AGENDA REGULAR MEETING OF THE BOARD OF ...0840 KIYOI ENGINEERING, INC. I-190126 KIYOI- SMILLIE WELL R 1/08/2016 4,723.00 030090 4,723.00 1155 P E R S

1301 Santa Ynez Avenue

Carpinteria, CA 93013

(805) 684-2816

**Indicates attachment of document to agenda packet.

I. CALL TO ORDER AND PLEDGE OF ALLEGIANCE, President Orozco.

II. PUBLIC FORUM (Any person may address the Board of Directors on any matter

Within its jurisdiction which is not on the agenda.

III. APPROVAL ITEMS

A. **Minutes of the Special Board meeting held on January 20, 2016.

B. **Monthly Bills

IV. NEW BUSINESS

A. Consider presentation by Robert Porr of Fieldman, Rolapp, and Associates, Inc. reviewed

by the Rate & Budget Committee (Holcombe and Roberts) of the proposed refinancing of

the 2006A Certificates of Participation (for information, Acting General Manager Robert

McDonald).

B. Consider approval of refinancing 2006A Certificates of Participation as presented to the

Rate and Budget Committee (Holcombe and Roberts) (for action, Acting General

Manager McDonald).

C. **Consider proposal from Fieldman, Rolapp, and Associates, Inc. to perform independent

financial advisory services in connection with 2006A Refunding Certificates of

Participation for a cost of $40,000.00, plus verifiable expenses (for action, Acting General

Manager McDonald).

D. **Consider approval of Stradling Yocca Carlson and Rauth engagement for bond counsel

services for the refinancing of 2006A Certificates of Participation at a cost not to exceed

$65,000.00 (for action, Acting General Manager McDonald).

E. **Consider adoption of Resolution No. 999 Appointing a Financing Team With Respect to

the Proposed Refinancing of the 2006 Certificates of Participation and Adopting

Disclosure Policies and Procedures (for action, Acting General Manager McDonald)

AGENDA

REGULAR MEETING OF

THE BOARD OF DIRECTORS

CARPINTERIA VALLEY WATER DISTRICT

CARPINTERIA CITY HALL CHAMBER

5775 CARPINTERIA AVENUE

CARPINTERIA, CALIFORNIA 93013

January 27, 2016 at 5:30 p.m.

PACKET PAGE 1 OF 88



(805) 684-2816


F. Consider application of District Rule No. 15 to a customer request for a credit to account

#15-157711-03 of $190.13 (for action, Assistant General Manager Norma Rosales).

G. **Consider entering into an agreement with Casitas Municipal Water District to share the

cost of an ESRI GIS software license. (for action, Acting General Manager Robert

McDonald).

H. **Consider reallocation Capital Project Budget to fund HQ well VFD replacement to

improve well reliability. (for action, Acting General Manager McDonald).

V. OLD BUSINESS – none

VI. DIRECTOR MEETING REPORTS

A. **Santa Barbara County Independent Special District Selection Committee Meeting,

January 25, 2016, Directors Orozco and Forde.

B. **Drought Management Committee, January 26, 2016, Directors Van Wingerden and

Orozco.

C. **Cachuma Operations & Maintenance Board, January 25, 2016, Director Holcombe.

VII. GENERAL MANAGER REPORTS (for information)

A. **Finance

a. Financials

b. 2nd Quarter Director Reimbursement Report

B. **Engineering

C. **Operating & Maintenance

D. **Water Supply & Drought Planning

VIII. CLOSED SESSION: CONFERENCE WITH LABOR NEGOTIATOR PURSUANT TO

GOVERNMENT CODE SECTION 54957.6. DISTRICT NEGOTIATOR: JEFFERY A.

DINKIN; EMPLOYEE ORGANIZATION: INTERNATIONAL UNION OF OPERATING

ENGINEERS, LOCAL 12.

IX. CLOSED SESSION: CONFERENCE WITH LEGAL COUNSEL – ANTICIPATED

LITIGATION PURSUANT TO GOVERNMENT CODE SUBDIVISION (a) OF SECTION

54956.9: CARPINTERIA VALLEY WATER DISTRICT V. HOME OWNERS ON HUNT

DRIVE AND ORTEGA RIDGE ROAD.

X. CONSIDER DATES AND ITEMS FOR AGENDA FOR:

A. NEXT REGULAR CARPINTERIA VALLEY WATER DISTRICT BOARD MEETING

ON FEBRUARY 10, 2016 AT 5:30 P.M., CARPINTERIA CITY HALL, 5775

CARPINTERIA AVENUE, CARPINTERIA, CALIFORNIA.

PACKET PAGE 2 OF 88



(805) 684-2816


XI. ADJOURNMENT.

URSULA SANTANA, Acting Board Secretary

Note: The above Agenda was posted at Carpinteria Valley Water District Administrative Office in view of

the public no later than 5:30 p.m., January 24, 2016. The Americans with Disabilities Act provides that no

qualified individual with a disability shall be excluded from participation in, or denied benefits of, the

District’s programs, services, or activities because of any disability. If you need special assistance to

participate in this meeting, please contact the District Office at (805) 684-2816. Notification at least

twenty-four (24) hours prior to the meeting will enable the District to make appropriate arrangements.

Materials related to an item on this Agenda submitted to the Board of Directors after distribution of the

agenda packet are available for public inspection in the Carpinteria Valley Water district offices located at

1301 Santa Ynez Avenue, Carpinteria during normal business hours, from 8 am to 5 pm.

PACKET PAGE 3 OF 88

1

MINUTES OF THE SPECIAL MEETING

OF THE BOARD OF DIRECTORS


January 20, 2016

President Orozco called the special meeting of the Carpinteria

Valley Water District Board of Directors held in the District

Boardroom to order at 5:30 p.m., Wednesday, January 20, 2016

and led the Board in the Pledge of Allegiance.

Directors Present: Orozco, Holcombe, Van Wingerden, Forde,

Roberts

Directors Absent: None

Others Present: Bob McDonald

Roger Myers

Norma Rosales

Alex Keuper

Brianna Briggs

Robert Niehaus

Ichiko Kido

Ursula Santana

Edward Lyons

Marla Perez

PUBLIC FORUM

No one from the public addressed the Board.

ADJOURNMENT FOR THE

ANNUAL MEETING OF

FINANCING

CORPORATION

President Orozco adjourned the regular Board meeting at 5:31

p.m. for a meeting of the District Financing Corporation.

READJOURNMENT OF

REGULAR BOARD

MEETING

President Orozco re-adjourned the regular Board meeting at

5:33 p.m.

MINUTES

Following discussion, Director Van Wingerden moved and

Director Forde seconded the motion to approve the minutes of

the regular Board meeting held on January 13, 2016. The

motion passed 5-0.

PROGRESS REPORT OF

THE COST OF SERVICE

AND WATER RATE STUDY

PREPARED BY ROBERT D.

Following an introduction by Acting General Manager

McDonald, Robert Niehaus and Brianna Briggs of RDN,

presented a progress report on the status of their cost of service

and water rate study. The Board gave input to RDN on the rate

PACKET PAGE 4 OF 88 ITEM III. A. PAGE #1

2

NIEHAUS, INC.

study. With the input received by the Board, Acting General

Manager indicated a final report may be ready to be presented

to the Board on February 10, 2016 for possible action.

NEXT BOARD MEETING

The next regular Board meeting is scheduled to be held on

January 27, 2016 at Carpinteria City Hall at 5:30 p.m.

ADJOURNMENT President Orozco adjourned the meeting at 6:52 p.m.

_________________________________

Ursula Santana, Secretary

PACKET PAGE 5 OF 88 ITEM III. A. PAGE #2

1/22/2016 11:52 AM A/P HISTORY CHECK REPORT PAGE: 1

VENDOR SET: 01 Carpinteria Valley Water

BANK: A/P ACCOUNTS PAYABLE

DATE RANGE: 1/06/2016 THRU 1/19/2016

CHECK INVOICE CHECK CHECK CHECK

VENDOR I.D. NAME STATUS DATE AMOUNT DISCOUNT NO STATUS AMOUNT

1337 COUNTY OF SANTA BARBARA CLERK

I-003-431-005 REL RELEASE OF LIEN APN003-431-005 R 1/06/2016 21.00 030089 21.00

0840 KIYOI ENGINEERING, INC.

I-190126 KIYOI- SMILLIE WELL R 1/08/2016 4,723.00 030090 4,723.00

1155 P E R S

C-010416 P E R S: TO ADJUST TO ACTUAL R 1/08/2016 0.52CR 030091

I-P-E201512301429 PERS EMPLOYER R 1/08/2016 3,775.27 030091

I-P-R201512301429 PERS REGULAR R 1/08/2016 3,057.70 030091

I-P-S201512301429 PERS SPECIAL R 1/08/2016 11.82 030091

I-PE1201512301429 PERS EMPLOYER TIER 2 R 1/08/2016 670.06 030091

I-PE3201512301429 PERS EMPLOYER PEPRA 6.25 R 1/08/2016 577.76 030091

I-PR1201512301429 PERS REGULAR TIER 2 R 1/08/2016 573.28 030091

I-PR3201512301429 PERS REG PEPRA 6.25 R 1/08/2016 578.97 030091

I-PS1201512301429 PERS SPECIAL TIER 2 R 1/08/2016 7.62 030091 9,251.96

1154 PUEBLO WATER RESOURCES, INC

I-2015-162 PUEBLO: SENTRY WELLS R 1/08/2016 665.00 030092 665.00

2072 URSULA SANTANA

I-010816 EMPLOYEE RELATIONS & BOARD EXP R 1/08/2016 83.00 030093 83.00

1680 VERIZON CALIFORNIA

I-2816-121615 VERIZON-OFFICE 1215 R 1/08/2016 380.68 030094

I-6467-121915 VERIZON-ORTEGA 0116 SVC R 1/08/2016 355.55 030094

I-6826-121615 VERIZON: ORTEGA 1215 R 1/08/2016 121.72 030094 857.95

0900 LINCOLN LIFE

I-DC 201512301429 DEFERRED COMPENSATION R 1/08/2016 4,490.43 030095 4,490.43

1280 76 FLEET

I-43537019 76 FLEET- 1215 CHARGES R 1/15/2016 1,346.86 030096 1,346.86

0045 AFLAC

D-046626 AFLAC-TO ADJUST TO ACTUAL R 1/15/2016 0.02 030097

I-AFA201511201407 AFLAC AFT TX R 1/15/2016 42.09 030097

I-AFA201512031417 AFLAC AFT TX R 1/15/2016 42.09 030097

I-AFP201511201407 AFLAC PRE TX R 1/15/2016 405.15 030097

I-AFP201512031417 AFLAC PRE TX R 1/15/2016 405.15 030097 894.50

1878 CANON FINANCIAL SERVICES, INC

I-15583510 CANON: COPIER CHARGE R 1/15/2016 85.54 030098

I-15612550 CANON-COPIER CHARGE1215 & 0116 R 1/15/2016 1,004.42 030098 1,089.96

PACKET PAGE 6 OF 88 ITEM III. B. PAGE #1




DATE RANGE: 1/06/2016 THRU 1/19/2016



0327 CARPINTERIA CHAMBER

I-7032 CHAMBER-MEMBERSHIP RENEWAL R 1/15/2016 375.00 030099 375.00

0330 CITY OF CARPINTERIA

I-122215 CITY OF CARP- BOARD MTG 1209 R 1/15/2016 12.28 030100 12.28

0460 COASTAL VIEW

I-47118 COASTALVIEW: 122415 DROUGHT AD R 1/15/2016 116.00 030101

I-47144 COASTAL VIEW:DROUGHT AD 123115 R 1/15/2016 116.00 030101

I-47235 COASTAL VIEW:010716 DROUGHT AD R 1/15/2016 16.00 030101 248.00

0270 CACHUMA O & M BOARD

I-FY15/16 Q2 ASSESS COMB-2QTR BGT ASSESS 0715-0616 R 1/15/2016 187,872.00 030102 187,872.00

1340 COUNTY OF SANTA BARBARA - ASSE

I-20151001651 2 SBCO-PROPERTY TAXES 0715-0616 R 1/15/2016 341.36 030103 341.36

0590 ECHO COMMUNICATIONS

I-010116 ECHO COMM-1215 SVCS R 1/15/2016 166.66 030104 166.66

0600 EDISON CO

I-86-010816 EDISON- ORTEGA R 1/15/2016 25.08 030105 25.08

0624 FAMCON PIPE AND SUPPLY, INC

I-175531 FAMCON-SADDLE BRONZE R 1/15/2016 583.20 030106 583.20

0652 FLOWERS & ASSOCIATES, INC

I-15-1532 F&A- RMA PHASE 6 THROUGH 1115 R 1/15/2016 796.00 030107 796.00

2155 FTI SERVICES, INC.

I-68031 FTI SVCS- IT CONSULTING R 1/15/2016 201.88 030108

I-68393 FTI SERVICES: IT CONSULTING R 1/15/2016 360.00 030108 561.88

0675 GAS COMPANY

I-010716 GAS COMPANY- 1215 CHARGES R 1/15/2016 240.38 030109 240.38

1909 INFOSEND

I-100460 INFOSEND- 1215 ADDRESS CHANGE R 1/15/2016 300.58 030110

I-100903 INFOSEND: EBILL 1215 R 1/15/2016 271.90 030110

I-101002 INFOSEND: DROUGHT SNIPE 1215 R 1/15/2016 756.00 030110 1,328.48

0870 LANSPEED

I-39842 LANSPEED-REMOTE SUPPORT R 1/15/2016 87.50 030111 87.50





DATE RANGE: 1/06/2016 THRU 1/19/2016



2164 MNS ENGINEERS, INC.

I-66352 MNS- WTR MTR ACCURACY EVALUATN R 1/15/2016 400.00 030112 400.00

0995 MONTECITO WATER DISTRICT

I-010616 MWD- 1215 ORTEGA CHLORINATION R 1/15/2016 3,043.44 030113 3,043.44

1115 PADRE ASSOCIATES, INC

I-2015-1973 PADRE: RMA PHASE 5 R 1/15/2016 1,470.00 030114 1,470.00

2102 RMC WATER AND ENVIRONMENT

I-21067 RMC-RECYCLED WTR 103115-112715 R 1/15/2016 9,685.50 030115 9,685.50

2151 RollApart Building Inc

I-100515B Pump Building R 1/15/2016 19,944.80 030116 19,944.80

1355 SANTA BARBARA COUNTY PLANNING

I-010416 SCPD-SENTRY WELL #15ACT-00741 R 1/15/2016 1,208.10 030117 1,208.10

1425 SAWASKE LANDSCAPE

I-20636 SAWASKE- 1215 LYONS LANDSCAPE R 1/15/2016 330.00 030118 330.00

1917 SOUTHERN COAST JANITORIAL SERV

I-13316 SOUTHERN COAST- 0116 SVCS R 1/15/2016 550.00 030119 550.00

1515 STRADLING, YOCCA, CARLSON

I-121815 STRADLING, YOCCA- 1115 SVCS R 1/15/2016 1,373.00 030120 1,373.00

1782 TOKAY SOFTWARE

I-15588-2016 TOKAY-ANNUAL SOFTWARE MAINT16 R 1/15/2016 400.00 030121 400.00

0797 TYLER TECHNOLOGIES, INC

I-025-142946 TYLER:020116-013117 CNT MNGR R 1/15/2016 1,675.13 030122

I-025-143435 TYLER:010116-013116 WEB MAINT R 1/15/2016 405.00 030122 2,080.13

1600 UNDERGROUND SERVICE

I-1220150195 USA- 27 DIG ALERTS R 1/15/2016 40.50 030123 40.50

1860 UNUM LIFE INSURANCE COMPANY

I-011116 UNUM LIFE: 0216 PREMIUM R 1/15/2016 455.30 030124 455.30

1927 CARDMEMBER SERVICES (ELAN, FOR

I-122115 CARDMEMBER- 1215 CHARGES R 1/15/2016 4,032.30 030125 4,032.30





DATE RANGE: 1/06/2016 THRU 1/19/2016



* * T O T A L S * * NO INVOICE AMOUNT DISCOUNTS CHECK AMOUNT

REGULAR CHECKS: 37 261,074.55 0.00 261,074.55

HAND CHECKS: 0 0.00 0.00 0.00

DRAFTS: 0 0.00 0.00 0.00

EFT: 0 0.00 0.00 0.00

NON CHECKS: 0 0.00 0.00 0.00

VOID CHECKS: 0 VOID DEBITS 0.00

VOID CREDITS 0.00 0.00 0.00

TOTAL ERRORS: 0

NO INVOICE AMOUNT DISCOUNTS CHECK AMOUNT

VENDOR SET: 01 BANK: A/P TOTALS: 37 261,074.55 0.00 261,074.55

BANK: A/P TOTALS: 37 261,074.55 0.00 261,074.55

REPORT TOTALS: 37 261,074.55 0.00 261,074.55



SELECTION CRITERIA

------------------------------------------------------------------------------------------------------------------------------------

VENDOR SET: 01-Carpinteria Valley Water

VENDOR: ALL

BANK CODES: All

FUNDS: All

------------------------------------------------------------------------------------------------------------------------------------

CHECK SELECTION

CHECK RANGE: 000000 THRU 999999

DATE RANGE: 1/06/2016 THRU 1/19/2016

CHECK AMOUNT RANGE: 0.00 THRU 999,999,999.99

INCLUDE ALL VOIDS: YES

------------------------------------------------------------------------------------------------------------------------------------

PRINT OPTIONS

SEQUENCE: CHECK NUMBER

PRINT TRANSACTIONS: YES

PRINT G/L: NO

UNPOSTED ONLY: NO

EXCLUDE UNPOSTED: NO

MANUAL ONLY: NO

STUB COMMENTS: NO

REPORT FOOTER: NO

CHECK STATUS: NO

PRINT STATUS: * - All

------------------------------------------------------------------------------------------------------------------------------------


CARPINTERIA VALLEY WATER DISTRICT /FIELDMAN, ROLAPP & ASSOCIATES Page 1

FRA Project No. _____

Contract with Carpinteria Valley WD (00126449-4xA7619) (002)00126449.DOCX

PROFESSIONAL SERVICES AGREEMENT

FOR FINANCIAL ADVISOR

This agreement has been entered into this __ day of January, 2016 by and between the Carpinteria

Valley Water District (the "District") and Fieldman, Rolapp & Associates, Inc. (herein, the

"Consultant").

WHEREAS, the District desires independent financial advisory services to be performed in

connection with 2006A Refunding Certificates of Participation (herein, the "Project"); and

WHEREAS, the District desires to retain the professional and technical services of the

Consultant for the purpose of debt refunding, (herein, the "Services");

WHEREAS, the Consultant is well qualified to provide professional financial advice to entities

such as the District;

NOW, THEREFORE, in consideration of the above recitals and the mutual covenants and

conditions hereinafter set forth, it is agreed as follows:

Section 1 Financial Advisory Services.

As directed by the District, Consultant will provide services in connection with

the Project as such Services are fully described in Exhibit A attached to this

Agreement. Consultant is engaged in an expert financial advisory capacity to the

District only. It is expressly understood that the Services rendered hereunder are

rendered solely to the Carpinteria Valley Water District. Consultant does not

undertake any responsibility to review disclosure documents on behalf of owners

or beneficial owners of bonds or debt which may arise from the Consultant's

work hereunder.

Section 2 Additional Requested Services.

The District may request that Consultant provide additional services beyond the

scope of those referenced in Section 1 above and specifically listed in Exhibit A

to this Agreement. Services performed for the District by Consultant that are not

otherwise specifically identified in Exhibit A to this Agreement shall be

Additional Services. Additional Services include, but are not limited to, the

following:

2.01 Assisting the District in obtaining enabling legislation or conducting referendum

elections.

2.02 Extraordinary services and extensive computer analysis in the structuring or

planning of any debt issue or financing program.

2.03 The repeat of any element of a service described in Exhibit A to this Agreement

which is made necessary through no fault of Consultant.

2.04 Financial management services, including development of financial policies,

capital improvement plans, economic development planning, credit analysis or

PACKET PAGE 11 OF 88 ITEM IV. C. PAGE #1




review and such other services that are not ordinarily considered within the scope

of services described in Exhibit A to this Agreement.

2.05 Services rendered in connection with any undertaking of the District relating to a

continuing disclosure agreement entered into in order to comply with Securities

and Exchange Commission Rule 15c2-12 or other similar rules.

2.06 Services rendered to the District in connection with calculations or determination

of any arbitrage rebate liability to the United States of America arising from

investment activities associated with debt issued to fund the Project.

Section 3 Compensation

3.01 For Consultant's performance of Services as described in this Agreement,

including Additional Services requested by the District, the Consultant's

compensation will be as provided in of Exhibit B attached to this Agreement,

3.02 Payment of Consultant’s expenses shall be made at the time and in the form as

provided for in Exhibit B to this Agreement.

3.03 Unless otherwise specified, payment of Consultant's compensation and expenses

is due thirty (30) days after submission of Consultant's invoice for services.

3.04 [Reserved]

3.05 The schedule of Consultant fees set forth in this Agreement and Exhibits is

guaranteed by Consultant for a period of twelve (12) months from the date of this

Agreement.

Section 4 Personnel.

Consultant has, or will secure, all personnel required to perform the services

under this Agreement. Consultant shall make available Robert Porr, Paul Pender,

Lora Carpenter, and other qualified personnel of the firm as may be required to

complete Consultant's services. The District has the right to approve or

disapprove any proposed changes in Consultant's staff providing service to the

District. The District and Consultant agree that such personnel are employees

only of Consultant and shall not be considered to be employees of the District in

any way whatsoever.

Section 5 Term of Agreement.

This Agreement shall continue in full force and effect for a period of 36 months

from the date hereof unless terminated by either party by not less than thirty (30)

days written notice to the other party except that the Agreement shall continue in

full force and effect until completion of Consultant's services or until an

abandonment shall have occurred as described in Section 3.04 hereof. This

Agreement may be extended from time to time as agreed by the District and the

Consultant.

Section 6 Modification.





This Agreement contains the entire agreement of the parties. It may be amended

in whole or in part from time to time by mutual consent of the parties. This shall

not prohibit the District and Consultant from entering into separate agreements

for other services.

Section 7 Work Products.

All work products or any form of property developed by the Consultant in

providing the Services shall be provided to the District on request. Work

products developed by the Consultant shall be the property of the District,

provided that Consultant may use such work products developed for the District

and may employ those work products to develop refinements or additional work

products in the course of its business.

Section 8 Assignment.

The rights and obligations of the District under this Agreement shall inure to the

benefit of and shall be binding upon the successors and assigns of the District.

This agreement may not be assigned by the Consultant without the consent of the

District except for compensation due Consultant.

Section 9 Disclosure.

Consultant does not assume the responsibilities of the District, or the

responsibilities of the other professionals and vendors representing the District,

in the provision of services and the preparation of the financing documents,

including initial and secondary market disclosure, for financings undertaken by

the District. Information obtained by Consultant and included in any disclosure

documents is, by reason of experience, believed to be accurate; however, such

information is not guaranteed by Consultant.

Section 10 Confidentiality.

The Consultant agrees that all financial, statistical, personal, technical and other

data and information designated by the District as confidential shall be protected

by the Consultant from unauthorized use or disclosure. The District

acknowledges that the Consultant is required to comply with applicable laws

governing disclosure of public information.

Section 11 Indemnification.

The District and Consultant shall each indemnify and hold harmless the other

from and against any and all losses, claims, damages, expenses, including legal

fees for defense, or liabilities, collectively, damages, to which either may be

subjected by reason of the other's acts, errors or omissions, except however,

neither will indemnify the other from or against damages by reason of changed

events and conditions beyond the control of either or errors of judgment

reasonably made.

Section 12 Insurance.





12.01 Consultant shall maintain workers' compensation and employer’s liability

insurance during the term of this Agreement.

12.02 Consultant, at its own expense, shall obtain and maintain insurance at all times

during the prosecution of this contract. Such insurance must be written with a

Best Guide "A"-rated or higher insurance carrier admitted to write insurance in

the state where the work is located.

12.03 Insurance coverages shall not be less than the following:

A. Workers' Compensation

1. State worker's compensation statutory benefits

2. Employer's Liability - policy limits of not less than $1,000,000.

B. Comprehensive General Liability coverage with policy limits of not less than

$1,000,000 combined single limit for bodily injury and property damage and

including coverage for the following:

1. Premises operations

2. Contractual liability

3. Products

4. Completed operation

C. Errors and omissions with policy limits of $2,000,000.

12.04 If requested, certificates of insurance naming the District as an additional insured

shall be submitted to the District evidencing the required coverages, limits and

locations of operations to which the insurance applies, and the policies of

insurance shall contain a 30 day notice of cancellation or non-renewal.

Section 13 Permits/Licenses.

The Consultant shall obtain any permits or licenses, as may be required for it to

complete the services required under this Agreement.

Section 14 Binding Effect.

14.01 A waiver or indulgence by the District of a breach of any provision of this

Agreement by the Consultant shall not operate or be construed as a waiver of any

subsequent breach by the Consultant.

14.02 All agreements contained herein are severable and in the event any of them shall

be held to be invalid by any competent court, this Agreement shall be interpreted

as if such invalid agreements or covenants were not contained herein, and the

remaining provisions of this Agreement shall not be affected by such

determination and shall remain in full force and effect. This Agreement shall not

fail because any part or any clause hereof shall be held indefinite or invalid.





14.03 Each party hereto represents and warrants that this Agreement has been duly

authorized and executed by it and constitutes its valid and binding agreement,

and that any governmental approvals necessary for the performance of this

Agreement have been obtained.

Section 15 Conflict of Interest

15.01 Compensation contingent on the completion of a financing or project is

customary for municipal financial advisors. To the extent that compensation to

the Consultant under this Agreement, specified in Exhibit B, is contingent on the

issuance of debt or completion of a financing or project, a potential conflict of

interest exists as Consultant would have an incentive to recommend to the

District the completion of a transaction or project that might be unnecessary.

IN WITNESS Whereof, the parties have duly executed this Agreement as of the day and year

first above set forth.


By: Title:

Date:

FIELDMAN, ROLAPP & ASSOCIATES

19900 MacArthur Boulevard, Suite 1100

Irvine, CA 92612

By: Title: Senior Vice President

Date:


CARPINTERIA VALLEY WATER DISTRICT/FIELDMAN, ROLAPP & ASSOCIATES Exhibit A, Page 1



EXHIBIT A

TO

PROFESSIONAL SERVICES AGREEMENT FOR FINANCIAL ADVISOR

BY AND BETWEEN

THE CARPINTERIA VALLEY WATER DISTRICT

AND


Scope of Services

A. General Services.

The Consultant shall perform all the duties and services described in Section 1 of this Agreement

and shall provide such other services as it deems necessary or advisable to accomplish the

Project, consistent with the standards and practice of professional financial advisors prevailing at

the time such services are rendered to the District.

The District may, with the concurrence of Consultant, expand this Agreement to include

Additional Services not specifically identified within the terms of this Agreement. Any

Additional Services may be described in an addendum to this Exhibit A and are subject to

compensation described in Exhibit B to this Agreement.

B. Transaction Services.

The Consultant shall assume primary responsibility for assisting the District in coordinating the

planning and execution of each debt issue relating to the Project. Insofar as the Consultant is

providing Services which are rendered only to the District, the overall coordination of the

financing shall be such as to minimize the costs of the transaction coincident with maximizing the

District's financing flexibility and capital market access. The Consultant's proposed debt issuance

Services may include, but shall not be limited to, the following:

Establish the Financing Objectives

Develop the Financing Schedule

Monitor the Transaction Process

Review the Official Statement, both preliminary and final

Procure and Coordinate Additional Service Providers

Provide Financial Advice to the District Related to Financing Documents

Compute Sizing and Design Structure of the Debt Issue

Plan and Schedule Rating Agency Presentation and Investor Briefings

Conduct Credit Enhancement Procurement and Evaluation

Conduct Market Analysis and Evaluate Timing of Market Entry

Recommend Award of Debt Issuance

Provide Pre-Closing and Closing Assistance





Specifically, Consultant will:

1. Establish the Financing Objectives.

At the onset of the financing transaction process for the Project, the Consultant shall

review the District's financing needs and in conjunction with the District's management,

outline the objectives of the financing transaction to be undertaken and its proposed form.

Unless previously determined, Consultant shall recommend the method of sale of debt

and outline the steps required to achieve efficient market access.

2. Develop the Financing Timetable.

The Consultant shall take the lead role in preparing a schedule and detailed description of

the interconnected responsibilities of each team member and update this schedule, with

refinements, as necessary, as the work progresses.

3. Monitor the Transaction Process.

The Consultant shall have primary responsibility for the successful implementation of the

financing strategy and timetable that is adopted for each debt issue relating to the Project.

The Consultant shall coordinate (and assist, where appropriate) in the preparation of the

legal and disclosure documents and shall monitor the progress of all activities leading to

the sale of debt. The Consultant shall prepare the timetables and work schedules

necessary to achieve this end in a timely, efficient and cost-effective manner and will

coordinate and monitor the activities of all parties engaged in the financing transaction.

4. Review the Official Statement.

Upon direction of the District, the Consultant shall review the official statement for each

debt issue relating to the Project to insure that the District's official statement is compiled

in a manner consistent with industry standards.

5. Procure and Coordinate Additional Service Providers.

Should the District desire, the Consultant may act as District’s representative in procuring

the services of financial printers for the official statement and related documents, and for

the printing of any securities. In addition, the Consultant may act as the District's

representative in procuring the services of trustees, paying agents, fiscal agents,

feasibility consultants, redevelopment consultants, or escrow verification agents or other

professionals, if the District directs.

6. Provide Financial Advice to the District Relating to Financing Documents.

Simultaneous with the review of official statements for each debt issue relating to the

Project, the Consultant shall assist the managing underwriters, bond counsel and/or other

legal advisors in the drafting of the respective financing resolutions, notices and other

legal documents. In this regard, the Consultant shall monitor document preparation for a

consistent and accurate presentation of the recommended business terms and financing

structure of each debt issue relating to the Project, it being specifically understood





however that the Consultant’s services shall in no manner be construed as the Consultant

engaging in the practice of law.

7. Compute Sizing and Design Structure of Debt Issue.

The Consultant shall work with the District's staff to design a financing structure for each

debt issue relating to the Project that is consistent with the District's objectives, that

coordinates each transaction with outstanding issues and that reflects current conditions

in the capital markets.

8. Plan and Schedule Rating Agency Presentation and Investor Briefings.

The Consultant shall develop a plan for presenting the financing program to the rating

agencies and the investor community. The Consultant shall schedule rating agency visits,

if appropriate, to assure the appropriate and most knowledgeable rating agency personnel

are available for the presentation and will develop presentation materials and assist the

District officials in preparing for the presentations.

9. Conduct Credit Enhancement Evaluation and Procurement.

Upon the District’s direction, the Consultant will initiate discussions with bond insurers,

letter of credit providers and vendors of other forms of credit enhancements to determine

the availability of and cost benefit of securing financing credit support.

10. Conduct Market Analysis and Evaluate Timing of Market Entry.

The Consultant shall provide regular summaries of current municipal market conditions,

trends in the market and how these may favorably or unfavorably affect the District's

proposed financing.

a. Competitive Sales.

For all types of competitive sale of debt, the Consultant shall undertake such

activities as are generally required for sale of securities by competitive bid

including, but not limited to the following:

Review and comment on terms of Notice of Sale Inviting Bids

Provide advice on debt sale scheduling

Provide advice on the use of electronic bidding systems

Coordinate bid opening with the District officials

Verify bids received and make recommendations for acceptance

Provide confirmation of issue sizing, based upon actual bids received,

where appropriate

Coordinate closing arrangements with the successful bidder(s)

b. Negotiated Sales.

In the case of a negotiated sale of debt, the Consultant shall perform a thorough

evaluation of market conditions preceding the negotiation of the terms of the sale

of debt and will assist the District with the negotiation of final issue structure,





interest rates, interest cost, reoffering terms and gross underwriting spread and

provide a recommendation on acceptance or rejection of the offer to purchase the

debt. This assistance and evaluation will focus on the following areas as

determinants of interest cost:

Size of financing

Sources and uses of funds

Terms and maturities of the debt issue

Review of the rating in pricing of the debt issue

Investment of debt issue proceeds

Distribution mix among institutional and retail purchasers

Interest rate, reoffering terms and underwriting discount with comparable

issues

Redemption provisions

11. Recommend Award of Debt Issuance.

Based upon activities outlined in Task 10(a) and 10(b) above, the Consultant will

recommend accepting or rejecting offers to purchase the debt issue. If the District

elects to award the debt issue, the Consultant will instruct all parties and help

facilitate the actions required to formally consummate the award.

12. Provide Pre-Closing and Closing Activities.

The Consultant shall assist in arranging for the closing of each financing. The

Consultant shall assist counsel in assuming responsibility for such arrangements as

they are required, including arranging for or monitoring the progress of bond

printing, qualification of issues for book-entry status, signing and final delivery of the

securities and settlement of the costs of issuance.


CARPINTERIA VALLEY WATER DISTRICT/FIELDMAN, ROLAPP & ASSOCIATES Exhibit B, Page 1



EXHIBIT B

TO

PROFESSIONAL SERVICES AGREEMENT FOR FINANCIAL ADVISOR

BY AND BETWEEN

THE CARPINTERIA VALLEY WATER DISTRICT

AND


Compensation and Expenses

Transaction Based Compensation

For Services referenced in Section 1 of this Agreement, the Consultant will be compensated

$40,000 plus verifiable expenses.

Payment of compensation earned by Consultant pursuant to this Part 1 shall be contingent on, and

payable at the closing of the debt issue(s) undertaken to finance the Project.

Hourly Compensation

For Additional Services referenced in Section 2 of this Agreement, the Consultant will be

compensated at the then current hourly rates. The table below reflects the rates in effect as of the

date of execution of this Agreement.

Personnel Hourly Rate

Executive Officer $335

Principal $305

Principal/Senior Vice President $290

Vice President $240

Assistant Vice President $205

Senior Associate $160

Associate $135

Analyst $90

Administrative Assistant $70

Clerical $40

Hourly Compensation will be billed on a monthly basis.

Expenses

Expenses will be billed for separately and will cover, among other things, travel, lodging,

subsistence, overnight courier, conference calls, and computer charges. Advances made on

behalf of the District for costs of preparing, printing or distributing disclosure materials or related

matter whether by postal services or electronic means, may also be billed through to the District

upon prior authorization.


S T R A D L I N G Y O C C A C A R L S O N & R A U T H

ORANGE COUNTY (949)725-4000

DOUGLAS S. BROWN DIRECT DIAL : (916) 449-2338 DBROW [email protected]

A P R O F E S S I O N A L C O R P O R A T I O N

A T T O R N E Y S A T L A W

660 NEWPORT CENTER DRIVE, SUITE 1600

NEWPORT BEACH, CA 92660-6422

TELEPHONE (949) 725-4000

FACSIMILE (949) 725-4100

RENO (775) 393-1950

SAN DIEGO (858) 926-3000

SAN FRANCISCO (415) 283-2240

SANTA BARBARA (805) 730-6800

SANTA MONICA (424) 214-7000

SACRAMENTO (916) 449-2350

January 22, 2016

Carpinteria Valley Water District


Carpinteria CA 93014

Board Members:

We appreciate for the opportunity to continue our representation of the Carpinteria Valley

Water District (the “District”) as bond counsel for the proposed debt refunding, including drafting of

the official statement. As is traditional for bond counsel matters, our fees will be contingent on the

completion of the financing and will be payable from the proceeds of the financing. Unless

otherwise confirmed in writing, the terms of this letter and the enclosed Terms of Retention will

govern our bond counsel representation of you in connection with the matters identified above.

If this letter, including the attached Terms of Retention, accurately reflects your

understanding of our relationship, please acknowledge your approval and acceptance of these terms

by signing and returning this letter to me. Copies of each are enclosed for your files. I would be

pleased to answer any questions you might have.

Very truly yours,

STRADLING YOCCA CARLSON & RAUTH

Douglas S. Brown

Enclosure

The undersigned hereby agrees that the terms and conditions in this letter and the

accompanying Terms of Retention shall apply to services rendered by Stradling Yocca Carlson &

Rauth.


By:

Authorized Signatory

PACKET PAGE 21 OF 88 ITEM IV. D. PAGE #1

S T R A D L I N G Y O C C A C A R L S O N & R A U T H

ORANGE COUNTY (949)725-4000

DOUGLAS S. BROWN DIRECT DIAL : (916) 449-2338 DBROW [email protected]

A P R O F E S S I O N A L C O R P O R A T I O N

A T T O R N E Y S A T L A W

660 NEWPORT CENTER DRIVE, SUITE 1600

NEWPORT BEACH, CA 92660-6422

TELEPHONE (949) 725-4000

FACSIMILE (949) 725-4100

RENO (775) 393-1950

SAN DIEGO (858) 926-3000

SAN FRANCISCO (415) 283-2240

SANTA BARBARA (805) 730-6800

SANTA MONICA (424) 214-7000

SACRAMENTO (916) 449-2350

1

TERMS OF RETENTION

OF

STRADLING YOCCA CARLSON & RAUTH

Stradling Yocca Carlson & Rauth appreciate the opportunity to continue providing bond

counsel related to legal services to Carpinteria Valley Water District (“you” or the “District”). This

letter confirms the terms of our engagement.

1. Legal Services to be Provided. You are engaging us as bond counsel in connection

with the refunding of certain outstanding debt obligations. Any matter covered by this letter will

conclude when our services are completed or when our relationship with you is terminated. Our

representation is limited to the specific services that you request and that we have agreed to

undertake.

2. Identity of Client. We represent only the District in this matter. We do not

represent any other entity or person, including any other company, partnership, organization,

director, officer, employee, member, shareholder, partner, agent or family member, in this matter.

Any representation by us of such other entity or person will be established only in a separate written

agreement.

3. Fees and Costs. Payment of bond counsel fees is contingent on completion of the

financing and is payable upon closing. A scope of service and the not-to-exceed fixed fee for the

proposed refunding is set forth in Exhibit A. Such not-to-exceed fee includes all out-of-pocket costs.

Services unrelated to the specific transaction, including but not limited to post-closing

compliance matters, arbitrage rebate compliance, continuing disclosure compliance and

representation of the District in connection with Internal Revenue Service, federal or state securities

law or other regulatory matters and other post-closing matters, will be billed at discounted rates

applicable to public agencies.

4. Insurance and Indemnification. We hereby advise you that this firm maintains

professional errors and omissions insurance coverage applicable to the services to be rendered to you.

The Firm agrees to hold harmless, indemnify, and defend the District from and against any and all

claims, including all costs of defense and reasonable attorneys’ fees, relating to the negligence or

willful misconduct of the Firm’s services rendered in connection with this Term of Retention up to

the limits of such professional errors and omission insurance coverage.



January 22, 2016

Page 2

2

5. No Representation of Other Parties. The Firm has represented, and may represent

in the future, underwriting firms from time-to-time in connection with other specific municipal

finance offerings. In addition, the Firm has in the past, and may in the future, represent water

agencies in Santa Barbara County as bond counsel on municipal finance offerings unrelated to the

District financings or on employment law and related matters. The Firm confirms that it is not

representing any other party in connection with the issuance of the bonds which is the subject of this

engagement.

6. Termination. Our representation of you may be terminated prior to the completion

of our services upon written notice at any time for any reason by you or by us. If we represent you

before a tribunal, our ability to withdraw may be subject to the tribunal’s approval. If so, the

termination shall not take effect prior to the date such approval is given. You agree that the

termination of our representation, whether by you, by us, or by a tribunal, does not remove your

obligation to pay all amounts owed to us through the termination date, and any amounts incurred

after that date, including fees and costs reasonably required to be incurred by us, as well as accrued

interest. You also agree to sign those documents which are required to permit us to withdraw from

our representation of you.

7. Client File and Retention. For each matter we maintain a file in which we place

certain documents and items, including original documents, that are reasonably necessary to our

representation in the matter. We keep each file for seven years after a matter concludes. The file is

your property and, subject to any protective order or non-disclosure agreement, you may request to

take possession of it once the matter concludes. If you do not take possession of the file during that

seven-year period, you agree that upon sixty days’ notice to you we may dispose of it unless you

request to take possession of it at that time. We will promptly notify you should all or any portion of

the file become the subject of a subpoena, discovery request or other disclosure obligation (“Legal

Process”) while in our possession, including after the matter concludes. You agree to pay our then-

prevailing hourly rates and costs we incur to comply with the Legal Process. Any additional charges

for fees and costs in connection with the Legal Process will be subject to your approval.

8. Arbitration. ANY CLAIM, CONTROVERSY OR DISPUTE BETWEEN OR

AMONG YOU AND US (INCLUDING OUR PROFESSIONALS, EMPLOYEES AND AGENTS),

WHETHER IN TORT, CONTRACT OR OTHERWISE, ARISING OUT OF OR IN ANY WAY

RELATING TO THIS ENGAGEMENT LETTER OR ANY SERVICES THAT WE PROVIDE,

SHALL BE SUBMITTED TO BINDING ARBITRATION. BY AGREEING TO ARBITRATE,

YOU AGREE TO WAIVE YOUR RIGHT TO A JURY TRIAL. The arbitration shall be

administered by JAMS pursuant to its Streamlined Arbitration Rules and Procedures and shall be

conducted in Santa Barbara County, California by one neutral arbitrator. If the dispute involves our

fees or costs, you may elect to submit that portion of the dispute to non-binding arbitration pursuant

to California Business and Professions Code Sections 6200-6206. Any such non-binding arbitration

shall be administered by the Santa Barbara County Bar Association under its Rules of Procedure for

Mandatory Fee Arbitration. If any party rejects the non-binding award, final resolution of the dispute

shall take place pursuant to the binding arbitration procedure with JAMS described above. Any court

having jurisdiction may compel arbitration, grant provisional remedies in aid of arbitration, and

confirm, vacate or modify the arbitration award. You consent to jurisdiction and venue in the state



January 22, 2016

Page 2

3

and federal courts located in Santa Barbara County, California for these purposes. This arbitration

agreement shall be interpreted under the Federal Arbitration Act.

9. No Guarantee of Result or Charges. We do not guarantee any particular result or

the maximum amount of fees or costs you will incur. You acknowledge and agree that any

comments we make about potential outcomes or charges in this matter, including any timetables,

budgets or fee estimates, are expressions of opinion only, are neither promises nor guarantees, and

are not binding. If we represent you in a litigation matter, you may be required to pay the other

side’s fees and costs. Any such payment is your sole responsibility.

10. Our Counsel. We have both internal counsel and outside counsel who advise our

professionals about their ethical, professional and legal duties. From time to time, our professionals

may consult such counsel about this matter. You acknowledge that such consultations are protected

from disclosure to you by the attorney-client privilege between our counsel and us. You also agree

that any such communications are not part of your client file, and that you waive any right to obtain

discovery of those communications.

11. Client Communication. You hereby designate Norma Rosales, Assistant General

Manager, to act on your behalf for this matter, and you authorize us to communicate with, and

receive directions from, that person and any other person that you or Ray Stokes may designate in the

future.

12. Authority to Sign. The person signing this letter on behalf of an entity represents

that he or she has the full right and authority to do so, and to fully commit and bind that entity to this

engagement letter.

13. Miscellaneous. This letter sets forth the entire agreement between you and us, and

there is no other or additional understandings between you and us on these subjects. This agreement

supersedes any prior agreements or representations, written or oral, between you and us on these

subjects. Any modification or amendment to this agreement must be in a writing signed by you and

us. This agreement shall be governed by California law without reference to its conflict of law

principles. If any provision of this agreement is found to be invalid or unenforceable, that provision

shall be deemed modified or removed so that it is valid and enforceable to the fullest extent of the

law, and the other provisions of this agreement shall be unimpaired.

14. Effective Date. The effective date of this agreement is the date you sign this letter,

but if signed, will apply back to the date we first provided legal services to you with regard to our

fees. The date of this letter is for reference only.

15. Primary Attorney. The primary attorney with responsibility for this representation

will be Douglas S. Brown. The parties agree that the Firm is being retained based on the unique

skill, experience, and expertise of Mr. Brown and no change will be made in the primary attorney

without the prior, written consent of the District

If you agree with the above terms and conditions, please sign and return to me the enclosed

copy of the signature page of this letter. If you have any questions about this letter, please feel free



January 22, 2016

Page 2

4

to ask me. In addition, you should feel free to consult independent counsel of your choice about the

terms of this letter.


A-1

EXHIBIT A

SCOPE OF SERVICES

As Bond Counsel, Stradling Yocca Carlson & Rauth, a Professional Corporation (the

“Firm”), will undertake the following Scope of Services on the proposed transaction:

1. Preparation of Legal Documents. Provide bond counsel services in connection

with the proposed refunding of certain outstanding District debt, including but not limited to:

advice and consultation with the District staff, general counsel, District financial

advisor, and the Board of Directors regarding the proposed refinancing, the revenues

to be pledged, proposed financial covenants and the financing process;

preparation of all legal proceedings in connection with the proposed financing;

drafting various resolutions, documents and agreements for consideration by the

Board of Directors of the District;

prepare the escrow agreement with respect to the refunding bonds;

participating in meetings, hearings or negotiations with the District staff, Board

committees, Board of Directors, financial advisor, and other financing team members

as the circumstances require;

render a tax opinion that interest earned with respect to the District’s debt obligation

is exempt from State and Federal taxes; and

render a defeasance opinion to the trustee with respect to the outstanding obligations

being refunded;

prepare final closing documents to be executed by the District to effect delivery of

any financing (including the tax certificate) and coordinate the adoption and

execution of all documents and of the closing.

2. Drafting of Official Statement.

preparation of disclosure policies and procedures.

provide disclosure training to District staff.

assist the District in drafting the preliminary official statement and the final official

statement.

render “fair and accurate” summary opinion on certain sections of the official

statement addressed to the underwriter in our customary form.



January 22, 2016

Page 2

A-2

3. In accordance with our proposal, the not-to-exceed fee for the services described in 1

and 2 above will not exceed $65,000. This will confirm that in the event that our time actually spent

on such services is less than such amount, our fee will be equal to such lesser amount.


Stradling Yocca Carlson & Rauth

Draft of 1/21/16

-1-

RESOLUTION NO. 999

RESOLUTION OF THE BOARD OF DIRECTORS OF THE CARPINTERIA

VALLEY WATER DISTRICT APPOINTING A FINANCING TEAM WITH

RESPECT TO THE PROPOSED REFINANCING OF THE 2006

CERTIFICATES OF PARTICIPATION AND ADOPTING DISCLOSURE

POLICIES AND PROCEDURES

WHEREAS, the Carpinteria Valley Water District (the “District”) is a county water district

duly organized and existing under and pursuant to the Constitution and laws of the State of California

and has previously caused certain certificates of participation to be executed and delivered in 2006

(the “2006 COPs”) to finance and refinance the cost of certain capital improvements to the water

system of the District; and

WHEREAS, the Board of Directors of the District (the “Board”) has determined that it is in

the best interest of ratepayers in the District to refinance the 2006 COPs for interest rate savings; and

WHEREAS, the District desires to appoint a finance team, including financial advisor, bond

counsel and investment banking firm, whose fee will be payable solely from the proceeds of the

financing if and when completed; and

WHEREAS, the District desires to adopt disclosure policies and procedures with respect to

District financings.

NOW, THEREFORE, the Board hereby finds, determines, declares, and resolves as

follows:

SECTION 1. The engagement letter between Fieldman Rolapp & Associates and the

District, attached hereto as Exhibit A, retaining such firm to act as financial advisor in connection

with the proposed refunding, is hereby approved. The General Manager or acting general manager is

hereby authorized to execute and deliver such engagement letter.

SECTION 2. The engagement letter between Stradling Yocca Carlson & Rauth and the

District, attached hereto as Exhibit B, retaining such firm to act as bond counsel in connection with

the proposed refunding, is hereby approved. The General Manager or acting general manager is

hereby authorized to execute and deliver such engagement letter.

SECTION 3. Citigroup Global Markets, Inc. is hereby appointed to act as investment

banker in connection with the proposed refunding, subject to the terms and conditions of a bond

purchase contract to be executed at the time of sale.

SECTION 4. The Disclosure Policies and Procedures document for the District, attached

hereto as Exhibit C, is hereby approved.

SECTION 5. This Resolution shall take effect immediately.

Vote on Resolution by roll call resulted as follows:

AYES:

PACKET PAGE 28 OF 88 ITEM IV. E. PAGE #1

-2-

NAYES:

ABSENT:

The Resolution was thereupon adopted.

DATED: This 27th day of January, 2016.

APPROVED:

Alonzo Orozco, President

ATTEST:

Ursula Santana, Secretary



DISCLOSURE PROCEDURES

PURPOSE

The purpose of these Disclosure Procedures (the “Procedures”) is to memorialize and communicate

procedures in connection with obligations, including notes, bonds and certificates of participation, issued

by or on behalf of the Carpinteria Valley Water District (the “District”) so as to ensure that the District

continues to comply with all applicable disclosure obligations and requirements under the federal securities

laws.

BACKGROUND

The District from time to time issues revenue bonds, notes or other obligations or causes certificates

of participation to be executed and delivered (collectively, “Obligations”) in order to fund or refund capital

investments, other long-term programs and working capital needs. In offering Obligations to the public,

and at other times when the District makes certain reports, the District must comply with the “anti-fraud

rules” of federal securities laws. (“Anti-fraud rules” refers to Section 17 of the Securities Act of 1933 and

Section 10(b) of the Securities and Exchange Act of 1934, and regulations adopted by the Securities and

Exchange Commission under those Acts, particularly “Rule 10b-5” under the 1934 Act.)

The core requirement of these rules is that potential investors in Obligations must be provided with

all “material” information relating to the offered Obligations. The information provided to investors must

not contain any material misstatements, and the District must not omit material information which would

be necessary to provide to investors a complete and transparent description of the Obligations and the

District’s financial condition. In the context of the sale of securities, a fact is generally considered to be

“material” if there is a substantial likelihood that a reasonable investor would consider it to be important in

determining whether or not to purchase the securities being offered.

When Obligations are offered, the two central disclosure documents which are prepared are a

preliminary official statement (“POS”) and a final official statement (“OS”, and collectively with the POS,

“Official Statement”). The Official Statement generally consists of (i) the forepart (which describes the

specific transaction including maturity dates, interest rates, redemption provisions, the specific type of

financing, the leased premises (in certificate of participation financings) and other matters particular to the

financing, (ii) a section which provides information on the District, including its financial condition as well

as certain operating information (“District Section”), and (iii) various other appendices, including the

District’s audited financial report, form of the proposed legal opinion, and form of continuing disclosure

undertaking. Investors use the Official Statement as one of their primary resources for making informed

investment decisions regarding the Obligations.

DISCLOSURE PROCESS

When the District determines to issue Obligations directly, the District Assistant General Manager

requests the involved departments to commence preparation of the portions of the Official Statement

(including particularly the District Section) for which they are responsible. While the general format and

content of the Official Statement may not normally change substantially from offering to offering, except

as necessary to reflect major events, the District Assistant General Manager and other relevant staff are

responsible for reviewing and preparing or updating certain portions of the District Section which are within

their particular areas of knowledge. Once the draft POS has been substantially updated, the entire draft


2

POS is shared with the General Manager for review and input. Additionally, all participants in the

disclosure process are separately responsible for reviewing the entire draft POS.

Members of the financing team, including the Bond Counsel and a financial advisor, if one is

engaged with respect to the Obligations (the “Financial Advisor”), assist staff in determining the materiality

of any particular item, and in the development of specific language in the District Section. Members of the

financing team also assist the District in the development of a “big picture” overview of the District’s

financial condition, included in the District section. This overview highlights particular areas of concern.

Bond Counsel has a confidential, attorney-client relationship with officials and staff of the District.

The Assistant General Manager or a member of the financing team at the direction thereof

schedules one or more meetings or conference calls of the financing team (which includes District officials,

Legal Counsel, Bond Counsel and the District’s Financial Advisor (and the underwriters of the Obligations,

and the underwriters’ counsel, if the proposed financing is being undertaken as a negotiated transaction)),

and new drafts of the forepart of the draft POS and the District Section are circulated and discussed. Such

communications may occur via electronic means rather than by meetings or conference calls. During this

part of the process, there is substantial contact among District staff and other members of the financing

team to discuss issues which may arise, determine the materiality of particular items and ascertain the

prominence in which the items should be disclosed.

Prior to distributing a POS to potential investors, there is typically a formal conference call which

includes District officials involved in the preparation of the POS and members of the financing team (and

the underwriters and the underwriters’ counsel, if the financing is a negotiated transaction) during which

the POS is reviewed in its entirety to obtain final comments and to allow the underwriters, if any, to ask

questions of the District’s senior officials. This is referred to as a “due diligence” meeting.

A substantially final form of the POS is provided to the District Board of Directors in advance of

approval to afford such Board of Directors an opportunity to review the POS, ask questions and make

comments. The substantially final form of the POS is approved by the Board of Directors which generally

authorizes certain senior staff to make additional corrections, changes and updates to the POS in

consultation with Legal Counsel and Bond Counsel.

At the time the POS is posted for review by potential investors, senior District officials execute

certificates deeming certain portions of the POS complete (except for certain pricing terms) as required by

SEC Rule 15c2-12.

Between the posting of the POS for review by potential investors and delivery of the final OS to

the underwriter for redelivery to actual investors in the Obligations, any changes and developments will

have been incorporated into the POS, including particularly the District Section, if required. If necessary to

reflect developments following publication of the POS or OS, as applicable, supplements will be prepared

and published.

In connection with the closing of the transaction, one or more senior District officials execute

certificates stating that certain portions of the OS, as of the date of each OS and as of the date of closing,

does not contain any untrue statement of material fact or omit to state any material fact necessary to make

the statements contained in the Official Statement in light of the circumstances under which they were

made, not misleading. Legal Counsel also provides an opinion letter (generally addressed to the

underwriters) advising that information contained in the District Section of the OS (or specified portions

thereof) as of its date did not, and as of the date of the closing, does not contain any untrue statement of a

material fact or omitted or omits to state any material fact necessary to make the statements therein, in light


3

of the circumstances under which they were made, not misleading. Legal Counsel does not opine to the

underwriters or to other third parties as to any financial, statistical, economic or demographic data or

forecasts, charts, tables, graphs, estimates, projections, assumptions or expressions of opinion, and certain

other customary matters.

DISTRICT SECTION

The information contained in the District Section is developed by personnel under the direction of

the Assistant General Manager, with the assistance of the financing team. In certain circumstances,

additional officials will be involved, as necessary. The following principles govern the work of the

respective staffs that contribute information to the District Section:

District staff involved in the disclosure process are responsible for being familiar with its

responsibilities under federal securities laws as described above.

District staff involved in the disclosure process should err on the side of raising issues when preparing

or reviewing information for disclosure. Officials and staff are encouraged to consult Legal Counsel,

Bond Counsel or members of the financing team if there are questions regarding whether an issue is

material or not.

Care should be taken not to shortcut or eliminate any steps outlined in the Procedures on an ad hoc

basis. However, the Procedures are not necessarily intended to be a rigid list of procedural

requirements, but instead to provide guidelines for disclosure review. If warranted, based on experience

during financings or because of additional SEC pronouncements or other reasons, the District should

consider revisions to the Procedures.

The process of updating the District Section from transaction to transaction should not be viewed as

being limited to updating tables and numerical information. While it is not anticipated that there will

be major changes in the form and content of the District Section at the time of each update, everyone

involved in the process should consider the need for revisions in the form, content and tone of the

sections for which they are responsible at the time of each update.

The District must make sure that the staff involved in the disclosure process is of sufficient seniority

such that it is reasonable to believe that, collectively, they are in possession of material information

relating to the District, its operations and its finances.

JOINT POWERS AGENCY FINANCINGS

The District is a member of various joint powers agencies. These joint powers agencies finance or

refinance facilities from time to time. In connections with such financings and refinancings, these joint

powers agencies may prepare offering documents which include information provided by the District which

constitutes a District Section as discussed above. These Procedures apply to District sSctions prepared in

connection with such joint powers agency financings and refinancing.

TRAINING

Periodic training for the staff involved in the preparation of the Official Statement (including the

District Section) is coordinated by the finance team and the Assistant General Manager. These training

sessions are provided to assist staff members involved in identifying relevant disclosure information to be

included in the District Section. The training sessions also provide an overview of federal laws relating to


4

disclosure, situations in which disclosure rules apply, the purpose of the Official Statement and the District

Section, a description of previous SEC enforcement actions and a discussion of recent developments in the

area of municipal disclosure. Attendees at the training sessions are provided the opportunity to ask

questions of finance team members, including Bond Counsel concerning disclosure obligations and are

encouraged to contact members of the finance team at any time if they have questions.

ANNUAL CONTINUING DISCLOSURE REQUIREMENTS

In connection with the issuance or execution and delivery of Obligations, the District has entered

into contractual agreements (“Continuing Disclosure Undertakings”) to provide annual reports related to

its financial condition (including its audited financial statements) as well as notice of certain events relating

to the Obligations specified in the Continuing Disclosure Undertakings. The District must comply with the

specific requirements of each Continuing Disclosure Undertaking. The District’s Continuing Disclosure

Undertakings will generally require that the annual reports be filed within 270 days after the end of the

District’s fiscal year, and material event notices are generally required to be filed within 10 business days

of their occurrence.

Specific events which require “material event” notices are set forth in each particular Continuing

Disclosure Certificate.

The Assistant General Manager shall be responsible for preparing and filing the annual reports and

material event notices required pursuant to the Continuing Disclosure Undertakings. Particular care shall

be paid to the timely filing of any changes in credit ratings on Obligations (including changes resulting

from changes in the credit ratings of insurers of particular Obligations).


1

LICENSE FEE REIMBURSEMENT AGREEMENT BETWEEN

CARPINTERIA VALLEY WATER DISTRICT AND

CASITAS MUNICIPAL WATER DISTRICT REGARDING SHARING THE LICENSING FEE AND OTHER RELATED COSTS OF

ENVIRONMENTAL SYSTEMS RESEARCH INSTITUTE SOFTWARE

THIS REIMBURSEMENT AGREEMENT ("Agreement") is made and entered into by and between Carpinteria Valley Water District ("CVWD") and Casitas Municipal Water District (“CMWD”) (each individually a “Party” and collectively the “Parties”) with reference to the following facts:

RECITALS WHEREAS, the Parties developed Geographic Information Systems ("GIS") for purposes of conducting their respective planning and operations; and WHEREAS, the Parties have exhausted the need for the software ARCGIS Server developed by Environmental Systems Research Institute ("ESRI"), but desire to use other ESRI software in order to develop their respective GIS systems further; and WHEREAS, ESRI has developed a Small Utility Enterprise License Agreement ("SU-ELA”) for small water utilities that allows the Parties to use any ESRI software; and WHEREAS, the cost to a small water utility to enter into an SU-ELA is ten thousand dollars per year ($10,000.00/year) with a minimum subscriber commitment of three (3) years; and WHEREAS, ESRI agreed to the following: (i) ESRI will issue CVWD a SU-ELA for a three-year subscription period; (ii) the SU-ELA issued to CVWD will expressly allow CVWD to equally share licensing fees and other costs related to the SU-ELA with CMWD pursuant to a separate license fee reimbursement agreement between CVWD and CMWD (“Reimbursement Agreement”); and, (iii) provided CVWD and CMWD enter into a Reimbursement Agreement, the SU-ELA shall grant both CVWD and CMWD an unlimited license to use ESRI software for the three-year subscription period of the SU-ELA; and

WHEREAS, the Parties desires to enter into this Agreement to establish the terms and conditions by which they will share the costs, rights and obligations associated with their joint use of the SE-ULA issued by ESRI to CVWD. NOW, THEREFORE, in consideration of the mutual promises made below, the Parties do agree as follows:

PACKET PAGE 34 OF 88 ITEM IV. G. PAGE #1

2

SECTION 1. Role and Responsibilities of CVWD. A. Subject to the conditions precedent set forth in Section 4, below, CVWD shall enter into a SU-ELA with ESRI and directly pay ESRI all licensing fees and other costs associated with the SU-ELA (“SU-ELA License Fees”) as may be invoiced by ESRI in accordance with the SU-ELA. B. Upon CVWD’s payment to ESRI of SU-ELA License Fees, CVWD shall separately invoice CMWD and CMWD shall reimburse CVWD fifty percent (50%) of the SU-ELA License Fees paid by CVWD to ESRI. C. CVWD shall include in the written invoice to CMWD a copy of the original invoice issued to CVWD by ESRI showing the total SU-ELI License Fees paid by CVWD to ESRI. SECTION 2. Roles and Responsibilities of CMWD. A. Upon being invoiced fifty percent (50%) of the SU-ELA License Fees as described in Section 1, above, CMWD shall remit payment to CVWD of those invoiced fees. B. CMWD’s payment of SU-ELA License Fees to CVWD as described above shall be made by CMWD within thirty (30) days of receipt of the written invoice issued by CVWD. C. CMWD shall adhere to all applicable provisions set forth in the SU-ELA entered into by CVWD and ESRI governing use of the ESRI software. SECTION 3. Effective Date. This Agreement shall become effective on the date that CVWD and ESRI enter into the SU-ELA which is the subject matter of this Agreement. SECTION 4. Term. A. The term of this Agreement shall run concurrently with the three-year term of the SU-ELA entered into by CVWD and ESRI which is the subject matter of this Agreement. B. The term of this Agreement may be extended by mutual written agreement of the Parties. SECTION 5. Termination. This Agreement shall terminate automatically upon termination of the three-year SU-ELA entered into between CVWD and ESRI which is the subject matter this Agreement. SECTION 6. Condition Precedents. All of the following conditions must be satisfied before this Agreement shall be enforceable and implemented: A. Prior to execution of the SU-ELA which is the subject matter of this Agreement by CVWD and ESRI, CVWD shall provide CMWD with a copy of the SU-ELA for CMWD’s review and approval as to form and substance; B. If CMWD approves the form and substance of the SU-ELA to be executed by CVWD and ESRI, CMWD shall communicate that approval to CVWD in a separate writing to CVWD; and,


3

C. The SU-ELA which is the subject matter of this Agreement shall expressly provide for the following:

a. CVWD may share licensing fees and other costs related to the SU-ELA with CMWD pursuant to a separate reimbursement agreement between CVWD and CMWD (“Reimbursement Agreement”); and,

b. Upon CVWD and CMWD entering into a Reimbursement Agreement, the SU-

ELA shall grant both CVWD and CMWD unrestricted use of ESRI software as defined in the ESRI Small Utility License program for the three-year subscription period of the SU-ELA.

SECTION 7. Liability and Indemnification. A. To the fullest extent allowed by law, CVWD shall hold harmless, defend and indemnify CMWD, and its governing members, officers, agents, and employees from and against all liabilities, obligations, claims, damages, losses, actions, judgments, suits, fees, penalties and charges, or other costs and expenses that CMWD may incur or suffer resulting from, arising out of, or in connection with any negligent act or omission or willful misconduct on the part of CVWD, its officers, agents, and employees, in the performance of this Agreement. B. To the fullest extent allowed by law, CMWD shall hold harmless, defend and indemnify CVWD and its governing members, officers, agents, and employees from and against all liabilities, obligations, claims, damages, losses, actions, judgments, suits, fees, penalties and charges, or other costs and expenses the CVWD incurs or suffers resulting from, arising out of, or in connection with any negligent act or omission or willful misconduct on the part of CVWD, its officers, agents, and employees, in the performance of this Agreement. C. Promptly following notice of any claim, the indemnified Party shall provide written notice to the indemnifying party of such claim. The indemnifying party shall thereafter defend against such claim. The indemnifying Party shall select counsel of its choice. If, following notice of a claim by the indemnified Party, the indemnifying party fails to promptly defend such claim, the indemnified party may defend the claim as it deems appropriate and with counsel of its choice, including without limitation, settlement of the claim on terms the indemnified Party deems appropriate, and may pursue remedies as may be available to the indemnified Party against the indemnifying Party. D. The indemnification requirements of this Section 7 shall survive the termination of this Agreement. SECTION 8. Default. A Party shall be in default of this Agreement if it fails to perform any of its obligations under this Agreement at the time performance is due. The defaulting Party shall have ten (10) days from receipt of a written demand to cure such non-performance or to notify the non-defaulting Party of the existence of, and basis for, a good faith dispute. If the default is curable but cannot be cured within the 10-day period for reasons beyond the control of the defaulting Party, and the defaulting Party is diligently pursuing reasonable efforts to cure such


4

default, the cure period shall be extended as reasonably necessary to permit performance. SECTION 9. Liability for Contracts with Vendors and Third Parties. Each Party is responsible for negotiating, executing, administrating and enforcing any contract with Vendors or third- parties related to or arising from this Agreement or the SU-ELA which is the subject matter of this Agreement. Any agreements ultimately entered into by a Party to this Agreement with Vendors and Third-Parties shall not be cross-defaulted or cross-collateralized in any respect with this Agreement or the SU-ELA which is the subject matter of this Agreement, even where the agreement is related to or arises from this Agreement or the SU-ELA. SECTION 10. No Waiver. Any failure or delay on the part of either Party to exercise any right under this Agreement shall not constitute a waiver of the right, and shall not preclude such Party from exercising or enforcing the right, or any other provision of this Agreement, on any subsequent occasion. SECTION 11. General Provisions. A. This Agreement is governed by, interpreted under, and construed and enforced in accordance with the laws of the State of California. In the event that suit shall be brought by either Party to this Agreement, the Parties agree that venue shall be exclusively vested in the State's courts of the County of Santa Barbara. B. If any provision of this Agreement shall be determined by a court to be invalid, illegal, or unenforceable to any extent, the remainder of this Agreement shall not be affected and this Agreement shall be construed as if the invalid, illegal, or unenforceable provision had never been contained in this Agreement. C. This Agreement may be signed in counterparts. D. This Agreement represents the entire agreement of the Parties relative to the subject matter of the Agreement. E. The Parties agree at all times to cooperate and to conduct their relationship to one another in good faith. F. Unless otherwise expressly agreed by the Parties, all fees and expenses incurred in connection with or related to this Agreement and the transactions contemplated hereby shall be paid by the Party incurring such expenses whether or not such transactions are consummated.

G. In any legal dispute arising out of this Agreement, the prevailing Party shall be paid in full by the losing party for attorney’s fees and costs, including expert witness fees and costs, expended in connection with such an action.

H. All notices, demands, requests and other communications required or permitted by or provided for in this Agreement shall be given in writing to the Parties at their respective addresses


5

set forth below, or at such address as a Party shall designate for itself in writing. Communications may be transmitted: (i) by personal delivery, (ii) by messenger, express, air courier or similar courier service, or (iii) by facsimile. Delivery or service of any communication shall be deemed effective upon receipt. The date of receipt shall be the date shown as the date of delivery in the written proof of delivery by personal, express mail or courier service, or the electronic confirmation sheet for a facsimile. Any communication received after 5:00 p.m. local time, or on a day other than a business day, shall be deemed received on the next business day.

To CVWD: To CMWD:

IN WITNESS WHEREOF, this Agreement has been executed by the Parties hereto.

Dated: CARPINTERIA VALLEY WATER DISTRICT By: ___________________________________ Dated: CASITAS MUNICIPAL WATER DISTRICT By: _______________________________________


January 8, 2016 Mr. Bob McDonald Carpinteria Valley Water District Casitas Municipal Water District 1301 Santa Ynez 1055 N Ventura Ave Carpinteria, CA 93013 Oak View, CA 93022 Dear Bob, The Esri Small Utility Enterprise License Agreement (ELA) is a three‐year agreement that will grant your organizations access to Esri® term license software on an unlimited basis including maintenance on all software offered through the ELA for the term of the agreement. The ELA will be effective on the date executed and will require a firm, three‐year commitment. Based on Esri's work with several organizations similar to yours, we know there is significant potential to apply geographic information system (GIS) technology in many operational and technical areas within your organizations. For this reason, we believe that your organizations will greatly benefit from an enterprise license agreement. An ELA will provide your organizations with numerous benefits including: A lower cost per unit for licensed software Substantially reduced administrative and procurement expenses Maintenance on all Esri software deployed under this agreement Complete flexibility to deploy software products when and where needed

The following business terms and conditions will apply: All current departments, employees, and in-house contractors of the organizations will be eligible

to use the software and services included in the ELA.

If your organizations wish to acquire and/or maintain any Esri software during the term of the agreement that is not included in the ELA, it may do so separately at the Esri pricing that is generally available for your organizations for software and maintenance.

The organizations will establish a single point of contact for orders and deliveries and will be

responsible for redistribution to eligible users. The organizations will establish a Tier 1 support center to field calls from internal users of Esri

software. The organizations may designate individuals as specified in the ELA who may directly contact Esri for Tier 2 technical support.

The organizations will provide an annual report of installed Esri software to Esri.

Esri software and updates that the organizations is licensed to use will be automatically available

for downloading.


Small Utility ELA 2

The organizations will act as an Esri reference site and will permit Esri to publicize its use of Esri

software and services.

The fee and benefits offered in this ELA proposal are contingent upon your acceptance of Esri’s Small Utility ELA terms and conditions.

Licenses are valid for the term of the ELA. The terms and conditions in this Small Utility ELA offer are for utilities with a total meter/subscriber count which falls under the applicable tier in the Esri ELA Small Utility Program. By accepting this offer, you confirm that your organizations' meter count falls within this range on the date of signature and that you are therefore eligible for this pricing. If your organizations' meter/subscriber count does not fall within this range, please confirm your current meter/subscriber count, and Esri will provide a revised quotation.

This program offer is valid for 90 days. To complete the agreement within this time frame, please contact me within the next seven days to work through any questions or concerns you may have. To expedite your acceptance of this ELA offer:

1. Sign and return the whole agreement per the instructions in the terms and conditions.

2. On the first page of the ELA, identify the central point of contact/agreement administrator. The agreement administrator is the party that will be the contact for management of the software, administration issues, and general operations. Information should include name, title (if applicable), address, phone number, and e-mail address.

3. In the purchase order, identify the "Ship to" and "Bill to" information for your organizations.

4. Send the purchase order and agreement to the address, email or fax noted below:

Esri Attn: Customer Service SU-ELA 380 New York Street Redlands, CA 92373-8100

e-mail: [email protected] fax documents to: 909-307-3083

I appreciate the opportunity to present you with this proposal, and I believe it will bring great benefits to both organizations. Thank you very much for your consideration. Best Regards, Suzanne Timani


ENVIRONMENTAL SYSTEMS RESEARCH INSTITUTE, INC.380 New York StRedlands, CA 92373-8100Phone: (909) 793-2853 Fax: (909) 307-3025DUNS Number: 06-313-4175 CAGE Code: 0AMS3

Quotation # 20479565Date:

Customer # 261984 Contract #

Carpinteria Valley Water District1301 Santa YnezCarpinteria, CA 93013

ATTENTION: Bob McDonaldPHONE: (805) 684-2816FAX:

To expedite your order, please attach a copy ofthis quotation to your purchase order.Quote is valid from: 12/07/2015 To: 03/06/2016

December 7, 2015

The items on this quotation are subject to the terms set forth herein and the terms of your signed agreement with Esri, if any, or, where applicable, Esri's standard terms and conditions at www.esri.com/legal, which are incorporated by reference. Federal government entities and government prime contractors authorized under FAR 51.1 may purchase under the terms of Esri's GSA Federal Supply Schedule. Acceptance is limited to the terms of this quotation. Esri objects to and expressly rejects any different or additional terms contained in any purchase order, offer, or confirmation sent to or to be sent by buyer. All terms of this quotation will be incorporated into and become part of any additional agreement regarding Esri's products and services.

If sending remittance, please address to: Esri, File No. 54630, Los Angeles, Ca 90074-4630

This offer is limited to the terms and conditions incorporated and attached herein.TIMANIS

For questions contact: Suzanne Timani Email: [email protected] Phone: (909) 793-2853 x1627

Esri may charge a fee to cover expenses related to any customer requirement to use a proprietary vendor management, procurement, or invoice program.

114749 1 Meter Counts of 0 to 10,000 Small Utility Term Enterprise License Agreement - Year Three

10,000.00 10,000.00

114749 1 Meter Counts of 0 to 10,000 Small Utility Term Enterprise License Agreement - Year One

10,000.00 10,000.00

114749 1 Meter Counts of 0 to 10,000 Small Utility Term Enterprise License Agreement - Year Two

10,000.00 10,000.00

Item Total: 30,000.00

Material Qty Description Unit Price Total

Estimated Shipping & Handling(Surface Delivery) : 0.00Contract Pricing Adjust: 0.00

Subtotal: 30,000.00Sales Tax: 2,400.00

*this will be a joined agreement that includes Casistas Municipal Water in the Enterprise license agreement.

Total: $32,400.00


Esri Use Only:

Cust. Name

Cust. #

PO #

Esri Agreement #

Esri, 380 New York St., Redlands, CA 92373-8100 USA • TEL 909-793-2853 • FAX 909-793-5953

Page 1 of 8 03/31/2015

REGIONAL SMALL UTILITY

ENTERPRISE LICENSE AGREEMENT

(RG1-MOD)

This Agreement is by and between Carpinteria Valley Water District ("Customer") and Environmental Systems Research

Institute, Inc. ("Esri").

This Agreement sets forth the terms for Customer's use of Products and incorporates by reference (i) the Quotation and

(ii) the License Agreement. Should there be any conflict between the terms and conditions of the documents that comprise

this Agreement, the order of precedence for the documents shall be as follows: (i) the Quotation, (ii) this Agreement, and

(iii) the License Agreement. This Agreement shall be governed by and construed in accordance with the laws of the state in

which Customer is located without reference to conflict of laws principles, and the USA federal law shall govern in matters

of intellectual property. The modifications and additional rights granted in this Agreement apply only to the Products listed in

Table A.

Table A

List of Products

Uncapped Quantities

Desktop Software and Extensions

ArcGIS for Desktop Advanced

ArcGIS for Desktop Standard

ArcGIS for Desktop Basic

ArcGIS for Desktop Extensions: ArcGIS 3D Analyst,

ArcGIS Spatial Analyst, ArcGIS Geostatistical Analyst,

ArcGIS Publisher, ArcGIS Network Analyst, ArcGIS

Schematics, ArcGIS Workflow Manager for Desktop,

ArcGIS Data Reviewer

Server Software and Extensions

ArcGIS for Server Workgroup and Enterprise (Advanced,

Standard, and Basic)

ArcGIS for Server Extensions: ArcGIS 3D Analyst, ArcGIS

Spatial Analyst, ArcGIS Geostatistical Analyst, ArcGIS

Network Analyst, ArcGIS Schematics, ArcGIS Workflow

Manager for Server, ArcGIS Image Extension for Server

Developer Tools

ArcGIS Engine

ArcGIS Engine Extensions: ArcGIS 3D Analyst, ArcGIS

Spatial Analyst, ArcGIS Engine Geodatabase Update,

ArcGIS Network Analyst, ArcGIS Schematics

ArcGIS Runtime Standard

ArcGIS Runtime Standard Extensions: ArcGIS 3D

Analyst, ArcGIS Spatial Analyst, ArcGIS Network

Analyst

Limited Quantities One (1) Annual Subscription to Esri Developer Network

(EDN) Standard*

One (1) Esri CityEngine Advanced Single Use License

One (1) Esri CityEngine Advanced Concurrent Use

License

One (1) ArcGIS Online Subscription

One (1) Portal for ArcGIS Subscription

OTHER BENEFITS

One (1) ArcGIS Online Subscription with specified named users and credits as determined in the program

description Level 1

One (1) Portal for ArcGIS term subscription with specified named users as determined in the program

description

Level 1

Number of Esri User Conference Registrations provided annually 1

Number of Tier 1 Help Desk Individuals authorized to call Esri 2

Maximum number of sets of backup media, if requested** 2

Seats in the Working with Geometric Networks for Utilities class 1

Five percent (5%) discount on all individual commercially available instructor-led training classes at Esri facilities

purchased outside this Agreement (Discount does not apply to Small Enterprise Training Package.)

* Maintenance is not provided for these items.

**Additional sets of backup media may be purchased for a fee.


Page 2 of 8 03/31/2015

Customer may accept this Agreement by signing and returning the whole Agreement with a sales quotation, purchase order,

or other document ("Ordering Document") that matches the Quotation and references this Agreement. ADDITIONAL OR

CONFLICTING TERMS IN CUSTOMER'S ORDERING DOCUMENT WILL NOT APPLY, AND THE TERMS

OF THIS AGREEMENT WILL GOVERN. Unless otherwise mutually agreed to, this Agreement is effective as of the

date of the last signature on the signature page ("Effective Date") or, if no date is provided with the signature, the date of

Esri's receipt of Customer's Ordering Document incorporating this Agreement by reference. This Agreement may be executed

in duplicate by the parties. An executed separate signature page transmitted through electronic means, such as fax or e-mail,

is valid and binding even if an original paper document bearing each party's original signature is not delivered.

This Agreement authorizes the entities listed in Attachment 1 ("Authorized Entity") to use Products listed in Table A,

provided Authorized Entity signs and returns an executed Authorized Entity Acknowledgment Statement and agrees to be

bound by the terms and conditions of this Agreement. Customer may not Deploy any Products to an Authorized Entity until

Customer has received and sent to Esri the executed Authorized Entity Acknowledgment Statement.

Term of Agreement: Three (3) years

This Agreement supersedes any previous agreements, proposals, presentations, understandings, and arrangements between

the parties relating to the licensing of the Products. Except as provided in Article 4—Product Updates, no modifications can

be made to this Agreement.

Accepted and Agreed:


(Customer)

By:

Authorized Signature

Printed Name:

Title:

Date:

CUSTOMER CONTACT INFORMATION

Contact: Telephone:

Address: Fax:

City, State, Postal Code: E-mail:

Country:

Quotation Number (if applicable):


Page 3 of 8 03/31/2015

1.0—ADDITIONAL DEFINITIONS

In addition to the definitions provided in the License

Agreement, the following definitions apply to this

Agreement:

"Deploy", "Deployed" and "Deployment" mean to

redistribute and install the Products and related

Authorization Codes within Licensee's organization(s).

"Fee" means the fee set forth in the Quotation.

"Incident" means a failure of the Software or Online

Services to operate according to the Documentation

where such failure substantially impacts operational or

functional performance.

"License Agreement" means (i) the applicable license

agreement incorporated by this reference that is found at

http://www.esri.com/legal/software-license; composed of

the General License Terms and Conditions (E204) and

Exhibit 1, Scope of Use (E300); and available in the

installation process requiring acceptance by electronic

acknowledgment or (ii) a signed license agreement

between the parties that supersedes such electronically

acknowledged license agreement.

"Licensee" means Customer and Authorized Entity.

"Maintenance" means Tier 2 Support, Product updates,

and Product patches provided to Customer during the

term of this Agreement.

"Product(s)" means the products identified in Table A—

List of Products and any updates to the list Esri provides

in writing.

"Quotation" means the offer letter and quotation

provided separately to Customer.

"Technical Support" means the technical assistance for

attempting resolution of a reported Incident through error

correction, patches, hot fixes, workarounds, replacement

deliveries, or any other type of Product corrections or

modifications.

"Tier 1 Help Desk" means Customer's point of

contact(s) to provide all Tier 1 Support within Licensee's

organization(s).

"Tier 1 Support" means the Technical Support provided

by the Tier 1 Help Desk.

"Tier 2 Support" means the Technical Support provided

to the Tier 1 Help Desk when an Incident cannot be

resolved through Tier 1 Support. Customer will receive

Tier 2 Support from Esri.

2.0—ADDITIONAL GRANT OF LICENSE

2.1 Grant of License. Subject to the terms and

conditions of this Agreement, Esri grants to Licensee

a personal, nonexclusive, nontransferable license

solely to use, copy and Deploy quantities of the

Products listed in Table A—List of Products for the

term provided on the first page (i) for the applicable

Fee and (ii) in accordance with the License

Agreement. Additionally, Esri grants to Customer the

right to Deploy for Licensee’s internal use, provided

prior to Deploying to an Authorized Entity, Esri

receives a signed copy of the Authorized Entity

Acknowledgment Statement.

2.2 Consultant Access. Esri grants Licensee the right to

permit Licensee's consultants or contractors to use the

Products exclusively for Licensee's benefit. Licensee

will be solely responsible for compliance by

consultants and contractors with this Agreement and

will ensure that the consultant or contractor

discontinues use of Products upon completion of

work for Licensee. Access to or use of Products by

consultants or contractors not exclusively for

Licensee's benefit is prohibited. Licensee may not

permit its consultants or contractors to install

Software or Data on consultant, contractor, or third-

party computers or remove Software or Data from

Customer locations, except for the purpose of hosting

the Software or Data on Contractor Servers for the

benefit of Licensee.

3.0—TERM, TERMINATION, AND EXPIRATION

3.1 Term. The term of this Agreement and all licenses

hereunder will commence on the Effective Date and

continue for the duration identified on the signature

page, unless this Agreement is terminated earlier as

provided herein. Licensee is only authorized to use

Products during the term of this Agreement. For an

Agreement with a limited term, Esri does not grant

Licensee an indefinite or perpetual license to

Products.

3.2 No Use upon Agreement Expiration or

Termination. All Product licenses and all

Maintenance, Esri Virtual Campus access, and Esri

User Conference registrations terminate on expiration

or termination of this Agreement.

3.3 Termination for a Material Breach. Either party

may terminate this Agreement for a material breach

by the other party. The breaching party will be given

a period of thirty (30) days from the date of written

notice to cure any material breach.


http://www.esri.com/legal/software-license

Page 4 of 8 03/31/2015

3.4 Termination for Lack of Funds. For an Agreement

with government or government-owned entities,

either party may terminate this Agreement before any

subsequent year if Customer is unable to secure

funding through the legislative or governing body's

approval process.

3.5 Termination of an Individual Authorized Entity.

Esri may terminate the license rights of a particular

Authorized Entity for material breach without

terminating this Agreement with Customer. The

breaching Authorized Entity will be given a period of

thirty (30) days from the date of written notice to

cure any material breach. Upon the termination of an

Authorized Entity, all Products Deployed to the

Authorized Entity will also terminate. Customer shall

reasonably cooperate with Esri in termination of an

Authorized Entity for material breach of this

Agreement, including enforcement of the Agreement

with respect to such Authorized Entity. There will be

no reduction in the Fee if an Authorized Entity’s

rights are terminated. The terminated Authorized

Entity will have no further access to any benefits,

entitlements, rights, or other items included in or

otherwise related to this Agreement.

3.6 Termination by Authorized Entity. If an

Authorized Entity no longer desires to participate in

this Agreement, the Authorized Entity may terminate;

however, there will be no decrease in the Fee as a

result.

4.0—PRODUCT UPDATES

4.1 Future Updates. Esri reserves the right to update the

list of Products in Table A—List of Products by

providing written notice to Customer. Licensee may

continue to use all Products that have been Deployed,

but support and upgrades for deleted items may not

be available. As new Products are incorporated into

the standard program, they will be offered to

Customer via written notice for incorporation into the

Products schedule at no additional charge. Licensee's

use of new or updated Products requires Licensee to

adhere to applicable additional or revised terms and

conditions of the License Agreement.

4.2 Product Life Cycle. During the term of this

Agreement, some Products may be retired or may no

longer be available to Deploy in the identified

quantities. Maintenance will be subject to the

individual Product Life Cycle Support Status and

Product Life Cycle Support Policy, which can be

found at

http://support.esri.com/en/content/productlifecycles.

Updates for Products in the mature and retired phases

may not be available. Licensee may continue to use

Products already Deployed for the term of this

Agreement, but Customer will not be able to Deploy

retired Products.

5.0—MAINTENANCE

The Fee includes standard maintenance benefits specified

in the most current applicable Esri Standard Maintenance

Program document (found at http://www.esri.com/legal).

At Esri's sole discretion, Esri may make patches, hot

fixes, or updates available for download. No Software

other than the defined Products will receive Maintenance.

Licensee may acquire maintenance for other Software

outside this Agreement.

a. Tier 1 Support

1. Customer will provide Tier 1 Support through

the Tier 1 Help Desk to all Licensee's authorized

users.

2. The Tier 1 Help Desk will be fully trained in the

Products.

3. At a minimum, Tier 1 Support will include those

activities that assist the user in resolving how-to

and operational questions as well as questions on

installation and troubleshooting procedures.

4. The Tier 1 Help Desk will be the initial points of

contact for all questions and reporting of an

Incident. The Tier 1 Help Desk will obtain a full

description of each reported Incident and the

system configuration from the user. This may

include obtaining any customizations, code

samples, or data involved in the Incident. The

Tier 1 Help Desk may also use any other

information and databases that may be developed

to satisfactorily resolve the Incident.

5. If the Tier 1 Help Desk cannot resolve the

Incident, an authorized Tier 1 Help Desk

individual may contact Tier 2 Support. The

Tier 1 Help Desk will provide support in such a

way as to minimize repeat calls and make

solutions to problems available to Licensee.

6. Tier 1 Help Desk individuals are the only

individuals authorized to contact Tier 2 Support.

Customer may change the Tier 1 Help Desk

individuals by written notice to Esri.

b. Tier 2 Support

1. Tier 2 Support will log the calls received from

Tier 1 Help Desk.


http://support.esri.com/en/content/productlifecycles

http://www.esri.com/legal

Page 5 of 8 03/31/2015

2. Tier 2 Support will review all information

collected by and received from the Tier 1 Help

Desk including preliminary documented

troubleshooting provided by the Tier 1 Help

Desk when Tier 2 Support is required.

3. Tier 2 Support may request that Tier 1 Help

Desk individuals provide verification of

information, additional information, or answers

to additional questions to supplement any

preliminary information gathering or

troubleshooting performed by Tier 1 Help Desk.

4. Tier 2 Support will attempt to resolve the

Incident submitted by Tier 1 Help Desk.

5. When the Incident is resolved, Tier 2 Support

will communicate the information to Tier 1 Help

Desk, and Tier 1 Help Desk will disseminate the

resolution to the user(s).

6.0—ENDORSEMENT AND PUBLICITY

This Agreement will not be construed or interpreted as an

exclusive dealings agreement or Licensee's endorsement

of Products. Either party may publicize the existence of

this Agreement.

7.0—ADMINISTRATIVE REQUIREMENTS

7.1 OEM Licenses. Under Esri's OEM or Solution OEM

programs, OEM partners are authorized to embed or

bundle portions of Esri products and services with

their application or service. OEM partners' business

model, licensing terms and conditions, and pricing

are independent of this Agreement. Licensee will not

seek any discount from the OEM partner or Esri

based on the availability of Products under this

Agreement. Licensee will not decouple Esri products

or services from the OEM partners' application or

service.

7.2 Annual Report of Deployments. At each

anniversary date and ninety (90) calendar days prior

to the expiration date of this Agreement, Customer

will provide Esri with a written report detailing all

Deployments. Upon request, Licensee will provide

records sufficient to verify the accuracy of the annual

report.

8.0—ORDERING, ADMINISTRATIVE

PROCEDURES, DELIVERY, AND

DEPLOYMENT

8.1 Orders, Delivery, and Deployment

a. Customer will issue an Ordering Document upon

execution of this Agreement and annually thereafter

in accordance with the Quotation. Payment will be

due and payable within thirty (30) calendar days of

the anniversary date of the Effective Date, with the

initial payment due within thirty (30) calendar days

of execution of this Agreement. Esri's federal ID

number is 95-2775-732.

b. Upon receipt of the initial Ordering Document from

Customer, Esri will authorize download of the

Products to Customer for Deployment. If requested,

Esri will ship backup media to the ship-to address

identified on the Ordering Document, FOB

Destination, with shipping charges prepaid. For those

entities that avoid sales tax by downloading

deliverables, request for delivery or receipt of

tangible media may cause the Fee to be subject to

taxes. Customer acknowledges that should such taxes

become due, Esri has a right to invoice and Customer

will pay any such sales or use tax associated with its

receipt of tangible media.

c. Esri will provide Authorization Codes to activate the

nondestructive copy protection program that enables

the Products to operate.

8.2 Order Requirements

a. All orders pertaining to this Agreement will be

processed through Customer's centralized point of

contact.

b. The following information will be included in each

Ordering Document:

(1) Customer name; Esri customer number, if

known; and bill-to and ship-to addresses

(2) Order number

(3) Applicable annual payment due

9.0—MERGERS, ACQUISITIONS, OR

DIVESTITURES

If Licensee is a commercial entity, Licensee will notify

Esri in writing in the event of (i) a consolidation, merger,

or reorganization of Licensee with or into another

corporation or entity; (ii) Licensee's acquisition of another

entity; or (iii) a transfer or sale of all or part of Licensee's

organization (subsections i, ii, and iii, collectively referred

to as "Ownership Change"). There will be no decrease in

Fee as a result of any Ownership Change.


Page 6 of 8 03/31/2015

9.1 If an Ownership Change increases the cumulative

program count beyond the maximum level for this

Agreement, Esri reserves the right to increase the Fee

or terminate this Agreement and the parties will

negotiate a new agreement.

9.2 If an Ownership Change results in transfer or sale of

a portion of Licensee's organization, that portion of

Licensee's organization will uninstall, remove, and

destroy or transfer the Products to Licensee.

9.3 This Agreement may not be assigned to a successor

entity as a result of an Ownership Change unless

approved by Esri in writing in advance. If the

assignment to the new entity is not approved,

Licensee will require any successor entity to

uninstall, remove, and destroy the Products, and this

Agreement will terminate upon such Ownership

Change.


Page 7 of 8 03/31/2015

ATTACHMENT 1

AUTHORIZED ENTITY LIST

1. Authorized Entity Name: Casitas Municipal Water

District

Contact Name:

Address:

Phone:

E-mail:


Page 8 of 8 03/31/2015

Prior to any Deployment to an Authorized Entity, Customer shall require each such entity to be contractually bound to

applicable terms and conditions by executing an Authorized Entity Acknowledgment Statement. Customer shall keep a copy

of the signed original acknowledgment for its records and forward a copy of the signed original to Esri. Esri may pursue

remedies against Customer or an individual Authorized Entity for material breach. Only Customer has a right to Deploy.

AUTHORIZED ENTITY ACKNOWLEDGMENT STATEMENT

Environmental Systems Research Institute, Inc. ("Esri") and Carpinteria Valley Water District ("Customer"), have entered

into an Agreement for licensing certain rights to use and Deploy specific Products and to receive maintenance for the term of

the Agreement, subject to payment of fees and adherence to the terms and conditions of this Agreement. Esri has authorized

Customer to Deploy Products to Authorized Entity provided Authorized Entity signs and returns this Authorized Entity

Acknowledgment Statement.

Accordingly, Authorized Entity, as a Licensee, represents it has received and read the Agreement, and understands and agrees

to be bound by the Agreement, for use of Products received from Customer. Authorized Entity agrees that Esri may pursue

remedies against Authorized Entity for material breach of the Agreement. All Deployments made by Customer to Authorized

Entity shall be made through Customer's centralized point of contact. Tier 1 Help Desk will provide Maintenance to

Authorized Entity. Authorized Entity grants Customer the right to unilaterally sign amendments to this Agreement, which

shall be binding on Authorized Entity.

No other rights are granted to Authorized Entity under this acknowledgment.

Accepted and Agreed:

Casitas Municipal Water District

(Authorized Entity)

Signature:

Printed Name:

Title:

Date:



Record of Change to Capital Expenditures Budget

Requester Robert McDonald

Request Date 01/27/2016

Project Name HWWell VFD

Project Number B95

Starting Month/Year Dec-2015

Expected Completion Date Jun-2016

Original Budget $

Revised Budget $ 70,000.00

Source of Funds: Amount

Reserves $

Amount

Transfer From Another Project $ 33,000.00 ~~~~--'-~~~

$ 37,000.00

Reason For Change In Budget:

Project Number

B77

B76

Project Name

Cramer Pressure Regulator

9th Street Bridge Main Repl

In order to improve reliability of critical water supply wells we are replacing the HQ Well Variable

Frequency Drive which has failed twice in the last several years. Budget transferred from Cramer

project due to project deferral. Budget transferred from the 9th Street Bridge project due to

excess budget funds.

lA7!/h I ~

Norma Rosales, Assistant General Manager Robert McDonald, Acting General Manager

Date of Board Action** BO INFORMATION ITEM RQD

** Board Approval required if reserves are allocated or if the change increases the total capital expenditures budget. Attach copy of board approval once obtained. Reallocations > $10,000 require a board information item. Reallocations< $10,000 require no board action or information item.

PACKET PAGE 50 OF 88 ITEM IV. H. PAGE #1

PACKET PAGE 51 OF 88 ITEM VI. A. PAGE #1

PACKET PAGE 52 OF 88 ITEM VI. A. PAGE #2


AGENDA

DROUGHT MANAGEMENT COMMITTEE


1301 SANTA YNEZ AVENUE

CARPINTERIA, CALIFORNIA 93013

Tuesday, January 26, 2016 at 8:30 A.M.

I. CALL TO ORDER

II. PUBLIC FORUM (Any person may address the Drought Management Committee on any

matter within its jurisdiction which is not on the agenda.)

III. OLD BUSINESS - none

IV. NEW BUSINESS

A. Proposed Changes to Extended Emergency Water Conservation Regulation

B. **District Water Conservation efforts – status and future actions ( Rhonda Gutierrez)

C. **Goleta Water District Recycled Water Trucking Program –status.

D. Santa Barbara County “Simple Systems” graywater “shower to flower” regulation –

status.

E. Sweetwater Collaborative proposal for two workshops (co-funded by City of Carpinteria).

V. ADJOURNMENT

Ursula Santana, Acting Board Secretary

Note: The above Agenda was posted at Carpinteria Valley Water District Administrative Office in view of the public no later

than 8:30 a.m., January 23, 2016. The Americans with Disabilities Act provides that no qualified individual with a disability

shall be excluded from participation in, or denied benefits of, the District’s programs, services, or activities because of any

disability. If you need special assistance to participate in this meeting, please contact the District Office at (805) 684-2816.

Notification at least twenty-four (24) hours prior to the meeting will enable the District to make appropriate arrangements.

Materials related to an item on this Agenda submitted to the Board of Directors after distribution of the agenda packet are

available for public inspection in the Carpinteria Valley Water district offices located at 1301 Santa Ynez Avenue, Carpinteria

during normal business hours, from 8 am to 5 pm.

PACKET PAGE 53 OF 88 ITEM VI. B. PAGE #1

REGULAR MEETING OF

CACHUMA OPERATION AND MAINTENANCE BOARD

3301 Laurel Canyon Road Santa Barbara, CA 93105

______________________________________________________________________________

Monday, January 25, 2016

2:00 P.M.

AGENDA

1. CALL TO ORDER, ROLL CALL 2. PUBLIC COMMENT (Public may address the Board on any subject matter not on the

agenda and within the Board’s jurisdiction. See “Notice to the Public” below. Please make your comments from the podium once acknowledged by the President of the Board.)

3. CONSENT AGENDA (All items on the Consent Agenda are considered to be routine

and will be approved or rejected in a single motion. Any item placed on the Consent Agenda may be removed and placed on the Regular Agenda for discussion and possible action upon the request of any Board Member.) Action: Recommend Approval of Consent Agenda by motion and roll call vote of the Board:

a. Minutes December 21, 2015 Regular Board Meeting b. Investment of Funds

• Financial Reports • Investment Reports

c. Review of Paid Claims d. Review of Pending Claims for Payment

4. VERBAL REPORTS FROM BOARD COMMITTEES

Receive verbal information regarding the following committee meetings: • Administrative Committee Meeting – January 18, 2016

5. PRESENTATION OF FISCAL YEAR 2014-15 DRAFT FINANCIAL AUDIT

Action: Recommend approval by motion and roll call vote of the Board

6. HDR PROFESSIONAL SERVICES AGREEMENT AMENDMENT: EMERGENCY PUMPING FACILITIES PROJECT Receive information for discussion and possible action by motion and roll call vote of the Board

PACKET PAGE 54 OF 88 ITEM VI. C. PAGE #1

7. INTERIM GENERAL MANAGER’S REPORT Receive information from the Interim General Manager on topics pertaining to COMB, including but not limited to the following:

• Administration • Meetings • Financial • Operations Division • Fisheries Division

8. OPERATIONS DIVISION REPORT

Receive information regarding Operations Division, including but not limited to the following:

• Lake Cachuma Operations • Operation and Maintenance Activities

9. FISHERIES DIVISION REPORT

Receive information regarding Fisheries Division, including but not limited to the following:

• LSYR Steelhead Monitoring Elements • Tributary Project Updates • Surcharge Water Accounting • Reporting/Outreach/Training

10. PROGRESS REPORT ON LAKE CACHUMA OAK TREE PROGRAM

Receive information regarding the Lake Cachuma Oak Tree Program including, but not limited to the following:

• Maintenance and Monitoring

11. MONTHLY CACHUMA PROJECT REPORTS Receive information regarding the Cachuma Project, including but not limited to the following:

a. Cachuma Water Reports – October, November, December 2015 b. Cachuma Reservoir Current Conditions

c. Lake Cachuma Quagga Survey 12. COMB’S OPERATIONAL ROLE IN DIVERSIONS OF CARRYOVER FOR

WATER YEAR 2016 For discussion and possible action by motion and roll call vote of the Board

13. DIRECTORS’ REQUESTS FOR AGENDA ITEMS FOR FUTURE MEETING

14. [CLOSED SESSION]: CONFIDENTIAL PERSONNEL MATTER; CONFERENCE WITH LEGAL COUNSEL: EXISTING AND POTENTIAL LITIGATION

a. [Government Code Section 54957]

Public Employee Appointment PUBLIC EMPLOYMENT: Title: General Manager


b. [Government Code Section 54956.9(d)(2)]

Alleged Access Rights to Ortega Ridge Road, Ocean View Estates Subdivision

15. RECONVENE INTO OPEN SESSION

[Government Code Section 54957.7] Disclosure of actions taken in closed session, as applicable [Government Code Section 54957.1]

a. Public Employee Appointment

PUBLIC EMPLOYMENT: Title: General Manager

b. Alleged Access Rights to Ortega Ridge Road, Ocean View Estates Subdivision

16. MEETING SCHEDULE

• February 22, 2016 at 2:00 P.M., COMB Office • Board Packages Available on COMB Website

www.cachuma-board.org

17. COMB ADJOURNMENT

NOTICE TO PUBLIC

Posting of Agenda: This agenda was posted at COMB’s offices, located at 3301 Laurel Canyon Road, Santa Barbara, California, 93105 and on COMB’s website, in accordance with Government Code Section 54954.2. The agenda contains a brief general description of each item to be considered by the Governing Board. The Board reserves the right to modify the order in which agenda items are heard. Copies of staff reports or other written documents relating to each item of business are on file at the COMB offices and are available for public inspection during normal business hours. A person with a question concerning any of the agenda items may call COMB’s General Manager at (805) 687-4011.

Written materials: In accordance with Government Code Section 54957.5, written materials relating to an item on this agenda which are distributed to the Governing Board less than 72 hours (for a regular meeting) or 24 hours (for a special meeting) will be made available for public inspection at the COMB offices during normal business hours. The written materials may also be posted on COMB’s website subject to staff’s ability to post the documents before the scheduled meeting.

Public Comment: Any member of the public may address the Board on any subject within the jurisdiction of the Board that is not scheduled for as an agenda item before the Board. The total time for this item will be limited by the President of the Board. The Board is not responsible for the content or accuracy of statements made by members of the public. No action will be taken by the Board on any Public Comment item.

Americans with Disabilities Act: in compliance with the Americans with Disabilities Act, if you need special assistance to review agenda materials or participate in this meeting, please contact the Cachuma Operation and Maintenance Board office at (805) 687-4011 at least 48 hours prior to the meeting to enable the Board to make reasonable arrangements.

Note: If you challenge in court any of the Board’s decisions related to the listed agenda items you may be limited to raising only those issues you or someone else raised at any public hearing described in this notice or in written correspondence to the Governing Board prior to the public hearing.


http://www.cachuma-board.org/


WATER SALES BUDGET & ACTUAL I WATER PRODUCED & PURCHASED

December-2015

(IN ACRE FEET) M & I BUDGET TO DATE 962 2015-2016 M & I BUDGET 1,781 M & I SALES TO DATE 849 2015-2016 AG BUDGET 1,819 (113)

2015-2016 TOTAL BUDGET 3,600 AG BUDGET TO DATE 982 AG SALES TO DATE 1,235

253

TOTAL PRODUCED TO DATE 1,529 TOTAL BUDGET TO DATE 1,944 TOTAL PURCHASED TO DATE 406 TOT AL SALES TO DA TE 2,084

1,936 140

2015-2016 FISCAL YEAR JUL AUG SEP OCT NOV DEC JAN FEB MAR APR MAY JUN

M & I BUDGET 196 196 178 160 125 107 125 125 107 125 160 177

M & I WATER SALES 140 161 151 135 124 138

AG BUDGET 200 218 200 182 109 73 91 109 109 146 182 200

AG WATER SALES 193 234 233 204 194 177

TOTAL BUDGET 396 414 378 342 234 180 216 234 216 271 342 377

TOTAL SALES 333 395 384 339 318 315 0 0 0 0 0 0

PRODUCED WATER 265 260 247 270 279 208

PURCHASED WATER 88 165 153 139 72 108

TOTAL 353 425 401 409 351 316 0 0 0 0 0 0

PACKET PAGE 57 OF 88 ITEM VII. A.a. PAGE #1

1-22-2016 11:33 AM CARPINTERIA VALLEY WATER DISTRICT PAGE: 1 REVENUE & EXPENSE REPORT (UNAUDITED) AS OF: DECEMBER 31ST, 201501 -GENERAL FUNDFINANCIAL SUMMARY % OF YEAR COMPLETED: 50.00 CURRENT CURRENT YEAR TO DATE TOTAL BUDGET % YTD BUDGET PERIOD ACTUAL ENCUMBERED BALANCE BUDGET____________________________________________________________________________________________________________________________

REVENUE SUMMARY WATER SALES 11,928,783 1,007,191.94 6,015,508.56 0.00 5,913,274.44 50.43 CAPITAL RECOVERY FEES 100,000 ( 21,579.00) 104,781.00 0.00 ( 4,781.00) 104.78 FIRE PROTECTION 304,288 21,618.43 126,077.89 0.00 178,210.11 41.43 OTHER REVENUE 44,300 3,402.91 48,929.38 0.00 ( 4,629.38) 110.45 OVERHEAD CHG TO CUSTOMER 30,000 40,237.49 68,778.75 0.00 ( 38,778.75) 229.26 INT REV - NON OPERATING 35,000 52.34 7,317.16 0.00 27,682.84 20.91 CONT CAP - NON OPERATING 0 0.00 0.00 0.00 0.00 0.00

TOTAL REVENUES 12,442,371 1,050,924.11 6,371,392.74 0.00 6,070,978.26 51.21

EXPENDITURE SUMMARY

CCWA SOURCE OF SUPPLY OTHER EXPENSE 236,910 19,488.64 116,931.84 0.00 119,978.16 49.36 DEBT SERVICE 3,184,610 265,280.37 1,591,682.22 0.00 1,592,927.78 49.98 TOTAL CCWA SOURCE OF SUPPLY 3,421,520 284,769.01 1,708,614.06 0.00 1,712,905.94 49.94

COST OF PURCHASED WATER OPERATION EXPENSE 494,680 46,452.51 154,686.23 0.00 339,993.77 31.27 ST WATER POWER & CHEM 536,054 46,082.40 288,405.96 0.00 247,648.04 53.80 TOTAL COST OF PURCHASED WATER 1,030,734 92,534.91 443,092.19 0.00 587,641.81 42.99

CACHUMA OPERATING JPA EXPENSE 803,903 130,545.89 376,876.97 0.00 427,026.03 46.88 TOTAL CACHUMA OPERATING 803,903 130,545.89 376,876.97 0.00 427,026.03 46.88

PUMPING PERSONNEL 96,218 5,861.32 33,950.94 0.00 62,267.06 35.29 UTILITY 488,000 32,828.23 227,650.29 0.00 260,349.71 46.65 REPAIR & MAINTENANCE 57,800 2,626.38 27,161.34 1,337.00 29,301.66 49.31 OPERATION EXPENSE 0 0.00 0.00 0.00 0.00 0.00 TOTAL PUMPING 642,018 41,315.93 288,762.57 1,337.00 351,918.43 45.19

WATER TREATMENT PERSONNEL 61,349 5,888.01 39,603.14 0.00 21,745.86 64.55 PROFESSIONAL SERVICES 12,000 0.00 4,742.50 0.00 7,257.50 39.52 WATER TREAT & TESTING 849,271 60,848.88 302,735.91 1,594.08 544,941.01 35.83 OTHER EXPENSE 22,600 2,994.03 6,863.32 0.00 15,736.68 30.37 TOTAL WATER TREATMENT 945,220 69,730.92 353,944.87 1,594.08 589,681.05 37.61


1-22-2016 11:33 AM CARPINTERIA VALLEY WATER DISTRICT PAGE: 2 REVENUE & EXPENSE REPORT (UNAUDITED) AS OF: DECEMBER 31ST, 201501 -GENERAL FUNDFINANCIAL SUMMARY % OF YEAR COMPLETED: 50.00 CURRENT CURRENT YEAR TO DATE TOTAL BUDGET % YTD BUDGET PERIOD ACTUAL ENCUMBERED BALANCE BUDGET____________________________________________________________________________________________________________________________

TRANS & DIST PERSONNEL 739,258 52,774.75 311,703.02 0.00 427,554.98 42.16 PROFESSIONAL SERVICES 40,000 12,326.75 25,270.50 5,000.00 9,729.50 75.68 REPAIR & MAINTENANCE 304,600 14,205.30 146,303.29 0.00 158,296.71 48.03 OPERATION EXPENSE 76,000 4,211.92 17,196.31 0.00 58,803.69 22.63 OTHER EXPENSE 1,000 0.00 0.00 0.00 1,000.00 0.00 TOTAL TRANS & DIST 1,160,858 83,518.72 500,473.12 5,000.00 655,384.88 43.54

GENERAL & ADMIN PERSONNEL 1,799,808 170,240.11 833,946.49 0.00 965,861.51 46.34 GENERAL OPERATING 206,250 20,955.36 99,142.66 0.00 107,107.34 48.07 UTILITY 74,500 3,230.10 30,485.40 0.00 44,014.60 40.92 PROFESSIONAL SERVICES 110,500 37,016.48 76,937.09 0.00 33,562.91 69.63 REPAIR & MAINTENANCE 50,000 4,063.75 20,113.05 0.00 29,886.95 40.23 OPERATION EXPENSE 0 0.00 ( 277.70) 0.00 277.70 0.00 JPA EXPENSE 0 0.00 0.00 0.00 0.00 0.00 OTHER EXPENSE 78,000 6,252.66 37,011.72 0.00 40,988.28 47.45 WATER CONSERVATION 97,900 510.68 18,372.17 0.00 79,527.83 18.77 AMORTIZATION 0 0.00 0.00 0.00 0.00 0.00 TOTAL GENERAL & ADMIN 2,416,958 242,269.14 1,115,730.88 0.00 1,301,227.12 46.16

CUSTOMER ACCOUNTING PERSONNEL 31,021 4,160.89 21,348.65 0.00 9,672.35 68.82 OTHER EXPENSE 5,000 0.00 0.00 0.00 5,000.00 0.00 TOTAL CUSTOMER ACCOUNTING 36,021 4,160.89 21,348.65 0.00 14,672.35 59.27

DEPRECIATION GENERAL OPERATING 0 0.00 0.00 0.00 0.00 0.00 WATER TREAT & TESTING 0 0.00 0.00 0.00 0.00 0.00 TOTAL DEPRECIATION 0 0.00 0.00 0.00 0.00 0.00

AMORTIZATION AMORTIZATION 0 0.00 0.00 0.00 0.00 0.00 TOTAL AMORTIZATION 0 0.00 0.00 0.00 0.00 0.00

DEBT SERVICE DEBT SERVICE 828,674 0.00 299,882.15 0.00 528,791.85 36.19 TOTAL DEBT SERVICE 828,674 0.00 299,882.15 0.00 528,791.85 36.19____________________________________________________________________________________________________________________________

TOTAL EXPENDITURES 11,285,906 948,845.41 5,108,725.46 7,931.08 6,169,249.46 45.34

REVENUE OVER/(UNDER) EXPENDITURES 1,156,465 102,078.70 1,262,667.28 ( 7,931.08)( 98,271.20) 108.50


1-22-2016 11:33 AM CARPINTERIA VALLEY WATER DISTRICT PAGE: 3 REVENUE & EXPENSE REPORT (UNAUDITED) AS OF: DECEMBER 31ST, 201501 -GENERAL FUND % OF YEAR COMPLETED: 50.00 CURRENT CURRENT YEAR TO DATE TOTAL BUDGET % YTDREVENUES BUDGET PERIOD ACTUAL ENCUMBERED BALANCE BUDGET____________________________________________________________________________________________________________________________

WATER SALES 01-4000 RESIDENTIAL WATER SALES 2,147,061 167,819.79 1,010,642.63 0.00 1,136,418.37 47.07 01-4001 COMMERCIAL WATER SALES 553,620 32,607.19 205,099.01 0.00 348,520.99 37.05 01-4002 INDUSTRIAL WATER SALES 127,953 11,915.70 61,775.64 0.00 66,177.36 48.28 01-4003 PUBLIC AUTHORITY WATER SALES 198,498 12,377.71 86,738.37 0.00 111,759.63 43.70 01-4004 IRRIGATION WATER SALES 1,616,267 174,733.65 1,103,291.06 0.00 512,975.94 68.26 01-4005 BASIC SERVICE CHARGES 499,073 41,611.51 243,350.37 0.00 255,722.63 48.76 01-4006 SWP SERVICE CHARGES 2,661,720 221,829.35 1,297,290.95 0.00 1,364,429.05 48.74 01-4007 CAPITAL IMPROVEMENT PROJECT 2,571,030 217,272.69 1,265,824.68 0.00 1,305,205.32 49.23 01-4008 DEQ 805,200 67,125.91 391,263.03 0.00 413,936.97 48.59 01-4009 LIFE CREDITS ( 33,000)( 3,013.55)( 16,759.47) 0.00 ( 16,240.53) 50.79 01-4010 RESIDENTIAL EQUIVALENCY FEE 123,695 10,307.88 60,129.30 0.00 63,565.70 48.61 01-4011 DROUGHT SURCHARGE MTR 283,674 22,971.38 134,243.13 0.00 149,430.87 47.32 01-4012 DROUGHT SURCHG VOLUME 373,992 29,632.73 172,619.86 0.00 201,372.14 46.16 TOTAL WATER SALES 11,928,783 1,007,191.94 6,015,508.56 0.00 5,913,274.44 50.43

CAPITAL RECOVERY FEES 01-4100 CAPITAL RECOVERY 100,000 ( 21,579.00) 104,781.00 0.00 ( 4,781.00) 104.78 TOTAL CAPITAL RECOVERY FEES 100,000 ( 21,579.00) 104,781.00 0.00 ( 4,781.00) 104.78

FIRE PROTECTION 01-4200 FIRE PROTECTION 304,288 21,618.43 126,077.89 0.00 178,210.11 41.43 TOTAL FIRE PROTECTION 304,288 21,618.43 126,077.89 0.00 178,210.11 41.43

OTHER REVENUE 01-4300 MISCELLANEOUS SERVICE 34,000 3,179.48 19,547.70 0.00 14,452.30 57.49 01-4310 OTHER REVENUE 10,000 223.43 29,381.68 0.00 ( 19,381.68) 293.82 01-4311 CONSERVATION REVENUE 300 0.00 0.00 0.00 300.00 0.00 01-4312 GRANT REVENUE 0 0.00 0.00 0.00 0.00 0.00 01-4313 OTHER INCOME 0 0.00 0.00 0.00 0.00 0.00 01-4320 FEMA REIMBURSEMENT 0 0.00 0.00 0.00 0.00 0.00 01-4330 ORTEGA SETTLEMENT PROCEEDS 0 0.00 0.00 0.00 0.00 0.00 01-4333 TAX REVENUE 0 0.00 0.00 0.00 0.00 0.00 TOTAL OTHER REVENUE 44,300 3,402.91 48,929.38 0.00 ( 4,629.38) 110.45

OVERHEAD CHG TO CUSTOMER 01-4400 PAYROLL OVERHEAD 0 0.00 0.00 0.00 0.00 0.00 01-4410 MATERIAL OVERHEAD 0 0.00 0.00 0.00 0.00 0.00 01-4420 EQUIPMENT OVERHEAD 0 0.00 0.00 0.00 0.00 0.00 01-4450 OVERHEAD REVENUE 30,000 40,237.49 68,778.75 0.00 ( 38,778.75) 229.26 TOTAL OVERHEAD CHG TO CUSTOMER 30,000 40,237.49 68,778.75 0.00 ( 38,778.75) 229.26


1-22-2016 11:33 AM CARPINTERIA VALLEY WATER DISTRICT PAGE: 4 REVENUE & EXPENSE REPORT (UNAUDITED) AS OF: DECEMBER 31ST, 201501 -GENERAL FUND % OF YEAR COMPLETED: 50.00 CURRENT CURRENT YEAR TO DATE TOTAL BUDGET % YTDREVENUES BUDGET PERIOD ACTUAL ENCUMBERED BALANCE BUDGET____________________________________________________________________________________________________________________________

INT REV - NON OPERATING 01-4500 INTEREST REVENUE 30,000 0.00 6,921.85 0.00 23,078.15 23.07 01-4501 INTEREST REVENUE-CIP 5,000 52.34 395.31 0.00 4,604.69 7.91 01-4503 INTEREST REVENUE 0 0.00 0.00 0.00 0.00 0.00 01-4509 UNREALIZED GAIN 0 0.00 0.00 0.00 0.00 0.00 TOTAL INT REV - NON OPERATING 35,000 52.34 7,317.16 0.00 27,682.84 20.91

CONT CAP - NON OPERATING 01-4610 CONT CAP- REVENUE MTRS & SVCS 0 0.00 0.00 0.00 0.00 0.00 01-4611 CONTR CAP - REVENUE MAINS 0 0.00 0.00 0.00 0.00 0.00 01-4612 CONTR CAP - REVENUE HYDRANTS 0 0.00 0.00 0.00 0.00 0.00 TOTAL CONT CAP - NON OPERATING 0 0.00 0.00 0.00 0.00 0.00____________________________________________________________________________________________________________________________

TOTAL REVENUE 12,442,371 1,050,924.11 6,371,392.74 0.00 6,070,978.26 51.21


1-22-2016 11:33 AM CARPINTERIA VALLEY WATER DISTRICT PAGE: 5 REVENUE & EXPENSE REPORT (UNAUDITED) AS OF: DECEMBER 31ST, 201501 -GENERAL FUNDDEPARTMENT - CCWA SOURCE OF SUPPLY % OF YEAR COMPLETED: 50.00 CURRENT CURRENT YEAR TO DATE TOTAL BUDGET % YTDDEPARTMENTAL EXPENDITURES BUDGET PERIOD ACTUAL ENCUMBERED BALANCE BUDGET____________________________________________________________________________________________________________________________

OTHER EXPENSE 01-510-7000 CCWA-OPERATING EXPENSE 236,910 19,488.64 116,931.84 0.00 119,978.16 49.36 TOTAL OTHER EXPENSE 236,910 19,488.64 116,931.84 0.00 119,978.16 49.36

DEBT SERVICE 01-510-7300 CCWA-SOURCE OF SUPPLY (DWR) 2,023,733 168,636.34 1,011,818.04 0.00 1,011,914.96 50.00 01-510-7301 CCWA-SOURCE OF SUPPLY (PRIN 848,101 70,675.08 424,050.48 0.00 424,050.52 50.00 01-510-7302 CCWA-SOURCE OF SUPPLY (INT) 312,776 25,968.95 155,813.70 0.00 156,962.30 49.82 TOTAL DEBT SERVICE 3,184,610 265,280.37 1,591,682.22 0.00 1,592,927.78 49.98____________________________________________________________________________________________________________________________

TOTAL CCWA SOURCE OF SUPPLY 3,421,520 284,769.01 1,708,614.06 0.00 1,712,905.94 49.94


1-22-2016 11:33 AM CARPINTERIA VALLEY WATER DISTRICT PAGE: 6 REVENUE & EXPENSE REPORT (UNAUDITED) AS OF: DECEMBER 31ST, 201501 -GENERAL FUNDDEPARTMENT - COST OF PURCHASED WATER % OF YEAR COMPLETED: 50.00 CURRENT CURRENT YEAR TO DATE TOTAL BUDGET % YTDDEPARTMENTAL EXPENDITURES BUDGET PERIOD ACTUAL ENCUMBERED BALANCE BUDGET____________________________________________________________________________________________________________________________

OPERATION EXPENSE 01-520-6600 PURCHASED WATER 473,180 21,861.69 125,722.44 0.00 347,457.56 26.57 01-520-6601 RENEWAL FUND-CACHUMA PROJEC 21,500 24,590.82 28,963.79 0.00 ( 7,463.79) 134.72 TOTAL OPERATION EXPENSE 494,680 46,452.51 154,686.23 0.00 339,993.77 31.27

ST WATER POWER & CHEM 01-520-6700 CCWA-VARIABLE 128,622 8,040.52 86,140.92 0.00 42,481.08 66.97 01-520-6701 DWR-VARIABLE 407,432 38,041.88 202,265.04 0.00 205,166.96 49.64 TOTAL ST WATER POWER & CHEM 536,054 46,082.40 288,405.96 0.00 247,648.04 53.80____________________________________________________________________________________________________________________________

TOTAL COST OF PURCHASED WATER 1,030,734 92,534.91 443,092.19 0.00 587,641.81 42.99


1-22-2016 11:33 AM CARPINTERIA VALLEY WATER DISTRICT PAGE: 7 REVENUE & EXPENSE REPORT (UNAUDITED) AS OF: DECEMBER 31ST, 201501 -GENERAL FUNDDEPARTMENT - CACHUMA OPERATING % OF YEAR COMPLETED: 50.00 CURRENT CURRENT YEAR TO DATE TOTAL BUDGET % YTDDEPARTMENTAL EXPENDITURES BUDGET PERIOD ACTUAL ENCUMBERED BALANCE BUDGET____________________________________________________________________________________________________________________________

JPA EXPENSE 01-530-6900 COMB-OPERATING EXPENSE 105,989 106,130.66 291,696.60 0.00 ( 185,707.60) 275.21 01-530-6901 COMB-SPECIAL PROJECTS 119,926 0.00 0.00 0.00 119,926.00 0.00 01-530-6902 COMB - REPAIRS STORM DAMAGE 0 0.00 0.00 0.00 0.00 0.00 01-530-6903 COMB-SAFETY OF DAM (M&I) 22,000 1,829.23 10,975.37 0.00 11,024.63 49.89 01-530-6905 COMB EMERG PUMPING FAC-PRIN 0 0.00 0.00 0.00 0.00 0.00 01-530-6906 COMB EMERG PUMPING FAC-INT 0 2,376.00 8,824.00 0.00 ( 8,824.00) 0.00 01-530-6907 COMB FISHERIES 230,878 20,210.00 60,632.00 0.00 170,246.00 26.26 01-530-6908 COMB EMERGENCY PUMP/BARGE 325,110 0.00 4,749.00 0.00 320,361.00 1.46 TOTAL JPA EXPENSE 803,903 130,545.89 376,876.97 0.00 427,026.03 46.88____________________________________________________________________________________________________________________________

TOTAL CACHUMA OPERATING 803,903 130,545.89 376,876.97 0.00 427,026.03 46.88


1-22-2016 11:33 AM CARPINTERIA VALLEY WATER DISTRICT PAGE: 8 REVENUE & EXPENSE REPORT (UNAUDITED) AS OF: DECEMBER 31ST, 201501 -GENERAL FUNDDEPARTMENT - PUMPING % OF YEAR COMPLETED: 50.00 CURRENT CURRENT YEAR TO DATE TOTAL BUDGET % YTDDEPARTMENTAL EXPENDITURES BUDGET PERIOD ACTUAL ENCUMBERED BALANCE BUDGET____________________________________________________________________________________________________________________________

PERSONNEL 01-540-6001 MAINT OF WELLS-LABOR 96,218 5,861.32 33,950.94 0.00 62,267.06 35.29 TOTAL PERSONNEL 96,218 5,861.32 33,950.94 0.00 62,267.06 35.29

UTILITY 01-540-6200 PWR & TEL FOR PMPNG-PMP STN 120,000 12,131.27 91,359.46 0.00 28,640.54 76.13 01-540-6201 PWR & TEL FOR PMP-WELLS 368,000 20,696.96 136,290.83 0.00 231,709.17 37.04 TOTAL UTILITY 488,000 32,828.23 227,650.29 0.00 260,349.71 46.65

REPAIR & MAINTENANCE 01-540-6500 MAINT. OF PUMPING EQUIP. 25,800 2,471.40 17,496.09 0.00 8,303.91 67.81 01-540-6501 MAINTENANCE OF WELLS 32,000 154.98 9,665.25 1,337.00 20,997.75 34.38 TOTAL REPAIR & MAINTENANCE 57,800 2,626.38 27,161.34 1,337.00 29,301.66 49.31

OPERATION EXPENSE 01-540-6600 LEASE OF WELL SITE 0 0.00 0.00 0.00 0.00 0.00 TOTAL OPERATION EXPENSE 0 0.00 0.00 0.00 0.00 0.00____________________________________________________________________________________________________________________________

TOTAL PUMPING 642,018 41,315.93 288,762.57 1,337.00 351,918.43 45.19


1-22-2016 11:33 AM CARPINTERIA VALLEY WATER DISTRICT PAGE: 9 REVENUE & EXPENSE REPORT (UNAUDITED) AS OF: DECEMBER 31ST, 201501 -GENERAL FUNDDEPARTMENT - WATER TREATMENT % OF YEAR COMPLETED: 50.00 CURRENT CURRENT YEAR TO DATE TOTAL BUDGET % YTDDEPARTMENTAL EXPENDITURES BUDGET PERIOD ACTUAL ENCUMBERED BALANCE BUDGET____________________________________________________________________________________________________________________________

PERSONNEL 01-550-6001 WTR TSTS & TRTMNT-WELLS-LAB 45,316 5,888.01 33,766.90 0.00 11,549.10 74.51 01-550-6003 AB3030 LABOR 8,258 0.00 2,441.86 0.00 5,816.14 29.57 01-550-6004 ELECTRICAL/INSTRUMTN- LABOR 7,775 0.00 3,394.38 0.00 4,380.62 43.66 TOTAL PERSONNEL 61,349 5,888.01 39,603.14 0.00 21,745.86 64.55

PROFESSIONAL SERVICES 01-550-6300 AB3030 PROFESSIONAL SERVICE 12,000 0.00 4,742.50 0.00 7,257.50 39.52 TOTAL PROFESSIONAL SERVICES 12,000 0.00 4,742.50 0.00 7,257.50 39.52

WATER TREAT & TESTING 01-550-6800 CATER PLANT TREATMENT 707,421 50,300.00 251,465.77 0.00 455,955.23 35.55 01-550-6801 WATER QUALITY ANALYSIS 30,000 3,787.44 13,686.32 1,594.08 14,719.60 50.93 01-550-6802 TREATMENT & TESTING-WELLS 64,400 5,454.58 26,362.23 0.00 38,037.77 40.94 01-550-6803 CHLORINATION-ORTEGA/CARP RS 40,250 ( 95.14) 7,738.59 0.00 32,511.41 19.23 01-550-6804 AB3030-WELL TESTING/GRD WTR 7,200 1,402.00 3,483.00 0.00 3,717.00 48.38 TOTAL WATER TREAT & TESTING 849,271 60,848.88 302,735.91 1,594.08 544,941.01 35.83

OTHER EXPENSE 01-550-7000 PERMITTING FEES 22,600 2,994.03 6,863.32 0.00 15,736.68 30.37 TOTAL OTHER EXPENSE 22,600 2,994.03 6,863.32 0.00 15,736.68 30.37____________________________________________________________________________________________________________________________

TOTAL WATER TREATMENT 945,220 69,730.92 353,944.87 1,594.08 589,681.05 37.61


1-22-2016 11:33 AM CARPINTERIA VALLEY WATER DISTRICT PAGE: 10 REVENUE & EXPENSE REPORT (UNAUDITED) AS OF: DECEMBER 31ST, 201501 -GENERAL FUNDDEPARTMENT - TRANS & DIST % OF YEAR COMPLETED: 50.00 CURRENT CURRENT YEAR TO DATE TOTAL BUDGET % YTDDEPARTMENTAL EXPENDITURES BUDGET PERIOD ACTUAL ENCUMBERED BALANCE BUDGET____________________________________________________________________________________________________________________________

PERSONNEL 01-560-6001 ENGINEERING OFFICE LABOR 179,822 17,416.40 91,404.11 0.00 88,417.89 50.83 01-560-6002 ENGINEERING-VAC, SICK & HOL 52,862 6,004.52 31,399.55 0.00 21,462.45 59.40 01-560-6003 FIELD OFFICE LABOR 85,736 6,842.29 40,383.93 0.00 45,352.07 47.10 01-560-6004 FIELD-SICK LV, VAC, HOLIDAY 90,871 8,577.28 31,268.21 0.00 59,602.79 34.41 01-560-6005 FIELD - STANDBY TIME 28,000 1,873.13 11,832.39 0.00 16,167.61 42.26 01-560-6006 VEHICLE MAINTENANCE LABOR 5,671 0.00 0.00 0.00 5,671.00 0.00 01-560-6007 MAINT. OF MAINS & HYDS-LABO 81,602 2,537.11 35,475.32 0.00 46,126.68 43.47 01-560-6008 MAINT OF METERS & SERV- LAB 88,865 4,011.80 32,692.68 0.00 56,172.32 36.79 01-560-6009 MAINT. OF PUMPING EQUIP. LA 8,292 0.00 0.00 0.00 8,292.00 0.00 01-560-6010 UTILITY SERVICE ALERT-LABOR 14,393 598.19 5,962.48 0.00 8,430.52 41.43 01-560-6011 CROSS CONNECTION LABOR 10,972 162.98 3,520.28 0.00 7,451.72 32.08 01-560-6012 ENGINEERING FIELD LABOR 36,646 4,751.05 27,764.07 0.00 8,881.93 75.76 01-560-6013 MAINT TANKS & RESERVOIRS-LA 4,404 0.00 0.00 0.00 4,404.00 0.00 01-560-6014 PROJECT REVIEW/DESIGN 51,122 0.00 0.00 0.00 51,122.00 0.00 TOTAL PERSONNEL 739,258 52,774.75 311,703.02 0.00 427,554.98 42.16

PROFESSIONAL SERVICES 01-560-6300 ENGINEERING SERVICES 22,000 10,426.75 14,820.50 5,000.00 2,179.50 90.09 01-560-6301 GROUNDWATER PROFESSIONAL SV 18,000 1,900.00 10,450.00 0.00 7,550.00 58.06 TOTAL PROFESSIONAL SERVICES 40,000 12,326.75 25,270.50 5,000.00 9,729.50 75.68

REPAIR & MAINTENANCE 01-560-6500 MAINT OF VEHICLES & EQUIPME 51,600 7,241.01 16,145.94 0.00 35,454.06 31.29 01-560-6501 MAINT OF MAINS & HYDRANTS 100,000 157.91 51,313.69 0.00 48,686.31 51.31 01-560-6502 MAINT OF TANKS & RESERVOIRS 10,000 0.00 969.01 0.00 9,030.99 9.69 01-560-6503 MAINT OF METERS & SERVICES 80,000 1,563.04 47,103.15 0.00 32,896.85 58.88 01-560-6504 MAINT OF SCADA EQUIPMENT 12,000 982.26 5,199.97 0.00 6,800.03 43.33 01-560-6505 METER READING CONTRACT SVC 51,000 4,261.08 25,571.53 0.00 25,428.47 50.14 TOTAL REPAIR & MAINTENANCE 304,600 14,205.30 146,303.29 0.00 158,296.71 48.03

OPERATION EXPENSE 01-560-6600 ENGINEERING OTHER SUPPL & E 9,000 0.00 432.49 0.00 8,567.51 4.81 01-560-6601 MISC FIELD SUPPLIES & EXP 16,500 2,054.83 6,544.06 0.00 9,955.94 39.66 01-560-6602 UNIFORMS EXPENSE 15,000 0.00 10.79 0.00 14,989.21 0.07 01-560-6603 SAFETY SUPPLIES & EQUIPMENT 16,000 1,471.38 4,534.71 0.00 11,465.29 28.34 01-560-6604 MINOR TOOLS & EQUIPMENT 19,500 685.71 5,674.26 0.00 13,825.74 29.10 TOTAL OPERATION EXPENSE 76,000 4,211.92 17,196.31 0.00 58,803.69 22.63

OTHER EXPENSE 01-560-7000 CROSS CONNECTION 1,000 0.00 0.00 0.00 1,000.00 0.00 TOTAL OTHER EXPENSE 1,000 0.00 0.00 0.00 1,000.00 0.00____________________________________________________________________________________________________________________________

TOTAL TRANS & DIST 1,160,858 83,518.72 500,473.12 5,000.00 655,384.88 43.54


1-22-2016 11:33 AM CARPINTERIA VALLEY WATER DISTRICT PAGE: 11 REVENUE & EXPENSE REPORT (UNAUDITED) AS OF: DECEMBER 31ST, 201501 -GENERAL FUNDDEPARTMENT - GENERAL & ADMIN % OF YEAR COMPLETED: 50.00 CURRENT CURRENT YEAR TO DATE TOTAL BUDGET % YTDDEPARTMENTAL EXPENDITURES BUDGET PERIOD ACTUAL ENCUMBERED BALANCE BUDGET____________________________________________________________________________________________________________________________

PERSONNEL 01-570-6001 OFFICE OF GEN'L MANAGER-LAB 187,527 15,842.31 86,979.44 0.00 100,547.56 46.38 01-570-6002 OFFICE OF GM-VAC, SICK & HO 36,048 2,401.30 17,978.03 0.00 18,069.97 49.87 01-570-6003 SALARY OFFICE 386,596 26,368.93 188,071.85 0.00 198,524.15 48.65 01-570-6004 OFFICE-SICK LV, VAC, HOLIDA 82,929 8,699.85 28,856.48 0.00 54,072.52 34.80 01-570-6005 DIRECTORS FEES 21,500 1,300.00 6,700.00 0.00 14,800.00 31.16 01-570-6006 EMPLOYEES RETIREMENT 315,467 31,877.94 164,183.15 0.00 151,283.85 52.04 01-570-6007 DEFERRED COMP-EMPLOYEES 40,000 4,171.08 18,334.29 0.00 21,665.71 45.84 01-570-6008 EMPLOYEES GROUP INS. 350,342 40,969.60 154,647.53 0.00 195,694.47 44.14 01-570-6009 EMPLOYEES-FICA-SOCIAL SECUR 107,200 12,974.36 63,415.20 0.00 43,784.80 59.16 01-570-6010 WORKERS COMP. INSURANCE 51,000 12,969.00 27,747.00 0.00 23,253.00 54.41 01-570-6011 EMPLOYEES SAFETY SHOES 2,550 0.00 1,221.21 0.00 1,328.79 47.89 01-570-6012 EMPLOYEES PHYSICALS 1,200 0.00 638.00 0.00 562.00 53.17 01-570-6013 COMPENSATED ABSENCES 20,000 0.00 0.00 0.00 20,000.00 0.00 01-570-6014 EMPLOYEE EDUCATION & TRAINI 35,815 1,045.00 4,286.74 0.00 31,528.26 11.97 01-570-6015 TRAINING/SEMINARS-LABOR 54,972 3,880.72 8,596.43 0.00 46,375.57 15.64 01-570-6016 MAINTENANCE OF PLANT-LABOR 29,374 2,648.11 21,711.99 0.00 7,662.01 73.92 01-570-6017 PUBLIC INFORMATION-LABOR 14,505 271.20 1,454.77 0.00 13,050.23 10.03 01-570-6018 WATER CONSERVATION LABOR 5,544 132.93 782.49 0.00 4,761.51 14.11 01-570-6019 WTR CONS BMP 12-CONS CRDTR 42,239 4,687.78 29,791.89 0.00 12,447.11 70.53 01-570-6020 TEMPORARY LABOR 5,000 0.00 0.00 0.00 5,000.00 0.00 01-570-6021 DEFERRED COMPENSATION-EMPLO 0 0.00 0.00 0.00 0.00 0.00 01-570-6022 UNEMPLOYMENT INSURANCE 10,000 0.00 8,550.00 0.00 1,450.00 85.50 01-570-6023 TRAINING/CERTIFICATION 0 0.00 0.00 0.00 0.00 0.00 01-570-6024 OPEB-RETIREE HEALTH BENE FU 0 0.00 0.00 0.00 0.00 0.00 TOTAL PERSONNEL 1,799,808 170,240.11 833,946.49 0.00 965,861.51 46.34

GENERAL OPERATING 01-570-6100 OFFICE EXPENSE & SUPPLIES 75,000 7,744.38 41,321.15 0.00 33,678.85 55.09 01-570-6101 COMPUTER SYSTEM MAINT 30,000 4,263.08 8,897.62 0.00 21,102.38 29.66 01-570-6102 ADM.-DUES, TRAVEL, SUBS & M 25,000 2,139.72 9,550.90 0.00 15,449.10 38.20 01-570-6103 EMPLOYEE DUES, TRAVEL, & MI 9,000 0.00 885.00 0.00 8,115.00 9.83 01-570-6104 MISC OFFICE EXPENSE 600 0.00 0.00 0.00 600.00 0.00 01-570-6105 PUBLIC INFORMATION EXPENSE 15,000 580.00 3,903.06 0.00 11,096.94 26.02 01-570-6106 ADVERTISING 4,000 0.00 0.00 0.00 4,000.00 0.00 01-570-6107 MEETINGS & EVENTS 8,000 1,394.35 2,859.24 0.00 5,140.76 35.74 01-570-6108 BOARD MEETING SUPPLIES 1,200 0.00 556.58 0.00 643.42 46.38 01-570-6109 MGMNT. MEETING SUPPLIES 1,200 0.00 47.55 0.00 1,152.45 3.96 01-570-6110 EMPLOYEE RELATIONS EXP 1,250 137.21 1,403.54 0.00 ( 153.54) 112.28 01-570-6111 SOFTWARE MAINTENANCE 36,000 4,696.62 29,718.02 0.00 6,281.98 82.55 TOTAL GENERAL OPERATING 206,250 20,955.36 99,142.66 0.00 107,107.34 48.07



UTILITY 01-570-6200 UTILITY-ELECTRIC 9,100 578.20 3,505.70 0.00 5,594.30 38.52 01-570-6201 UTILITY-GAS 1,300 133.91 266.88 0.00 1,033.12 20.53 01-570-6202 UTILITY-TELEPHONE 22,000 1,921.29 12,577.11 0.00 9,422.89 57.17 01-570-6203 UTILITY-WASTE DISPOSAL 2,600 0.00 0.00 0.00 2,600.00 0.00 01-570-6204 OTHER UTILITIES 2,500 0.00 341.37 0.00 2,158.63 13.65 01-570-6205 VEHICLE FUEL EXPENSE 37,000 596.70 13,794.34 0.00 23,205.66 37.28 TOTAL UTILITY 74,500 3,230.10 30,485.40 0.00 44,014.60 40.92

PROFESSIONAL SERVICES 01-570-6300 AUDITORS FEES 25,500 0.00 18,283.06 0.00 7,216.94 71.70 01-570-6301 LEGAL SERVICES 45,000 0.00 9,297.50 0.00 35,702.50 20.66 01-570-6302 LEGAL-SPECIAL COUNSEL 0 0.00 0.00 0.00 0.00 0.00 01-570-6303 ADMIN PROFESSIONAL SERVICES 10,000 35,643.48 46,877.53 0.00 ( 36,877.53) 468.78 01-570-6305 LEGAL-LABOR NEGOTIATOR 30,000 1,373.00 2,479.00 0.00 27,521.00 8.26 TOTAL PROFESSIONAL SERVICES 110,500 37,016.48 76,937.09 0.00 33,562.91 69.63

REPAIR & MAINTENANCE 01-570-6500 MAINT-OFFICE,PLANT & SITES 50,000 4,062.85 20,112.15 0.00 29,887.85 40.22 01-570-6501 RADIO MAINT. & EXPENSE 0 0.90 0.90 0.00 ( 0.90) 0.00 TOTAL REPAIR & MAINTENANCE 50,000 4,063.75 20,113.05 0.00 29,886.95 40.23

OPERATION EXPENSE 01-570-6600 VEHICLE LEASE EXPENSE 0 0.00 0.00 0.00 0.00 0.00 01-570-6610 MATERIAL INV SHORT-LONG 0 0.00 ( 277.66) 0.00 277.66 0.00 01-570-6620 METERS INV SHORT-LONG 0 0.00 ( 0.04) 0.00 0.04 0.00 01-570-6630 WATER INV SHORT-LONG 0 0.00 0.00 0.00 0.00 0.00 TOTAL OPERATION EXPENSE 0 0.00 ( 277.70) 0.00 277.70 0.00

JPA EXPENSE 01-570-6900 CCRB - RESEARCH 0 0.00 0.00 0.00 0.00 0.00 01-570-6901 CCRB - LEGAL 0 0.00 0.00 0.00 0.00 0.00 01-570-6902 CCRB - ADMINISTRATIVE 0 0.00 0.00 0.00 0.00 0.00 01-570-6903 CCRB-PROJECTS 0 0.00 0.00 0.00 0.00 0.00 TOTAL JPA EXPENSE 0 0.00 0.00 0.00 0.00 0.00

OTHER EXPENSE 01-570-7000 LAFCO 8,000 747.58 4,485.48 0.00 3,514.52 56.07 01-570-7001 INSURANCE GENERAL 70,000 5,505.08 32,526.24 0.00 37,473.76 46.47 01-570-7002 DISTRICT ELECTION EXP. 0 0.00 0.00 0.00 0.00 0.00 TOTAL OTHER EXPENSE 78,000 6,252.66 37,011.72 0.00 40,988.28 47.45



WATER CONSERVATION 01-570-7100 WTR CONS BMP 1-WTR SRVY PRG 1,000 0.00 0.00 0.00 1,000.00 0.00 01-570-7101 WTR CONS BMP 3 RESIDENTIAL 21,000 ( 489.32) 10,567.25 0.00 10,432.75 50.32 01-570-7102 WTR CONS BMP 5 LANDSCAPE (C 52,000 1,000.00 1,500.00 0.00 50,500.00 2.88 01-570-7103 WTR CONS BMP 2.1 PUBLIC INF 13,000 0.00 5,218.92 0.00 7,781.08 40.15 01-570-7104 WTR CONS BMP 2.2 SCHOOL EDU 600 0.00 874.50 0.00 ( 274.50) 145.75 01-570-7105 WTR CONS BMP 4 CII 3,000 0.00 0.00 0.00 3,000.00 0.00 01-570-7106 WTR CONS BMP 3 HIGH EFF WAS 1,500 0.00 0.00 0.00 1,500.00 0.00 01-570-7107 WTR CONS BMP 3 HIGH EFF TOI 1,300 0.00 0.00 0.00 1,300.00 0.00 01-570-7108 WTR CONS BMP 1.4 WTR LOSS C 4,000 0.00 0.00 0.00 4,000.00 0.00 01-570-7109 CONSERVATION PROGRAM EXPENS 500 0.00 211.50 0.00 288.50 42.30 TOTAL WATER CONSERVATION 97,900 510.68 18,372.17 0.00 79,527.83 18.77

AMORTIZATION 01-570-7200 CAPITAL FACILITIES PLAN 0 0.00 0.00 0.00 0.00 0.00 TOTAL AMORTIZATION 0 0.00 0.00 0.00 0.00 0.00____________________________________________________________________________________________________________________________

TOTAL GENERAL & ADMIN 2,416,958 242,269.14 1,115,730.88 0.00 1,301,227.12 46.16


1-22-2016 11:33 AM CARPINTERIA VALLEY WATER DISTRICT PAGE: 14 REVENUE & EXPENSE REPORT (UNAUDITED) AS OF: DECEMBER 31ST, 201501 -GENERAL FUNDDEPARTMENT - CUSTOMER ACCOUNTING % OF YEAR COMPLETED: 50.00 CURRENT CURRENT YEAR TO DATE TOTAL BUDGET % YTDDEPARTMENTAL EXPENDITURES BUDGET PERIOD ACTUAL ENCUMBERED BALANCE BUDGET____________________________________________________________________________________________________________________________

PERSONNEL 01-580-6001 METER READING & ORDERS LABO 31,021 4,160.89 21,348.65 0.00 9,672.35 68.82 TOTAL PERSONNEL 31,021 4,160.89 21,348.65 0.00 9,672.35 68.82

OTHER EXPENSE 01-580-7000 UNCOLLECTABLE ACCOUNTS 5,000 0.00 0.00 0.00 5,000.00 0.00 TOTAL OTHER EXPENSE 5,000 0.00 0.00 0.00 5,000.00 0.00____________________________________________________________________________________________________________________________

TOTAL CUSTOMER ACCOUNTING 36,021 4,160.89 21,348.65 0.00 14,672.35 59.27


1-22-2016 11:33 AM CARPINTERIA VALLEY WATER DISTRICT PAGE: 15 REVENUE & EXPENSE REPORT (UNAUDITED) AS OF: DECEMBER 31ST, 201501 -GENERAL FUNDDEPARTMENT - DEPRECIATION % OF YEAR COMPLETED: 50.00 CURRENT CURRENT YEAR TO DATE TOTAL BUDGET % YTDDEPARTMENTAL EXPENDITURES BUDGET PERIOD ACTUAL ENCUMBERED BALANCE BUDGET____________________________________________________________________________________________________________________________

GENERAL OPERATING 01-590-6100 DEPRECIATION 0 0.00 0.00 0.00 0.00 0.00 TOTAL GENERAL OPERATING 0 0.00 0.00 0.00 0.00 0.00

WATER TREAT & TESTING 01-590-6803 DEPRECIATION EXPENSE 0 0.00 0.00 0.00 0.00 0.00 TOTAL WATER TREAT & TESTING 0 0.00 0.00 0.00 0.00 0.00____________________________________________________________________________________________________________________________

TOTAL DEPRECIATION 0 0.00 0.00 0.00 0.00 0.00


1-22-2016 11:33 AM CARPINTERIA VALLEY WATER DISTRICT PAGE: 16 REVENUE & EXPENSE REPORT (UNAUDITED) AS OF: DECEMBER 31ST, 201501 -GENERAL FUNDDEPARTMENT - AMORTIZATION % OF YEAR COMPLETED: 50.00 CURRENT CURRENT YEAR TO DATE TOTAL BUDGET % YTDDEPARTMENTAL EXPENDITURES BUDGET PERIOD ACTUAL ENCUMBERED BALANCE BUDGET____________________________________________________________________________________________________________________________

AMORTIZATION 01-591-7200 CATER PLANT COSTS AMORT. 0 0.00 0.00 0.00 0.00 0.00 01-591-7201 CATER EXPANSION AMORTIZATIO 0 0.00 0.00 0.00 0.00 0.00 01-591-7203 AMORT EXP-CATER 2005 EXPANS 0 0.00 0.00 0.00 0.00 0.00 01-591-7204 CATER HANDLING STA AMORT. 0 0.00 0.00 0.00 0.00 0.00 01-591-7205 PUMP @ CATER AMORT. 0 0.00 0.00 0.00 0.00 0.00 01-591-7206 ORTEGA ALARM AMORT. 0 0.00 0.00 0.00 0.00 0.00 01-591-7207 ORTEGA CHLORINATION AMORT.P 0 0.00 0.00 0.00 0.00 0.00 01-591-7208 ORTEGA CHLORINATION AMORT.P 0 0.00 0.00 0.00 0.00 0.00 01-591-7209 COMB BONDS AMORT 0 0.00 0.00 0.00 0.00 0.00 01-591-7210 COMB-EIR/EIS CACHUMA CONT-A 0 0.00 0.00 0.00 0.00 0.00 01-591-7211 ORTEGA-EYE WASH AMORTZ. 0 0.00 0.00 0.00 0.00 0.00 01-591-7212 BUREAU OF RECLAM AMORT EXP 0 0.00 0.00 0.00 0.00 0.00 01-591-7213 CIP-INSUR & SURITY AMORTIZA 0 0.00 0.00 0.00 0.00 0.00 01-591-7214 CIP-ISSUE & UNDRWRT BOND AM 0 0.00 0.00 0.00 0.00 0.00 01-591-7215 CATER OZONE & BOOSTER AMORT 0 0.00 0.00 0.00 0.00 0.00 TOTAL AMORTIZATION 0 0.00 0.00 0.00 0.00 0.00____________________________________________________________________________________________________________________________

TOTAL AMORTIZATION 0 0.00 0.00 0.00 0.00 0.00


1-22-2016 11:33 AM CARPINTERIA VALLEY WATER DISTRICT PAGE: 17 REVENUE & EXPENSE REPORT (UNAUDITED) AS OF: DECEMBER 31ST, 201501 -GENERAL FUNDDEPARTMENT - DEBT SERVICE % OF YEAR COMPLETED: 50.00 CURRENT CURRENT YEAR TO DATE TOTAL BUDGET % YTDDEPARTMENTAL EXPENDITURES BUDGET PERIOD ACTUAL ENCUMBERED BALANCE BUDGET____________________________________________________________________________________________________________________________

DEBT SERVICE 01-599-7300 CIP-INTEREST EXPENSE 0 0.00 0.00 0.00 0.00 0.00 01-599-7301 INTEREST-BONDS-CATER PLANT- 0 0.00 0.00 0.00 0.00 0.00 01-599-7302 INTEREST EXP-COP BONDS- CIP 377,788 0.00 156,494.80 0.00 221,293.20 41.42 01-599-7303 INTEREST EXP-DWR #SRF99CX12 114,172 0.00 47,571.85 0.00 66,600.15 41.67 01-599-7304 INTEREST EXPENSE-CATER SRF 51,684 0.00 21,073.95 0.00 30,610.05 40.77 01-599-7305 INT EXP ORTEGA-# SRFCX121 181,930 0.00 74,741.55 0.00 107,188.45 41.08 01-599-7306 INTEREST EXPENSE-2010A CABS 3,100 0.00 0.00 0.00 3,100.00 0.00 01-599-7307 SENTRY WELL INTEREST 100,000 0.00 0.00 0.00 100,000.00 0.00 TOTAL DEBT SERVICE 828,674 0.00 299,882.15 0.00 528,791.85 36.19____________________________________________________________________________________________________________________________

TOTAL DEBT SERVICE 828,674 0.00 299,882.15 0.00 528,791.85 36.19____________________________________________________________________________________________________________________________

TOTAL EXPENDITURES 11,285,906 948,845.41 5,108,725.46 7,931.08 6,169,249.46 45.34

REVENUE OVER/(UNDER) EXPENDITURES 1,156,465 102,078.70 1,262,667.28 ( 7,931.08)( 98,271.20) 108.50


1-22-2016 11:35 AM CARPINTERIA VALLEY WATER DISTRICT PAGE: 1 BALANCE SHEET AS OF: DECEMBER 31ST, 201501 -GENERAL FUND ACCOUNT # ACCOUNT DESCRIPTION BALANCE_____________________________________________________________________________________________ASSETS====== 01-1001 OPERATING ACCT - UNION / SBBT 719,063.18 01-1006 2010A COPS CKNG UB (FKA SBBT) 316,433.75 01-1008 CASH DISBURSEMENT RMA PROJ 0.00 01-1010 PAYROLL ACCT - S/B BANK-TRUST 56,844.89 01-1012 CASH DISB RMA PROJ CKNG SBBT 46,511.29 01-1013 MONEY MKT RMA CASH DISB SBBT 3,013.53 01-1015 WORKING FUNDS 875.00 01-1019 2006A COP CKNG SBB&T 0.00 01-1020 CASH-CERT PAYMENT FUND 0.00 01-1021 CASH-CERT PMT FUND-2006A 187,794.76 01-1022 CASH HLD BY UBOC-COP DEBT SVC 0.27 01-1024 2006A COP MONEY MKT UB LOCAL 366,153.17 01-1027 CASH-2006A INTEREST FUND 0.00 01-1028 CASH 2006A PRINCIPAL FUND 0.00 01-1030 CKNG-DWR SRF99CX125-CVWD CIP 0.00 01-1031 MNY MKT-DWR FUNDS SRF99CX125 0.00 01-1032 CASH-UBOC LOAN SVC SRF99CX125 1,812,661.54 01-1033 CASH-UBOC RESERVE FND SRFCX125 367,476.46 01-1034 DWR #SRF99CX125 RESERVE FUND 0.00 01-1040 CASH-UBOC LOAN SVC SRF99CX121 295,265.19 01-1041 CASH-UBOC RESERVE FND SRFCX121 259,358.12 01-1045 CASH-UBOC ACQSTN FUND 2010A 793.65 01-1046 2010A COPS INTEREST FUND 0.00 01-1047 2010A COPS PRINCIPAL FUND 0.00 01-1050 TEMPORARY INVESTMENTS 10,930,269.59 01-1051 ALLOWANCE FOR MKT VALUE ( 4,047.44) 01-1052 INV. - IMP. DIST. NO. 1 ( 475.81) 01-1053 INVESTMENTS IMP DIST 272.26 01-1060 INVSTMENT RSRVR SERIES 2000 199,418.36 01-1061 CPA - BOND RESERVE FUND ( 0.30) 01-1062 CKNG-JOINT SRF99CX121 0.00 01-1065 INV - LAIF BOND 2010A COPS 28,179.40 01-1200 UTILITY ACCT. RECEIVABLE 1,169,434.67 01-1202 UNAPPLIED CREDIT ( 8,032.08) 01-1203 ACCOUNTS RECEIVABLE 0.00 01-1204 A/R - UTIL A/R CLEARING ACCT 0.00 01-1205 ALLOWANCE FOR UNCOLLECTABLE ( 2,000.00) 01-1210 OTHER ACCT. RECEIVABLE 9,192.98 01-1215 EL CARRO/AB303 0.00 01-1217 REBATE PROGRAM RECEIVABLE 0.00 01-1220 INTEREST RECEIVABLE 0.00 01-1230 RMA RECEIVABLE (ANNEXATION) 11,901.77 01-1300 INVENTORY - MATERIALS 99,183.72 01-1310 INVENTORY - METERS 59,269.47 01-1330 INVENTORY - WATER 183,086.70 01-1350 INVENTORY CONTROL 0.00 01-1400 PREPAYMENTS 2,133,175.21 01-1401 PREPAYMENT - WATER PURVEYORS 0.05 01-1402 PREPAYMENT-CLOUD SEEDING 11,315.85


1-22-2016 11:35 AM CARPINTERIA VALLEY WATER DISTRICT PAGE: 2 BALANCE SHEET AS OF: DECEMBER 31ST, 201501 -GENERAL FUND ACCOUNT # ACCOUNT DESCRIPTION BALANCE_____________________________________________________________________________________________ 01-1405 PREPAYMENT - UNION ENG 27,616.27 01-1407 PREPAYMENTS - MNS ENG 6,101.57 01-1410 CATER CAPITAL RESERVE 4,642.53 01-1420 REFUNDABLE DEPOSITS 6,608.28 01-1450 DEF OUTFLW LOSS ON DEF-GASB65 455,039.00 01-1451 DEF OUTFLW OF RESOURCES-GASB68 332,879.00 01-1500 CCWA-RATE COVERAGE FUND 816,950.89 01-1510 CCWA-O & M RESERVE FUND 102,466.09 01-1520 CCWA-REFUND FUND 2,135.54 01-1600 BUREAU OF RCLM-IMPRV DST ASST 45,564.41 01-1601 BUREAU OF RECLAM ACCUM AMORT ( 18,230.00) 01-1610 CPA-BOND ISSUE COSTS 0.00 01-1611 COMB BOND AMORT 0.00 01-1615 2010A BOND ISSUANCE COSTS 0.00 01-1620 COP 2006A UNDERWRITERS DISC 0.00 01-1625 COP 2006A ISSUE & SURETY COSTS 0.00 01-1630 COMB-CAPTIAL COSTS EIR/EIS 135,759.73 01-1640 CATER TREATMENT PLANT 0.00 01-1641 HANDLING STATION @ CATER 0.00 01-1642 PUMP @ CATER PUMP STATION 0.00 01-1650 CATER PLANT EXPANSION 2,346,589.56 01-1651 CATER ACCUM AMORTIZATION 0.00 01-1655 CATER OZONE PROJECT 4,017,141.63 01-1657 CATER SCC BOOSTER PUMP 310,666.20 01-1658 ACCUM AMORT CATER OZN-BSTR ( 216,286.00) 01-1660 CATER TREATMENT PLANT EXP 2005 3,659,241.00 01-1661 ACCUM AMORT CATER 2005 EXP ( 1,904,893.00) 01-1662 ACCUM AMORT CATER EXPANSION ( 1,723,550.67) 01-1670 ORTEGA CHLORINE ALARM 0.00 01-1671 ORTEGA CHLORINATION FACIL/PH 1 ( 0.05) 01-1700 LAND & LAND RIGHTS 1,034,008.15 01-1703 DISTRIBUTION SYSTEM 1,333,951.44 01-1705 PUMPING EQUIPMENT 668,203.74 01-1710 TRANS. & DIST. 5,670,069.69 01-1715 METERS & SERVICES 3,453,081.00 01-1720 HYDRANTS 895,588.06 01-1725 CORROSION CONTROL 45,884.65 01-1730 ADMINISTRATION BUILDING 537,088.32 01-1735 MAINTENANCE CENTER 284,299.52 01-1740 OFFICE EQUIP.& FURNITURE 832,061.22 01-1745 AUTOMOTIVE EQUIPMENT 536,788.87 01-1750 OTHER EQUIP. & TOOLS 519,491.62 01-1755 WELLS 6,639,144.08 01-1760 TANKS & RESERVOIRS 488,671.48 01-1765 WATER TREATMENT EQUIP. 1,205,243.47 01-1770 FACILITIES/GROUNDS 378,364.91 01-1775 CIP STORAGE TANK 11,795,472.13 01-1780 HEADQUARTERS WELL 3,120,012.73 01-1785 CIP CARPINTERIA RESERVOIR CVR 6,427,421.85 01-1790 CIP ORTEGA RESERVOIR COVER 10,926,428.96 01-1800 WORK IN PROGRESS 793,518.27


1-22-2016 11:35 AM CARPINTERIA VALLEY WATER DISTRICT PAGE: 3 BALANCE SHEET AS OF: DECEMBER 31ST, 201501 -GENERAL FUND ACCOUNT # ACCOUNT DESCRIPTION BALANCE_____________________________________________________________________________________________ 01-1903 RES. FOR DEPRECIATION ( 867,241.16) 01-1905 DEP. PUMPING EQUIP. ( 544,283.50) 01-1910 DEP. TRANS. & DIST. EQ. ( 3,714,543.13) 01-1915 DEP. METERS & SERVICES ( 2,069,056.80) 01-1920 DEP. HYDRANTS ( 567,192.90) 01-1925 DEP. CORROSION CONTROL ( 36,386.21) 01-1930 DEP. ADMINISTRATION BLDG ( 496,332.56) 01-1935 DEP. WAREHOUSE & SHOP BL ( 269,860.98) 01-1940 DEP. OFFICE EQUIPMENT ( 812,018.15) 01-1945 DEP. AUTOMOTIVE EQUIP. ( 497,277.90) 01-1950 DEP. OTHER TOOLS & EQUIP ( 472,190.93) 01-1955 DEP. WELLS ( 1,415,518.97) 01-1960 DEP. TANKS & RESERVOIRS ( 165,942.14) 01-1965 DEP. WATER TREAT. EQUIP ( 957,396.98) 01-1970 DEP. FACILITIES/GROUNDS EQUIP ( 142,379.96) 01-1975 Dep. CIP STORAGE TANK ( 2,726,657.89) 01-1980 Dep. CIP HQ WELL ( 1,058,468.59) 01-1985 Dep. CIP CARP RESERVOIR COVER ( 2,367,426.05) 01-1990 Dep. CIP ORTEGA RESERVOIR CVR ( 1,691,685.11) 01-1991 TOTAL ASSETS 0.00 01-1992 PROFIT OR LOSS CURRENT YEAR 0.00 01-1993 TOTAL LIABILITIES & RESERVES 0.00 01-1994 PROFIT OR LOSS CURRENT YEAR 0.00 01-1995 TOTAL LIABILITIES & RESERVES 0.00 64,371,765.43

TOTAL ASSETS 64,371,765.43 ==============LIABILITIES=========== 01-2000 ACCOUNTS PAYABLE 266,995.00 01-2001 CONVERSION DIFFERENCES 3,674.00 01-2003 CONTRACT US BUREAU 0.00 01-2005 ACCRUED LIABILITIES 286,721.64 01-2010 UNREIMBURSED MEDICAL 1,294.78 01-2011 DEPENDENT CARE FSA PLAN 0.00 01-2012 HEALTH INSURANCE PAYABLE ( 730.20) 01-2015 MATERIALS RCPT CLEARING 0.00 01-2016 METER RCPT CLEARING 0.00 01-2017 WATER RCPT CLEARING ( 0.01) 01-2018 ACCOUNTS RECEIVABLE CLEARING 0.00 01-2020 WATER ACCOUNTS - REFUNDS 0.00 01-2025 CONSTRUCTION DEPOSIT REFUND 0.00 01-2030 EMPLOYEES DEFERRED COMPENSATIO ( 3,100.07) 01-2031 UNITED WAY OF S/B CTY 0.00 01-2032 STATE TAX PAYABLE ( 2,520.04) 01-2033 FEDERAL TAX PAYABLE ( 7,576.08) 01-2034 FICA PAYABLE ( 4,942.29) 01-2035 WAGE GARNISHMENT PYBLE 0.00 01-2036 SUPPLMNTL INS (AFLAC)- PAYABLE ( 351.18) 01-2037 SDI PAYABLE ( 554.43)


1-22-2016 11:35 AM CARPINTERIA VALLEY WATER DISTRICT PAGE: 4 BALANCE SHEET AS OF: DECEMBER 31ST, 201501 -GENERAL FUND ACCOUNT # ACCOUNT DESCRIPTION BALANCE_____________________________________________________________________________________________ 01-2038 EMPLOYEE PAID PENSION ( 4,215.29) 01-2039 EE PAYROLL DED TO BE REIMB ( 30.42) 01-2100 ACCRUED PAYROLL 0.00 01-2110 COMPENSATED ABSENCES PAY 374,147.98 01-2120 INTEREST PAYABLE-CPA BONDS 0.00 01-2121 INTEREST PAYABLE-CIP BONDS 156,494.80 01-2122 INTEREST PAYABLE SRF99CX125 47,571.85 01-2123 INTEREST PYBLE JOINT SRF9CX121 74,741.55 01-2124 INTEREST PAYABLE CATER 21,073.95 01-2130 ADVANCES FOR CONST. 237,886.82 01-2133 ACCRUED INTEREST PAYABLE 0.00 01-2140 UTILITY CUSTOMER DEPOSIT 125,078.85 01-2141 UNAPPLIED UTILITY DEPOSITS 0.00 01-2145 DEPOSIT-IN LIEU OF BOND 0.00 01-2200 RETENTION-CIP PROJ 13,509.74 01-2210 OTHER POST EMP BENEFIT LIABILT 148,032.00 01-2220 NET PENSION LIABILITY 2,822,007.00 01-2300 CIP-BOND PAYABLE-SERIES 2000 0.00 01-2310 CPA-BONDS PAYABLE 0.00 01-2311 CPA BOND PREMIUM 0.00 01-2320 DWR LOAN # SRF99CX125 4,542,901.76 01-2330 DWR LOAN NO. SRF99CX121 ORTEGA 7,137,500.66 01-2340 NOTE PAYABLE CIT OF SB-CATER 1,958,139.13 01-2341 NOTE PAY-CIT OF SB-CATER 2 0.00 01-2350 2006A COPS PAYABLE 8,330,000.00 01-2351 2006A BOND DISCOUNT ( 69,112.00) 01-2352 DEFEASED BONDS 2000 COPS 0.00 01-2360 2010A CAP APPRECIATION BONDS 8,475,844.00 01-2361 DEFEASEMENT DEF LOSS 2006A 0.00 01-2451 DEF INFLW OF RESOURCES-GASB68 523,627.00 TOTAL LIABILITIES 35,454,110.50EQUITY====== 01-3000 UNAPPROPRIATED FUND BALANCE 27,102,105.97 01-3003 UNAPPROPRIATED FUNDS 552,881.68 TOTAL BEGINNING EQUITY 27,654,987.65

TOTAL REVENUE 6,371,392.74 TOTAL EXPENSES 5,108,725.46 TOTAL REVENUE OVER/(UNDER) EXPENSES 1,262,667.28

TOTAL EQUITY & REV. OVER/(UNDER) EXP. 28,917,654.93

TOTAL LIABILITIES, EQUITY & REV.OVER/(UNDER) EXP. 64,371,765.43 ==============


Director Name Amount Description

Matthew Roberts 900.00$ MEETINGS-$ MILEAGE

Roberts Total 900.00$

Alonzo Orozco 1,300.00$ MEETINGS286.53$ ACWA/JPIA in Indian Wells: MILEAGE & MEALS

Orozco Total 1,586.53$

June Van Wingerden 900.00$ MEETINGS124.20$

Van Wingerden Total 1,024.20$

Polly Holcombe 1,100.00$ MEETINGS

Holcombe Total 1,100.00$

Richard Forde 1,200.00$ MEETINGS126.50$ ACWA REGION V MILEAGE REIMB

Forde Total 1,326.50$

Total Director Compensation 5,937.23$

Director Compensation ReportOctober - December 2015

2nd Quarter

CCWA MILEAGE REIMB: 10/22 & 09/24 (PAID ON 10/23)

PACKET PAGE 79 OF 88 ITEM VII. A.b. PAGE #1

CARPINTERIA VALLEY WATER DISTRICT ENGINEERING PROJECT STATUS REPORT JANUARY 2016 Proj.

No.

Name Status %

Done

this

month

%

Done

Completion

Date

1 Website Updates Staff is updating with current content as it is made available. An electronic

newsletter is being developed with sign-up option available on the CVWD

website.

- - Ongoing

2 Water Conservation Community Outreach:

Promoting conservation continues via the weekly Drought Still On -Conservation

Water ads in the Coastal View News.

High School Video Contest:

Letters and flyers were sent to all schools in SB County announcing 17th annual

HSVC. Application Packets can be viewed and downloaded from WaterWiseSB

website Video submissions due by March 4th. Judging will take place March 17th.

Workshops:

Sweetwater Collaborative Workshop: The Laundry to Landscape/Rainwater

Harvesting Workshop postponed in December is being rescheduled.

Rebate Programs:

Smart Rebate Program: Contract with CUWCC for expanded program is being

reviewed. Rebates given in calendar year 2015 include 13 HEWs & 34 HETs to

Residential customers; 7 HET/DFT and HE Urinals to Commercial customers for

a total of $6,369.00

WaterWise Landscape Rebate Program: Grant funds were maxed out at end of

September; CVWD is currently funding 100% of the popular program. Rebates

given in calendar year 2015 include 46 –SFR, 1-MFR, 5 HOAs, and 2

Commercial customers for a total of $23,623.96. SBCWA, on behalf of local

purveyors, recently submitted an application through the USBR WaterSMART

Water and Energy Efficiency Grant in hopes of extending and subsidizing the

program for fiscal years 2016-2017 and 2017-2018.

CUWCC BMP Reporting:

CUWCC Annual BMP reporting submitted to CUWCC.

- -

Ongoing

PACKET PAGE 80 OF 88 ITEM VII. B. PAGE #1

CARPINTERIA VALLEY WATER DISTRICT ENGINEERING PROJECT STATUS REPORT JANUARY 2016 3 Development Review

3717 Santa Claus Lane. Mixed use development owner to enter into main

extension agreement for system improvement to meet needs for project.

4949 Sawyer Avenue. Three new single family dwelling units by Habitat for

Humanity. Project will require three new water services currently the vacant lot

does not have water service with the District.

5464 Carpinteria Ave. Assisted living complex owner paid fees for project and

District signed projects Building Permit. Owner to start remodel soon

4295 Carpinteria Ave. Condo project 4 new units on lot that currently has a

tennis court. Project will require water meters for each unit.

4110 Via Real Proposed to construct 110 room, 2 story hotels.

-

-

-

-

-

-

-

-

-

-

Ongoing

Completed

Ongoing

Ongoing

Proposed

4 Lateral 10 Repair Plans have been completed and a Fish and Game 1600 permit application has

been submitted for work required within the CF&G jurisdiction. Work is

projected during summer of 2016.

2 95 June

2016

5 Caltrans Overpasses Plans are complete and have been submitted to Caltrans for inclusion into their

plans. Staff is waiting Caltrans to start the projects.

30 80

December

2015

6 Smillie Well Review of site work has been done and Staff will be letting several contracts in

February to complete the work by the end of March.

40 45 Mar 2016

7 Lyons Well Lateral

Project

This Project has been reprioritized to high. Permit review process was started

again this month. Construction is likely to move forward in late Spring.

20 10 June 2016

8 Sentry Well Staff is working with the County of SB to determine best approach for CEQA and

CDP permits.

5 5 Mar 2016

9 UWMP and AWMP AWMP is due in February and will be ready for public hearing on Feb 10.

UWMP is also being updated and will be ready for first review by staff at the end

of February.

40 45 Feb 2016

10 El Carro Well Bldg Construction of Roll apart building to begin the first week of February. 10 25 Feb 2016

11 Recycled Water Study RMC is nearly done with the plan. State Board will begin reviewing the plan this

month. We expect to meet with the City Relations committee in March to hear the

final presentation from RMC.

10 80 Mar 2016

PACKET PAGE 81 OF 88 ITEM VII. B. PAGE #2

CVWD

Operations Report

December 2015 / January 2016

Project

No.

Job / Facility Status Monitoring

Frequency

Information

Received From

1 Smillie Well General Pump has been working to develop the well and establish whether we can

improve the rate of production.

Daily O & M

Water Treatment

Engineering

HQ Well HQ Well is on-line and pumping 1250 GPM to the Foothill Reservoir. Daily O & M

Treatment

2 El Carro Well El Carro Well is online at 1000gpm pumping to the Foothill Reservoir through the CZ

Main.

Daily O & M

Water Treatment

3 Gobernador

Reservoir Aeration

System

The aeration system is functioning normally. Daily O & M

Water Treatment

4 Pump Station

Repairs

Lateral 30 pump #1 was sent to FH pump for rehab. The rehab has been completed and

will be delivered and installed on January 26.

Daily O & M

Water Treatment

7 Valve Replacement Staff replaced (1) 6" mainline valve. Daily O&M Water

Distribution

8 Meter Replacement District staff removed (40) 5/8" meters from the system and replaced them with 3/4"

meters, and (14) 2" meters

Daily O&M Water

Distribution

10 Pump Station

Rehabilitation

Lateral 30 Pump#1 rehab is underway the discharge head has to be replaced and the

pump bearings replaced. The pump is expected to be back in service by mid December

Daily O&M Water

Distribution

Well Status HQ Well 1250 GPM On Line

SMILLIE Well 130 GPM Operating Condition OUT of SERVICE Damaged Casing

Daily O&M

Water Treatment

Lyon Well 800 GPM Standby

El Carro Well 1000GPM On Line

High school Well Damaged Casing Inoperable

12 Storm Preparations A temporary canopy was installed over El Carro well to protect it from the winter storms

while the design of the roll apart building and the permitting process with the City are

completed for the installation of the roll apart building.

Daily O&M

Water Treatment

Distribution

13 Water Quality District Water Filtration facilities are operating within normal parameters and producing

high quality water. All routine sampling was completed and all results met the CDPH &

EPA guidelines.

Daily O&M

Water Treatment

11

PACKET PAGE 82 OF 88 ITEM VII. C. PAGE #1

Page 1 of 6

MONTH ENDING:

CACHUMA GW SWP

2015 JANUARY 5 218 0 0FEBRUARY 4 218 0 0MARCH 0 230 118 16APRIL 0 259 111 35MAY 0 249 95 76JUNE 0 240 84 62JULY 88 265 48 41AUGUST 165 260 0 16SEPTEMBER 153 247 0 0OCTOBER 140 270 0 0NOVEMBER 52 279 20 0

2015 DECEMBER 108 207 0 0

12-MONTH TOTALS 715 2,942 476 246

12-MONTH RUNNING METERED SALES 3,747

CACHUMA PROJECTBALANCE OF WATER YEAR ENDING 09/30/2015 868CACHUMA SUBTOTAL 868

STATE WATER PROJECTBALANCE OF 2015 ALLOCATION (20%) 133BANKED WATER (PALMDALE) 137STATE WATER SUBTOTAL 270

TOTAL AVAILABLE SURFACE WATER SUPPLY 1,138

AVAILABLE SURFACE WATER SUPPLY

12/31/2015

ID#1 EXCHANGE

MONTHLY USE (ACRE-FEET / AF)

CARPINTERIA VALLEY WATER DISTRICTWATER SUPPLY REPORT

PACKET PAGE 83 OF 88 ITEM VII. D. PAGE #1

Page 2 of 6


Page 3 of 6 PACKET PAGE 85 OF 88 ITEM VII. D.

PAGE #3

Page 4 of 6 PACKET PAGE 86 OF 88 ITEM VII. D.

PAGE #4

Page 5 of 6

CVWD Conservation Efforts December 2015 1/20/2016

Customer Class

Metered Sales HCF HCF HCF %

Commercial 9,270 8,151 ‐1,119 ‐12.1%

Industrial 2,589 2,781 192 7.4%

Public Auth. 3,917 3,697 ‐220 ‐5.6%

Single‐meter Residential 28,819 27,784 ‐1,035 ‐3.6%

Master‐meter Residential 16,591 15,713 ‐878 ‐5.3%

Landscape 1,295 1,781 486 37.5%

M&I TOTAL (HCF) 62,481 59,907 ‐2,574 ‐4.1%

M&I TOTAL (AF) 143 138 ‐6 ‐4.1%

Agriculture (HCF) 58,995 76,991 17,996 30.5%

Agriculture (AF) 135 177 41 30.5%

District Total (HCF) 121,476 136,898 15,422 12.7%

DISTRICT TOTAL (AF) 279 314 35 12.7%

December 2015 ‐ December 2013December 2013 December 2015


Page 6 of 6
