and San Luis Reservoir. Issues of growth, water supply, flood
management, groun.h atrr ranking, wetlands, salmon restoration, and agricultural
supply and drainage u e dscussed on this tour, which begins and ends in Bakersfield.
Flood Management Tour - This 2 -day, l -night tour begins at the American
River and uave6 alone; the Bear, Feather and Sacramento rivers into the Delta to
view Sacramenrds Hood management system. Stops include the State - Federal Flood
Operations Center, Folsom Dam, Fremont Weir, Sacramento Weir, Yclo Bypass,
and project and nonproject Delta levees. Issues of vegetation on levees and erosion
control, urban and no , than levees and land use, sea level rise and responding to
flood emergencies ill be discussed. The tour begins and ends in Sacramento.
Bay -Delta Tour - Ih.s 3 -day, 2 -night tour takes participants to the heart of
California water p. It- - the Sacramenro-San Joaquin Delra and San Francisco Bay.
Stops include :h. I )cl :a Cross Channel, the City of Stockton, Bay -Delta model in
Sausalito, Los S'agor n i2rervoir and Suisun Mush. Issues discussed include Delta
planning initiatives.'.. are project operations, fish passage, ecosystem restoration,
levees and flood m.nazement, Delta agriculture, drinking water quality and water
supply reliability. 1h-- ro.a begins and ends at Sacramento International Airport and
includes a ferry ride across San Francisco Bay.
Northern California Tour- This 3 -day, 2 -night tour travels the length of the
Sacramento Valle,,, :u q,.r source of water for California. Stops include Oroville
and Shasta dams, 3c, 13 off Diversion Dam, the Feather River Fish Hatchery,
Battle Creek Dam _r,,� :I sire, GCID's fish screen and Delevan Wildlife Refuge.
Other highlight m, t de ,t houseboat cruise on Shasta Reservoir. Participants
learn about water management, farming, flood management, groundwater
management and c.- it ., n.trve use, and salmon restoration. The tour begins and ends
at Sacramento Inremnio ,al Airport.
San Joaquin Ritter Restoration Tour - This 2 -day, 1 -night tour explores
challenges assoaau,t ., rth restoring (lows and a Chinook salmon fishery to the
San Joaquin R„e, o n I clow Friant Dam to the confluence
with the Merced R, r. i nn stops include the San Joaquin OVIT
fish hatchery, Mendota pool, various places along the river
under considerauo - h a o-watering, diversion structures, and
the Merced National Wildlife Refuge. Participants learn
about water proiea trer. [ions, salmon spawning and rearing, L; k;
11ON
agricultural diverse m . u,d gravel mining impacts. The tour FOUNDATION
begins and ends in
Association
of California
Water Agencies
REGISTER TODAY!
www.ocwa.com
.-4n
ACWA's 2011 Washington, D.C. Conference
March 1 - 3, 2011
Washington Court Hotel, Washington, D.C.
Association of California Water Agencies
�'.. Since 1910
910 K Street, Suite 100, Sacramento, CA 95814 -3577
* * * * * * ** *AUTO * *3 -DIGIT 924
Mr. Robert E. Martin
East Valley WD
PO Box 3427
San Bernardino CA 92413 -3427
�Il�lldlr. mhl. 1. nttlllul .qu.l.11.l.l..p.lgl,.lttlull.
Presort First Class
U.S. Postage
PAID
Permit 949
Sacramento CA
:�,zter �istrici
t
PRE IIMINARY AGENDA
Tuesday March 1
6 - 8 p.m. Opening Reception
((onference attendees & spouses are
invited. Others by invitation only.)
Wednesday, March 2
8:30 - 9:30 a.m. Welcome, ACWA President, Paul Kelley
Full Breakfast & Keynote Speaker
9:45 -11:45 a.m. Obama Administration Speakers
Noon -1:30 P.M. Senate Lunch Program
1:50 p.m. Group Photo
Capitol Visitors' Center Steps
2:15 - 5:15 p.m. House Speech Program
5:30 - 7:30 p.m. Congressional Reception
Thursday March 3
8 - 9:15 a.m. Breakfast & Closing Speaker
9:15 a.m. Issue Group Leaders' Panel
10 a.m. Conference Adjourns
WHO IS ELIGIBLE FOR ACWAADVANIAGE PRICING?
The following people are eligible for ACWA Advantage pricing:
• Any ACWA memberorganization's office rs /directors.
• Any employee on an ACWA public agency member, Affiliate or Associate organization's payroll.
• Any individual or honorary life member.
• Any ACWA board member whose fee is paid for by a member agency.
• Any state or federal administrative or legislative personnel in elective, appointive or
staffing positions.
• Staff of ACWA /1PIAWater Education Foundation or California Water Awareness Campaign.
If you are interested in learning more aboutjoining ACWA, contact Linda Anderson at
(916) 441 -4545 or lindaa @acwa.com.
CHANGES & CANCELLATIONS:
Changes and cancellations must be submitted to elliem @acwa.com. The cancellation deadline is
4:30 p.m. (PST), February 4, 2011. There is a $50 handling fee on all cancellations priorto this date.
Credit card /check registration fees (less the $50 handling fee) can be refunded until 4:30 p.m. (PST),
January 28. Thereafter, refund credit vouchers will be issued January 29- February 4, 4:30 p.m. (PST).
There will be no refund transactions made during the event. Upon receipt of the cancellation, you
will receive an e-mail confirming the cancellation. If you do not receive a cancellation confirmation,
please contact ACWA at (916) 441-4545. Otherwise, you will be responsible for remaining monies
due. Cancellations received after 4:30 p.m. (PST), February 4, 2011, will not be refunded.
SUBSTITUTIONS:
Substitutions from the same organization are accepted. A $25 handling fee will be applied.
Substitution requests should be submitted to elliem @acwa.com. Please notify, ACWA of
substitutions by 4:30 p.m. (PST), February 4, 2011. Afterthat date, they will need to be handled on
site.
HOTEL INFORMATIOIJ
A block of rooms has been reserved for ACWA at the Washington Court Hotel, which will be reserved
on a first come, first - served basis. The Washington Court Hotel will accept reservations in the ACWA
room block until January 31, 2011. After this date, the rooms will be released for general sale. After
January 31, the hotel will accept reservations based on room and rate availability. Additionally,
should our block fill prior to the cut -off date, reservations will be accepted based on room and rate
availability. You should not make a hotel reservation before you are registered with ACWA for the
D.C. Conference.
SINGLE /DOUBLE ROOM RATE: $299
HOTEL ADDRESS:
Washington Court Hotel
525 New Jersey Ave., N.W.
Washington, D.C. 20001
Reservations: (800) 321 -3010
Phone: (202)628-2100
If you have a disability thatmay require accommodation to assure your full participation,
please contact Ellie Meek of the ACWA staff at (916) 441 -4545, or toll free at (888) 666 -2292
to discuss your needs.
4
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ACWAfs 2011 Washington, D.C. Conference Preregistration
Washington Court Hotel • Washington, D.C. • March 1 -3, 2011
• • • •
PREREGISTRATION & CANCELLATION DEADLINE IS 4:30 P.M. (PST), FER. 4, 2011. OFFICE USE ONLY - DC11
Registration forms received after Feb 4 will be retumod egaidless of postmark There is a $ 50 ha. ' gee on all ENT —_
cancellations prior to this date. Credit card /check reins' it, (in fees (less the 550 handling tee: can t :etn ^ded until DATE - --
4:30 p.m. (PST), Jan. 28. Thereafter, refund credit vci;cI, s will be issued Jan 29 -Feb. 4, 4_u6 p m
Fill in Completely - Please Print /Type Clearly
*Required Fields (If bringing a guest, guest's name and m. address are reouired as n -ell ) ] My info has changed. Please update it.
'Name on Badge to Read Cuc;r 535 fee if —attending, (;uestE- mail: MUST bernttemmnorrattendeese -r„ain
• Title
• Organization
• Address
• City State Zip
• Phone: ( ) FAX: r )
`Attendee E -mail:
Credit Card Payment Information
Ple_ so• ('targe my fee to my credit card:
wi
Card Number:
Exlr I)a e LILL Amount: $
Csi-dholder's Name (as seen on card):
' Confirmation E -mail:
If registering on someone's behaB please be sure to mdudevOUR c -mad Signamie:
address here and a copy of the ((Irl 11ianon email wdI be sent to you
HOTEL INFORMATION:
Washington Court Hotel, 525 New Jersey Ave. N.W., Washington, D.C. 20001 -1 ;'' Phone: 800- 321 -3010
Group Rate: $299 Single /Double. The cut of' date to receive this special rate ie January a1, 2011.
Preregistration PACKAGE — For ACWA public agency members, atfiliates r, .associates only
(Includes registration & all meals. Does not include guest registration.) Not available on -site. (20) .... $565 $
Conference Registration (2n
g
Advantage * ........................
Standard ..........................
Guest (Non - refundable) (22) ........
Includes Opening & Congressional Receptions
but other meal (unctions not included
...........................
...........................
...............................
Preregistration
$485
$725
$35
On Site
($520)
($780)
($45)
Amount
$
$
$
Daily Conference Registration Preregistration
(Advantage) (Standard
On
(Advantage)
Site
(Standard)
Amount
Meal functions not included
❑ Wednesday, March 2 (23) .............
....... $275 $41 `
$295
$445
$
❑ Thursday, March 3 (24) ... I ...........
....... $230 $34`
$250
$375
$
MEAL IFUNCTiONS
Quantity Preregistration
On Site
Amount
Tuesday, March 1
Included
Included
Opening Reception )3m ...............
............... .
Wednesday, March 2
$40
($45)
$
Breakfast (31) ........................
.............. _
$50
($55)
$
Luncheon (32) ...... .. ...............................
—
Included
Included
Congressional Reception (33) .........
...............
Thursday, March 3
$40
($45)
$
Breakfast (34) .......................
..............
-.
*People eligible tot ACWA advantage pricing include. el�� ,C AA member organization's offlcee'cen r'on n% employee on an
ACWA public agency member, affiliate or associate organ , aeon's payroll; any memorial or honour r r.ro ,'.e... het; any ACWA TOTAL $
board member whose fee is pad for by a member age,rc, any state or federal admrmsuaove n, Irgslav;c _t vmnel in elective,
appointive or staffing positions; staff ofAC WA/IPIA. War-. Idoca tion Foundat ion, or California tNarr A .� r- rs, Campaign
FMake checks payable to A( V.''A, and send to. ACWA, P.O. Box 2408, S; , �, n-ento, CA 95812 -2408.
or FAX to (916) 325 -2316 If you mail this form, please do not also fax to avoid duplicate registration.
Questions? Contact ACWA at 1916) 441 -4545, toll free (888) 666 -2292 r -mail: events ®acwa.com.
The Colorado River is a lifeline to 25 million people in the Southwest. In the
Lower Basin, virtually every drop of the river is allocated and yet demand is
growing and the drought is continuing. How the Lower Basin states — Arizona,
California and Nevada — use and manage this water to meet agricultural, urban,
environmental and industrial needs is the focus of this tour.
The tour travels along the Lower Colorado River from Hoover Dam to the Salton Sea and the Coachella
Valley. The tour is a must for water policy- makers, water district managers and directors, lawyers,
consultants, journalists, and anyone interested in Colorado River issues. The tour is cosponsored by
the Bureau of Reclamation, Lower Colorado Region.
Tentative stops: Hoover Dam, and a boat ride on Lake Mead Central Arizona Project facilities
Havasu National Wildlife Refuge Metropolitan Water District of Southern California's facilities
Farms in the Imperial and Coachella valleys The Salton Sea Drop 2 Reservoir Site
All- American Canal lining project Yuma Desalting Plant
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March 16-18,2011 (field Trip)
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Drought conditions and shortage criteria in the Colorado River Basin
Lower Basin state perspectives - Arizona, California and Nevada
The Quantification Settlement Agreement (QSA)
Drop 2 Reservoir Site and Lining the All - American Canal
Negotiations with Mexico
-.r • "•
Agricultural water use, drainage issues and salinity
Urban growth and supply planning
Endangered species and multi- species plan in,
Salton Sea restoration project issues
Climate change
Yuma desalting plant trial operation
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This fast -paced tour begins at 7:30 am , Wednesday, Man h 16 at the
jtflll� �j ,j "'
TreaSUrc Island Hotel in Las Vegas and will and at acn'I,, ',, tcly 6 p.m.,
Fridav, March 18 at Ontario International Airport
Registration Sb95 per person, single occupancc room "; r.'ch for two people
sharing a ro,im. Register four or more people fora disc ni t single occupanev
.
room, ?6: -.
�t
for Lost: J, I' inrah. Ira n.prn t.tl ion aril h,,gil.i, .� I , . tfc
Hampton I ,I in Lake Havasu Citv (Wednesd t+) t ui the I . geld Inn & Suites
by Marr ott In IJ Centro (fhursdw) while on the 10111 ,: ILI 1 ants are
r rLit
respons:o:c 'nr their own transportation to Las Vcqn. n c ,. tie from Ontario
,i
To registe ^, return form to the Foundation with � t+mrtt •+.d rescrvahons
accepted +vrh credit card or purchase orders. Or, rcgi,n I Inay on Zinc
y{,. ' •f -
at www, c- tcreducation erg/ tours All reservations are on a first -came,
first - served basis.
4'
Deadline to cancel and receive a full refund is 5 p.m. February 28 due to
hotel, meal acd transportation bookings. Refund mquc : t )0 in writing.
,3 .r
Substitu000, may be made at any time.
s
For those ar, -wing in Las Vegas March 15, the Treasure 1,1 Hotel is holding a
limited numher of roams To reserve a room, call the h m I it I- 900 - 944 -7444
before March 3 and request the Foundation tour gre.:r , :,'c ^1 $ I11 rate, This
extra night s not included in the cost of the tour
a k
r:
This acnvitc has been approved for Minimum Conn i- in,, I_: gal Education
State Bar California fhc tour al.. orcrs Czlifornia
;� - ,� -.1 S :.e�.•�y
(MCLE)<ndi[L +y the of
Departrnen, x Public Health Continuing Education u, Is , cater plant or
r ,y
wastewater plant operators licenses. Ihere is an addrt,•r d 56 :0 fee to register
for these rredt[s. Contact the Foundation for more eetr k
Additional information and an itinerary will be bent al, r-,+ nately one month
before the :our Please notify the Foundation poor to t n :-. you have a
e -
medical ain,hnnn or other special need
Lom
lob Title(s)_
Organization
Address
City
Phone (
Email
State Zip _
Dover's License /I.D. Card No.(s) _ State
Dates) of Birth (necessary for wcurit% charance at wine taohtiesl
Enclosed is on fee J $695 each, single uccupanci room, J -625 each, it 4 or more are regutenng
J $595 each for two people sharing a rnnnn; J'S)00 addemn: I -nr credits. _CLE _DPH
Total enclosed $
For payment by: J Visa J MasterCard J American Expo" PO Nu. _
Credit Card No. — __ Exp. date._
LAM
W frR EDUr'AI ON
FOUNDATION
'I K Street, Suite 317
Ss, ramento, CA 95814
a'.$) 444-6240
q'6) 448 -7699 fax
..,.v. vatereducation.org
,.,, aquaforma.com
(must be signed to process I 'i ,. e order)
5 p.m. Febnian 28 is the last day to cancel and receive a [Lill rIts I I Behind request must be hn u-n[nng Suh.un.: i . L i. be made at anv tine.
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APRIL 28 -29, 2011
Hyatt Grand
Champions Resort
Indian Wells, California
DON'T MISS THIS INCREDIBLE VALUE:
Only $139 per night
stay at the FOUR STAR
HYATT GRAND CHAMPIONS RESORT
in beautiful Indian Wells (Palm Springs Area)
Approved for 11 Fresh Water Distribution
and Fresh Water Treatment Continuing
Education Units by the California
Department of Public Health
THE EXCEPTIONAL AGENCY
For those who want a deeper, more personal and
more professional understanding of local government
POLICYMAKERS AND MANAGERS MEET IN SEPARATE
SESSIONS over two days and finish with a joint session
that completes the understanding of their roles in The
Exceptional Agency.
EACH SESSION IS INTERACTIVE. Sessions begin with a
brief introductory talk by an expert speaker, who follows
up with insightful questions. There will be sharing of
experiences, discussions and debate, initiated by case
studies, examples and more.
EXPERIENCED SPEAKERS who work in real -world local
government situations serve as instructors, commentators,
and moderators of group discussions.
FOR ALL THOSE
INTERESTED IN BETTER
LOCAL GOVERNMENT:
Board members and senior managers
who desire a learning experience that
is beyond lectures... Certificate holders
Of our seminars... New and experienced
Board members and managers looking
for in -depth training.
JOIN CALIFORNIA'S BEST
LOCAL GOVERNMENTS
In -depth Advanced Studies seminars
are the fruit of 42 years' experience
training thousands of leaders, by the
premier local government institute.
EXPERIENCED FACULTY, ALL PRACTICING EXPERTS IN THEIR FIELDS
Kamil Azoury
General Manager /District Engineer of Goleta Sanitary District,
managing operations of a collection system and regional treatment
plant. Twenty years as consulting engineer in the Bay area, and
served as president of statewide wastewater organizations.
Bill Cooper
Managed operations of Metropolitan Water District of Southern
California water treatment plants, including some of the largest
treatment plants in the nation. Served for many years as Director
and President of the Board of Castaic Lake Water Agency, a large
water wholesaler in Los Angeles County.
Mark Kinsey
General Manager of Monte Vista Water District, with more
than a decade of experience directing the operations of a large
and growing water agency serving city and county areas in
Orange County.
Will McMullen
Management consultant with over 20 years experience,
specializing in organizational and team effectiveness, process
design /facilitation, training, and planning for public, private
and non - profit organizations.
Richard Price
Chief of the San Ramon Valley Fire Protection District, a leading
fire organization that has developed state -of- the -art, real -time
emergency operations and extensive community outreach
programs.
Martin Rauch
President of Rauch Communication Consultants, Inc., a full
service public outreach company, leading a team that develops
and conducts customized strategic public outreach programs
for local governments throughout California.
Glenn Reiter
President of Glenn M Reiter & Associates, a San Diego based
financial consu -.ing and advisory firm founded more than 30
years ago. He has served as a General Manager, Board member
and consultant tot several local government organizations.
IF YOU ARE NOT ALREADY CERTIFIED...
...Join thousands of local government
leaders who have benefitted from our three
seminar certificate program: Governance,
Finance and Administration.
"SDI sennnars are excellent in providing board member, i,,,� board bigGll• recommended SDI as one of the first
managers and staff with the tools, regulations and melhodc In iorihes.jor me. I found it invahuable andgot me up to
to Geefficient, effective and knonleclr;eable in their ro$ic. ° spre,l on cabal it is to be a board member: "
D.C., North County Fire Protection District (Castroville) E.S., Leucadia Wastewater District
FULL FACULTY BIOS AVAILABLE ONLINE AT SDBMI.COM
THURSDAY, APRIL 28, 2011
DAY 1 • MORNING SESSION:
How do you build and maintain a genuine managementteam?
• Providing leadership that increases the public value of your agency.
• Defining the management process; planning, goals and objectives,
accountability, and ensuring organizational clarity.
• Developing a culture of personal responsibility; empowering others;
motivation, inspiration and organizational pride.
• Creating a "mindful infrastructure" to improve service reliability.
DAY 1 • AFTERNOON SESSION:
What are the most effective ways to manage schedule and cost?
• Monitoring work performance, schedules, making corrections to get back on
track, involving and motivating supervisors and employees to meet goals.
• Collect cost information, integrate with budget, spot trends, make corrections.
• Making decisions about insourcing vs. outsourcing: when and why to do it.
How to communicate your decisions to the Governing Board and the staff.
THURSDAY, APRIL 28, 2011
DAY 1 • MORNING SESSION:
How to assure that the agency's mission is fulfilled
• What is the best process for developing a strategic plan: mission, vision
goals and objectives?
• Establishing agency standards and values — who we are, what we do,
how we work.
• Process for making good decisions.
• Communicating plans, decisions, and results to the public.
DAY 1 • AFTERNOON SESSION:
How to translate governing board goals into achievements
• Process for selecting the manager and evaluating the manager's performance.
• Defining the job description for the manager: management responsibilities,
authority, limits, reports to the Board.
• Monitoring progress and status of goal achievement. Integrate with budget
goals, spotting trends, making corrections.
• Clarity, choices and alignment.
• Planning for outcomes.
• Measuring and communicating progress, navigating changes.
FRIDAY. APRIL 29, 2011
DAY 2 • AFTERNOON SESSION:
FRIDAY, APRIL 29, 2011
DAY 2 • MORNING SESSION:
How should the manager relate
to the governing board?
• Agency by -laws to establish
board /GM /internal agency
"governance" policy & procedures.
• Developing effective business
relationships with the Board. Manager's
report, committees, workshops, strategic
planning, and budget meetings to define
relationships, positions and attitudes.
• Developing effective personal relations:
one -on- one, luncheons, tours, conferences.
• Balancing business - personal relationships.
• What to do with problem policy makers
• Dealing with micromanagement by
Board members.
FRIDAY, APRIL 29, 2011
DAY 2 • MORNING SESSION:
Building effective relationships
for a successful agency
• Create good Board -to -Board relationships:
establishing codes of conduct, respect,
listening, resolving disputes, etc.
• The role of the Board chair: defining a
complex job, needed skills for resolving
problems, establishing the right agendas, etc.
• Establishing the right relationships with
the manager.
• Micromanagement: the dangers, what
to do about it.
• Communications with the public.
A// crilical siglTsbon /d be ulleudhu,, the .special Dlslricl uurl Luca/ Goverumenl oWiAde.
• Describe the exceptional agency. What are its attributes? What can policy
makers and managers do to create an Exceptional Agency in the real world?
• Identify real examples of exceptional agencies.
• Making my own agency exceptional. What actions or changes would help
make my own agency exceptional?
• What I will take home. What were the issues raised during the seminar that
are of greatest importance to me and my agency?
M. V, Beaumont- Cherry Valley Recreation and Park District
e
NROLLMENT INFORMATION:
�) ❑ $585 ADVANCED STUDIES SEMINAR (2 days)
31 ❑ $525 ADVANCED STUDIES SEMINAR (2 days)
Special District Institute Certificate Holders
C) $100 GUEST MEAL PACKAGE FOR SEMINAR
5.00 EARLY REGISTRATION DISCOUNT for options A and B
cluding seminar only. (Must receive payment by March 28, 2011.1
UBTOTAL OF REGISTRATION:
UBTRACT S25 (Early Registration)
OTAL REGISTRATION FEE:
$
$
$
LEASE FILL OUT COMPLETELY
lame:
Date R'vd
itle:
Verify DB
,gency'
Certp
flailing Address'
lhv,#
Net
Paitl
'ity'
Do rural
tate
ZiF
ax:
-mail:
Nebsite:
3uest Name:
SPECIAL NEEDS:
] Wheelchair Access ❑ Visually Impaired
] Hearing Impaired ❑I. Vegetarian Meals
Dthe
VIETHOD OF PAYMENT:
payable to: Special District Institute
] Check Enclosed for $
Please Invoice PO#
Charge: ❑ Visa ❑ M/C
#
h6 numbers + 3 numbers listed in the signature area on back of credo card)
Billing Address for Card:
State:
Signature:
Expiration Date:
APRIL 28 - 29, 2011 HOTEL LODGING INFORMATION
Hyatt Grand Champions Resort
14 -600 Indian Wells Lane
radian Wells, CA 92210
reservation Telephone Numbers:
388/421 -1442 or 402/592 -6464
vebsite:
http s: //r a swe b. p a s s key. c o m/g o/b cf99187
T li The Hyatt Grand Champions Resort
is located in the heart of Indian Wells,
California, just south of Palm Springs.
With tournament - level tennis courts
and a 36 hole double golf course surrounding the hotel, it is one of the
desert's premium destination resorts.
A special rate of 5139 single double per room per day, has been
negotiated for accommodatir;ns (luring the event, and for three days
before and after. Mention the Special District Institute for this discounted
rate. Reservations must be made by April 6, 2011. /There area limited
number of rooms in our block. Reserve early to ensure rooms are available).
Resort services fee of $23 per day has been waived for this event. Amenities
covered include complete access to the fitness center, scheduled exercise
classes, golf bag storage and shuttle to golf course, individual tennis time,
bicycle usage, internet access. local and 800 calls, incoming faxes, in -room
safe, hotel games (i.e., ping pining, croquet, bocce ball). Discounted valet
parking is $18 per night.
CANCELLATIONS AND REFUNDS: Written cancellation received on or before
April 6, 2011 will receive a refund. less a $50 processing fee. Full payment is
required if cancellation is received on or after April 7, 2011 - no refunds and
no credits for a future event will be granted. However, substitutions may be
made at any time. A $25 fee charged for checks returned for insufficient
funds or for credit cards denied. SDI reserves the right to make changes in
programs and speakers, or to cancel programs, when conditions beyond
its control prevail. Every effort will be made to contact each enrollee if a
program is cancelled. If a program is not held, SDI's liability is limited to
the refund of the program fee only.
PROGRAM INFORMATION
EACH PARTICIPANT RECEIVES: A comprehensive Handbook, all class
materials, continental breakfast, breaks and lunch during Seminar.
Lodging and other meals are rot included.
GUEST MEAL PACKAGE: A guest may join you for all meals. A separate
guest meal package must be purchased.
NOTE: Please refer to the Special District Institute website: SDBMI.com
for complete information on - eservations, cancellations and refunds.
Call: 800- 457 -0237 or email: spcdistint @aol.com.
0 2535 er Blvd., Ste. 2A5
#00 San an Diego, CA 92101
619/231 -1744• Phone: 800 /457 -0237
Special District and Fax: 619/696 -1225
Local Government Institute www.sdbmi.com • spcdistint@aol.com
FOR OFFICIAL USE ONLY
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APRIL 28 - 29, 2011 HOTEL LODGING INFORMATION
Hyatt Grand Champions Resort
14 -600 Indian Wells Lane
radian Wells, CA 92210
reservation Telephone Numbers:
388/421 -1442 or 402/592 -6464
vebsite:
http s: //r a swe b. p a s s key. c o m/g o/b cf99187
T li The Hyatt Grand Champions Resort
is located in the heart of Indian Wells,
California, just south of Palm Springs.
With tournament - level tennis courts
and a 36 hole double golf course surrounding the hotel, it is one of the
desert's premium destination resorts.
A special rate of 5139 single double per room per day, has been
negotiated for accommodatir;ns (luring the event, and for three days
before and after. Mention the Special District Institute for this discounted
rate. Reservations must be made by April 6, 2011. /There area limited
number of rooms in our block. Reserve early to ensure rooms are available).
Resort services fee of $23 per day has been waived for this event. Amenities
covered include complete access to the fitness center, scheduled exercise
classes, golf bag storage and shuttle to golf course, individual tennis time,
bicycle usage, internet access. local and 800 calls, incoming faxes, in -room
safe, hotel games (i.e., ping pining, croquet, bocce ball). Discounted valet
parking is $18 per night.
CANCELLATIONS AND REFUNDS: Written cancellation received on or before
April 6, 2011 will receive a refund. less a $50 processing fee. Full payment is
required if cancellation is received on or after April 7, 2011 - no refunds and
no credits for a future event will be granted. However, substitutions may be
made at any time. A $25 fee charged for checks returned for insufficient
funds or for credit cards denied. SDI reserves the right to make changes in
programs and speakers, or to cancel programs, when conditions beyond
its control prevail. Every effort will be made to contact each enrollee if a
program is cancelled. If a program is not held, SDI's liability is limited to
the refund of the program fee only.
PROGRAM INFORMATION
EACH PARTICIPANT RECEIVES: A comprehensive Handbook, all class
materials, continental breakfast, breaks and lunch during Seminar.
Lodging and other meals are rot included.
GUEST MEAL PACKAGE: A guest may join you for all meals. A separate
guest meal package must be purchased.
NOTE: Please refer to the Special District Institute website: SDBMI.com
for complete information on - eservations, cancellations and refunds.
Call: 800- 457 -0237 or email: spcdistint @aol.com.
0 2535 er Blvd., Ste. 2A5
#00 San an Diego, CA 92101
619/231 -1744• Phone: 800 /457 -0237
Special District and Fax: 619/696 -1225
Local Government Institute www.sdbmi.com • spcdistint@aol.com