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2019-08-12 City Council Meeting Packet
AGENDA MAPLEWOOD CITY COUNCIL 7:00 P.M. Monday,August 12, 2019 City Hall, Council Chambers Meeting No.15-19 A.CALL TO ORDER B.PLEDGE OF ALLEGIANCE C.ROLL CALL D.APPROVAL OF AGENDA E.APPROVAL OF MINUTES 1.July 22, 2019City Council Workshop Minutes 2.July 22, 2019City Council Meeting Minutes F.APPOINTMENTS AND PRESENTATIONS 1.Administrative Presentations a.Council Calendar Update 2.Council Presentations 3.Introduction of K-9 Officer “Ronan” 4.Presentation of GFOA Distinguished Budget Presentation Award G.CONSENT AGENDA – Items on the Consent Agenda are considered routine and non- controversial and are approved by one motion of the council. If a councilmember requests additional information or wants to make a comment regarding an item, the vote should be held until the questions or comments are made then the single vote should be taken. If a councilmember objects to an item it shouldbe removed and acted upon as a separate item. 1.Approval of Claims 2.East Metro Fire Facility Fund Transfer 3.Auto Theft Prevention Grant Contract with Minnesota Department of Commerce 4.EUF Reimbursement Agreement, 2015 Woodlynn Avenue East 5.On-Sale Intoxicating Liquor and Sunday Sales License for Brinker Restaurant Corporation d/b/a Chili’s Bar & Grill, 1800 Beam Avenue 6.Local Lawful Gambling Permits for the Church of the Presentation of the Blessed Virgin Mary 7.Local Lawful Gambling Permitfor Hill Murray School, 2625 Larpenteur Ave East 8.2019-2020 Collective Bargaining Agreement with International Association of Fire Fighters Local 4470 H.PUBLIC HEARINGS– If you are here for a Public Hearing please familiarize yourself with the Rules of Civility printed on the back of the agenda. Sign in with the City Clerk before addressing the council. At the podium please state your name and address clearly for the record. All comments/questions shall be posed to the Mayor and Council. The Mayor will then direct staff, as appropriate, to answer questions or respond to comments. 1.Public Comment on Increasing Legal Purchasing Age of Tobacco and Related Products to 21 I.UNFINISHED BUSINESS 1. Maplewood Nature Center Master Plan 2.Update Regarding Residential Curbside Trash and Recycling Contract Negotiation J.NEW BUSINESS 1.Master Funding Agreement, Gold Line Bus Rapid Transit Project, City Project 14-05 K.AWARD OF BIDS None L.ADJOURNMENT Sign language interpreters for hearing impaired persons are available forpublic hearings upon request. The request for this must be made at least 96 hours in advance. Please call the City Clerk’s Office at 651.249.2000to make arrangements. Assisted Listening Devices are also available. Please check with the City Clerk for availability. RULES OF CIVILITY FOR THE CITY COUNCIL, BOARDS, COMMISSIONS AND OUR COMMUNITY Following are rules of civility the City of Maplewood expects of everyone appearing at Council Meetings - elected officials, staff and citizens. It is hoped that by following these simple rules, everyone’s opinions can be heard and understood in a reasonable manner. We appreciate the fact that when appearing at Council meetings, it is understood that everyone will follow these principles: Speak only for yourself, not for other councilmembers or citizens - unless specifically tasked by your colleagues to speak for the group or for citizens in the form of a petition. Show respect during comments and/or discussions, listen actively and do not interrupt or talk amongsteach other. Be respectful of the process, keeping order and decorum. Do not be critical of councilmembers, staff or others in public. Be respectful of each other’s time keeping remarks brief, to the point and non-repetitive. E1 MINUTES MAPLEWOOD CITY COUNCILWORKSHOP 5:30 P.M. Monday,July22, 2019 Council Chambers, City Hall A.CALL TO ORDER A meeting of the City Council was held in the City Hall Council Chambers and was called to order at5:32 p.m.byMayor Abrams. B.ROLL CALL Marylee Abrams,MayorPresent Kathleen Juenemann, CouncilmemberPresent William Knutson, CouncilmemberPresent Sylvia Neblett, CouncilmemberPresent Bryan Smith,CouncilmemberPresent C.APPROVAL OF AGENDA Councilmember Neblett moved to approve the agenda as submitted. Seconded by CouncilmemberSmithAyes – All The motion passed. D.UNFINISHED BUSINESS None E.NEW BUSINESS 1.2020 Budget Overview Finance Director Paulseth addressed the council to give the presentation and answer questions of the council. 2.Finance Department Presentation Finance Director Paulseth addressed the council to give the presentation and answer questions of the council. 3.Public Works Department Presentation This item was not presented due to time constraintsand will be added to the August 12, 2019 City Council Workshop Meeting. F.ADJOURNMENT Mayor Abramsadjourned the meeting at 6:55 p.m. July22,2019 1 City Council Workshop Minutes Packet Page Number 1 of 312 E2 MINUTES MAPLEWOOD CITY COUNCIL 7:00 P.M. Monday, July 22, 2019 City Hall, Council Chambers Meeting No. 14-19 A.CALL TO ORDER A meeting of the City Council was held in the City Hall Council Chambers and was called to order at7:03 p.m. byMayor Abrams. Mayor Abrams reported on her article in the City’s newsletter, Maplewood Living,on partnerships within the City. She then talked about the smoke detector partnership between the Maplewood Fire Department and Red Cross. EMS Chief Mondor addressed the council to give additional information on the partnership. She further reported onwork the Maplewood Police Department did with car dealerships to receive a grant from the State of Minnesota Theft Recovery Fund. Public Safety Director Nadeau gave additional information on the grant. B.PLEDGE OF ALLEGIANCE C.ROLL CALL Marylee Abrams, MayorPresent Kathleen Juenemann, CouncilmemberPresent William Knutson, CouncilmemberPresent Sylvia Neblett, CouncilmemberPresent Bryan Smith, CouncilmemberPresent D.APPROVAL OF AGENDA The following items were added to Council Presentations: National Night Out Sisters of Swing Gold Line Partners Meeting Parks & Recreation Meeting CouncilmemberNeblett moved to approve the amended agenda as amended. Seconded by CouncilmemberJuenemannAyes – All The motion passed. E.APPROVAL OF MINUTES 1.Approval of July 8, 2019 City Council WorkshopMinutes July 22, 2019 1 City Council Meeting Minutes Packet Page Number 2 of 312 E2 Councilmember Juenemann moved to approve the July 8, 2019City Council Workshop Minutesas submitted. Seconded by Councilmember SmithAyes – All The motion passed. 2.Approval of July 8, 2019City Council Meeting Minutes Councilmember Juenemann moved to approve the July 8, 2019City Council Meeting Minutesas submitted. Seconded by Councilmember SmithAyes – All The motion passed. F.APPOINTMENTS AND PRESENTATIONS 1.Administrative Presentations a.Council Calendar Update Assistant City Manager Funkgave an update to the council calendar; reviewed other topics of concern or interest requested by councilmembers; and gave an overview of upcoming events in the community. 2.Council Presentations National Night Out Councilmember Juenemann reported on National Night Out that will take place on th Tuesday, August 6.Mayor Abrams gave additional information on National Night Out. Public Safety Director Nadeau gave further information on National Night Out. Sisters of Swing Mayor Abrams reported on the Sisters of Swing, a musical about the Andrew Sisters that is being presentedat the Bruentrup Historical Farm in Maplewood. Gold Line Partners Meeting Councilmember Neblettreported on the Gold Line Partners Meeting she attended on th July 11. Parks & Recreation Meeting Councilmember Neblettreported on the Parks & Recreation Commission Meeting she attended. July 22, 2019 2 City Council Meeting Minutes Packet Page Number 3 of 312 E2 3.Swearing-In Ceremony – Police Officers Connor Salchow and GustavoPerez Public Safety Director Nadeau introduced the two new police officersConnor Salchow and Gustavo Perez. City Clerk Sindt performed the swearing-in of both police officers. 4.St. Paul Area Chamber of Commerce Presentation Shannon Watson, Director ofPublic Affairs with St. Paul Area Chamber of Commerce, gave the presentation. G.CONSENT AGENDA Agenda items G3, G5 and G8 were highlighted. Councilmember Juenemann moved to approve agenda items G1-G8. Secondedby Councilmember SmithAyes – All The motion passed. 1.Approval of Claims Councilmember Juenemann moved to approve the approval of claims. ACCOUNTS PAYABLE: $ 189,637.87 Checks #103909 thru #103945 dated 07/09/19 $ 370,481.82 Disbursements via debits to checking account dated 07/01/19 thru 07/05/19 $ 377,347.23 Checks # 103946 thru #103983 dated 07/16/19 $ 634,417.99 Disbursements via debits to checking account dated 07/08/19 thru 07/12/19 $ 1,571,884.91 Total AccountsPayable PAYROLL $ 580,193.59 Payroll Checks and Direct Deposits dated 07/12/19 Payroll Deduction check # 99103822 thru # $ 2,563.23 99103825 dated 07/12/19 $ 582,756.82 Total Payroll July 22, 2019 3 City Council Meeting Minutes Packet Page Number 4 of 312 E2 $ 2,154,641.73 GRAND TOTAL Seconded by Councilmember SmithAyes – All The motion passed. 2.Transfers and Budget Adjustments CouncilmemberJuenemann moved to approve the debt service transfers and budget adjustments dated 7/22/2019 and authorize the Finance Director to make the necessary accounting entries. Seconded by Councilmember SmithAyes – All The motion passed. 3.Update on Overnight Parking and Repeat Nuisance Service Call Fee Ordinances Councilmember Juenemann moved to approve the update on Overnight Parking and Repeat Nuisance Service Call Fee Ordinances. Seconded by Councilmember SmithAyes – All The motion passed. 4.HIPAA Hybrid Entity Designation CouncilmemberJuenemann moved to designate the City as a HIPAA Hybrid Entity by approving the designation. Seconded by CouncilmemberSmithAyes – All The motion passed. 5.Ambulance Billing Rate Adjustment CouncilmemberJuenemann moved to approve the amendment to the service agreement with TransMedic Billing Services. Seconded by CouncilmemberSmithAyes – All The motion passed. 6.Local Lawful Gambling Permit for the Church of St. Jerome, 380 Roselawn Avenue East Councilmember Juenemann moved to approve the Local Lawful Gambling permit for the Church of St. Jerome on September 14-15, 2019 at 380 Roselawn Avenue East. July 22, 2019 4 City Council Meeting Minutes Packet Page Number 5 of 312 E2 Seconded by Councilmember SmithAyes – All The motion passed. 7.Strategic Plan Update for Second Quarter of 2019 Councilmember Juenemann movedto approve the 2019 second quarter strategic plan report. Seconded by Councilmember SmithAyes – All The motion passed. 8.Travel Expenses for Mayor Abrams for Pulse BRT Peer Project Tour Councilmember Juenemann moved to approve the travel expenses for Mayor Abrams to attend the Pulse BRT Peer Project Tour inRichmond, Virginia. Seconded by Councilmember SmithAyes – All The motion passed. H.PUBLIC HEARINGS 1.Modifications to Maplewood Area Economic Development Authority (EDA) a.Public Hearingon Resolution Modifying the Enabling Resolution Regarding the Maplewood EDA b.Ordinance Amendment to Chapter 2, Article IV, Divisions 8 and 9 Regarding Maplewood Area EDA and Maplewood Housing and Economic Development Commission c.Resolution Authorizing Publication of Ordinance by Title and Summary (4 votes) City Attorney Batty gave the staff report. Mayor Abrams opened the public hearing. The following personspoke: Kevin Berglund Mayor Abramsclosed the public hearing. Councilmember Smithmoved to approve the resolution modifying the enabling resolution regarding the Maplewood Economic Development Authority. Resolution19-07-1719 A RESOLUTION MODIFYING THE ENABLING RESOLUTION REGARDNG THE MAPLEWOOD ECONOMIC DEVELOPMENT AUTHORITY July 22, 2019 5 City Council Meeting Minutes Packet Page Number 6 of 312 E2 BE IT RESOLVED by the city council of the city of Maplewood, Minnesota (the “City”) as follows: Section 1.Background and Findings. 1.01.The City is authorized by Minnesota Statutes, sections 469.090 through 469.1081 (the “Act”) to establish an economic development authority in Maplewood to coordinate and administer economic development and redevelopment plans and programs in the community. 1.02.In 2009, the City adopted Ord. No. 891, establishing the Maplewood Area Economic Development Authority pursuant to the Act. Ord. No. 891 conferred on the economic development authority only those powers of an economic development authority. The economic development authority was not granted the powers of a housing and redevelopment authority under Minnesota Statutes, sections 469.001 through 469.047 or of a city under Minnesota Statutes, sections 469.124 through 469.134. 1.03.In 2012, the City adopted Ord. No. 927 which transferred the powers of the housing and redevelopment authority to the housing and economic development commission (“HEDC”). 1.04.Itis found and determined by the city council that the encouragement and financial support of economic development and redevelopment in the City is vital to the orderly development of the City and in the best interests of the health, safety, prosperity and general welfare of the citizens of the City. 1.05.It is further found and determined that the economic development and redevelopment of the City can best be accomplished by the establishment of an economic development authority imbued with the full range of powers authorized by the Act. 1.06.In accordance with the requirements of the Act, the city council provided notice and conducted a public hearing on July 22, 2019 concerning the modification of the enabling resolution regarding the economic development authority, at which hearing all persons desiring to express their views were heard. Section 2.Enabling Resolution. 2.01.The Maplewood Area Economic Development Authority is hereby renamed the Maplewood Economic Development Authority (“MEDA”) pursuant to this modified enabling resolution (the “Enabling Resolution”). All prior references to the Maplewood Area Economic Development Authority shall hereinafter refer to MEDA. MEDA is a public body corporate and politic and a political subdivision of the state of Minnesota. 2.02.MEDA shall have all the powers of an economic development authority under the Act, and the powers of a housing and redevelopment authority under Minnesota Statutes, sections 469.001 to 469.047 and of a city under Minnesota Statutes, July 22, 2019 6 City Council Meeting Minutes Packet Page Number 7 of 312 E2 sections 469.124 to469.134, as such laws may be amended from time to time, except as limited by this Enabling Resolution. 2.03.MEDA shall consist of a governing body of five commissioners. The commissioners shall be the members of the Maplewood city council. Commissioners’ terms shall coincide with their terms of office as members of the city council. Section 3.Limits of Powers. 3.01.MEDA shall have the powers authorized by the Act, subject to the following limitations in the exercise of its authority: a.The sale of all bonds or other obligations issued by MEDA must be approved by the city council before issuance. b.MEDA must follow the budget process for City departments in accordance with City policies, resolutions and ordinances. c.All actions of MEDA must be consistent with the City’s comprehensive plan and official controls implementing the comprehensive plan. d.MEDA must obtain approval of the city council for all planned activities for influencing the actions of any other governmental agency, subdivision or body. e.Except whenpreviously pledged by MEDA, the city council may by resolution require MEDA to transfer any portion of the reserves generated by its activities that the city council determines is not necessary for the successful operation of MEDA to the debt service fundof the City to be used solely to reduce tax levies for bonded indebtedness of the City. 3.02.This Enabling Resolution may be modified from time to time by the city council in the manner prescribed by the Act. 3.03.As provided in the Act, it is the intention of the city council that nothing in this Enabling Resolution nor any activities of MEDA be construed to impair the obligations of the City under any of its contracts or to affect in any detrimental manner the rights and privileges of a holder of a bond or otherobligation heretofore issued by the City. MEDA shall not modify any covenant or obligation in effect at the time any bonds or obligations were issued or contracts executed to the detriment of the holder of the bonds or obligations or any contracting party. Section 4.Officers, Organization. 4.01.MEDA shall hold an organizational meeting at such time as may be determined by the city council for the purposes below and others as may be deemed appropriate by MEDA. July 22, 2019 7 City Council Meeting Minutes Packet Page Number 8 of 312 E2 4.02.MEDA may adopt bylaws and rules of procedure andshall adopt an official seal. 4.03.MEDA shall elect a president, vice president, treasurer, secretary, and assistant treasurer who shall have such duties and powers as prescribed by the Act. The president, treasurer, and secretary shall be elected annually. No commissioner shall serve as president and vice-president at the same time. The offices of secretary and assistant treasurer need not be held by a commissioner. 4.04.MEDA shall appoint an executive director and secure the services of such other persons as it deems necessary or convenient to perform its functions. 4.05.MEDA may by resolution establish one or more advisory committees to MEDA. Section 5.Audit. 5.01.The financial statements of MEDA must be prepared, audited, filed, and published or posted in the manner required for the financial statements of the City. th 5.02.The report must be filed with the state auditor by June 30of each year. Section 6.Bonds. 6.01.MEDA may issue its general obligation bonds in the principal amounts authorized by two-thirds majority vote of the city council. a.The bonds may be issued in anticipation of income from any source and used to secure funds needed to pay for acquired property or for other purposes authorized by the Act. b.The bonds must be in the amount and form and bear interest at the rate set by the city council. c.The first installment shall be due in not more than 3 years and the last in not more than 30 years from the date of issuance. d.The bonds shall not impose any personal liability on a member of MEDA. e.The bonds shall be secured by the full faith, credit and resources of the City only if the city council specifically authorizes MEDA to do so. 6.02.MEDA may issue revenue bonds for such purposes and following such procedures as are specified in the Act. Section 7.Tax Levy. 7.01.The City may, at the request of MEDA, levy a tax in any year for the benefit of MEDA in an amount not more than 0.01813 percent of taxable market value of property within Maplewood or such other amount as allowed by the Act. The levy July 22, 2019 8 City Council Meeting Minutes Packet Page Number 9 of 312 E2 may be increased by resolution of the city council following a public hearing and published notice in accordance with the Act. 7.02.MEDA may, when exercising its powers as a housing and redevelopment authority, levy a tax in accordance with Minnesota Statutes, section 469.033. The levy shall be in an amount approved by the city council but shall not exceed 0.0185 percent of taxable market value of property within Maplewood or such other amount as authorized by law. Section 8.Implementation. 8.01.The city council may from timeto time adopt such ordinances and resolutions as may be necessary or convenient to give full effect to this Enabling Resolution. 8.02.The mayor, city manager and other City officials are authorized and directed to take such actions and execute and deliver such documents necessary or convenient to give full effect to this Enabling Resolution. Section 9.Supersedes Previous Authorizations. 9.01.This modified Enabling Resolution constitutes the operative Enabling Resolution of MEDA as of the date of its adoption and supersedes Ord. No. 891 and those portions of Ord. No. 927 which are inconsistent herewith. Seconded by Councilmember NeblettAyes – All The motion passed. Councilmember Smith moved to approve the ordinance amending Chapter 2, Article IV, of the city code by repealing Division 8 regarding the Maplewood Area Economic Development Authority and amending Division 9 regarding the Maplewood housing and economic development commission. Ordinance1004 AN ORDINANCE AMENDING CHAPTER2, ARTICLE IV OF THE CITY CODE BY REPEALING DIVISION 8 REGARDING THE MAPLEWOOD AREA ECONOMIC DEVELOPMENT AUTHORITY AND AMENDING DIVISION 9 REGARDING THE MAPLEWOOD HOUSING AND ECONOMIC DEVELOPMENT COMMISSION The Maplewood City Council ordains as follows: Section I.Chapter 2, Article IV, Division 8 of the Maplewood city code: DIVISION 8. Sec. 2-322 through Sec. 2-334 Reserved. Section II. Chapter 2, Article IV, Division 9 of the Maplewood city code: July 22, 2019 9 City Council Meeting Minutes Packet Page Number 10 of 312 E2 DIVISION 9. - THE MAPLEWOOD HOUSING AND ECONOMIC DEVELOPMENT COMMISSION (HEDC) Sec. 2-335. - Definitions. Common terms.As used in this division, the terms defined have the meanings given them. Commissionmeans the housing and economic development commission or HEDC. Citymeans the City of Maplewood, Minnesota. City councilmeans the duly elected governing body of the City of Maplewood, Minnesota. Small businessmeans a business whose principal place of operation is in the City of Maplewood and employs 30 people or less and is not a subsidiary of a larger entity or a corporate-owned franchise location. Sec. 2-336. - Reserved. Sec. 2-337. – Purpose. It shall be the role and responsibility of the commission to discuss and make recommendations to the economic development authority regarding economic and industrial development and redevelopment within the city pursuant to bylaws as may be adopted by the commission. It shall confer with other city departments, the economic development authority, the local chamber of commerce, the Maplewood Parks Commission, and other public and private groups on matters relating to business and industrial development and periodically survey the area's industrial and commercial climate and report regularly to the economic development authority, the city council, or both as directed. It shall also be the purpose of the commission to advise and make recommendations to the city council on housing matters regarding policy issues, development, redevelopmentand housing maintenance. The commission's purpose is to also promote and guide the city council and city staff to develop, improve and retain housing stock in Maplewood that is safe, healthy, meets the housing needs of the residents and maintains value ofquality housing throughout the city. Sec. 2-338. - Name. The entity shall be known as the Maplewood Housing and Economic Development Commission or HEDC. Sec. 2-339. - Members. The commission shall consist of seven members, three of which shall be representative of, "small business," if available to serve, in Maplewood. The members shall be appointed by the mayor and city council, upon approval by majority vote of the July 22, 2019 10 City Council Meeting Minutes Packet Page Number 11 of 312 E2 same. Thoseinitially appointed shall be appointed for staggered terms consisting of two members appointed to one-year terms; two members appointed to two-year terms; and three members appointed to three-year terms, respectively, with a "small business" representative appointed in each of the initial term time frames. Thereafter, members are appointed to three-year terms. Members may be reimbursed for expenses pursuant to city reimbursement policies. The city council shall also appoint persons to the commission with backgrounds in housing, with knowledge in securing and maintaining quality housing stock in the city. Sec. 2-340. - Administration. Bylaws.The commission shall adopt bylaws and rules of procedure for administration of its affairs. Chair.The commission shall elect a chair, and avice-chair on an annual basis. Meetings.The commission shall meet quarterly and at such other times as necessary. Rules.The commission shall adopt such rules and guidelines as they deem appropriate, but shall operate in accordance with Maplewood's Commission Handbook as adopted and amended from time to time. No rules shall be adopted by the commission that are in conflict with the city's official commission handbook and in the event of any conflict or question, the handbook shall prevail. Sec. 2-341. - Reserved. Sec. 2-342. - Report to council. The commission shall submit a written report of its activities to the council at least annually. Sec. 2-343. - Director. The city's manager, or designee, shall attend all meetings of the commission, shall serve as a consultant and advisor to the commission and shall make quarterly reports to the council. Sec. 2-344. - Reserved. Sec. 2-345- Intent to comply. Except as otherwise authorized by Minnesota Statutes, it is the intent of the City Council of Maplewood to create the housing and economic development commission as a "standing" body of the city that shall be subject to the rules, regulations, restrictions and requirements as defined in both the Open Meeting Law, § 13D.01, et seq., and the Minnesota Government Data Practices Act, § 13.01, et seq. SECTION III.This ordinance shall be effective following its adoption and publication. July 22, 2019 11 City Council Meeting Minutes Packet Page Number 12 of 312 E2 Seconded by Councilmember NeblettAyes – All The motion passed. Councilmember Smith moved to approve the resolution authorizing publication of the ordinance by title and summary. Resolution19-07-1720 RESOLUTION AUTHORIZING PUBLICATION OF ORDINANCE NO. 1004BY TITLE AND SUMMARY WHEREAS, the city council of the city of Maplewood has adopted Ordinance No. 1004, an ordinance amending city code provisions regarding the city’s economic development authority and the city’s housing and economic development commission; and WHEREAS, Minnesota Statutes, § 412.191, subd. 4, allows publication by title and summary in the case of lengthy ordinances or those containing charts or maps; and WHEREAS, the ordinance is seven pages in length; and WHEREAS, the city council believes that the following summary would clearly inform the public of the intent and effect of the ordinance. NOW, THEREFORE, BE IT RESOLVED by the city council of the city of Maplewood that the city clerk shall cause the following summary of Ordinance No. 1004to be published in the official newspaper in lieu of the entire ordinance: Public Notice The Maplewood city council has adopted Ordinance No. 1004, which amends Chapter 2, Article IV, Divisions 8 and 9 of the city code of ordinances by deleting the provisions relatingto the Maplewood Area Economic Development Authority and to the authority of the housing and economic development commission (HEDC) to act as of the city’s housing and redevelopment authority. The city council intends to adopt an amended enabling resolution which establishes the Maplewood Economic Development Authority with the full range of powers allowed under Minnesota Statutes., sections 469.090 through 469.1081. A full copy of the ordinance is available in the office of the city clerk. Seconded by Councilmember NeblettAyes – All The motion passed. I.UNFINISHED BUSINESS None J.NEW BUSINESS 1.On-Sale Intoxicating Liquor and Sunday Sales License for Juicy Shrimp July 22, 2019 12 City Council Meeting Minutes Packet Page Number 13 of 312 E2 Shack MN, LLC (d/b/a Juicy Shrimp Shack), 1900 County Road D East, Suite 135 City Clerk Sindt gave the staff report. Kay Xiong Vang addressed and answered questions of the council. Councilmember Smith moved to approve theOn-Sale Intoxicating Liquor and Sunday Sales license for Juicy Shrimp Shack MN LLC, (d/b/a Juicy Shrimp Shack) at 1900 County Road D East, Suite 135. Seconded by Councilmember NeblettAyes – All The motion passed. 2.Ordinance Amending Chapter on Dogs a.Ordinance Repealing and Replacing Chapter 10, Article III Dogs b.Resolution Authorizing Publication of Ordinance byTitle and Summary (4 votes) City Clerk Sindt gave the staff report. Councilmember Neblett moved to approve theordinance repealing and replacing Chapter 10, Article III Dogs. Ordinance1005 AN ORDINANCE REPEALING AND REPLACING CHAPTER 10 ARTICLE III OFTHE MAPLEWOOD CITY CODE REGARDING DOGS The Maplewood City Council ordains as follows: Section 1.Chapter 10, Article III. – Dogs is hereby repealed in its entirety and replaced with the following text: ARTICLE III. – DOGS DIVISION 1. – GENERALLY Sec.10-61. - Definitions. The following words, terms and phrases, when used in this article, shall have the meanings ascribed to them in this section, except where the context clearly indicates a different meaning: Animal sheltermeans any premises designated by the city administrative authority for the purposes of impounding and caring for dogs held under authority of this article. Dogmeans any living dog. July 22, 2019 13 City Council Meeting Minutes Packet Page Number 14 of 312 E2 Officer means any person designated by the city manager as an enforcement officer. Ownermeans any person owning, keeping or harboring dogs. Restraint.A dog is under restraint within the meaning of this article if it is controlled by a leash which does not extend beyond the boundaries of the private property or within a vehicle being driven or parked on the streets or within the property of its owner/keeper, in a fenced area, if within an electronic fence with signage, controlled by a chain or under owner's control and supervision. Sec. 10-62. - Limitation on number for each dwelling unit in residential zones. Except as provided for in Section 10-67, no more than three dogs over six months of age shall be housed or be kept on any one residential site in any area of the city zoned R-1 residence district; no more than two dogs over six months of age shall be housed or be kept on any one residential site in any area of the city zoned R-2 residence district; and, no more than one dog over six months of age shall be kept in a dwelling unit in any area of the city zoned R-3 residence district. Sec.10-63. –Vaccination Requirements. Every dog over six months of age shall be vaccinated against rabies. Vaccinations shall be administered only by or under the supervision of a veterinarian. Proof of a current rabies vaccination shall be provided upon demand of the officer. Sec. 10-64. – Identification Requirements. Any dog residing in the city shall have some identification on them which identifies the owner and provides contact information. Identification allowed includes microchips, veterinarian issued rabies tag or any other tag or inscribed collar. Sec. 10-65. - Enforcement. Officers shall have police powers in the enforcement of this article, and no person shall interfere with or hinder any such officer in the exercise of such powers. Sec. 10-66. - Violations. The owner in violation of any section of this article shall comply within 30 days or shall be issued a citation in accordance with section 1-15 or shall humanely remove the dog from their premises within 30 days of notification. Sec. 10-67. - Exemptions from division. The division requirements shall not apply to owners of service dogs and to nonresidents of the city who are keeping dogs in the city for 30 days or less annually. Secs. 10-68- 10-125. - Reserved. July 22, 2019 14 City Council Meeting Minutes Packet Page Number 15 of 312 E2 DIVISION 2. - RUNNING AT LARGE; NUISANCE Sec. 10-126. - Restraint. All dogs shall be kept under restraint at all times in the city. Sec. 10-127. - Duty of owners. (a)No owner or custodian of any dog shall allow such dog to run at large, with the exception of within a designated off-leash dog area. It shall be the obligation of the owner or custodian of any dog in the city, whether permanently or temporarily therein, to prevent any such dog at any time to be on any street, public park (with the exception of a park within an off-leash dog area as designated by Ramsey County or the City of Maplewood), school grounds or public place without being effectively restrained by a chain or leash not exceeding eight feet in length. (b)Any person having custody or control of any dog shall have the responsibility for cleaning up any feces of thedog and disposing of such feces in a sanitary manner. It shall furthermore be the duty of each person having the custody and control of any dog to have on such person possession of a device or equipment for picking up and removal of animal feces. This subsection shall not apply to a guide dog accompanying a blind person or to a dog when used in police or rescue activities. (c) No owner or custodian of any dog within the city shall allow the dog to remain outside and unattended for a period exceeding fourconsecutive hours. For the purpose of this subsection, the term "outside and unattended" shall mean that the dog is on or has free access to the exterior grounds of any premises and the owner or custodian is not physically present and in the company of the dog. (d)Owners or custodians of dogs are hereby charged to prevent their dogs from barking or making other noises which unreasonably disturb the peace and quiet of any person. The phrase "unreasonably disturb the peace and quiet" includes, but is not limited to, the creation of noises, by such dogs, audible to an officer outside the building or premises where the dogs are being kept and which noise occurs repeatedly over a five-minute period with a time lapse of one minute or less between repetitions over a five-minute period. Failure on the part of the owner or custodian to prevent a dog from committing such acts shall be subject to penalty provided in section 10-66. Sec. 10-128. - Female dogs in heat. Every female dog in heat in the city shall be confined in a building or secure enclosure in such manner that such female dog cannot come into contact with another dog, except for planned breeding. Secs. 10-129—10-155. - Reserved. DIVISION 3. – IMPOUNDMENT July 22, 2019 15 City Council Meeting Minutes Packet Page Number 16 of 312 E2 Sec. 10-156. - Return to owner of dog found at large. If a dog is found at large in the city and its owner can be identified and located, such dog need not be impounded but may, instead, be taken to the owner. Sec. 10-157. - Authority; notice to known owners; reclamation by owners; humane disposal of unclaimed dogs. Unrestrained dogs running at large in the city may be taken by the officer or the Humane Society and impounded in an animal shelter and there confined in a humane manner. Impounded dogs shall be kept for not less than five days, unless reclaimed by their owners. If the owner can be identified, the officer shall immediately notify the owner by telephone or mail of the impoundment of the dog. A dog not claimed by its owner within five days shall be humanely disposed of by an agency delegated by the council to exercise that authority. Sec. 10-158. - Fees; additional penalties. Any owner reclaiming a dog under this article, which has been impounded for any reason, shall pay a fee as set by council from time to time. The owner may also be cited for violation of this article. Secs. 10-159—10-185. - Reserved. DIVISION 4. - DANGEROUS DOGS Secs. 10-186- 10-188. - Reserved. Secs. 10-189– Dangerous/potentially dangerous dogs. The provisions of Minn. Stats. §§ 347.50—347.56, inclusive, are hereby adopted as the potentially dangerous and dangerous dog regulations for the City of Maplewood. Where a conflict exists between the provisions of the City Code and the provisions of Minn. Stats. §§ 347.50—347.56, inclusive, the provisions of the Minnesota Statutes shall apply. (1)Definitions:For the purpose of this section, the terms defined have the meaning given to them: Dangerous dogmeans any dog that has: a.Without provocation, inflicted substantial bodily harm on a human being on public orprivate property; or b.Killed a domestic animal without provocation while off the owner's property; or c. Been found to be potentially dangerous, after the owner has notice that the dog is potentially dangerous, the dog aggressively bites, attacks, orendangers the safety of humans or domestic animals. July 22, 2019 16 City Council Meeting Minutes Packet Page Number 17 of 312 E2 Great bodily harmhas the meaning given it under Minn. Stats. § 609.02, subdiv. 8. Ownermeans any person, firm, corporation, organization, or department possessing, harboring, keeping, having an interest in, or having care, custody, or control of a dog. Potentially dangerous dogmeans any dog that: a.When unprovoked, inflicts bites on a human or domestic animal on public or private property; or b.When unprovoked, chases or approaches a person, including a person on a bicycle, upon the streets, sidewalks, or any public or private property, other than the dog owner's property, in an apparent attitude of attack; or c. Has a known propensity, tendency, or disposition to attack unprovoked, causing injury or otherwise threatening the safety of humans or domestic animals. Proper enclosuremeans securely confined indoors or in a securely enclosed and locked pen or structure suitable to prevent the animal from escaping and providing protection from the elements for the dog. A proper enclosure does not include a porch, patio, or any part of ahouse, garage, or other structure that would allow the dog to exit of its own volition, or any house or structure in which the windows are open or in which door or window screens are the only obstacles that prevent the dog from exiting. Provocationmeans an act that adult could reasonably expect may cause a dog to attack or bite. Substantial bodily harmhas the meaning given it under Minn. Stats. § 609.02, subdiv. 7a. (2)Initial determination.The city's designated animal control authority shall be responsible for initially determining (initial determination) whether a dog is a potentially dangerous dog or a dangerous dog. The animal control authority may retain custody of a dog which has been initially determined to be a dangerous dog pending the hearingas hereinafter provided. The initial determination shall be conclusive unless the owner appeals the initial determination as hereinafter provided. (3)Notice of initial determination.The notice of initial determination shall be personally served on the owner of the dog or on a person of suitable age at the residence of such owner. The notice of initial determination shall describe the dog deemed to be potentially dangerous or dangerous, shall identify the officer making the initial determination and shall inform the owner of the owner's right to appeal the initial determination. July 22, 2019 17 City Council Meeting Minutes Packet Page Number 18 of 312 E2 (4)Request for hearing and hearing.An owner may appeal the initial determination by filing a request and payment of the applicable fee for the hearing with the city manager within fivedays of the owner's receipt of the notice of initial determination. A hearing shall be held within seven days after the city's receipt of the request for hearing. The city manager shall assign a hearing officer, who shall not be the person who made the initial determination. At the hearing, the hearing officer shall consider the reports and comments of the animal control authority, the testimony of any witnesses, witness statements and the comments of the owner of the dog. After considering all of the evidence submitted, the hearing officer shall make written findings and shall determine whether the dog is a potentially dangerous dog or a dangerous dog (final determination). The findings shall be made within five days of the date of the hearing and shall bepersonally served upon the owner of the dog or upon a person of suitable age at the residence of the owner. (5)Seizure of dangerous dog or potentially dangerous dog.The animal control authority shall immediately seize any dangerous or potentially dangerousdog if, within 14 days after the service of the notice of final determination declaring a dog to be a dangerous dog: a.The owner has not registered the dog in compliance with the provisions of subsection 10-189(8)a. or (10)a. b.The owner does not secure theproper surety bond or liability insurance pursuant to subsection 10-189(8)a.2. or (10)a.4. c. The dangerous or potentially dangerous dog is not maintained in a proper enclosure. d.The dangerous dog is outside a proper enclosure and not under the physical restraint of a responsible person. (6)Reclaiming a dangerous dog or potentially dangerous.A dangerous or potentially dangerous dog may be reclaimed by the owner of the dog upon payment of the impounding and boarding fees and upon presentation of proof to the animal control authority that the requirements of subsection 10-189(8)a. or (10)a. have been satisfied. A dangerous or potentially dangerous dog not reclaimed under this provision within seven days may be disposed of as provided in Minn. Stats. § 35.71, subdiv. 3, and the owner shall be liable to the animal control authority for costs incurred in confining and disposing of the dangerous dog. (7)Substantial/great bodily harm.Upon a final determination and notwithstanding the provisions of subsections 10-189(2)—(6), a dangerous dog that inflicted substantial bodily harm or great bodily harm on a human being on public or private property without provocation may be destroyed in a proper and humane manner by the animal control authority. (8)Dangerous dog restrictions. July 22, 2019 18 City Council Meeting Minutes Packet Page Number 19 of 312 E2 a.Registration required.No person may keep a dangerous dog in the City of Maplewood unless the dog is registered with the city clerk as provided in this section. The city clerk shall issue a certificate of registration to the owner of the dangerous dog if the owner presents the following information: 1.Proper enclosure.A proper enclosure exists for the dangerous dog and there is a posting on the premises with a clearly visible warning sign, including a warning symbol to inform children, that there is a dangerous dog on the property. 2.Bond/insurance.A surety bond issued by a surety company authorized to conduct business in the State of Minnesota in a form acceptable to the animal control authority in the sum of at least $300,000.00 payable to any person injured by the dangerous dog, or a policy of liability insurance issued by an insurance company authorized to conduct business in the State of Minnesota in the amount of at least $300,000.00 insuring the owner for any personal injuries inflicted by the dangerous dog. 3.Microchip.The owner has had a microchip identification implanted in the dangerous dog, and the name of the microchip manufacturer and identification number of the microchip must be provided to the animal control authority. If the microchip is not implanted by the owner, it may be implanted by the animal control authority with the costs borne by the dog's owner. 4.Warning symbol.The owner has posted a warning symbol to inform children that there is a dangerous dog on the property. The design of the warning symbol must have been approved by the Minnesota Commissioner of Public Safety. 5.Tag.The dangerous dog must have a standardized, easily identifiable tag identifying the dog as dangerous and containing the uniform dangerous dog symbol affixed to the dog's collar at all times. The design of the tag must have been approved by the Minnesota Commissioner of Public Safety. 6.Photograph.The owner of the dangerous dog shall make the dog available to be photographed for identification by the animal control authority at a time and place specified by the animal control authority. 7.Proof of disclosure.The owner of a dangerous dog who rents property from another where the dog will reside must submit proof of disclosure from the property owner that the property owner was notified, prior to entering into the lease agreement and at the time of any lease renewal, that the person owns a dangerous dog that will reside at the property. (9)Dangerous dog regulations. a.Annual fee.The owner of a dangerous dog shall pay an annualfee as July 22, 2019 19 City Council Meeting Minutes Packet Page Number 20 of 312 E2 determined by council ordinance, in addition to any regular dog licensing fees, to obtain a certificate of registration for a dangerous dog under this section. b.Annual renewal.The owner of a dangerous dog must renew the registration of the dog annually until the dog is deceased and pay the annual renewal fee as determined by city council ordinance. If the dog is removed from the city, it must be registered as a dangerous dog inits new jurisdiction. c. Death/transfer from city.The owner of any dangerous dog must notify the animal control authority in writing of the death of the dog, of its transfer to a residence outside of the city or of its transfer within the city within 30 \[days\] of the death or transfer. d.Notice to landlord.The owner of a dangerous dog who rents property from another where the dog will reside must disclose to the property owner, prior to entering into the lease agreement, and at the time of any lease renewal, that the person owns a dangerous dog that will reside at the property. e.Sale.The owner of a dangerous dog must notify the purchaser that the animal control authority has identified the dog as a dangerous dog. The seller must also notify the animal control authority in writing of the sale and provide the animal control authority with the new owner's name, address, and telephone number. f.Muzzling.If the dangerous dog is outside a proper enclosure, the dog must be muzzled and restrained by substantial chain or leash and be under the physical restraint of a reasonable person. The muzzle must be made in a manner that will prevent the dog from biting any person or animal but that will not cause injury to the dog or interfere with its vision or respiration. g.Sterilization.The animal control authority may require a dangerous dog to be sterilized at the owner's expense. If the owner does not have the dangerous dog sterilized, the animal control authority may have the animal sterilized at the owner's expense. (10)Potentially dangerous dog restrictions. a.Registration required.No person may keep a potentially dangerous dog in the City of Maplewood unless the dog is registered with the city clerk as provided in this section. The city clerk shall issue a certificate of registration to the owner of a potentially dangerous dog if the owner presents the following information: 1.Microchip.The owner has had a microchip identification implanted in the potentially dangerous dog, and the name of the microchip manufacturer and identification number of the microchip must be provided to the animal control authority. If the microchip is not implanted by the owner, it may be implanted by the animal control authority with the costs borne by the dog's owner. July 22, 2019 20 City Council Meeting Minutes Packet Page Number 21 of 312 E2 2. Warning symbol.The owner has posted a warning symbol to inform children that there is a potentially dangerous dog on the property. The design of the warning symbol must have been approved by the Minnesota Commissioner of Public Safety. 3.Proper enclosure.A proper enclosure exists for the potentially dangerous dog, and there is a posting on the premises with a clearly visible warning sign, including a warning symbol, to inform children that there is a potentially dangerous dog on the property. 4.Bond/insurance.A surety bond issued by a surety company authorized to conduct business in the State of Minnesota in a form acceptable to the animal control authority in the sum of at least $300,000.00 payable to any person injured by the potentially dangerous dog, or a policy of liability insurance issued by an insurance company authorized to conduct business in the State of Minnesota in the amount of at least $300,000.00 insuring the owner for any personal injuries inflicted by the potentially dangerous dog. 5.Photograph.The owner of the potentially dangerous dog shall make the dog available to be photographed for identification by the animal control authority at a time and place specified by the animal control authority. 6.Proof of disclosure.The ownerof a potentially dangerous dog who rents property from another where the dog will reside must submit proof of disclosure from the property owner that the property owner was notified, prior to entering into the lease agreement and at the time of any lease renewal, that the person owns a potentially dangerous dog that will reside at the property. (11)Potentially dangerous dog regulations. a.Annual fee.The owner of a potentially dangerous dog shall pay an annual fee as determined by council ordinance, in addition to any regular dog licensing fees, to obtain a certificate of registration for a dangerous dog under this section. b.Annual renewal.The owner of a potentially dangerous dog must renew the registration of the dog annually until the dog is deceased and pay the annual renewal fee as determined by city council ordinance. If the dog is removed from the city, it must be registered as a potentially dangerous dog in its new jurisdiction. c. Death/transfer from city.The owner of any potentially dangerous dog must notify the animal control authority in writing of the death of the dog, of its transfer to a residence outside of the city or of its transfer within the city within 30 days of the death or transfer. d.Notice to landlord.The owner of a potentially dangerous dog who rents property from another where the dog will reside must disclose to the property July 22, 2019 21 City Council Meeting Minutes Packet Page Number 22 of 312 E2 owner, prior to entering into the lease agreement and at the time of any lease renewal that the person owns a potentially dangerous dog that will reside at the property. e.Sale.The owner of a potentially dangerous dog must notify the purchaser that the animal control authority has identified the dog as potentially dangerous. The seller must also notify the animal control authority in writingof the sale and provide the animal control authority with the new owner's name, address, and telephone number. (12)Annual review requests.If there are no additional reports of the behavior described in subsection (1)a. or (1)b. of this section within a 12-month period from the date of the designation as a dangerous dog or a six-month period from the date of the designation as a potentially dangerous dog, the dog's owner may request a review, in writing, of the declaration designation. The owner must provide documented evidence for review that the dog's behavior has changed due to environment, health, age, training, neutering or other relevant factor. The review request and supporting documentation must be submitted to the Maplewood Animal Control Authority, which shall rule on the review request based on the record. The owner of the dog shall be notified in writing of the review results within ten business days of receipt. An administrative fee shall be paid prior to thereview. In cases where the owner has successfully completed a training program approved by the animal control authority, the administrative fee may be reduced or waived. The fees for such review shall be imposed, set, established and fixed by the city council, by resolution, from time to time. Secs. 10-190– 10-245. – Reserved. Section 2. This ordinance shall be effective following its adoption and publication. nd Approved by the city council of the city of Maplewood this 22day of July, 2019. Seconded by Councilmember SmithAyes – All The motion passed. Councilmember Smith moved to approve theresolution authorizing publication of the ordinance by title and summary. Resolution19-07-1721 RESOLUTION AUTHORIZING PUBLICATION OF ORDINANCE NO. 1005BY TITLE AND SUMMARY WHEREAS, the city council of the city of Maplewood has adopted Ordinance No. 1005,an ordinance amending Chapter 10 of thecity code regarding dog and small kennel licenses; and WHEREAS, Minnesota Statutes, §412.191, subd. 4, allows publication by title and summary in the case of lengthy ordinances or those containing charts or maps; and July 22, 2019 22 City Council Meeting Minutes Packet Page Number 23 of 312 E2 WHEREAS, the ordinance is severalpages in length; and WHEREAS, the City Council believes that the following summary would clearly informthe public of the intent and effect of the ordinance. NOW, THEREFORE, BE IT RESOLVED by the City Council of the City of Maplewood that the City Clerk shall cause the following summary of Ordinance No. 1005to be published in the official newspaper in lieu of the entire ordinance: Public Notice TheMaplewoodCity Council has adopted Ordinance No. 1005, which amends Chapter 10 of the city code regarding dogs.The ordinance amendment removes the requirements for residents to obtain dog licenses and small kennel licenses. Rather, the addition of requirements for vaccination and identification and the establishment of allowed maximum number of dogs based on residence district were defined.Further changes were made to update language throughout the chapter. BE IT FURTHER RESOLVED by the City Council of the City of Maplewood that the City Clerk keep a copy of the ordinance in her office at city hall for public inspection. Seconded by Councilmember JuenemannAyes – All The motion passed. 3.Request for Authorization to Negotiate a Draft Residential Curbside Trash and Recycling Contract with the Top Ranked Respondents Environmental Planner Finwall gave the presentation. Councilmember Juenemann moved to approve City staff to negotiate draft separate residential curbside trash and recycling contracts with the top ranked respondents. Seconded by Councilmember KnutsonAyes – All The motion passed. 4.Frost-English Phase III Term Sheet with Maplewood Commercial, LLC Assistant Community Development Director Martin gave the staff report. Shane LaFave with Sherman Associates addressed the council to give additional information. Councilmember Juenemann moved to approve the term sheet with Maplewood Commercial, LLC for Frost English Village Phase III. Seconded by Councilmember NeblettAyes – All The motion passed. July 22, 2019 23 City Council Meeting Minutes Packet Page Number 24 of 312 E2 5.Resolution Adopting Preparation of Feasibility Study for Arcade-County Road B Area Street Improvements, City Project 19-22 Public Works Director Love gave the staff report. Councilmember Juenemann moved to approve Resolution Ordering the Preparation of a Feasibility Study for County Road B and Arcade Street Improvements, City Project 19-22 and to utilize the services of Bolton and Menk, Inc. to complete the feasibility study. Resolution 19-07-1722 ORDERING PREPARATION OF A FEASIBILITY STUDY WHEREAS, it is proposed to make improvements to the County Road B and Arcade Street, which is depicted on the attached project location map, and is hereby called County Road B and Arcade Street Improvements, City Project 19-22 and to assess the benefited property for all or a portion of the cost of the improvement, pursuant to Minnesota Statutes, Chapter 429, NOW, THEREFORE, BE IT RESOLVED BY THE CITY COUNCIL OF MAPLEWOOD, MINNESOTA: That the proposed improvement be referred to the City Engineer for study and that he is instructed to report to the City Council with all convenient speed advising the council in a preliminary way as to whether the proposed improvement is necessary, cost effective and feasible, and as to whether it should best be made as proposed or in connection with some other improvement, and the estimated cost of the improvement as recommended. FURTHERMORE, funds in the amount of $130,000 are appropriated to prepare this feasibility report. Seconded by Councilmember KnutsonAyes – All The motion passed. K.AWARD OF BIDS None L.ADJOURNMENT Mayor Abrams adjourned the meeting at9:07 p.m. July 22, 2019 24 City Council Meeting Minutes Packet Page Number 25 of 312 F1a Packet Page Number 26 of 312 F1a Packet Page Number 27 of 312 F3 CITY COUNCILSTAFF REPORT Meeting Date August 12, 2019 REPORT TO: Melinda Coleman, City Manager REPORT FROM:Scott Nadeau, Public Safety Director PRESENTER: Brian Bierdeman, Patrol Lieutenant AGENDA ITEM:Introduction of K-9 Officer “Ronan” Action Requested:MotionDiscussionPublic Hearing Form of Action:ResolutionOrdinanceContract/AgreementProclamation Policy Issue: The Maplewood Police Department currently has two K-9 Officers and we areintroducing our newest K-9 partner, Ronan. Recommended Action: For presentation purposes only. Fiscal Impact: Is There a Fiscal Impact?NoYes, the true or estimated cost is$0.00 Financing source(s): Adopted BudgetBudget ModificationNew Revenue Source Use of Reserves Other:N/A Strategic Plan Relevance: Financial SustainabilityIntegrated CommunicationTargeted Redevelopment Operational EffectivenessCommunity InclusivenessInfrastructure & Asset Mgmt. Recognizingdepartment actions. Background Officer Joe Demulling and hisoriginal K-9 partner Brixservedthe Maplewood Police Department from2013until2018,when Brixpassed awayunexpectedly.The department welcomesand presentsOfficer Demulling’snew K-9 partnerRonan, who hasreceivedextensive training and passed certificationin July of this year. They havebeen patrolling the City of Maplewoodsince that time and we anticipatemany achievements from this duo in their upcoming years of partnership. Attachments None. Packet Page Number 28 of 312 Packet Page Number 29 of 312 Packet Page Number 30 of 312 F4, Attachment 1 Packet Page Number 31 of 312 THIS PAGE IS INTENTIONALLY LEFT BLANK Packet Page Number 32 of 312 G1 MEMORANDUM Melinda Coleman, City Manager TO: FROM:Ellen Paulseth, Finance Director August 6, 2019 DATE: SUBJECT:Approval of Claims Attached is a listing of paid bills for informational purposes. The City Manager has reviewed the bills and authorized payment in accordance with City Council approved policies. ACCOUNTS PAYABLE: $ 1,242,848.63Checks #103984 thru #104017 dated 07/23/19 $ 360,678.13Disbursements via debits to checking account dated 07/15/19 thru 07/19/19 $ 690,460.38Checks #104018 thru # 104040 dated 07/30/19 $ 681,609.05Disbursements via debits to checking account dated 07/22/19 thru 07/26/19 $ 762,058.72Checks # 104041 thru # 104104 dated 08/06/19 $ 2,671,012.97Disbursements via debits to checking account dated 07/29/19 thru 08/02/19 $ 6,408,667.88Total Accounts Payable PAYROLL $ 583,617.91Payroll Checks and Direct Deposits dated 07/26/19 $ 3,234.76Payroll Deduction check # 99103838 thru # 99103842 dated 07/26/19 $ 586,852.67Total Payroll $ 6,995,520.55GRAND TOTAL Attached is a detailed listing of these claims. Please call me at 651-249-2902 if you have any questions on the attached listing. This will allow me to check the supporting documentation on file if necessary. Attachments Packet Page Number 33 of 312 G1, Attachment Check Register City of Maplewood 07/18/2019 CheckDateVendorDescriptionAmount 10398407/23/201905598KELLY & LEMMONS, P.A.PROSECUTION SERVICES - MAY16,250.00 07/23/201905598KELLY & LEMMONS, P.A.PROSECUTION SERVICES - JUNE16,250.00 07/23/201905598KELLY & LEMMONS, P.A.REMACKEL ABATEMENT INJUNCTION730.00 07/23/2019KELLY & LEMMONS, P.A. 05598REMACKEL ABATEMENT INJUNCTION100.00 10398507/23/201900393MN DEPT OF LABOR & INDUSTRYMONTHLY SURTAX - JUNE 12303520192,364.87 07/23/2019MANSFIELD OIL CO 10398605353CONTRACT GASOLINE - JULY9,355.82 10398707/23/201901819PAETEC/WINDSTREAMLOCAL PHONE SERVICE 06/15 - 07/14594.07 07/23/2019RAMSEY COUNTY-PROP REC & REV 10398801337911 DISPATCH SERVICES - JUNE33,192.96 07/23/201901337RAMSEY COUNTY-PROP REC & REVCAD SERVICES - JUNE6,803.43 07/23/2019RAMSEY COUNTY-PROP REC & REV 01337FLEET SUPPORT FEES - JUNE589.68 10398907/23/201901546SUBURBAN SPORTSWEART-SHIRTS FOR SOCCER CLINIC252.50 07/23/2019T A SCHIFSKY & SONS, INC 10399001574BITUMINOUS MATERIALS FOR PAVING11,771.23 07/23/201901574T A SCHIFSKY & SONS, INCBITUMINOUS MATERIALS FOR PAVING9,782.00 07/23/2019T A SCHIFSKY & SONS, INC 01574BITUMINOUS MATERIALS~2,665.78 07/23/201901574T A SCHIFSKY & SONS, INCBITUMINOUS MATERIALS~961.97 07/23/2019XCEL ENERGY 10399101190ELECTRIC & GAS UTILITY3,161.85 07/23/201901190XCEL ENERGYELECTRIC & GAS UTILITY2,103.31 07/23/2019XCEL ENERGY 01190ELECTRIC & GAS UTILITY170.96 10399207/23/201905761YMCAEMPLOYEE MEMBERSHIPS - JUNE1,306.00 07/23/2019YMCA 05761EMPLOYEE MEMBERSHIPS - MAY1,246.00 07/23/201905761YMCAEMPLOYEE MEMBERSHIPS - APRIL1,160.00 07/23/2019COMMUNITY HEALTH CHARITIES 10399305807RECEPIENT #130765254 - PLEDGES363.00 10399407/23/201905889DEARBORN NATIONALSTD GROUP #F022290 - AUGUST2,154.99 07/23/2019EHLERS, INC. 10399500453TIF MANAGEMENT9,065.00 07/23/201900453EHLERS, INC.TIF MANAGEMENT650.00 07/23/2019EHLERS, INC. 00453TIF MANAGEMENT490.00 10399607/23/201900644HEALTHPARTNERSREFUND S NICHOLS - TRANS MEDIC2,158.63 07/23/2019L M C I T 10399700827WORK COMP QTR JULY-SEPT 2019175,804.00 10399807/23/201906027LAMINATES PLUSCOUNTER TOPS-ADMIN AREA/MW ROOM1,060.00 07/23/2019LANGUAGE LINE SERVICES 10399900846PD PHONE-BASED INTERPRETIVE SRVS98.42 10400007/23/201900532MADDEN GALANTER HANSEN, LLPHR LEGAL FEES LABOR REL - JUNE99.40 07/23/2019MCFOA 10400104310MUNICIPAL CLERK CERTIFICATION70.00 10400207/23/201903818MEDICAMONTHLY PREMIUM - AUGUST188,025.60 07/23/2019MEDICA 10400303818REFUND TRANS MEDIC-G BOUMEESTER91.01 10400407/23/201900986METROPOLITAN COUNCILMONTHLY SAC - JUNE56,583.45 07/23/2019MN ENVIRONMENTAL FUND 10400505173PLEDGES - 2ND QTR205.00 10400607/23/201901089MN UC FUNDQTR UNEMPLOYMENT - 2ND QTR4,477.57 10400707/23/201904507NORTHERN TECHNOLOGIES, LLCPROJ 17-18 PROF SRVS 06/09 - 07/061,925.00 10400807/23/201900001ONE TIME VENDORREFUND V MOUA - TRANS MEDIC100.00 10400907/23/201905802POMP'S TIRE SERVICE, INC.FOUR TIRES FOR STOCK2,176.00 10401007/23/201900396MN DEPT OF PUBLIC SAFETYCJDN ACCESS FEE - 2ND QTR APR-JUNE1,920.00 07/23/2019MN DEPT OF PUBLIC SAFETY 10401100396TRANSFER TITLE FORFEITED VEHICLE23.75 07/23/201900396MN DEPT OF PUBLIC SAFETYTRANSFER TITLE FORFEITED VEHICLE23.75 07/23/2019MN DEPT OF PUBLIC SAFETY 00396TRANSFER TITLE FORFEITED VEHICLE23.75 07/23/201900396MN DEPT OF PUBLIC SAFETYTRANSFER TITLE FORFEITED VEHICLE23.75 07/23/2019MN DEPT OF PUBLIC SAFETY 00396TRANSFER TITLE FORFEITED VEHICLE23.75 10401207/23/201902001CITY OF ROSEVILLEPHONE SERVICE - JULY2,380.00 07/23/2019CITY OF ROSEVILLE 02001IT SUPPORT SERVICES - JULY431.00 07/23/201902001CITY OF ROSEVILLE1920 RICE ST LIGHT-SHARED XCEL BILL47.78 07/23/2019SHI INTERNATIONAL CORP 10401304256MICROSOFT WINDOW SERVER LIC 2019648.00 10401407/23/201905986TACTICAL ADVANTAGE, LLCMAGS GUNS & BARREL15,346.00 07/23/2019TRANS UNION LLC 10401505663PRE-EMPOLYMENT CREDIT CK SRVS61.10 10401607/23/201901698GREATER TWIN CITIES UNITED WAY2ND QTR PLEDGE AMT 2019230.00 07/23/2019VEIT & COMPANY, INC. 10401705291PROJ 16-18 GLADSTONE CORRIDOR IMP655,256.50 1,242,848.63 34 Checks in this report. Packet Page Number 34 of 312 G1, Attachment CITY OF MAPLEWOOD Disbursements via Debits to Checking account Settlement DatePayeeDescriptionAmount 7/15/2019MN State TreasurerDrivers License/Deputy Registrar111,268.85 7/15/2019Empower - State PlanDeferred Compensation28,685.00 7/16/2019MN State TreasurerDrivers License/Deputy Registrar60,066.59 7/17/2019MN State TreasurerDrivers License/Deputy Registrar48,239.62 7/17/2019Delta DentalDental Premium791.38 7/18/2019MN State TreasurerDrivers License/Deputy Registrar74,095.86 7/19/2019MN State TreasurerDrivers License/Deputy Registrar36,120.28 7/19/2019MN Dept of Natural ResourcesDNR electronic licenses682.90 7/19/2019Optum HealthDCRP & Flex plan payments727.65 360,678.13 Packet Page Number 35 of 312 G1, Attachment Check Register City of Maplewood 07/25/2019 CheckDateVendorDescriptionAmount 10401807/30/201900211BRAUN INTERTEC CORP.PROJ 18-01 FERNDALE-IVY RGNL F2,324.75 10401907/30/201905311WILLIE MCCRAYSOFTBALL UMPIRES 07/15 - 07/19357.50 10402007/30/201900985METROPOLITAN COUNCILWASTEWATER - AUGUST292,220.83 10402107/30/201901202NYSTROM PUBLISHING CO INCMAPLEWOOD LIVING - JULY6,991.96 10402207/30/201901337RAMSEY COUNTY-PROP REC & REVRANGE RENTAL1,440.00 07/30/201901337RAMSEY COUNTY-PROP REC & REVRANGE RENTAL1,200.00 10402307/30/201901337RAMSEY COUNTY-PROP REC & REVFLEET SUPPORT FEES - JUNE321.36 10402407/30/201905488SUN LIFE FINANCIALPREMIUM - LIFE,LTD - JULY6,522.34 10402507/30/201901574T A SCHIFSKY & SONS, INCPROJ 17-18 FARRELL-FERNDALE PMT#1795,922.45 10402607/26/201905618ENTERPRISE FM TRUSTLEASE CHARGES FIRE & PD VEHICLES2,622.35 10402707/26/201901337RAMSEY COUNTY-PROP REC & REVPROP TAX PID 13-28-22-12-0030105.55 10402807/30/201900052ADVANCED GRAPHIX INCDECALS FOR HELMETS150.00 10402907/30/201905641CHP MAPLEWOOD MN OWNER, LLCTIF PMT TO DEVELOPER 1ST HALF 201997,839.33 10403007/30/201905369CINTAS CORPORATION #470CLEANING SUPPLIES-CH/PD/PW/PM73.95 10403107/30/201900309COMMISSIONER OF TRANSPORTATIONPROJ 16-18 CONCRETE PLANT INSP64.62 10403207/30/201900371DAKOTA COUNTY TECH COLLEGEEMERGENCY RESPONSE DRIVING3,900.00 10403307/30/201905025DIST 622 EDUCATION FOUNDATIONCHARITABLE GAMBLING1,770.00 10403407/30/201905283EMERGENCY RESPONSE SOLUTIONSQUICK FILL HOSE3,485.44 07/30/201905283EMERGENCY RESPONSE SOLUTIONSSWIVELING ROCKER59.05 07/30/201905283EMERGENCY RESPONSE SOLUTIONSTIC REPAIR24.66 10403507/30/201900671HIRSHFIELD'STOTE OF ATHLETIC FIELD MARKING PAINT1,512.50 10403607/30/201901175CITY OF NORTH ST PAULMONTHLY UTILITIES - JUNE5,025.66 07/30/201901175CITY OF NORTH ST PAULFIBER OPTIC ACCESS CHG - JULY1,000.00 10403707/30/201900001ONE TIME VENDORREFUND M SILVA - TRANS MEDIC40.00 10403807/30/201905667PROTEK LIGHTING SOLUTIONS LLCLED LIGHT CONVERSION-PD REPORT RM800.00 10403907/30/201903616SIBLEY COVE, LTD PARTNERSHIPTIF PMT TO DEVELOPER 1ST HALF 201941,116.60 10404007/30/201905936VERSACON, INC.PROJ 18-04 WAKEFIELD PARK PMT#7123,569.48 690,460.38 23Checks in this report. Packet Page Number 36 of 312 G1, Attachment CITY OF MAPLEWOOD Disbursements via Debits to Checking account Settlement DatePayeeDescriptionAmount 7/22/2019MN State TreasurerDrivers License/Deputy Registrar133,578.31 7/23/2019MN State TreasurerDrivers License/Deputy Registrar61,974.14 7/24/2019MN State TreasurerDrivers License/Deputy Registrar72,005.41 7/24/2019Delta DentalDental Premium1,272.56 7/25/2019MN State TreasurerDrivers License/Deputy Registrar86,286.56 7/25/2019MN State TreasurerState Payroll Tax24,871.32 7/26/2019MN State TreasurerDrivers License/Deputy Registrar45,549.59 7/26/2019MN Dept of Natural ResourcesDNR electronic licenses627.90 7/26/2019Optum HealthDCRP & Flex plan payments601.08 7/26/2019U.S. TreasurerFederal Payroll Tax103,581.36 7/26/2019P.E.R.A.P.E.R.A.122,979.37 7/26/2019ICMA (Vantagepointe)Deferred Compensation8,257.00 7/26/2019Labor UnionsUnion Dues3,736.52 7/26/2019MidAmerica - INGHRA Flex plan14,747.93 7/26/2019ICMA (Vantagepointe)Retiree Health Savings1,540.00 681,609.05 Packet Page Number 37 of 312 G1, Attachment Check Register City of Maplewood 08/02/2019 CheckDateVendorDescriptionAmount 10404108/06/201902639ARNT CONSTRUCTION INCESCROW REL 2373 BEAVER CREEK AVE5,573.97 10404208/06/201905114BOLTON & MENK, INC.GIS ASSSISTANCE - 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Packet Page Number 39 of 312 G1, Attachment CITY OF MAPLEWOOD Disbursements via Debits to Checking account Settlement DatePayeeDescriptionAmount 7/29/2019MN State TreasurerDrivers License/Deputy Registrar80,707.78 7/30/2019MN State TreasurerDrivers License/Deputy Registrar60,778.82 7/31/2019MN State TreasurerDrivers License/Deputy Registrar44,399.24 7/29/2019US Bank VISA One Card*Purchasing card items58,620.28 7/31/2019Delta DentalDental Premium2,129.60 7/29/2019Empower - State PlanDeferred Compensation28,735.00 7/29/2019US BankDebt Service payments2,212,581.26 8/1/2019MN State TreasurerDrivers License/Deputy Registrar95,152.30 8/2/2019MN State TreasurerDrivers License/Deputy Registrar84,045.09 8/2/2019MN Dept of Natural ResourcesDNR electronic licenses541.60 8/2/2019Optum HealthDCRP & Flex plan payments3,322.00 2,671,012.97 Packet Page Number 40 of 312 G1, Attachment Transaction DatePosting DateMerchant NameTransaction AmountNameCurrent Default Accounting Code 07/09/201907/11/2019CONQUER NINJA WARRIOR - W$630.00JOSHUA ABRAHAM101-601 07/15/201907/16/2019TAYLOR FALL BOAT T$508.20JOSHUA ABRAHAM101-601 07/15/201907/16/2019TAYLOR FALL BOAT T$508.20JOSHUA ABRAHAM101-601 07/16/201907/17/2019AMZN MKTP US*MH09G8HY0 AM$230.59JOSHUA ABRAHAM101-601 07/10/201907/12/2019MENARDS MAPLEWOOD MN$10.29PAUL BARTZ101-402-000 07/16/201907/17/2019CVS/PHARMACY #01751$5.90PAUL BARTZ101-402-000 07/16/201907/17/2019CUB FOODS #1599$10.77PAUL BARTZ101-402-000 07/16/201907/17/2019CUB FOODS #1599$4.16PAUL BARTZ101-402-000 07/16/201907/17/2019COSTCO WHSE #1021$218.63PAUL BARTZ101-402-000 07/16/201907/17/2019HEJNY RENTAL INC$214.95PAUL BARTZ101-402-000 07/17/201907/18/2019HARBOR FREIGHT TOOLS 612$11.97PAUL BARTZ101-402-000 07/17/201907/18/2019CUB FOODS #1599$8.05PAUL BARTZ101-402-000 07/17/201907/18/2019DOLLAR TREE$36.07PAUL BARTZ101-402-000 07/17/201907/19/2019MENARDS MAPLEWOOD MN$36.41PAUL BARTZ101-402-000 07/18/201907/19/2019KNOWLAN'S MARKET #2$14.97PAUL BARTZ101-402-000 07/18/201907/19/2019KNOWLAN'S MARKET #2$55.55PAUL BARTZ101-402-000 07/18/201907/19/2019COSTCO WHSE #1021$141.55PAUL BARTZ101-402-000 07/08/201907/09/2019ST PAUL STAMP WORKS INC$97.22REGAN BEGGS101-301 07/12/201907/15/2019OFFICE DEPOT #1090$73.34REGAN BEGGS101-301 07/12/201907/15/2019VERITIV-EAST$257.40REGAN BEGGS101-301 07/12/201907/15/2019VERITIV-EAST$128.70REGAN BEGGS101-301 07/12/201907/15/2019VERITIV-EAST$772.20REGAN BEGGS101-301 07/12/201907/15/2019VERITIV-EAST$86.61REGAN BEGGS101-301 07/12/201907/15/2019VERITIV-EAST$321.75REGAN BEGGS101-301 07/15/201907/17/2019BROWNELLS INC$482.80BRIAN BIERDEMAN101 402 000 07/05/201907/08/2019KNOWLAN'S MARKET #2$22.49OAKLEY BIESANZ101 604 000 07/06/201907/08/2019ACORN NATURALISTS$288.77OAKLEY BIESANZ101 604 000 07/09/201907/11/2019THE HOME DEPOT #2801$41.97OAKLEY BIESANZ101 604 000 07/11/201907/15/2019OTC BRANDS, INC.($3.71)OAKLEY BIESANZ101 604 000 07/11/201907/15/2019OTC BRANDS, INC.$53.99OAKLEY BIESANZ101 604 000 07/08/201907/09/2019BSN SPORTS LLC$136.02NEIL BRENEMAN602 611 001 07/08/201907/10/2019PAYPAL *JOECOOL1681$162.48NEIL BRENEMAN602 611 001 07/18/201907/19/2019AMAZON.COM*MH9W83YQ2 AMZN$97.30NEIL BRENEMAN602 611 001 07/09/201907/10/2019MIDWEST SIGN SCREEN MN$245.93TROY BRINK101 502 000 07/15/201907/16/2019GRAFIX SHOPPE$90.00DANIEL BUSACK101-402- 07/10/201907/11/2019CINTAS 60A SAP$36.20SCOTT CHRISTENSON101 115 000 07/10/201907/11/2019CINTAS 60A SAP$82.45SCOTT CHRISTENSON101 115 000 07/17/201907/18/2019MIDLAND HARDWARE$17.75SCOTT CHRISTENSON101 115 000 07/17/201907/18/2019CINTAS 60A SAP$63.91SCOTT CHRISTENSON101 115 000 07/10/201907/11/2019GALLUP INC$999.00MELINDA COLEMAN101-102-000-4120 07/09/201907/11/2019MENARDS MAPLEWOOD MN$4.25SHAWN CONWAY101-404 07/08/201907/10/2019GALLS$4,995.90KERRY CROTTY101 402 000 07/06/201907/08/2019BORCHERT'S MEAT MARKET$1.99THOMAS DABRUZZI101-404 07/09/201907/11/2019ZAGG INC$5.99THOMAS DABRUZZI101-404 07/11/201907/12/2019CUB FOODS #1599$9.48THOMAS DABRUZZI101-404 07/13/201907/15/2019HEJNY RENTAL INC$35.99THOMAS DABRUZZI101-404 07/15/201907/16/2019HOLIDAY STATIONS 3519$3.50THOMAS DABRUZZI101-404 07/15/201907/17/2019NORTH ST. 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MAPLEWOOD MN$39.21ANN HUTCHINSON101 604 000 07/11/201907/12/2019CINTAS 60A SAP$23.45ANN HUTCHINSON101 604 000 07/18/201907/19/2019SQ *JOURNEY INN, AN($1,096.68)ANN HUTCHINSON101 604 000 07/10/201907/12/2019THE HOME DEPOT #2801$159.72DAVID JAHN101 115 000 07/11/201907/12/2019DALCO ENTERPRISES$440.01DAVID JAHN101 115 000 07/15/201907/16/2019DALCO ENTERPRISES$111.58DAVID JAHN101 115 000 07/08/201907/09/2019PANERA BREAD #601305$47.20ELIZABETH JOHNSON101-701 07/05/201907/08/2019MENARDS MAPLEWOOD MN$45.41KEVIN JOHNSON101 402 000 07/05/201907/08/2019MENARDS MAPLEWOOD MN$13.63KEVIN JOHNSON101 402 000 07/05/201907/08/2019THE HOME DEPOT 2801$96.48KEVIN JOHNSON101 402 000 07/08/201907/09/2019AMZN MKTP US*MH8NR3PT2$32.15KEVIN JOHNSON101 402 000 07/10/201907/11/2019CUB FOODS #1599$4.49KEVIN JOHNSON101 402 000 07/11/201907/12/2019CUB FOODS #1599$4.49KEVIN JOHNSON101 402 000 07/12/201907/15/2019SAFELITE ONLINE PAYMENTS$39.95KEVIN JOHNSON101 402 000 07/16/201907/18/2019KUNO SERVICES LLC$271.80KEVIN 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#021$119.50STEVEN PRIEM702 000 000 1260 07/08/201907/09/2019MACQUEEN EQUIPMENT GROUP$170.90STEVEN PRIEM702 000 000 1260 07/08/201907/09/2019MACQUEEN EQUIPMENT GROUP$10.02STEVEN PRIEM702 000 000 1260 07/08/201907/10/2019PERFORMANCE TRANSMISSION$111.83STEVEN PRIEM702 000 000 1260 07/09/201907/10/2019SAFELITE ONLINE PAYMENTS$163.91STEVEN PRIEM702 000 000 1260 07/09/201907/11/2019AN FORD WHITE BEAR LAK$173.71STEVEN PRIEM702 000 000 1260 07/09/201907/11/2019AN FORD WHITE BEAR LAK$20.93STEVEN PRIEM702 000 000 1260 07/10/201907/11/20190391-AUTOPLUS$128.53STEVEN PRIEM702 000 000 1260 07/10/201907/11/2019WALSER POLAR CHEVROLET$453.75STEVEN PRIEM702 000 000 1260 07/10/201907/12/2019TURFWERKS EAGAN$182.88STEVEN PRIEM702 000 000 1260 07/10/201907/12/2019WHEELCO BRAKE &SUPPLY$63.75STEVEN PRIEM702 000 000 1260 07/11/201907/12/2019POMP S TIRE #021$149.00STEVEN PRIEM702 000 000 1260 07/11/201907/12/2019MACQUEEN EQUIPMENT GROUP$22.37STEVEN PRIEM702 000 000 1260 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07/16/201907/17/2019TRI-STATE BOBCAT$173.07STEVEN PRIEM702 000 000 1260 Packet Page Number 42 of 312 G1, Attachment 07/16/201907/18/2019AN FORD WHITE BEAR LAK$19.49STEVEN PRIEM702 000 000 1260 07/17/201907/18/2019AN FORD WHITE BEAR LAK($225.00)STEVEN PRIEM702 000 000 1260 07/17/201907/18/2019KATH FUEL OFFICE$108.00STEVEN PRIEM702 000 000 1260 07/17/201907/18/2019EMERGENCY AUTO TECH$157.58STEVEN PRIEM702 000 000 1260 07/17/201907/18/2019TRI-STATE BOBCAT$411.27STEVEN PRIEM702 000 000 1260 07/09/201907/10/2019AWARDS NETWORK$214.75TERRIE RAMEAUX101 116 000 07/09/201907/10/2019MINNESOTA OCCUPATIONAL H$1,366.00TERRIE RAMEAUX101 116 000 07/09/201907/10/2019EIG*CONSTANTCONTACT.COM$65.00AUDRA ROBBINS206 603 293 07/17/201907/18/2019CINTAS 60A SAP$43.32AUDRA ROBBINS206 603 293 07/08/201907/10/2019MENARDS MAPLEWOOD MN$11.78ROBERT RUNNING101 502 000 07/15/201907/16/2019GRUBER'S POWER EQUIPMENT$50.15ROBERT RUNNING101 502 000 07/10/201907/11/2019LILLIE SUBURBAN NEWSPAPER$97.75DEB SCHMIDT101 301 000 07/17/201907/18/2019LILLIE SUBURBAN NEWSPAPER$799.38DEB SCHMIDT101 301 000 07/05/201907/08/2019ON SITE SANITATION INC$253.47SCOTT SCHULTZ601 508 000 07/10/201907/11/2019CINTAS 60A SAP$12.63SCOTT SCHULTZ601 508 000 07/10/201907/11/2019CINTAS 60A SAP$80.27SCOTT SCHULTZ601 508 000 07/10/201907/11/2019CINTAS 60A SAP$33.72SCOTT SCHULTZ601 508 000 07/10/201907/11/2019CINTAS 60A SAP$12.85SCOTT SCHULTZ601 508 000 07/11/201907/15/2019ON SITE SANITATION INC$22.00SCOTT SCHULTZ601 508 000 07/13/201907/15/2019CINTAS 60A SAP$121.10SCOTT SCHULTZ601 508 000 07/13/201907/15/2019CINTAS 60A SAP$206.10SCOTT SCHULTZ601 508 000 07/15/201907/16/2019REPUBLIC SERVICES TRASH$1,556.22SCOTT SCHULTZ601 508 000 07/15/201907/17/2019ON SITE SANITATION INC$2,438.00SCOTT SCHULTZ601 508 000 07/17/201907/18/2019CINTAS 60A SAP$65.22SCOTT SCHULTZ601 508 000 07/17/201907/18/2019CINTAS 60A SAP$25.56SCOTT SCHULTZ601 508 000 07/17/201907/18/2019CINTAS 60A SAP$12.85SCOTT SCHULTZ601 508 000 07/17/201907/18/2019CINTAS 60A SAP$30.67SCOTT SCHULTZ601 508 000 07/08/201907/10/2019OFFICE DEPOT #1090$85.17STEPHANIE SHEA101-404 07/11/201907/12/2019EMERGENCY AUTO TECH$299.95MICHAEL SHORTREED101 402 000 07/11/201907/12/2019AMAZON.COM*MH4F096O1$129.43JOSEPH STEINER101-402-000 07/05/201907/08/2019THE BUSINESS JOURNALS$115.00JEFF THOMSON101-701-000 07/15/201907/16/2019EB 2019 SUMMER CONFER$135.00JEFF THOMSON101-701-000 07/09/201907/10/2019USPS PO 2683380009$6.60KAREN WACHAL101 604 000 07/12/201907/15/2019OFFICEMAX/OFFICEDEPT#6874$10.19KAREN WACHAL101 604 000 $58,620.28 Packet Page Number 43 of 312 G1, Attachment CITY OF MAPLEWOOD EMPLOYEE GROSS EARNINGS REPORT FOR THE CURRENT PAY PERIOD Exp Reimb, Severance, Conversion incl in Amount CHECK #CHECK DATEEMPLOYEE NAMEAMOUNT 07/26/19ABRAMS, MARYLEE537.68 07/26/19JUENEMANN, KATHLEEN473.60 07/26/19KNUTSON, WILLIAM473.60 07/26/19NEBLETT, SYLVIA473.60 07/26/19SMITH, BRYAN473.60 07/26/19COLEMAN, MELINDA6,636.00 07/26/19FUNK, MICHAEL5,499.75 07/26/19KNUTSON, LOIS3,216.45 07/26/19CHRISTENSON, SCOTT2,367.55 07/26/19DOUGLASS, TOM2,391.87 07/26/19JAHN, DAVID2,463.67 07/26/19HERZOG, LINDSAY2,131.07 07/26/19RAMEAUX, THERESE3,657.78 07/26/19ANDERSON, CAROLE1,388.94 07/26/19DEBILZAN, JUDY2,514.59 07/26/19OSWALD, BRENDA2,550.40 07/26/19PAULSETH, ELLEN5,439.31 07/26/19RUEB, JOSEPH4,712.79 07/26/19ARNOLD, AJLA2,226.83 07/26/19BEGGS, REGAN2,249.00 07/26/19COLE, DEBORAH3,618.95 07/26/19EVANS, CHRISTINE2,248.99 07/26/19LARSON, MICHELLE2,249.03 07/26/19SINDT, ANDREA3,647.03 07/26/19HANSON, MELISSA1,948.99 07/26/19HOCKBEIN, JUDY1,003.73 07/26/19KRAMER, PATRICIA1,169.39 07/26/19MOY, PAMELA2,151.59 07/26/19OSTER, ANDREA2,330.20 07/26/19RICHTER, CHARLENE1,788.11 07/26/19VITT, JULIANNE1,396.58 07/26/19WEAVER, KRISTINE3,398.17 07/26/19WINKELMAN, JULIA1,091.25 07/26/19ABEL, CLINT2,813.37 07/26/19ALDRIDGE, MARK5,713.61 07/26/19BAKKE, LONN3,771.01 07/26/19BARTZ, PAUL3,959.75 07/26/19BELDE, STANLEY3,846.01 07/26/19BENJAMIN, MARKESE3,667.11 07/26/19BERG, TERESA1,140.18 07/26/19BERGERON, ASHLEY3,041.53 07/26/19BIERDEMAN, BRIAN4,646.26 07/26/19BURT-MCGREGOR, EMILY2,947.58 07/26/19BUSACK, DANIEL4,646.27 07/26/19COLEMAN, ALEXANDRA2,453.80 07/26/19CONDON, MITCHELL2,276.63 07/26/19CROTTY, KERRY4,700.03 07/26/19DEMULLING, JOSEPH4,273.05 07/26/19DUGAS, MICHAEL5,511.86 07/26/19FISHER, CASSANDRA2,836.17 Packet Page Number 44 of 312 G1, Attachment 07/26/19FORSYTHE, MARCUS4,066.13 07/26/19FRITZE, DEREK4,592.07 07/26/19GABRIEL, ANTHONY4,040.37 07/26/19HAWKINSON JR, TIMOTHY3,990.67 07/26/19HENDRICKS, JENNIFER1,994.38 07/26/19HER, PHENG3,145.11 07/26/19HIEBERT, STEVEN3,580.62 07/26/19HOEMKE, MICHAEL1,289.19 07/26/19JOHNSON, KEVIN5,373.27 07/26/19KHAREL, RAM348.00 07/26/19KONG, TOMMY3,630.81 07/26/19KROLL, BRETT3,679.72 07/26/19KUCHENMEISTER, JASON1,979.27 07/26/19KVAM, DAVID5,020.78 07/26/19LANGNER, SCOTT3,484.91 07/26/19LANGNER, TODD4,368.33115.70 07/26/19LENERTZ, NICHOLAS2,911.27 07/26/19LYNCH, KATHERINE3,855.24 07/26/19MARINO, JASON3,814.11 07/26/19MCCARTY, GLEN3,517.06 07/26/19MCKENZIE, JONATHAN536.50 07/26/19MICHELETTI, BRIAN4,136.01 07/26/19MURRAY, RACHEL2,689.14 07/26/19NADEAU, SCOTT5,818.59 07/26/19NYE, MICHAEL4,547.99 07/26/19OLSON, JULIE3,846.01 07/26/19PARKER, JAMES3,680.50 07/26/19PEREZ, GUSTAVO2,221.24 07/26/19PETERS, DANIEL2,593.95 07/26/19SALCHOW, CONNOR2,221.24 07/26/19SEPULVEDA III, BERNARDO369.75 07/26/19SHEA, STEPHANIE2,043.39 07/26/19SHORTREED, MICHAEL5,008.75 07/26/19SPARKS, NICOLLE2,328.84 07/26/19STARKEY, ROBERT3,228.59 07/26/19STEINER, JOSEPH3,959.75 07/26/19STOCK, AUBREY2,381.76 07/26/19SWETALA, NOAH2,276.63 07/26/19TAUZELL, BRIAN4,223.13 07/26/19THIENES, PAUL4,744.75 07/26/19WENZEL, JAY3,548.71 07/26/19WIETHORN, AMANDA2,828.70 07/26/19XIONG, KAO3,548.71 07/26/19XIONG, TUOYER2,276.63 07/26/19ZAPPA, ANDREW4,718.46 07/26/19BARRETTE, CHARLES4,065.77 07/26/19BAUMAN, ANDREW3,534.74 07/26/19BEITLER, NATHAN3,061.76 07/26/19CAPISTRANT, JOHN210.00 07/26/19CONWAY, SHAWN4,134.96 07/26/19CRAWFORD JR, RAYMOND4,109.86 07/26/19CRUMMY, CHARLES3,462.90 07/26/19DABRUZZI, THOMAS3,966.64 07/26/19DANLEY, NICHOLAS2,916.79 07/26/19DAVISON, BRADLEY3,023.81 07/26/19DAWSON, RICHARD4,513.10 07/26/19HAGEN, MICHAEL2,908.12 07/26/19HALWEG, JODI3,679.15 07/26/19HAWTHORNE, ROCHELLE3,480.89 07/26/19KUBAT, ERIC3,983.29 07/26/19LANDER, CHARLES4,095.36 Packet Page Number 45 of 312 G1, Attachment 07/26/19LO, CHING1,392.49 07/26/19LUKIN, STEVEN4,623.60 07/26/19MALESKI, MICHAEL2,897.70 07/26/19MCGEE, BRADLEY3,127.28 07/26/19MERKATORIS, BRETT4,084.75 07/26/19MONDOR, MICHAEL5,316.38 07/26/19NEILY, STEVEN3,299.78 07/26/19NIELSEN, KENNETH3,198.32 07/26/19NOVAK, JEROME3,664.47 07/26/19POWERS, KENNETH3,996.84 07/26/19RADINZEL, AUSTIN2,917.33 07/26/19SEDLACEK, JEFFREY4,704.03 07/26/19STREFF, MICHAEL4,588.69 07/26/19ZAPPA, ERIC2,821.83 07/26/19CORTESI, LUANNE2,249.00 07/26/19JANASZAK, MEGHAN2,796.01 07/26/19BRINK, TROY2,941.20 07/26/19BUCKLEY, BRENT3,011.87 07/26/19EDGE, DOUGLAS2,536.90 07/26/19JOHNSON, JEREMY2,018.49 07/26/19JONES, DONALD2,583.90 07/26/19KOLBECK, ALEXANDER1,040.00 07/26/19MEISSNER, BRENT2,559.29 07/26/19NAGEL, BRYAN4,500.60 07/26/19OSWALD, ERICK2,615.14 07/26/19RUNNING, ROBERT2,821.29 07/26/19TEVLIN, TODD2,573.59 07/26/19BURLINGAME, NATHAN3,120.80 07/26/19DUCHARME, JOHN3,245.51 07/26/19ENGSTROM, ANDREW4,402.50 07/26/19JAROSCH, JONATHAN4,229.12 07/26/19LINDBLOM, RANDAL3,337.38 07/26/19LOVE, STEVEN5,274.91 07/26/19STRONG, TYLER2,693.82 07/26/19ZIEMAN, SCOTT1,200.00 07/26/19NATZKE, BENJAMIN960.00 07/26/19HAMRE, MILES2,543.17 07/26/19HAYS, TAMARA2,231.45 07/26/19HINNENKAMP, GARY2,796.71 07/26/19JONAS, WILSON960.00 07/26/19LIEN, HARRISON960.00 07/26/19NAUGHTON, JOHN2,570.23 07/26/19ORE, JORDAN2,461.69 07/26/19SAKRY, JASON2,216.89 07/26/19BIESANZ, OAKLEY2,036.62 07/26/19GERNES, CAROLE1,966.32 07/26/19HER, KONNIE976.50 07/26/19HUTCHINSON, ANN3,169.60 07/26/19WACHAL, KAREN1,124.49 07/26/19JOHNSON, ELIZABETH2,105.79 07/26/19KROLL, LISA2,259.29 07/26/19THOMSON, JEFFREY4,744.4932.36 07/26/19ADADE, JANE2,120.06 07/26/19FINWALL, SHANN3,856.39 07/26/19MARTIN, MICHAEL4,099.68 07/26/19SWAN, DAVID3,238.79 07/26/19WEIDNER, JAMES2,832.19 07/26/19WELLENS, MOLLY2,357.40 07/26/19REININGER, RUSSELL2,428.99 07/26/19ABRAHAM, JOSHUA2,710.19 07/26/19BJORK, BRANDON84.00 Packet Page Number 46 of 312 G1, Attachment 07/26/19BRENEMAN, NEIL3,177.62 07/26/19CAMPBELL, KEVIN114.00 07/26/19GORACKI, GERALD30.00 07/26/19HUGGAR, ANGELA60.00 07/26/19HURT, LAURA120.00 07/26/19KUCHENMEISTER, GINA2,154.40 07/26/19MOORE, PATRICK102.00 07/26/19PFEFFERLE, LILY24.00 07/26/19ROBBINS, AUDRA4,483.77 07/26/19ROBBINS, CAMDEN31.25 07/26/19STIFTER, RACHEL48.00 07/26/19THAO, THONY96.00 07/26/19YANG, CHAI THA YENG36.00 07/26/19BERGO, CHAD4,012.19 07/26/19SCHMITZ, KEVIN2,229.30 07/26/19SHEERAN JR, JOSEPH3,839.49 07/26/19ADAMS, DAVID2,787.92 07/26/19HAAG, MARK2,819.59 07/26/19JENSEN, JOSEPH2,392.89 07/26/19SCHULTZ, SCOTT4,468.90 07/26/19WILBER, JEFFREY2,375.39 07/26/19COUNTRYMAN, BRENDA1,548.00 07/26/19SMITH, CATHERINE1,434.50 07/26/19ACOSTA, JESSE170.00 07/26/19HANNASCH, MARGARET1,200.00 07/26/19PRIEM, STEVEN2,879.10 07/26/19WOEHRLE, MATTHEW2,764.45 07/26/19XIONG, BOON2,381.69 07/26/19FOWLDS, MYCHAL4,563.89 07/26/19FRANZEN, NICHOLAS3,743.67 07/26/19GERONSIN, ALEXANDER2,903.74 07/26/19RENNER, MICHAEL3,034.34 9910383707/26/19PETERSON, DAVID3,625.60 583,617.91 Packet Page Number 47 of 312 Packet Page Number 48 of 312 Packet Page Number 49 of 312 G3 CITY COUNCILSTAFF REPORT Meeting Date August 12, 2019 REPORT TO: Melinda Coleman, City Manager REPORT FROM: Scott Nadeau, Public Safety Director PRESENTER:Scott Nadeau, Public Safety Director AGENDA ITEM: AutoTheft Prevention Grant Contract with Minnesota Department of Commerce Action Requested:MotionDiscussionPublic Hearing Form of Action:ResolutionOrdinanceContract/AgreementProclamation Policy Issue: It is recommendedthe City Council approve a two (2) year grant contract with the Minnesota Department of Commerce. Recommended Action: Motion to approve theAutoTheft Prevention Grant Contract between the Minnesota Commissioner of Commerce and the City of Maplewood, MaplewoodPolice Department; and authorize the Mayor and City Managerto execute the contract on behalf of the City. Fiscal Impact: Is There a Fiscal Impact?NoYes, the true or estimated cost is$189,867.60 Financing source(s):Adopted BudgetBudget ModificationNew Revenue Source Use of ReservesOther: N/A Strategic Plan Relevance: Financial SustainabilityIntegrated CommunicationTargeted Redevelopment Operational EffectivenessCommunity InclusivenessInfrastructure & Asset Mgmt. Targeting criminal activities relating to auto theft, theft from auto, and other related offenses. Background The Maplewood Police Department recognizesthat it has a high rate of automobilerelatedtheft compared to state-wide statistics. The department saw the opportunity with this grant to significantly improve theneededprevention and investigative efforts relating to thefts of and from automobiles.Utilizing the funds of this grant, the department has the ability to dedicate an officer to focus on decreasing the rate of auto-related thefts in the City of Maplewood. The department has created a project titled, Intense Targeting of Recurring Automotive Crimes (ITRAC),andin this project has identified 2 objectives we intend to achieveduring this 2-year contract:a) Increase the Packet Page Number 50 of 312 G3 clearance rate of automobile theft cases; and b) Reduce the number of vehicles reported stolen, as well asthe number ofthefts from auto.The contract requires quarterly statistics reporting for accountability. Success will not only be measurable, but has meaning to the many residents and visitors to the city that do not become victims.It isalsoour hope that the success of our efforts during this 2-year periodwill considerably help our chances of extending this grant funding intothe next funding cycle. Attachments 1.Grant Application. 2.Grant Contract. Packet Page Number 51 of 312 G3, Attachment 1 Packet Page Number 52 of 312 G3, Attachment 1 Maplewood Auto Theft Reduction Project A.Project Overview: The objective of the 2019 Intense Targeting of RecurringAutomotive Crimes or “I.T.R.A.C.” projectisto reduce the occurrence of autotheftandtheftsfromautowithin the Cityof Maplewood through a strategy of prevention and the aggressive investigationand prosecution of habitual offenders. Maplewood PoliceDepartmentacknowledgethe most effectiveandoften lackingresourcetodateis personnel directlyandsolely responsible forcombating the crimesat hand. Itis the goal of the Maplewood PoliceDepartmenttopartnerwith the Minnesota Department of Commercetosecure funding through the AutoTheftPreventionProgramGrantto fully fund a swornstaffpositionforan Automobile Crimes / I.T.R.A.C.Detectivewithin the department. ThisDetective’sprimary responsibility isfor the investigationand prosecution of those perpetrating the crime of automobile theftandtheftfromvehicles. Additional duties include collaboratingwith surrounding lawenforcementagencies on autotheft/theftfromvehicle prevention projects, proactive enforcementprogramssuchasbaitvehicles, coordinated investigationsacrossjurisdictionallines,andactingasliaisonwith the Ramsey County Attorney’s Officetohelp develop casesmorelikelyresultingincriminalcharges. B.Needs Assessment/Planning Process: Automobile relatedtheftcrimes,whileoften not violent innature,represent a significantand personal offense affecting thousands of Minnesotans eachyear including hundreds of Maplewood residents.The highly movable natureand substantial value of today’s modern automobiles makethemanattractiveandoftenfar too easytargetforcriminaloffenders.In addition totheir inherent value,vehiclesoftencontain property attractivetothieves.The loss of a personally owned vehicle not only creates a costlyfinancial hardship forvictims, but hasfar reachinganddeeplypersonalaffectswhen considering thefreedom,convenience,andpridethat automobile ownership often construes. While Minnesota hasseen a steadyriseinautomobilethefts over the pastseveralyears, Maplewood continues to be one of the hardest hit communities.For both auto theftandthefts fromauto, Maplewood experiences a victimizationrateseveraltimes the stateaverageandfar surpasses most other metropolitancommunities.The disproportional theftrate, coupled with a caseclearanceratein the singledigits,exemplifies the needforthe Maplewood Police Departmenttoevaluatetheircurrentstrategies,aggressivelyadaptand modernize these strategies,and devote additional resourcestobringthesecrimes under control. In 2015 therewere 104 auto theftsreportedin the Cityof Maplewood. In 2016 therewere 149 foranincrease of 69%. In 2017 therewere 239 reportedthefts, showing anotherrise of 62% over the previous year.Autotheftin Minnesota had a reportedrate of 146 theftsper 100,000 people in 2015.TheCity of Maplewood experienced a rate of 260 per 100,000 thatsameyear.In 2016 the stateratiowas 157 per 100,000 to Maplewood’s 372. Andfinallyin 2017 Minnesota’s ratiowas 179per 100,000 to Maplewood’s 584. Thistrend shows Maplewood consistently experiences autotheftatmorethanthreetimes the stateaverage. The arrestclearanceratein Maplewood for 2015was5%, 2016 was7%,and 5% in 2017. A high number oftheftsfromvehiclearealso a 1 Packet Page Number 53 of 312 G3, Attachment 1 point of concern. Maplewood experiences a statisticallyhigh number ofreported incidents, but adding tothistherewas a 59% increasein the number of thesecrimesfrom 2014 to 2017. There are a number of factorswhichleadtothese higher figuressuchas a proportionally high number of autodealers, the number of multi-housing complexesandretailbusinesses, both of whichlead toclusters of accessiblevehicles,and a lack of investigativeresources. See Appendix A Currently,autotheftandtheftfromvehicleinvestigationswithin the cityconsist of an original reporttakenbythe responding officer. A briefreportbypatrol staff or the records division is completedwhen a stolenautoisrecovered.Thereareoftenfewinvestigativeresourcesassigned due to the sheer number of cases,andarrests of auto theftsuspectsmostlyoccurifan offender is found indirectpossession of the vehicle. Theftfrom vehiclesoftenprecede subsequent stolencreditcard use andcheckforgeries, but rarelyyield other evidence. Subsequent fraudandforgeriesare followed up on, but due to the timeneededandthe number of casesitcanbeverylimited.The police department hastwo“bait vehicles”outfittedanddeployedin both autotheftandtheftfromautostings.Thebaitprogram hasmetwith some successincatchingtheftfromautooffenders, but thissuccesshas not extendedtocatchingauto thieves.Mostoftenthisis due to the additional manpower neededfor surveillanceinthese operations. During coldweather, patrol officersareencouragedtocheckforandticket“open ignition” offendersin hopes of reducing the availabilityofeasilystolen automobiles. Informational packetseducating owners to the prevalence of theft involving unattended running vehiclesare alsodistributed during thesetimes.Tohelpreduce the incidenceoftheftfromvehicles the Maplewood PoliceDepartmentusestargeted informational flyers,crime prevention meetings, traditionalmedia,socialmedia,and other forumstohelpeducateresidentsandvisitors on avoiding suchcrimes. 2018saw the formation of a three-officerStreetCrimesUnit(SCU)toproactivelycombat a multitude of crime-relatedissuessuchasautotheft,theftfromvehicle,burglary, violent crime, andprolificlocaloffenders.The unit hashadmanysuccesses, but oftensuffersfromstaffing issues due tore-assignmentsto provide critical patrol coverage.TheSCUhasbeenabletorun several automobile theftstingsand works closelywith adjoining agencies on tactics, trends, and equipment sharing.Thedepartmenthas provided our baitvehiclesfor other agenciesto use on severaloccasionsaswellas providing other equipment and knowledge support for those agencieswishingtostarttheirownprograms. Maplewood isaware of a multi-agencygrant proposal being submitted,withSt.PaulPolice Departmentserving asfiscalagent.The intent isto develop aneastmetro auto theft taskforce, sharing equipment, intelligence, personnel forjoint operations, andexpertise.While Maplewood issubmittingitsown proposal, wehaverecently worked with neighboring St.Paul on bait vehiclesand an autotheft operation. Maplewood is involved in ongoing talkswithSt.Paulasto how our agenciesmight continue toserveasforcemultipliersfor one another. Though a joint powers agreementis not yet developed, Maplewood intends to be a fullpartnerinanorganized efforttocreate a truetask force,recognizingthesame offenders operate throughout the east metropolitanarea, andwewilllikely be ableto best reducetheirimpactby working together. 2 Packet Page Number 54 of 312 G3, Attachment 1 Additionally, the departmentemploys a crimeanalystandinvestedin a crimeanalyticsprogram which works in conjunction with the recordsmanagementsystemtoanalyzedataforidentifying autotheftandtheftfromvehicle trends, commonly stolenvehicle models, prolificoffenders,and preventable factors present whenthesetheftstakeplace.Thisprogramalsoutilizes the abilityto push informationto patrol officers,detectives,and other agencies,withcommonalitiessuchas locations, daysof the weekandtimes of the day. Criminologicaldatatells us relativelyfewoffendersare responsible for a disproportionate share of offenses,particularlywithcrimessuchasautotheftandtheftfromvehicle.Empirical observations within Maplewood support those conclusions. With the addition of a dedicated Automobile CrimesDetective, the department would have the resourcesavailableto investigate and prosecute these habitual offenders. Additionally, whenanalyzing the datawherestolen vehiclesarerecoveredinrelationto the location of the original theft, a distinctpatternemerges, demonstrating thesecrimesareperpetratedacrossmultiplejurisdictions. Dedicatedstaffingfacilitatesmoreeffectiveinter-agency cooperation asitrelatestoinformation sharing, joint operations, and prosecuting offenders acrossmultiplejurisdictions.Data supports the conclusion that our traditional methodology in combating autotheft/theftfromvehiclehas metwithverylittlesuccess.Withthisrealityinmind the Automobile CrimesDetective would focus heavily on proactiveenforcementinadditiontoinvestigationsafter the fact.Partnering with the establishedStreetCrimesUnittoincrease operational effectivenesswhile conducting proactive enforcementdetails, using data-drivenstrategieswill be a top priority.Tohelp ensure the Automobile CrimesDetectiveis positioned tocloselyworkwithSCU, he or she will be routinely scheduledsimilarly, working afternoon into nighttime hours. The Maplewood PoliceDepartmentbelievesthatdedicated investigationalresourcesare the key to providing true reductions of autotheft/theftfromvehicleandinturn a saferandmore desirable community foritsresidentsandmanyvisitors.Ouragency works closelywithlocal autodealersand other businesses,andhasreceivedseveralletters of support (severalattached) for our initiativesandtheir confidence in our abilitytobringvehicle-relatedcrimes under control. While the salaryforthis proposed position would be provided through grant funding, the departmentwill provide for and cover all equipment, training,vehicles,andassociatedovertime costs. Additionally, weestimate 25% of our crimeanalyst’stimewill be spent working tohelp delivertimely,actionableinformationrelatedto vehicle theft & theftfromvehicle-related crimes. C.Demonstrated Results Measuring the results of our effortswill be accomplishedby comparing the number of reported autotheftsandtheftfromvehiclesafterimplementationto the number prior aswellasexamining the number of vehiclesstolenfrom other communitiesrecoveredwithin the Cityof Maplewood. Thedatacan be comparedtoentirecalendaryearsaswellas comparable quartersasreported through the requiredquarterlyreports.Thestatedgoalswereidentifiedas both measurableand achievable.Successwill not only be measurable, but hasmeaningto the manyresidentsand visitorsto the citythat do not becomevictimsaswellasto those whose propertyisrecovered andreturned. 3 Packet Page Number 55 of 312 G3, Attachment 1 Appendix A Auto Thefts per 100k People StatewideMaplewood 600. 450. 300. 150. 0. 201520162017 Maplewood Thefts From Automobile 500 450 400 350 300 250 200 2014201520162017 4 Packet Page Number 56 of 312 G3, Attachment 1 Packet Page Number 57 of 312 G3, Attachment 1 Reduce he number of vehicle reported stolen within the City of 2 Maplewood by 10% 1. Identify number of reported thefts form previous 3rd QuarterCrime Once periods and factor a 10% trageted reduction goal 2019Analyst steps 2, 3, and 4 from Objective 1 tobegin 3rd Quarter Ongoing Multiple program objectives and appointment ofITRAC Detective 2019 to End Implment public information and crime SCU Unit & awarenesscampaign to reduce targets of 4th Quarter Ongoing ITRAC DET of 2019 opportunity Combine resources with adjoing agencies to SCU Unit & Project Quarterly joint sting details with aim ofidentifying ITRAC DET Duration and incarerating prolific offenders Successful results will be determined when A 10% reduction in reported auto thefts per reported auto thefts diminish by 10% over year comparing previous periods to equivalent the previous period. The identifying, targeting, periods in successive years, will define and prosecution of prolific auto theft offenders measurable success. by dedicated investigat staff combined with inter-agency information sharing and joint detail operations will directly impact the number of active offenders at any given time thereby reducing the number of reported auto thefts David Kvam, Commander, Maplewood Police Packet Page Number 58 of 312 G3, Attachment 1 For staff supported by this grant request, list the position title(s). Show the annual salary rate and the percentage of time devoted to the program for the grant period. Include fringe benefits should be based on actual employer costs for the personnel listed in the ‘Personnel’ category and only for the FTE budgeted to the project. Explain what is included in the fringe category and the total percentage you are estimating. If professional or technical consultants or subcontractors are required, include the name of the consultant, services provided, hourly or daily fees, expenses, and estimated time on the program. Examples of consultants may include evaluators, trainers, or strategic planners. Examples of contracted services may include vehicle lease, maintenance agreements, security services, translation services, or subcontracts with outside agencies. Packet Page Number 59 of 312 G3, Attachment 1 Itemize travel expenses for program personnel and program participants by purpose (e.g., participant field trip costs, staff mileage between sites, participant cab fare, etc.). Mileage reimbursement may not exceed $.50 per mile (’10 rate). L temize training planned for staff, volunteers, and program participants. Estimate the nature of the training, location, registration fee, travel, and subsistence for the trainee(s). If the program requires the set up of an additional site or needs office supplies, office equipment, or services not already paid for by the agency, estimate the expenses below. Examples include postage, telephone service, Internet service subscription, or copying. Examples of program expenses include the purchase of materials such as books, software, curriculum, craft supplies, and cameras; computers; publicity; costs of convening community meetings; activity fees; etc. Include only items that have an acquisition cost of $5,000 or more per unit and have a useful life of one-year or longer. Purchases under $5,000 per unit should be included in either the Program Expenses or Office Expenses line items. Examples: Communications system, recreational apparatus, etc. Itemize other program costs that do not fit into budget line items above such as overhead, building occupancy costs, rent, confidential funds, etc. Packet Page Number 60 of 312 G3, Attachment 1 Packet Page Number 61 of 312 G3, Attachment 1 KLINE AUTO WORLD VOLVONISSAN 3040 No Hwy 61 Maplewood, MN 55109 651-379-4300 Maplewood Police DepartmentStreet Crimes Unit 1830 County Road B East Maplewood, MN 55109 To Whom It May Concern I would like to thank the Maplewood Police Department in their efforts to reduce the auto theft and vehicle-related crimes in our city. We are proud to be a part of this Maplewood community. Due to the uniqueness of our industry, the amount of inventory which is stored outdoors can easily total millions of dollars. While we take measures to deter crime to and on our property with additional lighting and security cameras,this would still not be enough if not for the combined efforts of our local police department.As a member of the “Highway 61 Automobile Dealers” we continuously spend money to promote our area to customers looking for automobiles with thewide selection available, which stretches from White Bear Lake to Vadnais Heights to Maplewood. Unfortunately this message also gets to those that are involved in criminal activity, whether it is auto theft, the theft of copper components that are found in vehicles, wheels or license plates needed for other criminal activity. The presence of a lot full of vehicles can also cover for any criminal activity beingconducting from their vehicles; therefore the need for the Street Crime Unit is vital to our area. According to the website “NeighborScout” Maplewood motor vehicle theft is ranked at 3.66 per 1000 whereas the United States is ranked at 2.37 per 1000. This same website also shows Maplewood crimes which includesBurglary, Theft and Motor Vehicle Theftper square mile – Maplewood is 108 whereas Minnesota is 21 per square mile. Please help Maplewood Police Department to continueprotecting our communityby enhancingtheir Street Crime Unit. Sincerely, Kline Nissan Kline Volvo Maplewood Auto Salon Packet Page Number 62 of 312 G3, Attachment 1 Packet Page Number 63 of 312 G3, Attachment 1 Packet Page Number 64 of 312 G3, Attachment 1 Packet Page Number 65 of 312 G3, Attachment 2 Packet Page Number 66 of 312 G3, Attachment 2 Packet Page Number 67 of 312 G3, Attachment 2 Packet Page Number 68 of 312 G3, Attachment 2 Packet Page Number 69 of 312 G3, Attachment 2 Packet Page Number 70 of 312 G3, Attachment 2 Packet Page Number 71 of 312 G3, Attachment 2 Packet Page Number 72 of 312 G4 CITY COUNCILSTAFF REPORT Meeting Date August 12, 2019 REPORT TO: Melinda Coleman, City Manager REPORT FROM:Steven Love, Public WorksDirector/City Engineer PRESENTER: Steven Love, Public Works Director/City Engineer AGENDA ITEM:EUF Reimbursement Agreement, 2015 Woodlynn Avenue East Action Requested:MotionDiscussionPublic Hearing Form of Action:ResolutionOrdinanceContract/AgreementProclamation Policy Issue: The property owners of 2015 Woodlynn Avenue contacted the City after discovering their property was being double charged for the Environmental Utility Fee (EUF) due to a clerical issue. City staff recommends the City reimburse the property owner for overcharges on this account. Before the property owner is reimbursed the City and property owner must enter into the attachedEUF reimbursement agreement. Recommended Action: Motion to authorize the Mayor and City Manager to enter into a EUF Reimbursement Agreement for the property of 2015 Woodlynn Avenue Eastand authorize minor changes to the agreement as approved by the City Attorney. Fiscal Impact: Is There a Fiscal Impact?NoYes, the true or estimated cost is$22,622.64 Financing source(s): Adopted BudgetBudget ModificationNew Revenue Source Use of Reserves Other:The proposed reimbursement will be paid from the EUF fund. Strategic Plan Relevance: Financial SustainabilityIntegrated CommunicationTargeted Redevelopment Operational EffectivenessCommunity InclusivenessInfrastructure & Asset Mgmt. Fair and equitable implementation of fee structures provide for effective customer service and operational effectiveness. Background The property of 2015 Woodlynn Avenue, a commercial building,has two accounts setup with Saint Paul Regional Water Services (SPRWS) for utility billing. One account is setup for the whole property and the other was setup to cover one tenant of the commercial building. The property Packet Page Number 73 of 312 G4 owner recently discovered that both accounts were being charged a EUF fee for the entire property. This resulted in the property paying twice the amount in EUF fees each year from 2010 to 2018. City Code, Section 40-508 provides that any prepayment or overcharges shall be retained by the City as credits to be applied to future fees. In reviewing this issue with the City Attorney, it was determined that given the scale of the overcharges, this language was not intended to applyto this situation. As part of our review of this issue, staff also attempted to make contact with the previous tenant, but was unable to do so. Due to the language in the City Code not applying to this issue and not being able to make contact with theformer tenant, the property owneris required to enter into the attached agreement prior to processing the reimbursement. This agreement provides background information on this issue and requires that the owner assumeall responsibility for settling any future claims which may arise related to the EUF overcharges.Staff recommends the City to enter into the attached agreement and reimburse the property owner for the EUF overcharges from 2010 to 2018. Attachments 1.EUF Reimbursement Agreement Packet Page Number 74 of 312 G4, Attachment 1 Packet Page Number 75 of 312 G4, Attachment 1 Packet Page Number 76 of 312 G5 CITY COUNCILSTAFF REPORT Meeting Date August 12, 2019 REPORT TO: Melinda Coleman, City Manager REPORT FROM: Andrea Sindt, City Clerk Regan Beggs, Business License Specialist PRESENTER: Andrea Sindt, City Clerk AGENDA ITEM: On-Sale Intoxicating Liquor and Sunday Sales License for Brinker Restaurant Corporation d/b/a Chili’s Bar & Grill, 1800 Beam Avenue Action Requested:MotionDiscussionPublic Hearing Form of Action:ResolutionOrdinanceContract/AgreementProclamation Policy Issue: In accordance with City Code Chapter 6 (Alcoholic Beverages), anapplication for an On-Sale Intoxicating Liquorand Sunday Saleslicense was submitted byBrinker Restaurant Corporation,the corporation taking over ownership of Chili’s Bar & Grill, currently operating at 1800 Beam Avenue. Recommended Action: Motion to approve the On-Sale Intoxicating Liquorand Sunday Saleslicense for Brinker Restaurant Corporation d/b/a Chili’s Bar & Grill at1800 Beam Avenue. Fiscal Impact: Is There a Fiscal Impact?NoYes, the true or estimated cost is$0.00 Financing source(s):Adopted BudgetBudget ModificationNew Revenue Source Use of Reserves Other:N/A Strategic Plan Relevance: Financial SustainabilityIntegrated CommunicationTargeted Redevelopment Operational EffectivenessCommunity InclusivenessInfrastructure & Asset Mgmt. Council approval is required prior to issuance of an On-Sale Intoxicating Liquor licenses, per City Code Sec. 6-165. Background Under the new corporate ownership, day to day operations at Chili’s Bar & Grill will remain the same; General Manager David Vanness will continue in the position he has heldsince 2016.The establishment has passed all their compliance checks underMr. Vanness as manager. Attachments None Packet Page Number 77 of 312 G6 CITY COUNCILSTAFF REPORT Meeting Date August 12, 2019 REPORT TO: Melinda Coleman, City Manager REPORT FROM: Andrea Sindt,City Clerk Regan Beggs, Business License Specialist PRESENTER:Andrea Sindt,City Clerk AGENDA ITEM: Local Lawful GamblingPermitsfor the Church of the Presentation of the Blessed Virgin Mary Action Requested:MotionDiscussionPublic Hearing Form of Action:ResolutionOrdinanceContract/AgreementProclamation Policy Issue: A request for three (3) Local Lawful Gambling permits has been submitted by the Church of the Presentation of the Blessed Virgin Mary. Approval of the request would allow lawful gambling activity to be conducted during the following events: 1.MCAD Fundraiser on October 7, 2019 at Gulden’s Restaurant, 2999 Highway 61 North 2.Presentation School Auction on November 2, 2019 at the Maplewood Community Center, 2100 White Bear Avenue 3.Bingo Fundraiser on November 23, 2019 at Presentation Church, 1725 Kennard Street. Recommended Action: Motion to approve the Local Lawful Gambling permitsfor the Church of the Presentation of the Blessed Virgin Maryfor their eventson October 7, November 2and November 23, 2019. Fiscal Impact: Is There a Fiscal Impact?NoYes, the true or estimated cost is$0.00 Financing source(s):Adopted BudgetBudget ModificationNew Revenue Source Use of Reserves Other:N/A Strategic Plan Relevance: Financial SustainabilityIntegrated CommunicationTargeted Redevelopment Operational EffectivenessCommunity InclusivenessInfrastructure & Asset Mgmt. Council approval is requiredprior to issuance of a local gamblingpermit, per City Code Sec. 22-12. Background Lawful gambling activity conducted at these eventsis exempt from state licensure under MN §349.166. MN §349.213 authorizes cities to requirelocal permits for conduct of lawful gambling exempt from state licensing requirements. Attachments None Packet Page Number 78 of 312 G7 CITY COUNCILSTAFF REPORT Meeting Date August 12, 2019 REPORT TO:Melinda Coleman, City Manager REPORT FROM: Andrea Sindt,City Clerk Regan Beggs, Business License Specialist PRESENTER:Andrea Sindt,City Clerk AGENDA ITEM: Local Lawful Gambling Permit for Hill Murray School, 2625 Larpenteur Avenue East Action Requested:MotionDiscussionPublic Hearing Form of Action:ResolutionOrdinanceContract/AgreementProclamation Policy Issue: A request for a Local Lawful Gambling permithas been submitted by Hill Murray School.Approval of the request would allow lawful gambling activity to be conducted during theschool’s Pioneer Premiere Auctionheld onthe school’s property, 2625 Larpenteur Ave East, onSunday, April 25, 2020from 5:00pmto 11:00pm. Recommended Action: Motion to approve the Local Lawful Gambling permitfor Hill Murray Schoolfor their eventon April 25, 2020. Fiscal Impact: Is There a Fiscal Impact?NoYes, the true or estimated cost is$0.00 Financing source(s):Adopted BudgetBudget ModificationNew Revenue Source Use of Reserves Other:N/A Strategic Plan Relevance: Financial SustainabilityIntegrated CommunicationTargeted Redevelopment Operational EffectivenessCommunity InclusivenessInfrastructure & Asset Mgmt. Council approval is requiredprior to issuance of a local gamblingpermit, per City Code Sec. 22-12. Background Lawful gambling activity conducted at this event is exempt from state licensure under MN §349.166. MN §349.213 authorizes cities to require a local permit for conduct of lawful gambling exempt from state licensing requirements. Attachments None Packet Page Number 79 of 312 G8 Packet Page Number 80 of 312 G8 Packet Page Number 81 of 312 G8 Packet Page Number 82 of 312 G8, Attachment 1 COLLECTIVE BARGAINING AGREEMENT BETWEEN CITY OF MAPLEWOOD, MN AND INTERNATIONAL ASSOCIATION OF FIRE FIGHTERS - FIRE FIGHTERS LOCAL 4470 January 1, 20197 through December 31, 202018 Packet Page Number 83 of 312 G8, Attachment 1 Table of Contents ARTICLE 1: PURPOSE AND INTENT ........................................................................ 2 ARTICLE 2 RECOGNITION ......................................................................................... 2 ARTICLE 3 DEFINITIONS ............................................................................................ 2 ARTICLE 4 ASSOCIATION SECURITY .................................................................... 4 ARTICLE 5 EMPLOYER AUTHORITY....................................................................... 4 ARTICLE 6 GRIEVANCE PROCEDURE ................................................................... 5 ARTICLE 7 NON-DISCRIMINATION .......................................................................... 7 ARTICLE 8 SENIORITY ............................................................................................... 7 ARTICLE 9 ANNUAL LEAVE ....................................................................................... 8 ARTICLE 10 INSURANCE ............................................................................................. 9 ARTICLE 11 CLOTHING AND EQUIPMENT ............................................................ 12 ARTICLE 12 HOURS..................................................................................................... 13 ARTICLE 13 HOLIDAYS ............................................................................................... 15 ARTICLE 14 TUITION REIMBURSEMENT ............................................................... 16 ARTICLE 15 DISCIPLINE ............................................................................................. 16 ARTICLE 16 WAGES .................................................................................................... 17 ARTICLE 17 INJURY ON DUTY - SALARY CONTINUATION............................... 18 ARTICLE 18 WORKING OUT OF CLASSIFICATION ............................................. 19 ARTICLE 19 FIELD TRAINING OFFICER (FTO) PAY ............................................ 19 ARTICLE 20 FUNERAL/BEREAVEMENT LEAVE ................................................... 19 ARTICLE 21 WAIVER AND SAVINGS CLAUSE ...................................................... 19 Addendum A ................................................................................................................... 21 Addendum B ................................................................................................................... 22 Packet Page Number 84 of 312 G8, Attachment 1 ARTICLE1I: PURPOSE AND INTENT This Agreement entered into as of January 1, 20197 between the City of Maplewood, Minnesota, Municipal Corporation, hereinafter called “EMPLOYER” and /or “City”, and the International Association of Firefighters Local 4470 hereinafter called the “ASSOCIATION” and/or “Union” and/or “Collective Bargaining Group” and/or “Group.” It is the intent and purpose of this agreement to: 1.1 Establish certain hours, wages and other conditions of employment; 1.2 Establish procedures for the equitable and peaceful resolution of disputes concerning this agreement’s interpretation and/or application; 1.3 Specify the full and complete understanding of the parties; and 1.4 Place in written form the parties’ agreement upon terms and conditions of employment for the duration of this agreement. The Employer and the Collective Bargaining Group through this agreement, continue their dedication to the highest quality public service. Both Parties recognize this agreement as a pledge of this dedication. ARTICLE 2 II RECOGNITION 2.1 The EMPLOYER recognizes the ASSOCIATION as the Exclusive Representative for All Full-Time Fire Fighters employed by the City of Maplewood, Minnesota who are public employees within the meaning of Minnesota Statutes 179A.04, Subdivision 14, excluding supervisory and confidential employees and Fire Officers who are covered by IAFF Local 4470-O. This includes the following classifications: Fire Fighter – EMT Fire Fighter – Paramedic 2.2 In the event the EMPLOYER and the ASSOCIATION are unable to agree as to the inclusion or exclusion of a new or modified job class, the issue shall be submitted to the Bureau of Mediation Services for determination. ARTICLE3III DEFINITIONS 3.1Association:International Association of Fire Fighters, Local 4470. 3.2Association Member: A Member in good standing of Local 4470, IAFF. 3.3Bargaining Unit Seniority: Seniority as a Member of this Bargaining Unit. 3.4Emergency Call Back: Immediate return of an employee to perform assigned duties at the express authorization of the EMPLOYER at a time other than 2 Packet Page Number 85 of 312 G8, Attachment 1 regular assigned shift. An extension of, or early report to, a regular assigned shift is not a call back. 3.5Continuous Service: Unceasing service from last date of hire, including approved paid leaves of absence and unpaid leaves of less than one pay period. 3.6Days: Unless otherwise indicated, days mean calendar days. 3.7Employee: A member of the International Association of Fire Fighters, Local 4470, covered by this AGREEMENT. 3.8Employer: City of Maplewood, Minnesota. 3.9Immediate Supervisor: The Full-Time Fire Captain 3.10Job Class Seniority: Employee’s length of continuous service in a job class. 3.11Layoff: Separation from service with the EMPLOYER, necessitated by lack of work, lack of funds, or other reasons without reference to competence, misconduct, or other behavioral considerations. 3.12Leave of Absence: An approved absence from work duty during a scheduled work period with or without compensation. 3.13Meal Break: A period during the scheduled shift during which the Employee remains on continual duty, not conducting the regular tasks and responsibilities of the position, however is available in the event activity would dictate their immediate return to duty. 3.14Probationary Period: The first twelve (12) months of service of a newly hired or rehired Employee. 3.15Promotion: A change of an Employee from a position in one job classification to a position in another job classification with higher maximum compensation. Assignments are not promotions and are temporary in nature at the discretion of the Fire Chief. 3.16Rest Break: Periods during the scheduled shift during which the Employee remains on continual duty, not conducting the regular tasks and responsibilities of the position, however is available and in close proximity, in the event activity would dictate their immediate return to duty. 3.17Scheduled Shift: A consecutive work period including rest breaks and a meal break. 3.18Strike: Concerted action in failing to report for duty, the willful absence from one’s position, the stoppage of work, slow-down, or abstinence in whole or in part from the full, faithful and proper performance of the duties of employment for the purposes of inducing, influencing, or coercing a change in the conditions or compensation or the rights, privileges or obligations of employment. 3 Packet Page Number 86 of 312 G8, Attachment 1 ARTICLE4IV ASSOCIATION SECURITY 4.1 In recognition of the ASSOCIATION as the certified exclusive representative of the listed classifications of personnel specified in 2.1, the EMPLOYER shall deduct from the wages of employees, such a deduction an amount sufficient to provide payment of dues established by the ASSOCIATION. Such monies shall be divided equally between the first and second pay-period of the month and shall be remitted to the appropriate designated Officer of the ASSOCIATION. Dues appeals or challenges may be filed in accordance with State Statute. 4.2 The ASSOCIATION may designate two employees plus one alternate from the bargaining unit to act as steward and representatives and shall inform the EMPLOYER in writing of such choices within thirty (30) days of such selection. 4.3 The EMPLOYER shall make space available on a bulletin board for posting ASSOCIATION notices and announcements. 4.4 Officers of the ASSOCIATION shall be allowed reasonable time off without pay, with prior approval of their immediate supervisor for the purpose of conducting ASSOCIATION business as provided by State Statute, when such time away from their normal work duties will not unduly interfere with the operation of the department. Officers of the ASSOCIATION shall be allowed leaves of absence without pay, when requested, to fulfill their duties as ASSOCIATION Officers as allowed by State Statute. 4.5 The ASSOCIATION agrees to indemnify and hold the EMPLOYER harmless against any and all claims, suits, orders, or judgments brought or issued against the EMPLOYER as a result of any action taken or not taken by the EMPLOYER in accordance with the provisions of this Article. ARTICLE5V EMPLOYER AUTHORITY 5.1 The EMPLOYER retains the full and unrestricted right to operate and manage all staff, facility and equipment; to establish functions and programs; to set and amend policies, procedures and budgets; to determine the utilization of technology; to establish and modify the organizational structure; to select, direct and determine the number of personnel; to establish work schedules, and perform any inherent managerial function not specifically limited by this AGREEMENT. 5.2 The ASSOCIATION agrees that any managerial right not specifically limited by this AGREEMENT shall remain solely within the discretion of the EMPLOYER. 5.3 The ASSOCIATION agrees that during the life of this AGREEMENT that the ASSOCIATION will not cause, encourage, participate in, or support any strike, slowdown, or other interruption of, or interference with the normal functions of the EMPLOYER. 4 Packet Page Number 87 of 312 G8, Attachment 1 ARTICLE6VI GRIEVANCE PROCEDURE 6.1 For purpose of this AGREEMENT, the term “grievance” means any dispute between the EMPLOYER and the Employee(s) concerning the interpretation of application of the specific terms and conditions of this AGREEMENT. Both parties recognize that should a provision of this AGREEMENT be specifically in conflict with an Employment Rule, this AGREEMENT shall prevail; any Employment Rule not directly modified or abridged by this AGREEMENT shall remain in full force. The EMPLOYER and the ASSOCIATION agree to the following grievance procedure. Each step of the procedure shall be strictly adhered to or the grievance shall be deemed withdrawn. 6.2 First Step: The Employee, with or without the Steward, shall take up the grievance or dispute with the Employee’s immediate supervisor within twenty-one (21) days of the date of the grievance or the Employee’s knowledge of its occurrence. The Supervisor shall attempt to resolve the matter and shall respond to the Employee within ten (10) days. 6.3 Second Step: If the grievance is not resolved in the first step, the ASSOCIATION shall present the grievance, in writing, to the Department Head within fourteen (14) days after the Supervisor’s response is due. All grievances shall state the facts upon which they are based, when they occurred, the specific provision(s) of the AGREEMENT allegedly violated, the remedy requested, the avenue through which redress is sought, and shall be signed by an Officer of the Local. References to Officer of the Local for the purposes of this Article shall mean; the President, Vice-President or Steward. If such written request is made, the Department Head, or his/her designee, shall meet with the Employee and the Steward within fourteen (14) days after the date of receipt of this request. The Department Head shall give a written answer to the Steward within fourteen (14) days after the meeting. 6.4 Third Step: If the grievance is not resolved in the Second Step, the ASSOCIATION shall notify the City Manager of their desire to appeal the grievance. Said written appeal must be served upon the City Manager within twenty one (21) days after receipt of the Department Head’s Second Step response. If such request is made, the grievance shall be reviewed at a meeting between the City Manager, management staff determined by the City Manager as necessary, Association President, and/or Representative, within fifteen (15) days after receipt by the City Manager of the notice of desire to appeal. A written answer shall be given by the City Manager within fifteen (15) days after the date of the Third Step meeting. Any grievance not appealed, in writing, to Step Four by the ASSOCIATION, shall be considered withdrawn. 6.5 Fourth Step: If both parties, having exhausted the grievance steps provided herein, cannot settle the grievance, the ASSOCIATION may submit the issue in dispute to binding arbitration within fifteen (15) days of receipt of the Third Step answer and shall notify the City Manager, in writing, of its intent to do so. The ASSOCIATION will request the Minnesota Bureau of Mediation Services to submit a list of seven (7) names from which the parties shall, within fourteen (14) days after receipt of such list, select the arbitrator by striking alternately one 5 Packet Page Number 88 of 312 G8, Attachment 1 name each and the remaining person shall be the arbitrator. A toss of the coin shall determine who shall strike the first name. 6.6 An arbitrator shall have no right to amend, modify, nullify, ignore, add to, or subtract from the provisions of this AGREEMENT. The arbitrator shall consider and decide only the specific issue(s) submitted in writing by the EMPLOYER and the ASSOCIATION and shall have no authority to make a decision on any other issue not so submitted. The arbitrator shall be without power to make decisions contrary to, or inconsistent with, or modifying or varying in any way the application of laws, rules or regulations having the force or effect of law. The arbitrator shall submit their decision in writing within thirty (30) days following the close of the hearing or the submission of briefs by the parties, whichever is later, unless the parties agree to an extension. 6.7 The fees and expenses for the arbitrator’s service and proceedings shall be borne equally between the parties, except that each party shall be responsible for compensating its own representatives and witnesses. If either party desires a verbatim record of the proceedings it may cause such a record to be made, providing it pays for the record. If both parties desire a verbatim record of the proceedings, the cost shall be borne equally for said record. 6.8 If a grievance is not presented within the time limits set forth above, it shall be considered withdrawn. If a grievance is not appealed to the next step within the time limit or any agreed extension thereof, it shall be considered settled on the basis of the EMPLOYER’S last answer. If the EMPLOYER does not answer a grievance or an appeal thereof within the specified time limits, the ASSOCIATION may elect to treat the grievance as denied at that step and may appeal the grievance to the next step. The time limit in each step may be extended only by mutual agreement of the EMPLOYER and the ASSOCIATION in each step. 6.9 Should a grievance involve the suspension, demotion, or discharge of an Employee who has completed the required probationary period, the grievance shall be initiated at Step Three. If appealed to the procedure outlined in Step Three a written appeal must be served on the City Manager within ten (10) days after the Employee’s receipt of the notice of suspension, demotion, or discharge. An Employee pursuing a statutory remedy is precluded from also pursuing an appeal under this procedure unless otherwise required by law. Selection of any procedure other than Step three shall terminate the Employee’s right to seek redress under this Article. 6.10 It is recognized and accepted by the ASSOCIATION and the EMPLOYER that the processing of grievances as hereinafter provided is limited by the job duties and responsibilities of the Employees and shall therefore be accomplished during normal working hours, only when consistent with such Employee’s duties and responsibilities. The aggrieved Employee and the Steward shall be allowed a reasonable amount of time without loss of pay when a grievance is investigated and presented to the EMPLOYER during normal working hours, provided the Employee and the Steward have notified and received the approval of their immediate supervisor who has determined that such absence is reasonable and 6 Packet Page Number 89 of 312 G8, Attachment 1 would not be detrimental to the work programs of the EMPLOYER. Meetings held during a steward’s non-working hours will not be paid time. ARTICLE7VII NON-DISCRIMINATION The provisions of this Agreement shall be applied to all Employees in the Bargaining Group without discrimination as to age, sex, marital status, race, color, creed, sexual orientation, national origin or political affiliation. The Bargaining Group and the Employer agree to meet and confer to discuss accommodations for "qualified" disabled Employees as the need arises, consistent with the intent of the Americans with Disabilities' Act. ARTICLE8VIII SENIORITY 8.1 Seniority is defined as a regular Employee’s length of continuous service with the EMPLOYER since the Employee’s last hire date. No time shall be deducted from an Employee’s seniority due to approved paid absences, or unpaid absences of less than a full pay period. 8.2 Bargaining Unit Seniority: is defined as the length of continuous service to the Employer within the Bargaining Unit as a full time Employee. Employees with the same hire date shall be given seniority ranking based on the Employee’s final accumulative score obtained in the hiring process.date of birth, with the earliest date receiving a higher ranking. 8.3 An Employee’s Bargaining Unit seniority shall be terminated: a) If the Employee resigns, retires, is permanently transferred outside the Bargaining Unit for longer than six months, or is discharged. b) If, when recalled to work following a layoff, the Employee fails to return to work within twenty-one (21) days after the EMPLOYER sends a written notice of recall by certified mail to the Employee’s last address on record with the EMPLOYER. c) When an Employee has been laid off for a period in excess of twelve (12) consecutive months. 8.4 When it is necessary to reduce the number of Employees, probationary Employees will be laid off first. The EMPLOYER agrees that, in laying off, it will lay off Employees according to seniority (providing the remaining Employees have the ability, or can be trained, to perform the remaining work). Employees shall be recalled following such layoffs in reverse order of layoff. 8.5 Any former Employee of the City may be rehired only under the condition of a new employee and no seniority or prior service will be given, except as expressly provided by this AGREEMENT. 7 Packet Page Number 90 of 312 G8, Attachment 1 8.6 All Employees will serve an additional probationary period of six months when promoted to a rank in which the Employee has not served a probationary period. 8.7 Employees will be permitted to voluntarily switch tours and /or shifts with prior authorization from the Assistant Chief or their designee. All voluntary exchange of Tours of Duty shall be in accordance with 29 CFR 553.31-Substitution – section 7(p)(3). The voluntary switching of shifts shall be between the Employees, once approved, and shall not obligate the EMPLOYER to overtime or callback pay. 8.8 Tours and/or Shifts will be bid annually on a seniority basis, only for Employees who have completed their initial probationary period provided the Employer reserves the right, when faced with unexpected or unplanned need, to assign an Employee without regard to seniority if the need of the department requires it. If the EMPLOYER determines that different staffing levels are needed on any tour and/or shift, tours and/ or shifts may be re-bid as deemed necessary by the EMPLOYER. The Chief will determine the number of each job class to be scheduled on each crew and shift prior to tour and/or shift bidding. The Fire Chief and the Association President may agree to re-bidding earlier than scheduled if situations occur warranting such modification. Each quarter, employees may select one vacation period by seniority. A vacation period is defined as one or more consecutive work days per the prescribed tour and/or shift schedule; not to exceed one shift rotation (3 weeks). A vacation period may be requested up to 12 months in advance with the understanding that the affected quarters bid will be used in its place. Requests for more than one consecutive vacation period (greater than 3 weeks) requires Department Head approval. ARTICLE9IX ANNUAL LEAVE 9.1 The EMPLOYER shall provide Annual Leave as described in the City of Maplewood Personnel Policies with the following exceptions: Employees shall accrue the following hours for annual leave: Years of Continuous Service Tour 1 Tour 2 Tour 3 1-4 216 193 185 5-11 288 257 247 12-20 336 300 288 21 + 384 343 329 9.2 Annual Leave shall not accrue during unpaid leaves. Regular Part-Time Employees shall accrue Annual Leave on a pro-rated, pay-period basis based on regular hours worked. The maximum annual leave is as follows: 8 Packet Page Number 91 of 312 G8, Attachment 1 Tour 1 Tour 2 Tour 3 Maximum Accrual 694 620 595 Employees can carry over up to their full balance as long as the total balance never exceeds the hour cap. No additional accrual will occur above the cap. Employees working schedules other than the tours defined in this contract shall accrue and bank annual leave on a pro rata basis compared to the 2,080 hour per year schedule accrual. \[increased or decreased proportionally\] 9.4 Unpaid Leave – Unpaid leaves may be approved in accordance with the City Personnel Policies. Employees must normally use all accrued annual leave prior to taking an unpaid leave. If the leave qualifies under Parenting Leave or Family Medical Leave, the Employee may retain a balance of fifty (50) hours when going on an unpaid leave. Any exceptions to this policy must be approved by the City Manager. 9.5 Annual Leave Conversion – Annual Leave will be eligible for conversion to cash or deferred compensation on a one-for-one basis (subject to IRS maximum deferral regulations) annually subject to the following conditions. Up to 40% of the Annual Leave balance, not to exceed one hundred thirty-three (133) hours for Tour 1, one hundred nineteen (119) hours for Tour 2, and one hundred fourteen (114) for Tour 3 may be converted each year provided the Employee has used a minimum of 30% of their Annual Accrual during the current calendar year and has a minimum balance of at least one hundred ninety (190) hours. The minimum balance requirement will be determined as of the first payroll in December and will be based on the Employee’s current hourly rate on December 1. 9.6 Benefit eligibility is not affected by shift length. When employees are absent from their scheduled shift, they will use the number of hours of accrued annual leave that equal the number of hours absent. 9.7 Annual leave accrual, use, maximums, and conversion allowances and requirements where they differ from the Personnel Policies, will be pro-rated based on the number of scheduled hours per year. 9.8 Approval of City paid hours in lieu of Annual Leave usage for hours spent at approved training that benefits the City will be reasonably considered by the Fire Chief. ARTICLE10X INSURANCE 20197 Health Care Costs/Contributions 10.1 For all full-time employees hired prior to January 1, 2013, the employer will pay 100% of the cost of employee (single) health insurance premium less $20, and 50% plus $45 toward the cost of the monthly dependent health insurance premium for the High Deductible Health Plan (hereafter the “HDHP”) for either the Medica Elect/Essential or Medica Choice plans. The Employer shall contribute towards the cost for insurance as follows: 9 Packet Page Number 92 of 312 G8, Attachment 1 a. $20 per month credit towards single health care insurance for those employees who are deemed to have actively participated in the City provided Wellness Plan. i. The term actively participated shall be as determined by the Labor-Management Wellness Committee. b. $1,900 annually into a Health Reimbursement Account (HRA) for those employees who elect single coverage in either the Medica Elect/Essential Plan or Medica Choice plan. c. $3,200 annually into a HRA for those employees who elect family coverage in either the Medica Elect/Essential Plan or Medica Choice Plan. d. The City shall make such deposits for single or family HRA contributions by way of pro-rata contributions. The City will also provide a funding option which shall be available to any employee who requires earlier funding of the City’s contribution due to medical event(s). In such case, the Employee shall make a request for funding to the Human Resources Coordinator and shall provide documentation supporting such request. The City shall also make a resource person available on a regular basis to the Employees to assist them with paperwork and billing issues related to the HDHP. e. As an incentive to participate in the Wellness Program, the City shall contribute up to $450 annually toward the Employee HRA for those Employees who have been determined to have actively participated in the Wellness Program as determined by the Labor-Management Wellness Committee. At the employee’s option the employee may choose to receive up to 12 hours of annual leave or 12 hours of vacation pay (for those employees still on the vacation sick plan) in lieu of receiving the contribution into the Employee’s HRA. 10.2 For all employees hired after January 1, 2013, the following shall apply a. The employer will pay 100% of the cost of employee (single) health insurance premium less $20, and 50% plus $45 toward the cost of the monthly dependent health insurance premium for the High Deductible Health Plan (hereafter the “HDHP”) for the Medica Elect/Essential plan. For any employee who chooses to participate in any other plan offered by the City, if any, the City will contribute an amount equal to the actual dollar amounts paid for single HDHP coverage towards the monthly premiums for other such plans for single coverage, and an amount equal to the actual dollar amounts paid for family HDHP coverage for families toward the monthly premiums for such plans for family coverage and the employee shall be responsible to pay any difference over and above such contributions. The Employer shall contribute towards the cost for insurance as follows: 10 Packet Page Number 93 of 312 G8, Attachment 1 i. $20 per month credit towards single health care insurance for those employees who are deemed to have actively participated in the City provided Wellness Plan. 1. The term actively participated shall be as determined by the Labor-Management Wellness Committee. ii. $1,700 annually into a Health Reimbursement Account (HRA) for those employees who elect single coverage. For newly hired employees who have successfully completed one year of employment, the contribution shall be $1800.00. iii. $2,700 annually into a HRA for those employees who elect family coverage. For newly hired employees who have successfully completed one year of employment, the contribution for family coverage shall be $2,800.00. b. The City shall contribute up to $450 annually toward the Employee HRA for those Employees who have been determined to have actively participated in the Wellness Program as determined by the Labor- Management Wellness Committee. At the employee’s option the employee may choose to receive up to 12 hours of annual leave in lieu of receiving the contribution into the Employee’s HRA. 202018 Health Care Costs/Contributions The Employer and the Employee mutually agree to re-open this contract in 20197 to negotiate 202018 health insurance costs/contributions. The re-opener is exclusive to health care. The Employer and the Employee further agrees to actively engage in labor- management discussions and planning with regard to future citywide health insurance offerings. It is the city’s expectation that a global agreement will be reached by the city’s insurance committee. In the event health insurance provision of this agreement fail to meet the requirements of the Affordable Care Act and/or any other new federal legislation; or cause the Employer to be subject to a penalty, tax, or fine, the Union and the Employer will meet immediately to negotiate alternative provisions;. If an agreement regarding 202018 Health Care Costs/Contributions cannot be reached through a global effort by the city’s insurance committee, both parties agree to resolve the dispute through mediation. 10.3 Any changes that are presented at renewal will be discussed through the Insurance Labor – Management Committee process. The EMPLOYER shall pay one hundred percent (100%) of the cost of the employee (single) dental insurance premium. These benefits apply to full-time Employees only. 10.4Life Insurance – The EMPLOYER shall provide a term life insurance policy with a benefit value of thirty five- thousand dollars ($35,000) for all full-time Employees. Full-Time employees may purchase additional coverage at the Employee’s own expense under the plan. 11 Packet Page Number 94 of 312 G8, Attachment 1 10.5Long-Term Disability Insurance - The EMPLOYER will provide long-term disability insurance with the cost of such being fully paid by the EMPLOYER. Such Long-Term Disability Insurance shall be coordinated with other benefits provided in this AGREEMENT and with other disability payments. Employees are not eligible for Annual Leave Accrual while receiving Long-Term Disability payment except for hours on payroll using accrued leave. In no case will an Employee receive more than 100% of their pre-disability wage while out on disability leave. 10.6Short-Term Disability Insurance – The EMPLOYER agrees to provide optional short-term disability insurance coverage for all regular employees who work 20 or more hours per week. Employees may elect this optional coverage at the Employee’s cost. 10.7Retiree Health Savings Plan (RHS) . The city agrees to provide a retiree health savings plan with the following plan specifications: 1.Participant and benefit eligibility criteria: Must be full-time employee, no minimum or maximum age and no years of service requirement. 2.Benefits will be limited to insurance premiums (health, dental, long-term care premiums, Medicare Part B, and Medicare supplements) and out-of-pocket expenses described as eligible by the IRS. 3.The RHS plan will be funded by severance pay as follows: 100% of accrued annual leave and personal holidays would be deposited into the RHS plan if the employee’s balance is at least eighty (80)ours at the time of separation from service and the employee is at least age forty (40). If under eighty (80) hours or under age forty (40), nothing would go in. 4.The RHS plan will be funded with annual deposits as follows: All employees will have the cash value of all personal holiday hours unused as of December 31 deposited into the RHS plan. 5.The RHS plan will be funded with bi-weekly deposits as follows: All employees will have a $30.00 payroll deduction deposited into the RHS plan. ARTICLE11XI CLOTHING AND EQUIPMENT 11.1 The EMPLOYER will provide each new Employee an initial issue of uniforms and equipment as per Addendum B. Thereafter the EMPLOYER will provide each Employee four hundred ($400.00) per year for necessary replacement of uniform items due to normal wear and tear. Clothing and Equipment balances may be carried over from year to year, not to exceed a one year amount. 11.2 The EMPLOYER will provide each SWAT medic four hundred ($400.00) per year for clothing and equipment. Clothing and Equipment balances may be carried over from year to year, not to exceed a one year amount. 12 Packet Page Number 95 of 312 G8, Attachment 1 Clothing and equipment severely damaged in the line of duty will be replaced by the EMPLOYER at no cost to the Employee. With approval of the Fire Chief, additional items not on the approved list may be considered. A list of uniform allowance items is included in Addendum A. ARTICLE12XII HOURS 12.1 The standard payroll period for the Fire Department is two weeks. Employees shall normally take Meal Breaks and Rest Breaks during each Scheduled Shift as time and circumstances permit while remaining on continual duty. Such meal and rest periods may be interrupted. 12.2 Tour of Duty: A. Tour 1. For a fifty-six hour work week employee. Fire Fighters assigned to a fifty-six (56) hour work week shall work normal shifts that are twenty-four 24 consecutive hours; starting at 7:30 am on one calendar day to 7:30 am on the following calendar day. B. Tour 2. For a fifty (50) hour work week employee. Fire Fighters assigned to a fifty (50) hour work week shall work normal shifts that are ten (10) consecutive hours. Hours will normally be between the hours Monday-Friday 6:00 am to 6:00 pm. C. Tour 3. For a forty-eight (48) hour work week employee. Fire Fighters assigned to a forty-eight (48) hour work week shall work normal shifts that are twelve (12) consecutive hours. Hours will normally be between the hours of 6:00 am to 6:00 pm. 12.3 It is anticipated that further scheduling, hours and shift coverage discussions will have to occur as the needs of the Department change, the parties agree to hold these discussions in good faith. 12.4 Compensation for overtime will not be paid unless the work is performed at the direction, or with the approval of, the Chief or his/her designee. 12.5EMERGENCY CALLOUT - An Employee called immediately back to work at a time other than the Employee’s normal scheduled shift shall receive a minimum of two (2) hours pay at time and a half. Reporting early for a shift or the extension of a shift shall not qualify for the two-hour minimum. To receive the minimum two (2) hours callback pay described in 12.4, Employees must arrive at the station or scene within twenty (20) minutes of the call out and before being cancelled. If an Employee is cancelled prior to arrival at a scene or the station, the Employee will receive two hours of straight time, instead of overtime. Employees arriving later than twenty (20) minutes from the time of the call, but before being cancelled, shall be compensated at the rate of time and one-half for only actual hours worked beginning with time of arrival. 13 Packet Page Number 96 of 312 G8, Attachment 1 12.6SCHEDULED MEDICAL ONCALL - If authorized by the EMPLOYER for scheduled medic on call, employees will receive ¼ hour for each hour authorized to be on call. 12.7Overtime. Overtime shall be distributed as equally as practicable and will be calculated to the nearest fifteen (15) minutes. Overtime distribution for paramedics will be determined separately from overtime distribution for non- paramedics. Employees have an obligation to work overtime, and to respond to call backs as ordered, unless circumstances prevent them from doing so. Overtime is calculated at one and one-half (1 ½) times the employee’s regular hourly rate of pay for the following occurances: a. Hours worked in excess of a scheduled shift. b. Training, EMS and/or Fire continuing education classes outside a scheduled shift; and is authorized and required by the city. c. Overtime assigned to maintain minimum staffing levels. d. Additional activities assigned by the city outside a scheduled shift. e. Other overtime provisions defined in the current collective bargaining agreement, including, by not limited to, Articles 12.5, 12.6, and 12.9. 12.8 For purposes of computing overtime, hours will not be pyramided, compounded, or paid twice for the same hours worked. 12.9EMERGENCY MEDICAL CALLOUT - Fire Department Paramedics shall be issued two-way communications for the purpose of providing emergency medical support. An Employee approved to respond to the medical emergency will receive a minimum of two hours at time and a half. 12.10 When there is a vacancy or an employee in training, schedule changes will be communicated as soon as practicable. When the Fire Department is fully staffed, any permanent schedule changes affecting days off will be communicated as soon as possible but normally with no less than two (2) weeks notice prior to the change. Notice of adjusted starting times on a scheduled day will normally occur at least forty-eight (48) hours in advance of the change when the Employer has at least that much notice of the need for a change. Regular shift overtime available due to vacation time requested semi-annually pursuant to Article 8.8 (“Bid Overtime”)will be offered to bargaining unit Employees prior to being offered outside the bargaining unit. Any other vacation or time off that has not been bid through the semi-annual bid process (Non-Bid Overtime) will be filled at the discretion of the Fire Chief who shall reasonably consider Association Members first for such overtime when possible. Any Bid Overtime still remaining available (7) seven days prior to the shift(s) to be so covered shall be offered to any employees in any manner deemed at the sole discretion of the Chief or his designee to be in the best interests of the Fire Department. Paramedic shifts shall only be filled by other paramedics unless otherwise authorized by the Fire Chief, EMT shifts can only be filled by other EMT’s unless otherwise authorized by the Fire Chief. When off duty Employees are scheduled to attend a meeting which gets cancelled with less than twenty-four (24) hours notice, the Employee will receive two (2) hours of pay. When at least one (1) week notice is given for regular 14 Packet Page Number 97 of 312 G8, Attachment 1 scheduled meetings, the minimum pay shall be one (1) hour rather than two (2) hours. 12.11 The Fire Chief has the authority to change schedules and cancel vacations for previously unscheduled – unanticipated major events, disasters, and emergencies if necessary. ARTICLE13XIII HOLIDAYS 13.1 Designated Holidays – All Full-Time Employees shall be entitled to observe the following ten (10) statutory holidays and shall be compensated at their regular rate of pay for these holidays if on paid status at the time of any of the following Holidays (prorated based on annual schedule): st 1. New Year’s Day January 1 rd 2. Martin Luther King’s Birthday 3 Monday in January rd 3. President’s Day 3 Monday in February 4. Memorial Day Last Monday in May th 5. Independence Day July 4 st 6. Labor Day 1 Monday in September th 7. Veteran’s Day November 11 th 8. Thanksgiving Day 4 Thursday in November th 9. Day after Thanksgiving 4 Friday in November th 10. Christmas Day December 25 The number of holiday hours for Employees covered by this AGREEMENT will be one hundred twenty (120) hours per year 13.2 Employees who actually work at least half of a shift on either Thanksgiving Day or Christmas Day shall receive double-time for all hours actually worked on these Holidays instead of time and one-half. Those Employees who work on Easter Sunday shall be paid at time and a half for any such hours worked on Easter Sunday. 13.3 If an Employee is not scheduled to work on a holiday and they are eligible for holiday pay, they will receive no more than the hours specified for their annual schedule. If they work an actual holiday, they will receive the prescribed number hours of holiday pay plus time and one-half for all hours worked on the day. If an Employee uses approved leave on a holiday that they were scheduled to work, they will not receive overtime. Time and one-half for working on a holiday, as provided above, shall be for hours worked on the “actual” holiday as opposed to the “observed” holiday. 13.4 Personal Holidays. In addition to the holidays listed in 13.1, employees shall also receive the following Personal Holiday time per year. The date of such Personal Holiday shall be requested by the Employee and approved by the EMPLOYER. 15 Packet Page Number 98 of 312 G8, Attachment 1 The number of hours received annually for Personal Holidays Tour 1 Tour 2 Tour 3 72 30 36 ARTICLE14XIV TUITION REIMBURSEMENT 14.1When funds are available as determined by the Department Head, the EMPLOYER agrees to pay fifty percent (50%) of the cost of tuition, books and unique software required specifically for the class ( as opposed to general software such as “Microsoft Word©”),upon successful completion with a “C” grade or better, seventy-five percent (75%) reimbursement upon completion with a “B” grade or better and eighty five percent (85%) reimbursement upon completion with an A grade, during the term of this AGREEMENT, on accredited course work at the vocational, undergraduate, or graduate college level which is determined by the EMPLOYER to be job related. All course work covered by this Article shall be during non-working hours. Part-Time Employees are eligible for this benefit on a pro-rated basis. The maximum reimbursement will be based on the per credit cost at the University of Minnesota. Employees may elect to attend a more costly school provided they pay the difference in cost. Employees must reimburse the City on a pro-rata basis if they voluntarily leave employment or are terminated for cause within thirty six (36) months of reimbursement. 14.12 Employees who receive city-paid paramedic schooling, will reimburse the Employer for books and tuition if they voluntarily leave employment within two (2) years of completion. ARTICLE15XV DISCIPLINE 15.1 The EMPLOYER will discipline only for just cause. 15.2 Discipline, when administered, will normally be in one or more of the following forms: A. Oral reprimand B. Written Reprimand C. Suspension D. Discharge or disciplinary demotion 15.3 All disciplinary action shall be in written form with copies placed in the Employee’s personnel file. 15.4 Disciplinary action which is to become part of an Employee’s personnel file shall be read and acknowledged by signature of the Employee. Such signature does not imply an admission of guilt. The ASSOCIATION and the Employee will receive a copy of such disciplinary action and/or notices. 15.5 An Employee who is the subject of an investigation that may result in disciplinary action to that Employee may have a Representative of the ASSOCIATION present during questioning. It will be the responsibility of the Employee to make a request for a Representative and it will be the Employee’s responsibility to have 16 Packet Page Number 99 of 312 G8, Attachment 1 the Representative present during questioning. Questioning will be conducted at reasonable times, to be scheduled by the EMPLOYER. 15.6 Employee personnel files shall be subject to the Minnesota Data Practices Act. Employees may examine their own individual personnel files at reasonable times under the direct supervision of the EMPLOYER. 15.7 The EMPLOYER will remove old disciplinary letters after five (5) years if no further discipline has occurred within that five-year period. At the request of the Employee, oral reprimands shall be removed from the personnel files after one year provided the Employee has not been involved in progressive disciplinary action. ARTICLE16XVI WAGES 16.1 Employees shall receive a 3.02.5% general wage adjustment on January 1, 20197 and 3.02.5% general wage adjustment on January 1, 202018 and be compensated according to the following schedule: A. WAGE SCHEDULE EFFECTIVE JANUARY 1, 20197 FF/PARAMEDIC Entry $ 2,350.21 2,481.23 After 1 year $ 2,512.39 2,652.46 After 2 years $ 2,685.46 2,835.18 After 3 years $ 2,870.59 3,030.63 After5 4 years $ 2,953.06 3,117.70 After78 years $ 2,988.19 3,164.47 After 12 years $ 3,023.36 3,211.93 After 165 years $ 3,057.14 3,260.11 After 20 years $ 3,148.56 3,324.10 B. WAGE SCHEDULE EFFECTIVE JANUARY 1, 202018 FF/PARAMEDIC Entry $ 2,408.96 2,555.67 After 1 year $ 2,575.20 2,732.03 After 2 years $ 2,752.60 2,920.23 After 3 years $ 2,942.36 3,121.55 After45 years $ 3,026.89 3,211.23 After87 years $ 3,062.90 3,259.40 17 Packet Page Number 100 of 312 G8, Attachment 1 After 12 years $ 3,908.94 3,308.29 After 165 years $ 3,133.57 3,357.91 After 20 years $ 3,227.28 3,423.82 16.2 Deferred Compensation. In addition to the rates provided in 13.1 the city will contribute up to one hundred fifty dollars ($150) per month in deferred compensation, provided the Employee agrees to match Employer’s contribution of one hundred fifty ($150) dollars per month. The Employer agrees that if the Employee desires to contribute a lesser amount then the Employer shall match that lesser amount as well. The Employee agrees to have the funds deposited in an approved deferred compensation plan. This benefit shall be pro-rated for regular part-time employees. 16.3 The EMPLOYER reserves the right to start new Employees who are experienced firefighters or paramedics at any rate up to and including the “after 2 years” step. ARTICLE17XVII INJURY ON DUTY - SALARY CONTINUATION 17.1 Leave of absence with pay shall be granted to Employees who become incapacitated as a result of injury or occupational disease incurred through no misconduct of their own while in actual performance of City assigned duties. This shall exclude any injuries sustained while performing any voluntary off-duty services for which payment is made by a contracting party other than the City. 17.2 Such injury leave shall extend for a maximum of one hundred (150) calendar days, unless it is determined sooner by competent medical authority approved by the City Manager, that the Employee can return to any duties for which the Employee may be capable and qualified. At the discretion of the City Manager, the injured Employee may be required to submit to a medical examination at any time by a physician selected by the City. 17.3 During such injury leave, the EMPLOYER shall pay the Employee’s full regular pay rate, either as direct payment from salary funds or as Worker’s Compensation insurance benefits, or both, but the total amount paid for loss of time from work shall not exceed the full regular rate of pay such Employee would have received for the period. Such injury leave shall not be charged against the Employee’s annual leave. All payments made to the Employee will be reduced by the total amount of all other injury related benefits for which the Employee is provided as a result of the injury. The Employee must apply for all benefits for which the Employee is eligible as a result of public employment, as soon as the Employee is eligible. The EMPLOYER reserves the right to refuse injury-on-duty pay if such application is not made. In order to receive injury-on-duty pay, the illness or injury must be eligible under worker’s compensation. 17.4 An Employee who is physically incapacitated and who fails to report within eight (8) hours, followed by a written report within twenty-four (24) hours, any injury, however minor, to his/her supervisor and to take such first aid or medical treatment 18 Packet Page Number 101 of 312 G8, Attachment 1 as may be necessary under the circumstances, shall not be eligible for injury leave as outlined above. ARTICLE18XVIII WORKING OUT OF CLASSIFICATION An Employee who is assigned at the sole discretion of the EMPLOYER to perform the work duties and accept the full responsibilities of a higher classification, shall receive an additional $3.001.40 per hour for all hours worked for the assignment. ARTICLE 19 FIELD TRAINING OFFICER (FTO) PAY Employees assigned by the Employer to perform Field Training Officer duties will be paid $1.50 per hour for the actual hours performing such duties. ARTICLE 20 FUNERAL/BEREAVEMENT LEAVE A maximum of up to three (3) shifts of funeral/bereavement leave with pay shall be extended to a regular full-time EMPLOYEE upon the death of a member of the immediate family of said EMPLOYEE or his/her spouse (i.e., spouse, children, grandchildren, parents, grandparents, brothers, sisters, brothers-in-law, sisters-in-law, or guardian). Any leave beyond one shift, up to a maximum of three shifts, to be on approval of department head or authorized designee. The actual amount of time off, and funeral leave approved, will be determined by the department head depending on individual circumstances (such as closeness of the relative, arrangements to be made, distance to the funeral, etc.) ARTICLE21XIX WAIVER AND SAVINGS CLAUSE 2119.1 Any and all prior agreements, resolutions, practices, policies, rules, and regulations regarding terms and conditions of employment, to the extent inconsistent with the provisions of the AGREEMENT are hereby superseded. 2119.2 The parties acknowledge that during the negotiations that resulted in this AGREEMENT, each had the unlimited right and opportunity to make demands and proposals with respect to any term or condition of employment not removed by law from bargaining. All agreements and understanding arrived at by the parties are set forth in writing in this Agreement for the stipulated duration of this AGREEMENT. 21119.3 During the term of this AGREEMENT the EMPLOYER and the ASSOCIATION each voluntarily and unqualifiedly waives the right to meet and negotiate regarding any and all terms and conditions of employment referred to or covered in this AGREEMENT. 2119.4 This AGREEMENT is subject to the laws of the United States, the State of Minnesota, and the City of Maplewood. In the event any provision of this Agreement shall be held to be contrary to law by a Court of competent 19 Packet Page Number 102 of 312 G8, Attachment 1 jurisdiction from whose final judgment or decree no appeal has been taken within the time provided, such provision shall be voided. All other provisions of this AGREEMENT shall continue in full force and effect. The voided provision shall be negotiated at the request of either party. ARTICLE22XX DURATION st 220.1 This AGREEMENT shall be effective on the 1 of January 20197 and shall st remain in full force and effect through December 31, 202018. It shall automatically renew from year to year thereafter unless either party shall notify the other in writing in conformance with the Public Employment Labor Relations Act of 1971, et. Seq. that it desires to modify this AGREEMENT. In the event such written notice is given, and a new contract is not signed before the expiration date of the old contact, said contract is to continue in full force and effect until a new contract is signed. IN WITNESS WHEREOF, the parties hereto have executed this AGREEMENT on this the _________ day of ________________________, 20197. FOR THE CITY: FOR THE ASSOCIATION: ___________________________ ______________________________ Mayor Steward ___________________________ ______________________________ City Manager Steward ___________________________ Asst. City Manager/HR Director of Human Resources 20 Packet Page Number 103 of 312 G8, Attachment 1 Addendum A List For Uniform Allowance Uniform Pants Hats (winter and summer) Uniform Shirts Watch* Uniform Socks Small Flashlight (like police)* Uniform Footwear Flashlight Holder Uniform Jackets Linens for Bed (examples below) Uniform Pullovers Sheets Uniform T-Shirts Blankets Uniform Jumpsuit Comforter Uniform Belt Sleeping Bag Uniform Tie Pillow case Pillow Workout Shirts Workout Shorts Badges Workout Pants Par Tags Workout Socks Patches Workout Shoes Under Apparel (i.e. Under Armor) * Under apparel includes Aspen Mills inventory * The Fire Chief will determine at what cost the city will replace the small flashlight *Watches are covered to a $30 maximum *Workout shoes will be covered to a $75 maximum 21 Packet Page Number 104 of 312 G8, Attachment 1 Addendum B Initial Uniform Issuance Item Quantity Item Quantity Long Sleeve Shirt 4 Turnout Coat 1 Short Sleeve Shirt 4 Turnout Pants 1 Pants 4 Suspenders 1 Tie 1 Helmet 1 Summer Jacket 1 Helmet Front 1 Winter Jacket 1 Helmet Shield 1 Belt1 Turnout Boots 1 Station Boots 1 Nomex Hood 1 Firefighting Station T-Shirt 4 Gloves 1 Stocking Hat 1 SCBA Mask 1 Badge2 Ear Protection 1 Name Plate 2 Flashlight (Fire) 1 All Applicable Insignia N/A Yellow Rain Coat 1 22 Packet Page Number 105 of 312 For the permanent record Meeting Date: 08/12/2019 Agenda Item: G8 THIS PAGE IS INTENTIONALLY LEFT BLANK Packet Page Number 106 of 312 H1 CITY COUNCILSTAFF REPORT Meeting Date August 12, 2019 REPORT TO: Melinda Coleman, City Manager REPORT FROM:Andrea Sindt, City Clerk PRESENTER: Andrea Sindt AGENDA ITEM:Public Comment on Increasing Legal Purchasing Age of Tobaccoand Related Products to 21 Action Requested:MotionDiscussionPublic Hearing Form of Action:ResolutionOrdinanceContract/AgreementProclamation Policy Issue: The city council will holda public hearing to hear testimony from any interested partyonincreasing the legal purchasing age of tobacco and related products from 18 to 21. After consideration of comments, city council direction to staff will form any ordinance amendment to be brought to council at a future date. If council would like to move forward with considering to raise the legal purchase age of tobacco to 21or other provisions, staff will notify Maplewood’s 37 licensed tobacco vendors of the meeting dateand the proposed changes. Recommended Action: Hold a public hearing to receive comments from the public and then provide direction tostaff on amending the city’stobaccoand related productscode. Fiscal Impact: Is There a Fiscal Impact?NoYes, the true or estimated cost is$0.00 Financing source(s):Adopted BudgetBudget ModificationNew Revenue Source Use of Reserves Other:n/a Strategic Plan Relevance: Financial SustainabilityIntegrated CommunicationTargeted Redevelopment Operational EffectivenessCommunity InclusivenessInfrastructure & Asset Mgmt. N/A Background The city council requested staff bring forward the topic ofraising the legal purchasingage of tobacco from 18 to 21. Currently, Minnesota’slegal age is 18, however, as of July2019, 39 communitiesand 8 counties have adopted ordinances increasing the age to 21. This campaign has become known as Tobacco 21 or T21. Packet Page Number 107 of 312 H1 A workshop discussion was held on October 25, 2018 withthe Association of Nonsmokers – MN (ANSR), an advocate group for reducing the use of tobacco.Thecity council thenrequestedtohear all sides of the issue includingfrom businesses which hold a tobacco and tobacco product license. All city licensed tobacco vendors were notified 30 days prior to the public hearing of the opportunity to speak with the council on the issue of raising the legal purchasing age of tobacco and tobacco products to 21. Response from Tobacco License Holderunable to attend council meeting: 1.Merwin Liquors, Stuart Tapper, owner: Merwin Liquorsstrongly supports the increase to the legal purchase age and has, in fact, already implemented this practice in theirstores to avoid confusion between theirlocations.Phone call 7-12-19. Attachments 1.Chapter 14, Article XVIII.-Tobacco-Related Products Packet Page Number 108 of 312 H1, Attachment 1 \[18\] ARTICLE XVIII. - TOBACCO-RELATED PRODUCTS Footnotes: --- (18) --- Editor's note—Ord. No. 947, adopted May 26, 2015, amended Art. XVIII in its entirety to read as set out herein. Former Art. XVIII, §§ 14-1371—14-1379, pertained to similar subject matter and derived from Ord. No. 920, §§ 1—9, adopted March 26, 2012. State Law reference—Authority of city to license and regulate the sale of tobacco, Minn. Stats. § 461.12. Sec. 14-1371. - Recitals. The Minnesota Legislature has enacted the Minnesota Clean Indoor Air Act (Minn. Stats., §§ 144.411 to 144.417), the purpose of which is to protect employees and the general public from the hazards of secondhand smoke by eliminating smoking in public places, places of employment, public transportation and at public meetings, and nothing in the Minnesota Clean Air Act prohibits the city from enacting and enforcing more stringent measures to protect individuals from secondhand smoke. Pursuant to this authority and for the purpose of protecting individuals from the hazards of secondhand smoke, the city has determined that it is in the best interest of the public to prohibit the lighting of tobacco or the use of an electronic delivery device in a retail establishment by a customer or potential customer for the purpose of sampling tobacco products or electronic delivery devices. (Ord. No. 947, 5-26-2015) Sec. 14-1372. - Purpose. The city recognizes the public health hazards of exposure of individuals to secondhand smoke. This article is intended to regulate the sale, possession, and use of tobacco, tobacco-related devices, electronic delivery devices, and nicotine or lobelia delivery products for the purpose of enforcing and furthering existing laws, to protect minors against the serious effects associated with the illegal use of tobacco, tobacco-related devices, electronic delivery devices, and nicotine or lobelia delivery products to protect individuals from the hazards of secondhand smoke and tobacco use, and to further the official public policy of the State of Minnesota as stated in Minn. Stats. §§ 144.391 and 144.412, as they may be amended from time to time. (Ord. No. 947, 5-26-2015) Sec. 14-1373. - Definitions. Except as may otherwise be provided or clearly implied by context, allterms shall be given their commonly accepted definitions. For the purpose of this article, the following definitions shall apply unless the context clearly indicates or requires a different meaning: Child-resistant packagingmeans packaging that meets the definition set forth in Code of Federal Regulations, Title 16, Section 1700.15(b), as in effect on January 1, 2015, and was tested in accordance with the method described in Code of Federal Regulations, Title 16, Section 1700.20, as in effect on January 1, 2015. Packet Page Number 109 of 312 H1, Attachment 1 Cigarmeans any roll of tobacco that is wrapped in tobacco leaf or in any substance containing tobacco, with or without a tip or mouthpiece, that is not a cigarette as defined in Minn. Stat. § 297F.01, subd. 3, as amended from time to time. Compliance checksmeans the system the city uses to investigate and ensure that those authorized to sell tobacco, tobacco-related devices, electronic delivery devices, and nicotine or lobelia delivery products are following and complying with the requirements of this article. Compliance checks shall involve the use of minors as authorized by this article. Compliance checks shall also mean the use of minors who attempt to purchase tobacco, tobacco- related devices, electronic delivery devices, or nicotine or lobelia delivery products for educational, research and training purposes as authorized by state and federal laws. Compliance checks may also be conducted by other units of government for the purpose of enforcing appropriate federal, state or local laws and regulations relating to tobacco, tobacco-related devices, electronic delivery devices, and nicotine or lobelia delivery products. Electronic delivery devicesmeans any product containing or delivering nicotine, lobelia, or any other substance intended for human consumption that can be used by a person to stimulate smoking in the delivery of nicotine or any other substance through inhalation of vapor from the product. Electronic delivery device includes any component part of such a product whether or not sold separately. Electronic delivery device does not include any product that has been approved or otherwise certified by the United States Food and Drug Administration for legal sales for use in tobacco cessation treatment for other medical purposes, and is being marketed and sold solely for that approved purpose. Individually packagedmeans the practice of selling any tobacco or tobacco product wrapped individually for sale. Individually-wrapped tobacco and tobacco products shall include, but shall not be limited to, single cigarette packs, single cigars, single bags or cans of loose tobacco in any form, and single cans or other packaging of snuff or chewing tobacco. Cartons or other packaging containing more than a single pack or other container as described in this definition shall not be considered individually packaged. Indoor areameans all space between a floor and a ceiling that is bounded by walls, doorways, or windows, whether open or closed, covering more than 50 percent of the combined surface area of the vertical planes constituting the perimeter of the area. A wall includes any retractable divider, garage door, or other physical barrier, whether temporary or permanent. A 0.001 gauge window screen with an 18 by 16 mesh count is not considered a wall. Loosiesmeans the common term used to refer to a single or individually-packaged cigar or cigarette, or any other tobacco product that has been removed from its packaging and sold individually. The term "loosies" does not include individual cigars with a retail price, before any sales taxes, of more than $2.60 per cigar. Minormeans any natural person who has not yet reached the age of 18 years. Moveable place of businessmeans any form of business operated out of a kiosk, truck, van, automobile or other type of vehicle or transportable shelter and not a fixed-address storefront or other permanent type of structure authorized for sales transactions. Nicotine or lobelia delivery productsmeans any product containing or delivering nicotine or lobelia intended for human consumption, or any part of such a product, that is not tobacco or an electronic delivery device as defined in this section, not including any product that has been approved or otherwise certified for legal sale by the United States Food and Drug Administration for tobacco use cessation, harm reduction, or for other medical purposes, and is being marketed and sold solely for that approved purpose. Retail establishmentmeans any place of business where tobacco, tobacco-related devices, electronic delivery devices, or nicotine or lobelia delivery products are available for sale to the general public. The phrase shall include, but not be limited to, grocery stores, convenience stores, restaurants, and drug stores. Salemeans any transfer of goods for money, trade, barter or other consideration. Packet Page Number 110 of 312 H1, Attachment 1 Self-service merchandisingmeans open displays of tobacco, tobacco-related devices, electronic delivery devices, or nicotine or lobelia delivery products in any manner where any person shall have access to the tobacco, tobacco-related devices, electronic delivery devices, or nicotine or lobelia delivery products, without the assistance or intervention of the licensee or the licensee's employee. The assistance or intervention shall entail the actual physical exchange of the tobacco, tobacco-related device, electronic delivery device, or nicotine or lobelia delivery product between the customer and the licensee or employee. Self-service sales are interpreted as being any sale where there is not an actual physical exchange of the product between the clerk and the customer. Smokingmeans inhaling or exhaling smoke from any lighted or heated cigar, cigarette, pipe, or any other tobacco or plant product, or inhaling or exhaling vapor from any electronic delivery device. Smoking also includes carrying a lighted or heated cigar, cigarette, pipe, or any other lighted or heated tobacco or plant product intended for inhalation. Tobaccomeans any product containing, made, or derived from tobacco that is intended for human consumption, whether chewed, smoked, absorbed, dissolved, inhaled, snorted, sniffed, or ingested by any other means, or any component, part, or accessory of a tobacco product, including, but not limited to, cigarettes; cigars; cheroots; stogies; perique; granulated, plug cut, crimp cut, ready rubbed, and other smoking tobacco; snuff; snuff flour; cavendish; plug and twist tobacco; fine cut and other chewing tobaccos; shorts; refuse scraps, clippings, cuttings and sweepings of tobacco; and other kinds and forms of tobacco. Tobacco excludes any tobacco product that has been approved by the United States Food and Drug Administration for sale as a tobacco cessation product, as a tobacco dependence product, or for other medical purposes, and is being marketed and sold solely for such an approved purpose. Tobacco-related devicesmeans pipes, rolling papers, ashtrays, or other device intentionally designed or intended to be used in a manner which enables the chewing, sniffing or smoking of tobacco or tobacco products. Vending machinemeans any mechanical, electric or electronic, or other type of device which dispenses tobacco, tobacco-related devices, electronic delivery devices, or nicotine or lobelia delivery products upon the insertion of money, tokens or other form of payment directly into the machine by the person seeking to purchase the tobacco, tobacco-related device, electronic delivery device, or nicotine or lobelia delivery product. (Ord. No. 947, 5-26-2015) Sec. 14-1374. - License required. (a) Generally.No person may directly or indirectly or by means of any device keep for retail sale, sell at retail, offer to sell or otherwise dispose of any tobacco, tobacco-related devices, electronic delivery devices, or nicotine or lobelia delivery products at any place in the city unless a license has first been issued by the city as provided in this section. (b) Specifically. (1) Application.An application for a license shall be made on a form provided by the city. The application shall contain thefull name of the applicant, the applicant's residential and business addresses, and telephone numbers, the name of the business for which the license is sought, and any additional information the city deems necessary. (2) Action.Upon receipt of a completed application, the city clerk shall forward the application to the police department for investigation. The police department shall conduct an investigation of the applicant and application regarding the fitness of the applicant to hold a license pursuant to the standards set forth in this article, and report the results of its investigation to the city clerk within 30 days of receipt of the application. After the city finishes its investigation and reviews the finding, the application will be approved or denied by the city manager or his designee. If the application is approved, it will be issued by the city clerk. If the city manager or his designee Packet Page Number 111 of 312 H1, Attachment 1 denies the application, notice of the denial shall be given to the applicant along with notification of the applicant's right to appeal the decision. (3) Fees.No license shall be issued under this article until the appropriate license or investigation fee is paid in full. The fee(s) shall be established by the city council by resolution from time to time. (4) Duration. Licenses issued under this division shall have a duration period of one year. The expiration date of such license is as may be imposed, set, established and fixed by the city clerk, from time to time. (5) Sanctions for violation.Shall be set by the city council at penalty phase notto be less than state mandated guidelines. (6) Transfers.All licenses issued under this article shall be valid only on the premises for which the license was issued and only for the person to whom the license was issued. (7) Moveable place of business.No license shall be issued to a moveable place of business. Only fixed-location businesses shall be eligible to be licensed under this article. (8) Display.All licenses shall be posted and displayed in plain view of the general public on the licensedpremises. (9) Renewals.The renewal of a license issued under this article shall be handled in the same manner as the original application. The request for a renewal shall be made at least 30 days prior, but no more than 60 days before the expiration ofthe current license. The license holder is not entitled to an automatic renewal of the license. (10) Sale by minors. It shall be unlawful for any business licensed under this article to allow any person under the age of 18 years to sell, offer for sale, or attempt to sell tobacco, tobacco- related devices, electronic delivery devices, or nicotine or lobelia delivery products. (Ord. No. 947, 5-26-2015) Sec. 14-1375. - Basis for denial of license. The following shall be grounds for denying the issuance of or renewal of a license under this article; if a license is mistakenly issued or renewed to a person, it shall be revoked upon the discovery that the person was ineligible for the license under this section: (1) The applicant is under the age of 18; (2) The applicant has been convicted within the past five years of any violation of a federal, state, or local law, ordinance provision, or other regulation relating to tobacco, tobacco-related devices, electronic delivery devices, or nicotine or lobelia delivery products. (3) The applicant has had a license to sell tobacco, tobacco-related devices, electronic delivery devices, or nicotine or lobelia delivery products revoked or suspended within the preceding 12 months of the date of application. (4) The applicant fails to provide any information required on the application, or provides false or misleading information. (5) The applicant is prohibited by federal, state, or other local law, ordinance, or otherregulation, from holding such a license. (6) Nonpayment by the property owner and/or applicant of any fees or charges owed to the city and/or county, including, but not limited to, utilities and property taxes. (Ord. No. 947, 5-26-2015) Packet Page Number 112 of 312 H1, Attachment 1 Sec. 14-1376. - Prohibited sales. (a) Generally.It shall be a violation of this article for any person to sell or offer to sell any tobacco, tobacco-related device, electronic delivery device, or nicotine or lobelia delivery product: (1) To a minor; (2) By a vending machine; (3) By self-service; (4) As loosies; (5) Containing opium, morphine, jimsonweed, belladonna, strychnos, cocaine, marijuana, or other delirious, hallucinogenic, toxic, or controlled substances except nicotine and other substances found naturally in tobacco or added as part of an otherwise lawful manufacturing process; and/or (6) To any other person, in any other manner or form prohibited by federal or state law or regulation, or by local ordinance. (b) Specifically. (1) Cigars. It shall be a violation of this article to sell, offer for sale, or otherwise distribute any cigar that is not within an original package containing fewer than five cigars, unless that package has a sales price of no less than $2.60 per cigar contained within. Cigars to which price promotions or discounts apply shall not be excluded from this restriction. a. This section shall not apply to premium cigars as defined in Minn. Stats. § 297F.01, subdiv. 13a. b. The minimum pricing established in this section shall be adjusted periodically for inflation at least every three years. c. The minimum retail sales price of an original package of five or more cigars shall be at least $10.40, after any price promotions or discounts are taken into account and before the imposition of sales tax. (2) Liquid packaging. It shall be a violation of this article to sell any liquid, whether or not such liquid contains nicotine, intended for human consumption and use in an electronic delivery device, in packaging that is not child-resistant. Upon request, a licensee shall provide a copy of the certificate of compliance or full laboratory testing report for the packaging used. (Ord. No. 947, 5-26-2015) Sec. 14-1377. - Smoking prohibited. Smoking shall not be permitted and no person shall smoke within the indoor area of any establishment with a tobacco license. Smoking for the purpose of sampling tobacco, tobacco-related devices, or electronic delivery devices is also prohibited except for the following addresses which are grandfathered in upon passage of Ordinance No. 947: 2515 White Bear Avenue N., 1700 Rice Street N., 1703 Cope Avenue E, 3035 White Bear Avenue N. When the establishments are sold, rented or change hands the address will continue to qualify for cigarette or tobacco licenses but will not be permitted to allow e-cigarette sampling. Signage must be posted as directed by State of Minnesota Administrative Rules. (Ord. No. 947, 5-26-2015) Sec. 14-1378. - Compliance checks and inspections. Packet Page Number 113 of 312 H1, Attachment 1 All licensed premises shall be open to inspection by the city police or other authorized city official during regular business hours. From time to time, but at least once per year, the city shall conduct compliance checks by engaging with the written consent of their parents or guardians, minors over the age of 15 years but less than 18 years to enter the licensed premise to attempt to purchase tobacco, tobacco-related devices, electronic delivery devices, or nicotine or lobelia delivery products. Minors used for the purpose of compliance checks shall be supervised by city designated law enforcement officers or other designated city personnel. Minors used for compliance checks shall not be guilty of unlawful possession of tobacco, tobacco-related devices, electronic delivery devices, or nicotine or lobelia delivery products when those items are obtained as a part of the compliancecheck. No minor used in compliance checks shall attempt to use a false identification misrepresenting the minor's age, and all minors lawfully engaged in a compliance check shall answer all questions about the minor's age asked by the licensee or his or her employee and shall produce any identification, if any exists, for which he or she is asked. (Ord. No. 947, 5-26-2015) Sec. 14-1379. - Violations and penalty. (a) Misdemeanor prosecution.Nothing in this section shall prohibit the city from seeking prosecution as a misdemeanor for any alleged violation of this article. (b) Administrative penalties. (1) Licensees.Any licensee found to have violated this article, or whose employee shall have violated this article, shall be charged an administrative fine of $250.00 for a first violation of this article; $500.00 for a second offense at the same licensed premises within a 24-month period; and $750.00 for a thirdor subsequent offense at the same location within a 24-month period. In addition, after the third offense the license shall be suspended for not less than seven consecutive days. (2) Other individuals.Other individuals, other than minors regulated by this article, found to be in violation of this article shall be charged an administrative fine of $50.00. (3) Minors.Minors found in unlawful possession of or who unlawfully purchase or attempt to purchase, tobacco, tobacco-related devices, electronic delivery devices, or nicotine or lobelia delivery products, shall be subject to an administrative fine, or may be subject to tobacco- related education classes, diversion programs, community services, or another penalty that the city believes will be appropriate and effective. The administrative fine or other penalty shall be established by city council ordinance upon the city council's consultation with interested parties of the courts, educators, parents and children to determine an appropriate penalty for minors in the city. This administrative fine or other penalty may also be established from time to time by the ordinance establishing fees and charges, as it may be amended from time to time. (4) Statutory penalties.If the administrative penalties authorized to be imposed by Minn. Stats. § 461.12, as it may be amended from time to time, differ from those established in this section, then the higher penalties shall prevail. (Ord. No. 947, 5-26-2015) Secs. 14-1380—14-1400. - Reserved. Packet Page Number 114 of 312 I1 Packet Page Number 115 of 312 I1 Packet Page Number 116 of 312 I1 Packet Page Number 117 of 312 I1, Attachment 1 Nbqmfxppe! Obuvsf!Dfoufs Nbtufs!Qmbo Kvof!312: Packet Page Number 118 of 312 I1, Attachment 1 Bdlopxmfehfnfout; Gsjfoet!pg!Nbqmfxppe!Obuvsf!Dfoufs BODB!Qffs!Hspvq!Nfncfst Nbqmfxppe!Djuz!Dpvodjm; Nbzps!Nbszmff!Bcsbnt Lbuimffo!Kvfofnboo Cszbo!Tnjui Tzmwjb!Ofcmfuu Cjmm!Lovutpo Uif!Nbqmfxppe!Qbslt!'! 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Nature Center staff trained and coordinated volunteers usbjojoh-!tvqfswjtf-!boe!ejsfdu!wpmvouffst!up!bddpnqmjti!uif!eftjsfe!ubtlt/! that contributed more than 2,100 hours of labor on projects across Maplewood up!uiptf!jowpmwfe!boe!ifmqt!up!cvjme!b!dpotfswbujpo!fuijd!uibu!dbo!mbtu!b! in 2018. mjgfujnf/!!Sftfbsdi!tipxt!uibu!wpmvouffsjoh!ufbdift!ofx!tljmmt-!fyqboet!tpdjbm! These hours, calculated at the National Volunteer Wage Estimate ($24.69/hr), sfevdujpo/! represent a gift of nearly Wpmvouffsjtn!bmtp!qspwjeft!hsfbu!fdpopnjd!wbmvf!up!dpnnvojujft/!Wpmvouffst! $52,000 to the City last year! wpvouffst-!boe!ibwf!b!62&!hsfbufs!dibodf!pg!pcubjojoh!fnqmpznfou!fwfo! xjuipvu!b!ijhi!tdippm!ejqmpnb!)Tpvsdf;!Njooftpub!Bttpdjbujpo!pg!Wpmvouffs! Benjojtusbupst*/!Jo!3129-!wpmvouffst!dpousjcvufe!npsf!uibo!3-211!ipvst!pg! mbcps!po!qspkfdut!bdsptt!Nbqmfxppe/! Tfswjdf!mfbsojoh!hspvqt!dpncjof!mfbsojoh!bcpvu!uif!wbmvf!boe!fdpmphz!pg! 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Packet Page Number 127 of 312 I1, Attachment 1 INDIVIDUAL VOLUNTEERSCASUAL VOLUNTEERS Individual volunteers are interviewed, Do not require background background checked, and trained to:checks or special training: Implement Nature Center programs andMonitor the neighborhood eventspreserves (walk the trails, report issues, and pick up G\[chn\[ch nl\[cfm& \]bcf^l_h!m jf\[s s\[l^& litter) demonstration gardens, and exhibits Perform court-ordered service Provide receptionist work and online program publicityAttend public Nature Center programs with a service Care for the live display animals component (weed native Document Citizen Science observations gardens, remove buckthorn, (bluebird monitoring, frog monitoring, spring cleanup) invasive plan patrol, iNaturalist, pollinator monitoring) Qmboujoh!bu!Fehfsupo!Dpnnvojuz!Hbsefo6ui!Hsbefst!gspn!Dbswfs!Fmfnfoubsz!ifmqjoh!xjui!qmboujoht!bu!Gjti!Dsffl !sftupsbujpo! boe!nbobhfnfou!pg!ibcjubu-!dsfbujpo!pg!sbjohbsefot-!tqsjoh!dmfbovqt-!xjmemjgf!tvswfzt-!boe!pqfo!tqbdf!npojupsjoh DIBQUFS!2!}!JOUSPEVDUJPO 19 Packet Page Number 128 of 312 I1, Attachment 1 Offet!Bttfttnfou Wjtjups!Dfoufs!Cvjmejoh!Dpoejujpo Ibwjoh!voefshpof!b!sfopwbujpo!jo!3128-!uif!dpoejujpo!pg!uif!wbsjpvt!cvjmejoh! tztufnt!jt!hfofsbmmz!hppe<!ipxfwfs-!uifsf!bsf!tpnf!njops!jttvft!uibu!xfsf!opu! sftpmwfe!bt!qbsu!pg!uibu!sfopwbujpo/!Dpnnfout!bsf!bt!gpmmpxt; Gpvoebujpo!)wjtjcmf!qbsu*;!Uifsf!bsf!b!gfx!mpdbujpot!xifsf!qpjoujoh!jt!njttjoh/!! 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Packet Page Number 131 of 312 I1, Attachment 1 Jo!b!nffujoh!xjui!mpdbm!obuvsf!dfoufs!benjojtusbupst-!ejtdvttjpo!zjfmefe!tfwfsbm! nfbojohgvm!qpjout; Wjtjupst!wbmvf!dpotjtufodz!jo!ipvst!)jodmvejoh!xfflfoe!bwbjmbcjmjuz* Xfflfoe!ipvst!bsf!qpqvmbs!gps!cjsuiebz!qbsujft!boe!puifs!sfoubmt-!xijdi hfofsbuf!sfwfovf!boe!qspwjef!hvbsbouffe!fohbhfe!qsphsbn!bvejfodft Nptu!Obuvsf!Dfoufst!ibwf!bu!mfbtu!pof!wfijdmf!gps!hspvoet!nbjoufobodf- boe!bmm!bhsff!uibu!b!efejdbufe!nbjoufobodf!qfstpo!jt!wbmvbcmf!cfdbvtf!pg uif!joujnbuf!lopxmfehf!boe!gbnjmjbsjuz!uibu!uifz!csjoh!up!pqfsbujpot Jo!psefs!up!qspwjef!frvjubcmf!bddftt!up!jogpsnbujpo-!ibwjoh!ubcmfut bwbjmbcmf!bu!uif!obuvsf!dfoufs!qspwjeft!tvqqpsu!up!wjtvbm0ifbsjoh!jnqbjsfe wjtjupst!boe!Hpphmf!usbotmbuf!up!opo.fohmjti!tqfblfst Ibwjoh!fyijcjut!xjui!joufsdibohfbcmf!)tfbtpobmmz.uifnfe*!qbofmt- joufsqsfujwf!ejpsbnbt-!ps!ejtqmbzfe!mpdbm!bsu!dbo!ifmq!up!qspwjef!pohpjoh joufsftu!gps!sfqfbu!wjtjupst Nfncfstijqt!bsf!pof!gvoejoh!pqujpo!uibu!ibt!xpslfe!mpdbmmz!)%610gbnjmz Puifs!obuvsf!dfoufst!jo!uif!sfhjpo!uzqjdbmmz!ibwf!uxp!ps!npsf!dmbttsppnt boe!sfoubcmf!tqbdft!jo!psefs!up!cf!bcmf!up!iboemf!b!gvmm!hsbef!pg!nvmujqmf Tqsjohcsppl!Obuvsf!Dfoufs!sfdfoumz!jowftufe!jo!! qsphsbnt!bmmpxt!uif!obuvsf!dfoufs!up!gpsn!wbmvbcmf!sfmbujpotijqt!xjui fyqbotjpo!pg!uifjs!Wjtjups!Dfoufs!)opx!b!24-111!tg! boe!fyijcju!vqebuft!xfsf!mbshf!npujwbujpot! ofdfttbsz!dvssjdvmvn!sfrvjsfnfout!jo!b!nfnpsbcmf!xbz-!hfofsbuft!sfqfbu up!fyqboe-!boe!ifmqfe!up!sbjtf!gvoet!gps! jnqmfnfoubujpo/ zpvui!bo!bqqspbdibcmf!xbz!up!fyqfsjfodf!obuvsf!fbsmz!po.!b!ofdfttjuz!up gpsnjoh!bo!buubdinfou!up!obuvsf!boe!b!tufxbsetijq!fuijd!bt!pof!hspxt/ Dpnnvojuz!Fohbhfnfou!Tvnnbsz Pwfs!uif!dpvstf!pg!uif!nbtufs!qmboojoh!qspdftt-!uif!qspkfdu!ufbn!tpvhiu!up! pcubjo!gffecbdl!gspn!b!ejwfstf!bssbz!pg!tublfipmefst!up!mfbso!ipx!uif!Obuvsf! 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Packet Page Number 133 of 312 I1, Attachment 1 Nbz!34-!312:!Pqfo!Ipvtf Qsjps!up!esbgujoh!uif!Nbtufs!Qmbo-!b!dpnnvojuz!pqfo!ipvtf!xbt!ifme!bu!uif! Obuvsf!Dfoufs!up!dpmmfdu!gffecbdl!po!uif!wjtjpo-!hvjejoh!qsjodjqmft-!tusbufhjd! pqqpsuvojujft-!qspqptfe!bdujpot-!boe!qibtjoh!efwfmpqfe!pwfs!uif!dpvstf!pg! nbufsjbmt-!qbsujdjqbufe!jo!ejtdvttjpot-!boe!tibsfe!uifjs!uipvhiut!cz!qmbdjoh! qptu.ju!opuft!po!uif!cpbset/!Sfgsftinfout!boe!ljet!bdujwjujft!xfsf!bwbjmbcmf! up!nblf!uif!fwfou!b!xfmdpnjoh!fyqfsjfodf!gps!qbsujdjqbout/!B!tvnnbsz!pg! gffecbdl!sfdfjwfe!jodmveft; uif!qmbo-!tvdi!bt; .! PROGRAMMING .!Jnqspwjoh!xbufs!dspttjoht!uispvhi!uif!tpvui!xppet SUGGESTIONS .!Sfqmbdjoh!uif!usbjm!fousz!hbuf!xjui!b!npsf!xfmdpnjoh!hbufxbz!up!uif!usbjmt GSPN!UIF!RVFTUJPOOBJSF! .!Beejoh!cjse!cmjoet!boe!dmfbsjoh!csvti!up!jnqspwf!pwfsmppl!wjfxt BOE!PQFO!IPVTF; .!Beejoh!b!qpsubcmf!sftusppn!po!uif!opsuixftu!tjef!pg!uif!qpoe .! ¼ .! bu!uif!Djuzt!Ofjhicpsippe uif!xjmemjgf!xbudijoh!bsfb Qsftfswft ¼Dpodfso!bcpvu!tbgfuz!boe!tfdvsjuz!jo!uif!qbsljoh!mpu!)jefbt!gps!b!hbuf!ps vqebufe!tfdvsjuz!dbnfsbt* ¼Qmbo!Mvnjobsz!Ijlft ¼Tvqqpsu!gps!fyjtujoh!qspqptbmt-!tvdi!bt; .!Jodsfbtfe!ejhjubm!qbsujdjqbujpo!)usbjm!dbnt-!pomjof!cjse!pctfswbujpot!boe! ¼Fyqboe!Qsphsbnt!bcpvu qifopmphz!mphhjoh-!b!zpvui!pomjof!qpsubm!xjui!npouimz!upqjdt!up!fyqmpsf* uif!Jnqbdut!pg!Ivnbot!po Obuvsf .! up!ijhimjhiu!Nbqmfxppet!ejwfstf!ibcjubut ¼Dpnqptujoh!Sftpvsdft .!Tbufmmjuf!sftusppn)t* ¼Sfdzdmjoh!Jnqbdut!boe!Ujqt .!Cvjmejoh!Fyqbotjpo!)npsf!mjwf!bojnbmt-!beejujpobm!dmbttsppn)t** ¼Qpmmjobups!boe!Jotfdu .!Tusfohuifojoh!boe!fyqboejoh!qbsuofstijqt!xjui!tdippmt!boe!tpdjbm!tfswjdf! bhfodjft!)fnqibtjt!po!fbtu!nfusp* ¼Dmjnbuf!Dibohf!Njujhbujpo .!Bddfttjcjmjuz!jnqspwfnfout ¼ .!Bojnbm!dbsf0ubol!dmfbojoh!bddftt!cfijoe!mjwf!bojnbm!ejtqmbzt dmbttft!boe!ejtqmbz spubujoh!xpslt .!Bo!brv .!Ejtqmbz!pg!mpdbm!bsu!boe!qipuphsbqiz!)spubujoh* ¼Fyqboe!uif!Xjmemjgf ¼Tvqqpsu!gps!bo!beejujpobm!gvmm.ujnf!qptjujpo-!ftqfdjbmmz!bt!qsphsbnnjoh Wjfxjoh!Bsfb fyqboet ¼Tvqqpsu!gps!b!efejdbufe!nbjoufobodf!qfstpo0hspvoetlffqfs!gps!uif ¼Tipxdbtf!Npsf!Mjwf Obuvsf!Dfoufs!boe!Qsftfswft!)joujnbuf!lopxmfehf!pg!uif!tjuft!xjmm!jnqspwf Bojnbmt rvbmjuz!pg!nbobhfnfou* ¼Tjuf!eftjho!tvhhftujpot-!jodmvejoh; ¼ .! bcpvu!uif!Eblpub!boe qspqfsujft!dbo!cf!bdrvjsfe puifs!obujwf!dvmuvsft .!Tvhhftujpo!up!npwf!uif!hbsbhf!gbsuifs!tpvui!up!tipsufo!mfohui!pg!esjwfxbz DIBQUFS!2!}!JOUSPEVDUJPO 25 Packet Page Number 134 of 312 I1, Attachment 1 Nbqmfxppe!Obuvsf! Dfoufst!Njttjpo!jt!up! foibodf!bxbsfoftt! pg!mboe-!xbufs!boe! xjmemjgf!sftpvsdft-! boe!up!fnqpxfs!uif! dpnnvojuz!up!cfdpnf! tufxbset!pg!uif! fowjsponfou/ NBQMFXPPE!OBUVSF!DFOUFS!NBTUFS!QMBO 26 Packet Page Number 135 of 312 I1, Attachment 1 13/NBTUFS!QMBO Wjtjpo!'!Hvjejoh!Qsjodjqmft Uif!wjtjpo!gps!Nbqmfxppe!Obuvsf!Dfoufs!gpdvtft!po!uif! gvuvsf!boe!tfswft!bt!b!tpvsdf!pg!jotqjsbujpo!boe!npujwbujpo/ Nbqmfxppe!Obuvsf!Dfoufst!Wjtjpo; Nbqmfxppe!Obuvsf!Dfoufs!jt!uif!Djuzt!ivc!gps!fowjsponfoubm!fevdbujpo-! obuvsbm!sftpvsdft!nbobhfnfou-!boe!tufxbsetijq/! 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DIBQUFS!3!}!NBTUFS!QMBO 27 Packet Page Number 136 of 312 I1, Attachment 1 Uif!Nbqmfxppe!Obuvsf!Dfoufs!Nbtufs!Qmbo Cfdbvtf!Nbqmfxppe!Obuvsf!Dfoufs!jt!cpui!b!qiztjdbm!qmbdf!boe!bo!pshboj{bujpo!uibu!qspwjeft!b!xjef!sbohf!pg!Djuz.xjef! qsphsbnt!boe!gvodujpot-!uif!Bdujpot!)qbhf!2:*!uibu!uif!Nbtufs!Qmbo!tvhhftut!jodmvef!cpui!qiztjdbm!jowftunfout!)Dibqufs!3*! boe!pqfsbujpobm!bdujpo!jufnt!)tff!Dibqufs!4*!uibu!xpsl!uphfuifs!up!bdijfwf!uif!Wjtjpo!pwfs!uif!ofyu!31!zfbst/!Gjhvsft!3/2!boe! 3/3!jmmvtusbuf!uif!qspqptfe!qiztjdbm!jowftunfout/ Cbtjt!jo!uif!3126!Nbqmfxppe!Qbsl! boe!Sfdsfbujpo!Tztufn!Nbtufs!Qmbo NBQMFXPPE!OBUVSF!DFOUFS Dsfbujpo!pg!uijt!Nbtufs!Qmbo!dbnf!bt!b!sftvmu!pg!uif!3126!Nbqmfxppe!Qbsl!boe! MASTER PLAN BMJHONFOU!XJUI! qspkfdut-!boe!dbqjubm!jnqspwfnfout!joufoefe!up!tibqf!qbslt!boe!sfdsfbujpo! TZTUFN!QMBO!QSJPSJUZ! jo!Nbqmfxppe!pwfs!uif!ofyu!31!zfbst/!Uif!Nbqmfxppe!Obuvsf!Dfoufs!Nbtufs! BDUJPOT!'!QSPKFDUT Qmbo!jt!hspvoefe!jo!uif!Djuzt!tztufn.xjef!wjtjpo-!boe!bt!ju!jt!jnqmfnfoufe-! Qsjpsjuz!Bdujpot Expand funding TVQQPSUJOH!NBQMFXPPE!OBUVSF!DFOUFS!!11/12 for regular park PROGRAM RECOMMENDATIONS, BOE!! maintenance and equipment replacement 30 PG!UIF!TZTUFN!QMBOT!PROGRAMMING Improve System STRATEGIES Wayfinding Continue to expand Qbsl!boe!Sfdsfbujpo!Tztufn!Qmbo!Qsphsbnnjoh!Sfdpnnfoebujpot neighborhood and community events Program for community and neighborhood gathering Expand nature center Maintain and improve high quality, diverse program programs offerings for all ages (children, teens, adults, and seniors) Qsjpsjuz!Dbqjubm! Ensure equitable access to programs Jnqspwfnfou!Qspkfdut Promote performance arts and cultural events in parks Maintenance and and at recreation facilities Reinvestment (includes Connect people with nature, including land, water, and Nature Center upkeep, wildlife resources, and empower them to be stewards $7m total projects) of the environment Actively manage Respond to changing recreation trends and ensure high quality natural quality programming resources ($600k) Use volunteers and service learning programs to Update Park Signs support recreational, arts, cultural, and natural resource ($125k) management programming Improve system Improve outreach to diverse populations and minority wayfinding ($300k) groups Improvements to <_\]ig_ nb_ |ai ni j\[lem \[h^ l_\]l_\[ncih \]f_\[lchabiom_ Preserves and Open Spaces ($800k) Provide opportunities for community involvement in the design, development, and implementation of parks and Replace/refurbish recreation Nature Center ($2.5m) Make Sustainability Education/Outreach a Priority NBQMFXPPE!OBUVSF!DFOUFS!NBTUFS!QMBO 28! 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Sftusppn Qbui!Dpoofdujpo!up!Dfouvsz!BwfQbui!Dpoofdujpo!up!Dfouvsz!Bwf Bee!tjhobhf!bmpoh!Bee!tjhobhf!bmpoh!hhh Dfouvsz!boe!NjoofibibDfouvsz!boe!Njoofibibfibib Jotubmm!tjhobhf0tvsgbdjoh!gps!qbsljoh!Jotubmm!tjhobhf0tvsgbdjoh!gps!qbsljohhhhbdq fyqbotjpo!po!fjuifs!tjef!pg!8uifyqbotjpo!po!fjuifs!tjef!pg!8us!i 2121212121212121666G6G6G111212122213141513131415131313141513133141533141531314151111111 Gjhvsf!3/7!!Qibtfe!Qiztjdbm!Jowftunfout;!Mpoh.ufsn!)8,Zfbst* DIBQUFS!3!}!NBTUFS!QMBO 33 Packet Page Number 142 of 312 I1, Attachment 1 Cvjmejoht Tife!Fyqbotjpo!'!Sfpshboj{bujpo Vujmjuz!tfucbdlt!mjnju!uif!tqbdf!bwbjmbcmf!gps!b!ofx!tife/!Bt!tvdi-!Pfsufm! Bsdijufdut!sfdpnnfoet!sfqmbdjoh!uif!fyjtujoh!tife!xjui!b!ofx!boe! fyqboefe!tife!jo!uif!tbnf!mpdbujpo/!Uijt!tife!xpvme!ibwf!b!ovncfs!pg! bddftt!eppst!gps!tupsbhf-!xjui!ejsfdu!bddftt!up!wbsjpvt!nbufsjbmt/!!Ju!xpvme!bmtp! jodmvef!b!ifbujoh!voju!jo!b!qpsujpo!pg!uif!tife-!bmpoh!xjui!b!tjol/ Bt!b!qpsujpo!pg!uijt!qibtf-!tpnf!njops!joufsjps!xpsl!njhiu!cf!epof-! efqfoefou!po!gvoet!bwbjmbcmf/ HEATED PORTION OF SHED Gjhvsf!3/8!!Qspqptfe!Tife!Mbzpvu PLAY FACADE PLAY FACADE Ofx!Hbsbhf VEHICLE & Jo!dpokvodujpo!xjui!qspdvsfnfou!pg!b!mfbtfe!wfijdmf-!b!hbsbhf!jt!qspqptfe! up!cf!dpotusvdufe!up!ipvtf!uif!wfijdmf-!uppmt-!tvqqmjft-!boe!nbufsjbmt!offefe! up!gbdjmjubuf!sfnpuf!qsphsbnnjoh/!Uif!tusvduvsf!xpvme!opu!offe!up!cf! PLAY FACADE dmjnbuf!dpouspmmfe/!Uif!qspqptfe!hbsbhf!jt!tjufe!ofbs!uif!obuvsf!qmbz!bsfb! boe!tfu!cbdl!gspn!uif!fousz!esjwf!xijdi!sftqfdut!tfucbdlt!boe!fbtfnfou! PLAY FACADE sfrvjsfnfout!boe!fotvsft!uibu!uif!hbsbhf!epft!opu!wjtvbmmz!jnqbdu!uif!fousz! fyqfsjfodf/!Ju!jt!tvhhftufe!uibu!uif!gbdbef!cf!xsbqqfe!xjui!qmbzgvm!eftjho! fmfnfout-!jo!psefs!up!cfuufs!joufhsbuf!xjui!uif!ofbscz!obuvsf!qmbz/ Gjhvsf!3/9!!Qspqptfe!Hbsbhf!Mbzpvu NBQMFXPPE!OBUVSF!DFOUFS!NBTUFS!QMBO 34!!! Packet Page Number 143 of 312 I1, Attachment 1 Qpufoujbm!Wjtjups!Dfoufs! Fyqbotjpo Xijmf!ju!tipvme!cf!opufe!uibu!uif!Obuvsf! Dfoufs!jt!pqfo!up!fyqmpsjoh!b!ofx!Wjtjups! Dfoufs!cvjmejoh!po!Djuz!mboe!)tvdi!bt!uif! Qsjpsz*-!ps!po!mboe!bekbdfou!up!uif!fyjtujoh! Obuvsf!Dfoufs!)tipvme!uif!pqqpsuvojuz! up!bdrvjsf!beejujpobm!qbsdfmt!bsjtf*-!uijt! nbtufs!qmbo!gpdvtft!po!bo!fyqmpsbujpo!pg! cvjmejoh-!hjwfo!uibu!uif!mpoh.ufsn! EXHIBIT ROOM obuvsf!pg!uijt!qibtf!pg!uif!nbtufs!qmbo! Tmbufe!gps!dpotusvdujpo!8,!zfbst!pvu-!uif! qvcmjd!boe!sftfswfe!qsjwbuf!qsphsbnnjoh! uibu!uif!Dfoufs!dvssfoumz!fyqfsjfodft!cz! beejoh!b!ofx!dmbttsppn0sfoubm!tqbdf-! beejoh!b!mjcsbsz0xjmemjgf!wjfxjoh!bsfb/!! Uif!ofx!dmbttsppn!xpvme!cf!ejwjtjcmf!cz! bo!pqfsbcmf!qbsujujpo!gps!vtf!cz!fjuifs! pof!mbshf!hspvq!ps!uxp!tnbmmfs!hspvqt-! nbljoh!Obuvsf!Dfoufs!qsphsbnt!npsf! buusbdujwf!gps!tdippm!hspvqt!up!buufoe!boe! gps!tqfdjbm!fwfout!boe!qvcmjd!qsphsbnt/! Puifs!fmfnfout!jodmvef!fyqboefe!tqbdf! gps!ejtqmbz!pg!mjwf!bojnbmt-!ofx!fyijcjut-! beejujpobm!sftusppnt!xjui!fyufsjps! bddftt!gps!vtf!pvutjef!pg!cvjmejoh!ipvst-! b!ofx!sfdfqujpo!bsfb!cfuufs!psjfoufe!up! wjtjupst/ Gjhvsf!3/:!!Qspqptfe!Wjtjups!Dfoufs!Fyqbotjpo!Qmbo DIBQUFS!3!}!NBTUFS!QMBO 35 Packet Page Number 144 of 312 I1, Attachment 1 14/!JNQMFNFOUBUJPO Tusbufhz Uijt!Nbtufs!Qmbo!xbt!efwfmpqfe!jo!psefs!up!nblf!tvsf!uibu!gvuvsf! jowftunfout!bsf!hspvoefe!jo!b!tusbufhjd!wjtjpo!gps!uif!Obuvsf!Dfoufs/!Cz! qmboojoh!opx-!xf!dbo!mfwfsbhf!b!wbsjfuz!pg!gvoejoh!tpvsdft!boe!tvqqpsu-! boe!fotvsf!uibu!xf!ibwf!fopvhi!ujnf!up!npcjmj{f!uif!ofdfttbsz!sftpvsdft!up! bdijfwf!uif!eftjsfe!pvudpnf/! 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Puifs!Jo.ljoe!Dpousjcvujpot ¼EOS!Qsphsbnt!)Qbsujdjqbujpo!jo!uif!Tdippm!Gpsftu!qsphsbn!up!bddftt!! nbjoufobodf!boe!tufxbsetijq!bttjtubodf!bu!uif!Qsftfswft!boe!sftpvsdft! gps!tdippmt!joufsftufe!jo!obuvsf.cbtfe!fevdbujpobm!qsphsbnnjoh* ¼Tfswjdf!Mfbsojoh!Wpmvouffst!)cfodi!sfqmbdfnfou-!dmfbsjoh-!obuvsbm!! sftpvsdf!nbobhfnfou-!sftupsbujpo* ¼Vujmj{joh!fyjtujoh!Djuz!dpousbdut!boe!tfswjdft!)wfijdmf!mfbtjoh-!usbjm!! nbjoufobodf-!dpnnvojdbujpot!boe!nbslfujoh* ¼Tfoufodf!up!Tfswf!)TUT*!Dsfxt! NBQMFXPPE!OBUVSF!DFOUFS!NBTUFS!QMBO Packet Page Number 145 of 312 I1, Attachment 1 Dptut Qspkfdufe!dptut!bsf!gps!ijhi!mfwfm!qmboojoh!qvsqptft!pomz!boe!ublf!joup!dpotjefsbujpo!lopxo!dpoejujpot/!Uif!Obuvsf!Dfoufs!jt! pqfo!up!bdrvjtjujpo!pg!bekbdfou!qspqfsujft!jo!uif!dbtf!pg!b!xjmmjoh!tfmmfs-!xijdi!xpvme!qsftfou!bmufsobuf!pqujpot!gps!Wjtjups!Dfoufs! fyqbotjpo!uibu!tipvme!cf!tuvejfe!bu!tvdi!ujnf/ Ubcmf!4/2!!Qspkfdufe!Dptut QIBTFJOWFTUNFOUDPTUTPVSDFT JNNFEJBUF! Fyjtujoh!DJQ Tife!Sfqmbdfnfou%86-111 Fyjtujoh!DJQ!,!Hsbout Cpbsexbml!,!4!Pctfswbujpo!Efdlt!Sfqbjs0Sfqmbdfnfou!%236-111 Djuz Fousz!epps!)BEB*%26-111 %326-111 Gvuvsf!DJQ-!Djuz!Dsfx!mbcps Hbsbhf!)jodmvef!qmbzgvm!gbdbef*!,!Esjwfxbz%36-111 Mfbtfe!Wfijdmf!gps!sfnpuf0npcjmf!qsphsbnnjoh!boe! +qfs!Djuz Djuz!Dpousbdu Dpousbdu tfswjdf!mfbsojoh Qpsubcmf!Sftusppnt!boe!hbuifsjoh!bnfojujft!bu! +qfs!Djuz Djuz!Dpousbdu Dpousbdu ofjhicpsippe!qsftfswft!xifsf!qsphsbnnjoh!ublft!qmbdf Gvuvsf!DJQ-!Djuz!Dsfx!mbcps-!Tfswjdf!Mfbsojoh! %71-111 Wpmvouffst-!Qvcmjd!Ifbmui!hsbou Ufdiopmphz!Vqhsbeft!)Usbjm!Dbnt!'!Wjtjups!Dfoufs!Ejhjubm! %26-111 Dpoufou!Ejtqmbz-!Ubcmfut!gps!usbotmbujpo* qbsuofstijqt Gvuvsf!DJQ-!Djuz!Dsfx!mbcps-!mpdbm!cvtjoftt! %36-111 Ljptl!boe!Qbujp!Sfqbjst!bu!Obuvsf!Dfoufs!Usbjm!Fousbodf tqpotpstijqt %23-111Gvuvsf!DJQ-!Gsjfoet!Hspvq!gvoesbjtjoh Jotubmmbujpo!pg!Ofx!Fousz!Hbufxbz!bu!Usbjmifbe Gvuvsf!DJQ-!Djuz!Dsfx!mbcps-!Tfswjdf!Mfbsojoh! %25-111 Tubjsxbz!sfqbjst!bu!Njdibfm!Mbof!Fousbodf Gvuvsf!DJQ-!Djuz!Dsfx!mbcps-!Gsjfoet!Hspvq!gvoesbjtjoh Vqhsbeft!up!Xfmdpnf!'!Fousz!Tjhot!bu!bmm!fousbodft%51-111 Gvuvsf!DJQ-!Djuz!Dsfx!mbcps-!Tfswjdf!Mfbsojoh! 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Packet Page Number 147 of 312 I1, Attachment 1 ¼Cvjmejoh!ubshfufe!qbsuofstijqt!xjui!tdippmt!mpdbufe!ofbs!Ofjhicpsippe Qsftfswft!up!nffu!uifjs!dvssjdvmvn!offet!uispvhi!Obuvsf!Dfoufs!qsphsbn Efwfmpq!Cftu!Qsbdujdft!gps!Joufhsbujoh!Ufdiopmphz!joup!uif! Obuvsf!Dfoufs!Fyqfsjfodf!)Ofbs.ufsn;!3132.3137* Uijt!pqfsbujpobm!bdujpo!jufn!sfrvjsft!qiztjdbm!jowftunfout!jo!ufdiopmphz! vqhsbeft-!jodmvejoh!usbjm!dbnt-!b!ejhjubm!dpoufou!ejtqmbz!bu!uif!Wjtjups!Dfoufs-! boe!ubcmfut/!Jodpsqpsbujoh!uiftf!qjfdft!pg!frvjqnfou!tfswft!nvmujqmf!bjnt; ¼B!ejhjubm!dpoufou!ejtqmbz!xjmm!qspwjef!wjtjupst!up!uif!Wjtjups!Dfoufs!xjui ezobnjd-!fwfs.dibohjoh!jogpsnbujpo!boe!dpoufou!uibu!dsfbuft!b!vojrvf fyqfsjfodf!fbdi!ujnf!boe!xjmm!fodpvsbhf!sfqfbu!wjtjut!xjuipvu!ibwjoh!up nblf!b!nbkps!jowftunfou!jo!fyijcjut ¼Ubcmfut!qspwjef!opo.fohmjti!tqfblfst!uif!pqqpsuvojuz!up!joufsbdu!xjui ¼Gppubhf!gspn!usbjm!dbnt!dbo!cf!vtfe!up!usbdl!uif!bojnbm!ljohepnt!vtf pg!uif!uif!Obuvsf!Dfoufs!boe!Qsftfswft-!cvu!dbo!bmtp!cf!tusfbnfe!pomjof- qptufe!up!b!Nbqmfxppe!Obuvsf!Dfoufs!ZpvUvcf!diboofm-!boe!tibsfe!bu uif!Wjtjups!Dfoufst!ejhjubm!dpoufou!ejtqmbz/!Uijt!ufdiopmphz!fyqboet!uif Obuvsf!Dfoufst!sfbdi!up!uiptf!xip!dbou!ofdfttbsjmz!wjtju-!cvu!tujmm!xbou!up cf!bcmf!up!bddftt!obuvsf!boe!mfbso!bcpvu!ju!gspn!ipnf/!Ju!dbo!bmtp!jodsfbtf wjtjupst!cz!hfofsbujoh!joufsftu!boe!fydjufnfou/ Joufhsbuf!Nbqmfxppe!Obuvsf!Dfoufs!joup!uif!Mfbsojoh! Fyqfsjfodf!pg!Nbqmfxppe!Tuvefout!)Mpoh.ufsn;!3138,* Nbqmfxppe!Obuvsf!Dfoufs!jt!b!hsfbu!sftpvsdf!up!uif!Djuzt!sftjefout!uibu!bjnt! up!cf!fokpzfe!boe!tibsfe!cz!bmm/!Pof!pg!uif!tvsftu!xbzt!up!ibwf!b!hvbsbouffe! jnqbdu!jt!up!hfu!ljet!jowpmwfe!jo!Obuvsf!Dfoufs!qsphsbnt!uispvhi!uifjs! tdippmt/!Fouivtjbtujd!zpvui!uifo!tibsf!uifjs!fyqfsjfodf!xjui!uifjs!gbnjmjft! boe!hfofsbuf!sfqfbu!wjtjut/!Uif!Wjtjups!Dfoufs!dvssfoumz!ibt!tqbdf!mjnjubujpot! pqfsbujpobm!bdujpo!jufn!mjlfmz!sfrvjsft!bo!fyqbotjpo!pg!uif!Wjtjups!Dfoufs! cfgpsf!ju!jt!bdijfwbcmf/ ¼Sfbdi!pvu!up!Nbqmfxppe!ijhi!tdippmfst!cz!nbljoh!tfswjdf!mfbsojoh qsphsbnt!buusbdujwf!boe!bwbjmbcmf ¼Ftubcmjti!qbsuofstijqt!boe!wbmvf!xjuijo!Djuz!boe!Tdippm!Ejtusjdu ¼Qvstvf!hsbout!boe!puifs!gvoejoh!up!ifmq!xjui!usbotqpsubujpo!dptut ¼Jowjuf!bmm!Nbqmfxppe!tuvefout!up!uif!Obuvsf!Dfoufs!gps!b!tdippm!qsphsbn cz!6ui!hsbef dbqbdjuz!gps!qsphsbnt!boe!buufoebodf DIBQUFS!4!}!JNQMFNFOUBUJPO 39 Packet Page Number 148 of 312 I1, Attachment 1 Nbqmfxppe!Obuvsf! Dfoufs!Nbtufs!Qmbo Packet Page Number 149 of 312 I1, Attachment 2 NBQMFXPPE!OBUVSF!DFOUFS!NBTUFS!QMBO NBTUFS!QMBO!QSFTFOUBUJPO Packet Page Number 150 of 312 I1, Attachment 2 Qspkfdu!QspdfttXifsf!Xf!Bsf Ipx!Xf!Hfu!Uifsf !Xibu!Xfwf!Ifbse!Xifsf!Xfsf!Hpjoh !Nffujoh!Pwfswjfx!Ofyu!Tufqt NBQMFXPPE!OBUVSF!DFOUFS!NBTUFS!QMBO BHFOEB;NBTUFS!QMBO!QSFTFOUBUJPO 1213!!14!!15!16!1718 Packet Page Number 151 of 312 I1, Attachment 2 NFFUJOH!PWFSWJFX NBQMFXPPE!OBUVSF!DFOUFS!NBTUFS!QMBO Qvsqptf;Sfwjfx!uif!Nbtufs!Qmbo!)offet!bttfttnfou-!tusbufhjd!pqqpsuvojujft-!bdujpo!jufnt-!qibtjoh-!qmbo!bqqspwbmt NBTUFS!QMBO!QSFTFOUBUJPO Packet Page Number 152 of 312 I1, Attachment 2 Xf!bsf!ifsf/ PDUOPWEFDKBO!2:GFCNBSBQSNBZKVOF !!Pomjof!Fohbhfnfou !!Wjtjpo!Xpsl!Tfttjpot!)3*!!Qbslt!boe!Sfdsfbujpo!Dpnnjttjpo!!Djuz!Dpvodjm !!Qffs!Hspvq!Qmboojoh!Tfttjpo!!Qvcmjd!Nffujoh0Pqfo!Ipvtf UBTL UBTL!2;!!Obuvsf!Dfoufs!BttfttnfouUBTL!3;!Ftubcmjti!Wjtjpo-!Hpbmt!'!TusbufhjftUBTL!4;!Efwfmpq!uif!Nbtufs!QmboUBTL!5;Nbtufs!Qmbo!Bqqspwbm Nffujoht PWFSWJFX!PG!UIF!TDIFEVMF NBQMFXPPE!OBUVSF!DFOUFS!NBTUFS!QMBO NBTUFS!QMBO!QSFTFOUBUJPO Packet Page Number 153 of 312 I1, Attachment 2 XIFSF!XF!BSF NBQMFXPPE!OBUVSF!DFOUFS!NBTUFS!QMBO NBTUFS!QMBO!QSFTFOUBUJPO Packet Page Number 154 of 312 I1, Attachment 2 MNC STAFF HELP MAPLEWOOD TO STAY AHEAD OF TRENDS AND ESTABLISH ITSELF AS A LEADER IN ENVIRONMENTAL SUSTAINABILITY NOD!TVQQPSUT!DJUZ!QSPHSBNT NBQMFXPPE!OBUVSF!DFOUFS!NBTUFS!QMBO NBTUFS!QMBO!QSFTFOUBUJPO Packet Page Number 155 of 312 I1, Attachment 2 NATURE CENTER STAFF OFFER A WRITTEN ENVIRONMENTAL EDUCATION CURRICULUM ALIGNED WITH K-12 SCIENCE AND STEM STANDARDS.NATURALISTS ARE DEGREED PROFESSIONALS IN NATURAL RESOURCES, SCIENCE, AND ENVIRONMENTAL EDUCATION. RVBMJUZ!FEVDBUJPOBM!SFTPVSDFT NBQMFXPPE!OBUVSF!DFOUFS!NBTUFS!QMBO NBTUFS!QMBO!QSFTFOUBUJPO Packet Page Number 156 of 312 I1, Attachment 2 Ibsbncff NATURE CENTER PROGRAMS DRAW ATTENDEES FROM DIVERSE PUBLIC ELEMENTARY SCHOOLS (47%-84% STUDENTS OF COLOR) INCLUDING: EJWFSTJUZ!JO!DPNNVOJUZ!PVUSFBDI NBQMFXPPE!OBUVSF!DFOUFS!NBTUFS!QMBO NBTUFS!QMBO!QSFTFOUBUJPO Packet Page Number 157 of 312 I1, Attachment 2 Mfbsofst Mbohvbhf! Qsphsbn Nbqmf! qsphsbn! tzsvqjoh! xjui!Fohmjti! uif!Bnfsjdbo! Fbsmz!Dijmeippe! Joejbo!Tdippmt! Tupszufmmjoh!xjui! EJWFSTJUZ!JO!DPNNVOJUZ!PVUSFBDI NBQMFXPPE!OBUVSF!DFOUFS!NBTUFS!QMBO WITH NATURE AS A UNIFYING CENTRAL TOPIC, MNC IS ABLE TO ENGAGE A WIDE VARIETY OF GROUPS OF ALL AGES, BACKGROUNDS, AND ETHNICITIES. NBTUFS!QMBO!QSFTFOUBUJPO Packet Page Number 158 of 312 I1, Attachment 2 Efnpotusbujpo!HbsefotGsph!NpojupsjohCbu!TvswfzObujwf!Bnfsjdbo!Usbejujpobm!HbnftObuvsf!Xbmlt!jo!Inpoh-!Tpnbmj-!'!FohmjtiQmbou!Cjp!Cmju{GpsbhjohQpmmjobups!QsphsbntObuvsf!QipuphsbqizNbqmf!TzsvqjohGvs!Us bef!Qsphsbnt Djuz!pg!Nbqmfxppe!CpvoebszOfjhicpsippe!Qsftfswf!Qsphsbn!MpdbujpotDpnnvojuz!Qsftfswf!Qsphsbn!Mpdbujpot MFHFOE j u e ! Fe ee ii 6 ! / z u u xT ! I i u 1 Qsphsbn!Ivc Xbufstife!FevdbujpoXFDGF!QsphsbntGbnjmz!QsphsbntTdippm!HspvqtTdpvu!HspvqtCjsuiebz!QbsujftTfswjdf!Mfbsojoh!QsphsbntSppn!SfoubmTopxtipf!SfoubmTfmg.hvjefe!Upvs!CbdlqbdltFyijcjut!boe!JoufsqsfubujpoObuvsf !Qmbz!Zbse 2 !zsvuofD fwB s 5 f : 7 w . o J s e p b sp u g f D p u B ! b x s f xi m m h jx j u p T I M hjoLdN ui N uihjoLd 5 : DFOUFS OBUVSF!. J fw B!sbf C!fuji X NBQMFXPPE! 5 E : ! 7 e . J S ! p D D ! 7 e 4 ! S ! z p x D I u 2 t 7 ! z x p I s G s v f u o f q s b 4.J F6 M T!fdjS u NBQMFXPPE!OBUVSF!DFOUFS!QSPHSBN!IVC QSPHSBNT!BU!UIF!OBUVSF!DFOUFS NBQMFXPPE!OBUVSF!DFOUFS!NBTUFS!QMBO NBTUFS!QMBO!QSFTFOUBUJPO Packet Page Number 159 of 312 I1, Attachment 2 Efnpotusbujpo!HbsefotGsph!NpojupsjohCbu!TvswfzObujwf!Bnfsjdbo!Usbejujpobm!HbnftObuvsf!Xbmlt!jo!Inpoh-!Tpnbmj-!'!FohmjtiQmbou!Cjp!Cmju{GpsbhjohQpmmjobups!QsphsbntObuvsf!QipuphsbqizNbqmf!TzsvqjohGvs!Us bef!Qsphsbnt Djuz!pg!Nbqmfxppe!CpvoebszOfjhicpsippe!Qsftfswf!Qsphsbn!MpdbujpotDpnnvojuz!Qsftfswf!Qsphsbn!Mpdbujpot MFHFOE Tfswjdf!Mfbsojoh!QsphsbntTfswjdf!Mfbsojoh!Qsphsbnt uj e Fe ee ii Tffe!DpmmfdujpoLobqxffe!DpouspmCvdluipso!SfnpwbmTfswjdf!MfbsojohIbmmpxffo!QsphsbntEbz!Dbnq Cjse!boe!Gjtijoh!Qsphsbnt 6 ! / z u u T x ! I i u 1 Qsphsbn!Ivc Xbufstife!FevdbujpoXFDGF!QsphsbntGbnjmz!QsphsbntTdippm!HspvqtTdpvu!HspvqtCjsuiebz!QbsujftTfswjdf!Mfbsojoh!QsphsbntSppn!SfoubmTopxtipf!SfoubmTfmg.hvjefe!Upvs!CbdlqbdltFyijcjut!boe!JoufsqsfubujpoObuvsf !Qmbz!Zbse 2 ofD fwB!zsvu s 5 f Uif!Qsjpsz : eeeeeeeee 7 w . o pp J s e Kpz!Qbsl p b Kjnt!Qsbjsjf sp u g f D p u B Cfbwfs!Dsffl ! b x s f xi m Gjti!Dsffl m h jx j u p T I Bqqmfxppe M LdN uihjo joLdN uih 5 : Dbswfs DFOUFS . OBUVSF! J Qsbjsjf!Gbsn fwB!sb fC!fuj iX NBQMFXPPE! 5 E : ! 7 e . J S ! p D D ! 7 !e 4 Lpimnbo!Dsffl ! ttttttttttt S ttttttttt ! z ssssss p Tfswjdf!Mfbsojoh!QsphsbntSbjohbsefo!Qmboujoht fs x D I u 2 t 7 ! Gjtifst!Dpsofs z x p I s ! G oo Tbwboob Hmbetupof! Ijeefo!Nbsti s v f u o f q s Tqppo!Mblf b F64.J M Cjp!Cmju{ Gbmm!Ijlft Cbu!Tvswfz Tfswjdf!Mfbsojoh! Cjsejoh!Qsphsbnt Uspvu!Csppl uT!fdjS Tfswjdf!Mfbsojoh!Qsphsbnt Pqfo!Tqbdf!Npojupsjoh NBQMFXPPE!OBUVSF!DFOUFS!QSFTFSWFT!QSPHSBN!MPDBUJPOT NBQMFXPPE!OBUVSF!DFOUFS!NBTUFS!QMBO NBTUFS!QMBO!QSFTFOUBUJPO Packet Page Number 160 of 312 I1, Attachment 2 tttt bnbnbn hshshs spspsp QQQQQQ ohohoh jj Efnpotusbujpo!HbsefotGsph!NpojupsjohCbu!TvswfzObujwf!Bnfsjdbo!Usbejujpobm!HbnftObuvsf!Xbmlt!jo!Inpoh-!Tpnbmj-!'!FohmjtiQmbou!Cjp!Cmju{GpsbhjohQpmmjobups!QsphsbntObuvsf!QipuphsbqizNbqmf!TzsvqjohGvs!Us bef!Qsphsbnt Djuz!pg!Nbqmfxppe!CpvoebszDjuz!pg!Nbqmfxppe!CpvoebszOfjhicpsippe!Qsftfswf!Qsphsbn!MpdbujpotOfjhicpsippe!Qsftfswf!Qsphsbn!MpdbujpotDpnnvojuz!Qsftfswf!Qsphsbn!MpdbujpotDpnnvojuz!Qsftfswf!Qsphsbn!Mpdbuj potPuifs!Obuvsf!Dfoufs!Qsphsbn!MpdbujpotQbsl!Qsphsbn!Mpdbujpot ojojojoj bsbsbs MFHFOEMFHFOE MMfMfMfMfM fff jjdjdjdjdj swswsw Cjse!boe!Gjtijoh!Qsphsbnt Dpnnvojuz!FwfoutObujwf!Qmboujoht!'!NbjoufobodfTqsjoh!DmfbovqTfswjdf!Mfbsojoh!QsphsbntTfTfTfTfTfTTTfswjdf!Mfbsojoh!Qsphsbnt h uj e Fe ntntntntnt sbsbsbsbsb ee hhh pphpphphphphObujwf!QmboujohtMjuufs!Qjdl!VqCvdluipso!Sfnpwbm s ii Tffe!DpmmfdujpoLobqxffe!DpouspmCvdluipso!SfnpwbmTfswjdf!MfbsojohIbmmpxffo!QsphsbntEbz!Dbnq Cjse!boe!Gjtijoh!QsphsbntQsQsQsQsQsQsQsQ 6 ! / z u u xT ttt ! I htht i u 1 Qsphsbn!Ivc Xbufstife!FevdbujpoXFDGF!QsphsbntGbnjmz!QsphsbntTdippm!HspvqtTdpvu!HspvqtCjsuiebz!QbsujftTfswjdf!Mfbsojoh!QsphsbntSppn!SfoubmTopxtipf!SfoubmTfmg.hvjefe!Upvs!CbdlqbdltFyijcjut!boe!JoufsqsfubujpoObuvsf !Qmbz!Zbse 2 uofD fwB!zsv Uboofst!Mblf s 5 f Uif!Qsjpsz : eeeeeee 7 w . o pp J s e Kpz!Qbsl p b Kjnt!Qsbjsjf sp u Qbsl g f D p u B Cfbwfs!Dsffl ! b x s f xi m Gjti!Dsffl m h jx j u Wjtub!Ijmmt p T I Bqqmfxppe M Sbjohbsefo!Qmboujoht Bgupo!Ifjhiut! hjoLdN ui N uihjoLd 5 Sbjohbsefo!Qmboujoht : Dbswfs DFOUFS . OBUVSF! J Qsbjsjf!Gbsn bmm!bmm vt Ibmm fwB!sb fC!fuj iX NBQMFXPPE! 5 Djuz!Ibmm!Dbnqvt E : ! 7 e . J S ! Sbntfz!Dpvouz!Mjcsbsz p eee llllllllllllllllll fT D fffff mb Gpvs!Tfbtpot!Qbsl D Hmbetupof!HmbHmbHmbHmbHmHmHmHHGjsf!TubujpoGjs ! 7 !!e Lpimnbo!Dsffl 4 ! tttttttttttttttt S ttttttt ! z ssssss p Tfswjdf!Mfbsojoh!QsphsbntSbjohbsefo!Qmboujoht fs x D Dpnnvojuz!Cvjmejoh I Spcjoippe!SpSSpSpcSpSpSpSSSSSSSSQbsl ! u 2 t 7 b !f Gjtifst!Dpsofs z x p I s ! Lfmmfs!Mblf G o Qibmfo!Sfhjpobm!Qbsl Tbwboob Hmbetupof! Ijeefo!Nbsti s v f u o f Fehfsupo!Dpnnvojuz!Hbsefo q q s Tqppo!Mblf b 4.J F6 M lllllllllllllllll Cjp!Cmju{ p Xftufso!Ijmmt!Qbsl Gbmm!Ijlft ppppppppppppppppppppppppppppppp sssss Cbu!Tvswfz Cs Tfswjdf!Mfbsojoh! Cvdluipso!Fwfout Cjsejoh!Qsphsbnt Uspvu!Csppl jS uT!fd Dpnnvojuz!Fwfout hhhhhhhhh Tfswjdf!Mfbsojoh!Qsphsbnt jjjojojojojoj jj pspspspsps jjjujujujujuju mm popopopopo QQ Vqhsbeft Sftpvsdft Xbufs!Gftu NNNNNNNN ee dfdfdfdfdf Bscps!Ebz!Fwfou qqqbqbqbqbqbqbq TTTTTTTTT Gbdjmjubuf!Qmboujoht Dpnnvojuz!Fwfout jj Uvslfz!Ubml!Qsphsbn Qmbo!boe!Jnqmfnfou! fofofofofofoQspwjef!Nvmuj.mjohvbm! Sbjohbsefo!QmboujohtSS qqqq Dppsejobuf!Sfhjtusbujpo Pqfo!Tqbdf!NpojupsjohPPqPqPPqPqPqPq NBQMFXPPE!OBUVSF!DFOUFS!DPNNVOJUZ!QSPHSBN!MPDBUJPOT NBQMFXPPE!OBUVSF!DFOUFS!NBTUFS!QMBO NBTUFS!QMBO!QSFTFOUBUJPO Packet Page Number 161 of 312 I1, Attachment 2 WPMVOUFFSJOH!'!TFSWJDF!NBQMFXPPE!OBUVSF!DFOUFS!NBTUFS!QMBO IN 2018, NATURE CENTER STAFF TRAINED AND COORDINATED VOLUNTEERS THAT CONTRIBUTED MORE THAN 2,100 HOURS OF LABOR ON PROJECTS ACROSS MAPLEWOOD.CALCULATED AT THE NATIONAL VOLUNTEER WAGE ESTIMATE ($24.69/HR), THESE HOURS REPRESENT A GIFT OF NEARLY $52,000 TO THE CITY LAST YEAR! NBTUFS!QMBO!QSFTFOUBUJPO Packet Page Number 162 of 312 I1, Attachment 2 XIBU!XFWF!IFBSE NBQMFXPPE!OBUVSF!DFOUFS!NBTUFS!QMBO NBTUFS!QMBO!QSFTFOUBUJPO Packet Page Number 163 of 312 I1, Attachment 2 DPNNVOJUZ!FOHBHFNFOU!TVNNBSZ NBQMFXPPE!OBUVSF!DFOUFS!NBTUFS!QMBO Gpsnt!pg!Fohbhfnfou; NBTUFS!QMBO!QSFTFOUBUJPO Packet Page Number 164 of 312 I1, Attachment 2 DPNNVOJUZ!FOHBHFNFOU!TVNNBSZ NBQMFXPPE!OBUVSF!DFOUFS!NBTUFS!QMBO Uif!Obuvsf!Dfoufs!fohbhfe;258 COMMUNITY MEMBERS THROUGH ITS ONLINE SURVEY NBTUFS!QMBO!QSFTFOUBUJPO Packet Page Number 165 of 312 I1, Attachment 2 DPNNVOJUZ!FOHBHFNFOU!TVNNBSZ NBQMFXPPE!OBUVSF!DFOUFS!NBTUFS!QMBO Qsphsbnnjoh!Tvhhftujpot!gspn!uif!Pomjof!Tvswfz!boe!Pqfo!Ipvtf; NBTUFS!QMBO!QSFTFOUBUJPO Packet Page Number 166 of 312 I1, Attachment 2 XIFSF!XFSF!HPJOH NBQMFXPPE!OBUVSF!DFOUFS!NBTUFS!QMBO NBTUFS!QMBO!QSFTFOUBUJPO Packet Page Number 167 of 312 I1, Attachment 2 (Who we are today)(Where we want to go)(How we will get there, broadly)(Achievements made possible byactions, and physical investments) NBQMFXPPE!OBUVSF!DFOUFS!NBTUFS!QMBO NBTUFS!QMBO!QSFTFOUBUJPO UFSNJOPMPHZ Packet Page Number 168 of 312 I1, Attachment 2 NBQMFXPPE!OBUVSF!DFOUFS!NBTUFS!QMBO Nbqmfxppe!Obuvsf!Dfoufst!Njttjpo!jt!up!foibodf!bxbsfoftt!pg!mboe-!xbufs!boe!xjmemjgf!sftpvsdft-!boe!up!fnqpxfs!uif!dpnnvojuz!up!cfdpnf!tufxbset!pg!uif!fowjsponfou/ NBTUFS!QMBO!QSFTFOUBUJPO Packet Page Number 169 of 312 I1, Attachment 2 focuses on the future and serves as a source of VISION WJTJPO NBQMFXPPE!OBUVSF!DFOUFS!NBTUFS!QMBO A inspiration and motivation.Nbqmfxppe!Obuvsf!Dfoufs!jt!uif!Djuzt!ivc!gps!fowjsponfoubm!fevdbujpo-!obuvsbm!sftpvsdft!nbobhfnfou-!boe!tufxbsetijq/! NBTUFS!QMBO!QSFTFOUBUJPO Packet Page Number 170 of 312 I1, Attachment 2 IPX!XF!HFU!UIFSF NBQMFXPPE!OBUVSF!DFOUFS!NBTUFS!QMBO NBTUFS!QMBO!QSFTFOUBUJPO Packet Page Number 171 of 312 I1, Attachment 2 focus on how the vision will be achieved. NBQMFXPPE!OBUVSF!DFOUFS!NBTUFS!QMBO HVJEJOH!QSJODJQMFT GUIDING PRINCIPLES NBTUFS!QMBO!QSFTFOUBUJPO Packet Page Number 172 of 312 I1, Attachment 2 focus on how the vision will be achieved. GUIDING PRINCIPLES HVJEJOH!QSJODJQMFT NBQMFXPPE!OBUVSF!DFOUFS!NBTUFS!QMBO NBTUFS!QMBO!QSFTFOUBUJPO Packet Page Number 173 of 312 I1, Attachment 2 NBQMFXPPE!OBUVSF!DFOUFS!NBTUFS!QMBO NBTUFS!QMBO!QSFTFOUBUJPO TUSBUFHJD!PQQPSUVOJUJFT Packet Page Number 174 of 312 I1, Attachment 2 and/or skills of administrative tubgg!up!npsf!fggfdujwfmz!nbobhf!sfhjtusbujpot!Ɔ!tdippm!qsphsbnnjoh-!mobile programming IMPROVE DELIVERY EFFICIENCIES & EFFECTIVENESS TUSBUFHJD!PQQPSUVOJUJFT NBQMFXPPE!OBUVSF!DFOUFS!NBTUFS!QMBO NBTUFS!QMBO!QSFTFOUBUJPO Packet Page Number 175 of 312 I1, Attachment 2 in order to make and site design to maximize capacities by offering service learning and other so that informal visitors can access exhibits while knowledge more accessible to all EXPAND THE IMPACT OF THE NATURE CENTER TUSBUFHJD!PQQPSUVOJUJFT NBQMFXPPE!OBUVSF!DFOUFS!NBTUFS!QMBO NBTUFS!QMBO!QSFTFOUBUJPO Packet Page Number 176 of 312 I1, Attachment 2 EXPAND THE IMPACT OF THE NATURE CENTER NNN xx!x!x!x!x!xxx jfjfjfjfjfjfjfjf zwzzzzzzzwzwzwzwzwzwzwzwzwzw Fbhmf!Qpjou!FmfnfoubszTlzwjfx!NjeemfTlTlTlTlTlTlTlTlTlTlTl / u 6 ! 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Ofx!qbui!bspvoe!cvjmejoh!fyqbotjpo t nqsnn eftefef bse!Jbqhsbe Vq z!Zz! ee! t Qmbz!Zbse!Jnqspwfnfout!Qmbz!Zboe!Vqhsbeftboe ebuftebuf Vq Fyijcju!VqebuftFyijcju! Voefwfmpqbcmf!Evf! NBTUFS!QMBO!BDUJPO!JUFNT!NBQMFXPPE!OBUVSF!DFOUFS!NBTUFS!QMBO NBTUFS!QMBO!QSFTFOUBUJPO Packet Page Number 182 of 312 I1, Attachment 2 Bee!tjhobhf!bmpoh!Dfouvsz!boe!Njoofibib Qbui!Dpoofdujpo!up!Dfouvsz!Bwf Xsbq!xjui!dsfbujwf!qmbz!gbdbefPqujpo!gps!gfodf!bmpoh!esjwf!gps!tbgfuz0tdsffojoh Vqhsbefe!Xfmdpnf!boe!Fousz!Tjhot!)bmm!fousbodft* Mpoh.ufsnObuvsf!Dfoufs!Fyqbotjpo!'!Ofx!Tife!xjui!fyqboefe!gppuqsjou)23y61!>!711!tg*BEB!Bddfttjcmf!Fousz!EppstUfdiopmphz!Vqhsbeft!!!)usbotmbujpo-!ejhjubm!dpoufou!ejtqmbz*Ljptl!boe!Qbujp!Sfqbjst!jodm vejoh!Ofx!Usbjm!Fousz!HbufxbzHbsbhf!gps!Mfbtfe!Wfijdmf Jotubmm!tjhobhf0tvsgbdjoh!gps!qbsljoh!fyqbotjpo!po!fjuifs!tjef!pg!8ui esjwfesjwf gfodfgfodf sfmpdbufe!qbui Zbse Obuvsf!Qmbz! Voefwfmpqbcmf!Evf! Bnqijuifbufs Qjdojd!Bsfb Qpsubcmf!Sftusppn Qbsljoh Xjmemjgf!X XbudijohXbX Cfodi!sfqbjs0sfqmbdfnfouTfmfdujwf!DmfbsjohTvsgbdjoh!Bddfttjcjmjuz!Jnqspwfnfout!Cjse!Cmjoe Ofx!qbui!bspvoe!cvjmejoh!fyqbotjpo Usbjm!Jnqspwfnfout 4!Pctfswbujpo!EfdltBEB!Bddfttjcjmjuz!Jnqspwfnfout Qmbz!Zbse!Jnqspwfnfout!boe!Vqhsbeft Cpbsexbml!Sfqbjs0Sfqmbdfnfou Fyijcju!Vqebuft Voefwfmpqbcmf!Evf! NBTUFS!QMBO!BDUJPO!JUFNT!NBQMFXPPE!OBUVSF!DFOUFS!NBTUFS!QMBO NBTUFS!QMBO!QSFTFOUBUJPO Packet Page Number 183 of 312 I1, Attachment 2 FYJTUJOH!CVJMEJOH!QMBO NBQMFXPPE!OBUVSF!DFOUFS!NBTUFS!QMBO NBTUFS!QMBO!QSFTFOUBUJPO Packet Page Number 184 of 312 I1, Attachment 2 GARAGE NEW EXPANDED SHED QPUFOUJBM!CVJMEJOH!QMBOT NBQMFXPPE!OBUVSF!DFOUFS!NBTUFS!QMBO NBTUFS!QMBO!QSFTFOUBUJPO EXPANDED & REORGANIZED VISITOR CENTER Packet Page Number 185 of 312 I1, Attachment 2 Utilizing existing and services (vehicle leasing, trail maintenance, and marketing) BEING EFFICIENT WITH EXISTING RESOURCES DNR Programs PUIFS!ƍJO.LJOEƎ!CONTRIBUTIONS sponsorshipsWatershed District grantsrecreation grantsOther cities PLAN NOW, LEVERAGE A VARIETY OF SOURCES TO ACHIEVE NBTUFS!QMBO!BDUJPO!JUFNT;!GVOEJOH NBQMFXPPE!OBUVSF!DFOUFS!NBTUFS!QMBO NBTUFS!QMBO!QSFTFOUBUJPO OUTSIDE FUNDING Packet Page Number 186 of 312 I1, Attachment 2 % N offefe MPOH % dpousbdu dpousbdu OFBS % JNNFEJBUF NBTUFS!QMBO!BDUJPO!JUFNT;!QIBTJOH NBQMFXPPE!OBUVSF!DFOUFS!NBTUFS!QMBO *MASTER PLAN ESTIMATES DEPENDANT ON FUNDING FOR IMPLEMENTATION NBTUFS!QMBO!QSFTFOUBUJPO Packet Page Number 187 of 312 I1, Attachment 2 Ongoing) PQFSBUJPOBM!BDUJPO!JUFNT NBQMFXPPE!OBUVSF!DFOUFS!NBTUFS!QMBO NBTUFS!QMBO!QSFTFOUBUJPO Packet Page Number 188 of 312 I1, Attachment 2 UIBOL!ZPV NBQMFXPPE!OBUVSF!DFOUFS!NBTUFS!QMBO NBTUFS!QMBO!QSFTFOUBUJPO Packet Page Number 189 of 312 I1, Attachment 2 RVFTUJPOT@ NBQMFXPPE!OBUVSF!DFOUFS!NBTUFS!QMBO NBTUFS!QMBO!QSFTFOUBUJPO Packet Page Number 190 of 312 I2 CITY COUNCILSTAFF REPORT Meeting Date August 12, 2019 REPORT TO: Melinda Coleman, City Manager REPORT FROM:Jeff Thomson, Community Development Director PRESENTER: Jeff Thomson, Community Development Director AGENDA ITEM:Update Regarding Residential Curbside Trash and Recycling Contract Negotiations Action Requested:MotionDiscussionPublic Hearing Form of Action:ResolutionOrdinanceContract/AgreementProclamation Policy Issue: The City’s residential trash and recycling contracts end December 31, 2019. The city council directed staff to draft a Request for Proposals (RFP) for new trash and recycling contracts.A competitive RFP process allowsthe city to compare prices directly between respondentsandallow for new or improved servicesthat offer the best value to Maplewood residents. Recommended Action: No action is required from the council. Fiscal Impact: Is There a Fiscal Impact?NoYes, the true or estimated cost isto be negotiated through contract negotiations. Financing source(s):Adopted BudgetBudget ModificationNew Revenue Source Use of Reserves Other:Fiscal Impacts to the City’s Recycling Fund and Residents who pay for trash bills. Strategic Plan Relevance: Financial SustainabilityIntegrated CommunicationTargeted Redevelopment Operational EffectivenessCommunity InclusivenessInfrastructure & Asset Mgmt. The city’s trash and recycling programs create operational effectiveness by protecting the public health and safety, and promoting city cleanliness and livability. They are also an important component to the city’s greeninfrastructure – whichpurpose is to achieve a reduction in waste generated by using best management practices to protect air quality, water quality, and natural resources. Background On May 13, 2019, the City Council authorized the release of a Trash and Recycling Request for Proposal (RFP). The city received responses from six companies with various alternative proposals. Packet Page Number 191 of 312 I2 The city’s proposal review committee analyzed and assessed all of the proposals and ranked each of the proposals based on sixcriteria – economics, responsiveness, safety, education, environmental, and qualifications. On July 22, 2019, the city council authorized staff to negotiate draft trash and recycling contracts with the top ranked respondents. The top ranked respondent for trash and yard waste is Republic Services, and the top ranked respondent for recycling is Tennis Sanitation.City staff has been negotiating draft contracts with both Republic and Tennis over the past three weeks.City staff will provide an update to the city council regarding the status of the current contract negotiations. Timeline for Completion of the Trash and Recycling RFP Process August 12, 2019:City Council Meeting - Update on Draft Contracts – Contingency to AuthorizeStaff to Negotiatewith Second Ranked Respondents August 26, 2019:Draft Contracts Complete September 9, 2019:City Council Meeting –Authorize Execution of Contract(s) September 23, 2019:City Council Meeting –Authorize Purchase of Recycling Carts December 2019:New Recycling Cart Roll Out January 1, 2020:New Contract(s) services begin Attachments None Packet Page Number 192 of 312 J1 CITY COUNCILSTAFF REPORT Meeting Date August 12, 2019 REPORT TO: Melinda Coleman, City Manager REPORT FROM:StevenLove, Public Works Director/City Engineer PRESENTER: Steven Love AGENDA ITEM:Master Funding Agreement, Gold Line Bus Rapid Transit Project, City Project 14-05 Action Requested:MotionDiscussionPublic Hearing Form of Action:ResolutionOrdinanceContract/AgreementProclamation Policy Issue: The City Council will considerenteringintoa Master Funding Agreement (MFA) with the Metropolitan Council for the Gold Line Bus Rapid Transit (BRT) Project, City Project 14-05.The MFA provides the framework for the transferringof funds between the City and the Metropolitan Council for work related to the project. Recommended Action: Motion toauthorize the Mayor and City Manager to enter intoa Master Funding Agreement with the Metropolitan Council for the Gold Line Bus Rapid Transit Project, City Project 14-05and authorize minor changes to the agreement as approved by the City Attorney. Fiscal Impact: Is There a Fiscal Impact?NoYes, the true or estimated cost is$0.00 Financing source(s):Adopted BudgetBudget ModificationNew Revenue Source Use of Reserves Other:There are nocosts associated with the execution of theMFA. Strategic Plan Relevance: Financial SustainabilityIntegrated CommunicationTargeted Redevelopment Operational EffectivenessCommunity InclusivenessInfrastructure & Asset Mgmt. The proposed GoldLine BRT project consists of a 10 mile dedicated BRT line which will connect Saint Paul, Maplewood, Landfall, Oakdale and Woodbury. Background The Gold Line BRT project will connect people across the region to job centers, housing options, transit stations and key destination from St. Paul to Woodbury along the I-94 corridor. Packet Page Number 193 of 312 J1 Some of the key features of the BRT system includes: Frequent, all day service in both directions Pre-boarding fare paymentfor faster stops Access to Park & Ride lots in Saint Paul, Oakdale and Woodbury, Real-time arrival and departure information Heated shelters, lighting and security features There will one stop in Maplewood located adjacent to the south side of the 3M campus and will include pedestrian connections to McKnight Road and Century Avenue. The MFAlays out the process and requirements for transferringfunds from the Metropolitan Council to the City for workand/or materials supplied by the City. Additionally, the agreement lays out the process and requirements for transferring funds from the City to the Metropolitan Council for work or materials supplied by the MetropolitanCouncil. This agreement does not create a specific financial obligation for either party. The transfer of funds for work and/or materials will require both parties to enter into a Subordinate Funding Agreement (SFA). The SFA’s will detail the work and/or materials required, their costs, each party’s share of the cost, and who will own any assets created. The proposed primary funding source for this project will be through Federal and County funds. The City Attorney has reviewed the attached MFA and any minor changes will require approval of the City Attorney. Attachments 1.Gold Line BRT Master Funding Agreement Packet Page Number 194 of 312 J1, Attachment 1 PROJECT:GOLD LINE BUS RAPID TRANSIT PROJECT AGREEMENT NAME:Master Funding Agreement –Maplewood PARTIES:Metropolitan Council City ofMaplewood,Minnesota This Master Funding Agreement (“Agreement”) is entered into by and between the Metropolitan Council (“Council”), a public corporation and political subdivision of the State of Minnesota, and the city identified above (“City”), a Minnesota municipal corporation, herein collectively referred to as the “Parties” and individually as a “Party.” This Agreement pertains to the Council’s proposed METRO Gold Line Bus Rapid Transit (“GBRT”) Project (the “Project”). WHEREAS: The Council, metropolitan-area cities, public agencies,and transit funders are engaged in activities to develop the Project. The proposed GBRT will directly servefive cities: St. Paul, Maplewood, Landfall, Oakdale, and Woodbury, all within Ramsey and Washington Counties (“Cities and Counties”). The GBRT will connect with the METRO Green LineLight Rail Transit at Union Depot and Central Station, both in St. Paul. As Project Development, Engineering and Construction progress, various agreements with the Cities and Counties will be required. 1.The Council anticipates receiving grants from the Federal Transit Administration (“FTA”) for engineering and construction of the Project under a Full Funding Grant Agreement (“FFGA”) with the FTA. 2.The Council is a party to a Cooperative Funding Agreement for the Project Development phase (“PDP”) with Washington County, Ramsey County, and the Ramsey County Regional Railroad Authority or the Project. 3.The Council has received grants from the Counties Transit Improvement Board (“CTIB”) for Project activity in the PDP of the Project. 4.The Citymaybe involved in certain activities or possibly provide materials in connection with and in support of the Project, and the Council may desire to pass through federal, CTIB, or local funds to the Cityfor costs associated with such Project activities or materials. 5.The City may provide funding for certain FFGA and non-FFGA components which may be designedor constructedas part of, or during, the PDP, Engineering and Construction phases. The details of these future actions will be captured in Subordinate Funding Agreements to this Agreement. 6.This Agreement is entered into between the Parties to provide a mechanism for the transfer of Project funds from the Council to the Cityfor activities undertaken by the Cityforthe Packet Page Number 195 of 312 J1, Attachment 1 Project(Part One), and for the transfer of City funds to the Council for components related to, but not currently part of,the Project(Part Two). In addition, this Agreement establishes general provisions applicable to transfers from either Party to the other (Part Three). NOW, THEREFORE, the Parties agree as follows: PART ONE ARTICLE 1. PURPOSE The purpose of Part One of this Agreement is to provide: a.A method for the transfer of funds from the Council to the Cityfor activities performed or materials supplied by the City in connection with and in support of the Project; and b.Contractual provisions that address compliance with federal and state laws and regulations as well as Council procedures including, without limitation, federal requirements for the monitoring of the City’s Project activities using federal grant funds. ARTICLE 2. SUBORDINATE FUNDING AGREEMENTS TRANSFERRING FUNDS FROM COUNCIL TO CITY 2.01Transfer of Funds from Council to City. The Council will transfer Project funds to the Cityfor the Project activities performedby the City. The transfer of funds from the Council to the City shall be in accordance with Subordinate Funding Agreements executed in accordance withthis Article 2, each of which shall state the specific purpose for the funds, the City’s responsibility with respect to those funds, and establish who will own any assets constructed or assets remaining upon completion of Projectactivities. Each such Subordinate Funding Agreement shall constitute a subrecipient or contractor agreement with the Council for the purposes of any federal grant funds transferred to the City. The Council shall bear no responsibility for any costs incurred by the Cityfor the Project that exceed the amounts committed by Subordinate Funding Agreements as such agreements may from time to time be amended. 2.02Subordinate Funding Agreements. In accordance with Section 2.01, the Parties shall enter into Subordinate Funding Agreements to facilitate the funding by the Council of Project activities to be performed by the City.The Parties anticipate there may be multiple Subordinate Funding Agreements between them in connection withthe Project. Each Subordinate Funding Agreement shall be in a form substantially similar to that attached as Exhibit A2 and shall follow and be subject to the terms of Part One and Part Three of this Agreement, unless expressly otherwise agreed to in writing. This Agreement does not create a specific financial obligation for either Party or require either Party to enter into any specific Subordinate Funding Agreements., No liability shall attach to either Party under this Agreement for refusing to enter into a Subordinate Funding Agreements. 2.03Implementation of Subordinate Funding Agreements.The Council will only reimburse the Cityfor Project activities that are the subject of a Subordinate Funding Agreement. Prior to entering a contract with any third party (including for the acquisition of property rights) Packet Page Number 196 of 312 J1, Attachment 1 to accomplish the City’s reimbursable activities, or prior to authorizing any Cityemployees to proceed with any reimbursable activities, the Cityshall present a work scope (including a work schedule),staffing plan, and detailed budget for such services or expenditures to the Council for review and approval (the “Scope and Schedule”). This Scope and Schedule will form the basis of the Subordinate Funding Agreement. 2.04 Council Determination of Contractor or Subrecipient Relationship. The Council shall determinewhether each Subordinate Funding Agreement is a subrecipient or contractor agreement. The Council shall state its determination in the Subordinate Funding Agreement.For subrecipient agreements, the Citywill be responsible forcompliance with applicable FTA laws, regulations, and deliverables. For contractoragreements, the Council will be responsible for compliance with applicable FTA laws, regulations, and deliverables. 2.05Modifications of Subordinate Funding Agreements. The following provisions apply to modifications of any Subordinate Funding Agreement: a.Re-budgeting within an approved budget is allowable, as long as the budget is within the maximum amount of authorized funding. b.Modifications in work scope, if within the approved budget, are authorized when approved in writing by the Project Managers. c.Any other modifications to aSubordinate Funding Agreement shall require a written amendment of the Subordinate Funding Agreementexecuted by the Parties’duly authorized representatives. d.Modification requests should be sent to the Project Managers. 2.06Transfer of Project Funds to the CityUnder Subordinate Funding Agreements. The Council shall pay the Cityunder Subordinate Funding Agreements as follows: a.Unless specifically agreed to by the Parties under a particular Subordinate Funding Agreement, payment to the City for Project costs under each Subordinate Funding Agreement shall be on a reimbursement basis based upon the submittal of invoices satisfactorily evidencing the expenditure of funds by the City for the Project. b.Unless specifically agreed to otherwise by the Parties under a particular Subordinate Funding Agreement, the Cityshall submit separate monthly invoices for each outstanding Subordinate Funding Agreement to the following address: Attn: Accounts Payable Gold Line Bus Rapid Transit Project Office Metro Square Building th 121 7Place East, Suite 102 St. Paul MN 55101 or to such other address or person as the Council may designate by notice in writing. c.Each invoice shall reference the sequential number of the Subordinate Funding Agreement under which the invoice is to be paid. d.Each invoice shall include the following if the corresponding Subordinate Funding Agreement was determined by the Council to create a subrecipient relationship: Packet Page Number 197 of 312 J1, Attachment 1 i.Subrecipient Payment Request Form (Form C-22A-GBRT) as shown in Exhibit B, ii.Subrecipient Monthly Progress Report (Form GBRT P1) as shown in Exhibit B, and iii.Itemization of the expenditures for which payment is requested using the Subrecipient Invoice Detail (Form GBRT F1) as shown in Exhibit B, along with supporting documentation. e.Each invoice shall include the following if the corresponding Subordinate Funding Agreementwas determined by the Council to createacontractor relationship: i.GBRTPayment Request Form (either Engineering-Consultant or Construction) 1)Engineering-Consultant Payment Request Form (Form C22A) as shown in Exhibit B for engineering related expenses, or 2)Construction Payment Request Form (Form C21A) as shown in Exhibit B for construction related expenses, ii.A description of activities undertaken in accordance with the Subordinate Funding Agreement,and iii.An itemized list of the expenditures for which payment is requested, along with supporting documentation. f.If aDisadvantaged Business Enterprise (“DBE”) goal applies to the Project activities performed under a Subordinate Funding Agreement, invoices shall include aDBE Reporting Form as shown in Exhibit B, or such other format as may be prescribed by the Council and shall include the information required by Section 4.06 “e.” of this Agreement. g.After receipt of an invoice, the Council may request additional information from the City regarding the invoice in order to verify the accuracy and appropriateness of the expenditures for which reimbursement is requested or as required by the FTAfor reporting purposes. h.Upon receipt of an invoice and supporting documentation, the Council will make prompt payment of undisputed amounts as required by Minnesota Statutes, Section 471.425. Under either 2 C.F.R. § 200.305 or Minnesota Statutes, Section 471.425, the Council may dispute or deny part or all of any invoice payment request if it reasonably believes that the requested payment does not conform to the terms of this Agreement and the applicable Subordinate Funding Agreement. The Parties will promptly meet to review and discuss any disputed or denied payment requests and the dispute resolution process outlined in Section 6.11 of this Agreementwill ensue if the Parties cannot agree. If the Council does not pay the invoiced amount within 35 days of its receipt, the Council shall pay interest on the non-disputed amount at the rate of 1-1/2 percent per month. i.No invoice payment shall be made by the Council without prior amendment to the applicable Subordinate Funding Agreement, which would cause distribution of Project funds to exceed, cumulatively through such payment, the maximum amount of authorized funding under the applicable Subordinate Funding Agreement. Packet Page Number 198 of 312 J1, Attachment 1 j.Distribution of any funds to the City pursuant to an invoice, or approval of any report, shall not be construed as a Council waiver of any Citynoncompliance with this Agreementorthe applicable Subordinate Funding Agreement. 2.07Repayment of Unauthorized Use of Project Funds. Upon a finding by the Council that the City has made an unauthorized or undocumented use of Project funds, and upon a demand for repayment issued by the Council and supported by the reason for the finding, if the Cityagrees, the Cityshall promptly repay such amounts to the Council. If the City disagrees, the Parties will promptly meet to review and discuss any challenged use of funds already paid and thedispute resolution process outlined in Section 6.11 will ensue if the Parties cannot agree. Neither Party shall be deemed to have waived any rights or remedies available under statelaw, federallaw, common law, or otherwise. 2.08Prompt Payment to Subcontractors. Consistent with Minnesota Statutes, Section 471.425, subdivision 4a, if the City subcontracts any portion of the Project activityunder this Agreement or Subordinate Funding Agreements, the City shall pay such subcontractor within 10 days oftheCity’s receipt of payment from the Council for undisputed services provided by the subcontractor(s). The City shall not, by reason of said payments, be relieved from responsibility for Project activitydone by the subcontractor(s), and shall be responsible for all Project activityunder this Agreement or Subordinate Funding Agreement which must beaccepted by Council. ARTICLE 3. REQUIREMENTS FOR PROJECT FUNDED ACTIVITY 3.01 Allowable Costs; Unspent Funds.The City is authorized to use funds provided by the Council under this Agreement and per the terms of the Subordinate Funding Agreements only for allowable costs directly incurredfor the Project. Allowable costs will be determined in accordance with the documents referenced in Section 4.05. Funds provided by the Council in Subordinate Funding Agreements may only be used for costs directly incurred: a.within the authorized work scope, b.during the project activity period, and c.in accordance with the approved budget for the funds. Any funds provided to the City under this Agreement and applicable Subordinate Funding Agreements which remain unspent after completion of the relevant Project activity shall be promptly repaid to the Council. 3.02Documentation of Project Costs.All costs charged to the Project by the City must be supported by proper documentation, including properly executed payrolls, time records, invoices, contracts, receipts for expenses, or vouchers, evidencing in detail the nature and propriety of the chargesper the requirements of Section 4.02 of this Agreement. 3.03Establishment of Capital Assets.If Capital Assets, as defined by the FTA and determined by the Council in a Subordinate Funding Agreement, are procured by or provided to the City under a Subordinate Funding Agreement, invoices shall include an Asset Tracking Log as shown in Exhibit B, or such other format as may be prescribed by the Council. Packet Page Number 199 of 312 J1, Attachment 1 3.04Establishment and Maintenance of Project Information.The Cityagrees to establish and maintainaccurate, detailed, complete, and separate books, accounts, financial records, documentation, and inspection and quality assurance reports produced by Citystaff or contractors, and other evidence relating to the receipt and expenditure of all Project funds. All such Project information shall be established and maintained in accordance with generally accepted government accounting principles and practices and shall be retained intact by the City until the latest of: a.complete performance of this Agreement and all Subordinate Funding Agreements; b.six years following the term of this Agreement and all Subordinate Funding Agreements; c.six years following the close out of the Project by the Council and the FTA; or d.if any litigation, claim, or audit is commenced during any such periods, when all such litigation, claims or audits have been resolved. If the Cityengages any contractors to perform any part of the Project activities, the Cityshall include contract provisions requiring the contractor(s)to establish and maintain Project information in accordance with the provisions of this article and to allow audit of such information in the same manner provided with respect to the Cityin this Section and Section 3.05. The provisions of this Section 3.04shall survive termination of this Agreement. 3.05Reimbursed Costs Audit. The accounts and records of the Cityrelating to the reimbursable costs for the Project shall be audited in the same manner as all other accounts and records of the Cityare audited. During the time of maintenance of information under Section 3.04, authorized representatives of the Council, and either the Legislative Auditor or State Auditor in accordance with Minnesota Statutes, Section 16C.05, subdivision 5, the United States Secretary of Transportation, the FTA Administrator, and the United States Comptroller General in accordance with 49 U.S.C. Section 5325(g) will have access to all such books, records, documents, accounting practices and procedures, and other information for the purpose of inspection, audit, and copying during normal business hours. Proper facilities for such access and inspection shall be provided by the City. The provisions of this Section 3.05shall survive termination of this Agreement. 3.06Use of Contractors.If the City engages any contractors to perform any activities reimbursable by the Council under Part One of this Agreement, the City agrees that the contract for such services shall include all of the following provisions. These requirements are in addition to other requirements for such contracts set forth in this Agreement. a.The contractor must maintain all records and provide all reporting as required by this Agreement. b.The contractor must defend, indemnify, and save harmless the Council from all claims, suits, demands, damages, judgments, costs, interest, and expenses arising out of or by reason of the performance of the contracted Project activity, caused in whole or in part by any negligent act or omission of the contractor, including negligent acts Packet Page Number 200 of 312 J1, Attachment 1 or omissions of its employees, subcontractors, or anyone for whose acts any of them may be liable. c.The contractor must provide and maintain insurance in amounts and types of coverage appropriate to the contracted Project activity and naming the Council as an additional insured and provide to the City a certificate of insurance evidencing such insurance coverage. d.The contractor must be an independent contractor for the purposes of completing the contracted Project activity. e.The contractor shall perform and complete the contracted Project activity in full compliance with this Agreement and all applicable laws, statutes, rules, ordinances, and regulations issued by any federal, state, or local political subdivisions having jurisdiction over the contracted Project activity. 3.07Contract Information.The City shall, in connection with any contract entered into for the Project: a.Keep the Council informed as to the progress of such contract; b.allow authorized representatives of the Council access to all meetings and documentation related to such contract; c.upon request promptly provide the Council with copies of correspondence between the City and the contractor related to such contract; and d.in addition to terms specified in this Agreement, contract documents enteredinto with the contractor will include appropriate insurance, indemnification, and liability provisions as negotiated and accepted by the City and the contractor. The Council expects the contract documentswill include the following: i.the contractor’s insurance will list the Council as an additional insured under the contractor’s policy with a minimum 30 day cancellation period; ii.the contractor will defend and indemnify the Council; iii.the Council will be a beneficiary of the performance and payment bonds; iv.all warranties will extend to the Council; and v.the Council will be a third party beneficiary to the contract with the contractor which will give the Council the authority to enforce the provisions of the contract. Packet Page Number 201 of 312 J1, Attachment 1 ARTICLE 4. FEDERAL REQUIREMENTS 4.01Federal Requirements.Monies that may be provided to the City by the Council pursuant to this Agreement may be funded in whole or in part by the FTA. The requirements in this Article 4 are in addition to and, unless inconsistent and irreconcilable, do not supplant requirements found elsewhere in this Agreement. If any requirement in this article is inconsistent with a provision found elsewhere in this Agreement or any Subordinate Funding Agreement and is irreconcilable with such provision, the requirement in this Article 4shall prevail. 4.02 Incorporation of Federal Grant.As the Council receives federal grants, including a potential Full Funding GrantAgreementfor the Project, the Council will provide the Citywith a copy of each grant. The terms of each grant and any amendments shall be automatically incorporated by reference into this Agreement without further action by the Parties. These grants are collectively referred to in this Agreement as the “Federal Grants.” When performing Project activity or expending funds for Project activities, the Cityagrees to comply with all applicable terms and conditions of the Federal Grants received by the Council with respect to the Project. 4.03Incorporation of Specific Federal Requirements. Specifically, and without limitation, the Cityagrees to comply with the federal requirements set forth in Exhibit C and agrees to require, unless specifically exempted, third party contractors at every tier to comply with the same. 4.04 Federal Certifications and Assurances; Execution and Incorporation. The Cityagrees to comply with and to certify compliance with the most recent version of the federal Annual List of Certifications and Assurances for Federal Transit Administration Grants and Cooperative Agreementsif the Council determines the City is a subrecipient under a Subordinate Funding Agreement. The Citymust certify compliance with the applicable provisions by signing the appropriate certification(s) and returning the signed certification(s) as part of the execution of the applicable Subordinate Funding Agreement. During the term of the applicable Subordinate Funding Agreement, the Council shall provide to the Citythe annualFederal Certifications and Assurances document, which the Cityshallexecute and return to the Council. 4.05Compliance with Federal Requirements; Incorporation of Specific Documents by Reference.The Cityagrees to comply with all federal statutes, rules, FTA Circulars, and Executive Orders which may be applicable to the Federal Grants. In particular, the City agrees to comply with the terms and conditions of the current version of the following documents when performing Project activity or expending funds for Project activities under this Agreement or any Subordinate Funding Agreement: a.FTA Master Agreement; b.2 C.F.R. Part 200 Uniform Administrative Requirements, Cost Principles, and Audit Requirements for Federal Awards, as amended; c. FTA Circular 5010.1E, Grant Management Requirements,as amended; d.FTA Circular 5200.1A Full-Funding Grant Agreements Guidance,as amended; e.FTA Circular 4220.1F Third Party Contracting Requirements,as amended; Packet Page Number 202 of 312 J1, Attachment 1 as such statutes, rules, circulars, and executive orders may hereafter be amended or modified. The listed documents are incorporated by reference into this Agreement. Copies of these documents are available on the FTA website (https://www.transit.dot.gov/)or, upon request by the City, from the Council. 4.06Third Party Contracts. If the City decides to fulfill any of its obligations or duties under a Subordinate Funding Agreement through a third-party contract to be paid for by funds received under this Agreement, the City agrees to the following provisions. These requirements are in addition to other requirements for such contracts set forth in this Agreement. a.Compliance with Federal Procurement Requirements.The Citywill comply with all applicable federal law, rules, and guidance relating to such procurement including, without limitation, the provisions of the most current version of the Third Party Contracting Requirements, FTA Circular 4220.1F, which document is incorporated by reference into this Agreement. b.Certification of City’s Procurement System.The Citycertifies that its procurement system complies with the standards described in the previous paragraph. c.Council Approval of Contracts.The Cityshall not execute any third-party contract or otherwise enter into a binding agreement until it has first received written approval from the Council. The Council’s approval of any such third-party contract is solely for the benefit of the Council and shall not relieve the City of the responsibility to ensure that such contracts are in the proper form and include all state and federal requirements. Additionally, aSubrecipient Contract Initiation Memo, as shown in Exhibit B, is required to be executed prior to any procurement over $50,000. Requests to enter into agreements should be sent to the Project Manager. d.Inclusion of Provisions in Lower Tier Contracts.The City agrees to include adequate provisions to ensure compliance with applicable federal requirements in each lower tier subcontract financed in whole or in part with monies fromthe Project provided under this Agreement including all applicable provisions of this Agreement. Exhibit C provides the provisions to be included in such subcontracts. e.Disadvantaged Business Enterprise(DBE”)Requirements.For all Project activity performed under Part One ofthis Agreement, the Citywill comply with the Council’s DBE Program. In particular, the City agrees to comply with the requirements of the Council’s“Disadvantaged Business Enterprise Pass Through Agreement and Program” document which is attachedto and made a part of this Agreement as Exhibit D. For the purpose of Exhibit D, the following provisions apply: i.The Metropolitan Council DBE Liaison Officer, or designated staff, shall act as the City DBE Liaison Officer for the purposes of Project activity under Part One of this funding Agreement. ii.The City agrees to submit to the Council for review, approval, and establishment of the appropriate DBE goal aSubrecipient Contract Initiation Memo, as shown in Exhibit B, for all procurements in excess of $50,000. Noncompliance with DBE requirements may result in sanctions, including ineligibility for reimbursement pursuant to 2 C.F.R. § 200.305. Packet Page Number 203 of 312 J1, Attachment 1 iii.The City will provide reports to the Council reflecting all invoices paid on procurements for which a DBE goal has been established and identifying all DBE activity on such procurements. iv.The Citywill report DBE activity, on the Disadvantage Business Enterprise Reporting Form, to the Council on other purchase orders and invoices not included above with each Request for Payment. v.DBE eligibility will be based on the most recentDBEDirectoryfrom the Minnesota Unified Certification Program (https://mnucp.metc.state.mn.us/ ). f.Federal Procurement Basics. The City remains responsible for conforming its procurement processes to all applicable federal requirements for funds received from the Council under this Agreement and any Subordinate Funding Agreement. 4.07 Provisions Subject to Change.The City acknowledges that federal requirements in this Article 4are subject to change and agrees that the most recent of these requirements shall govern this Agreement at any particular time. 4.08 No Federal Obligation. Monies provided under this Agreement may be financed in whole or in part by federal funds. However, payments to the Citywill be made by the Council. Pursuant to the Federal Transit Administration Master Agreement Section 2(f), the United States is not a party to this Agreement and no reference in this Agreement to the United States, the United States Department of Transportation, the FTA, or any representatives of the federal government makes the United States a party to this Agreement. The Cityshall include this clause in any contracts or agreements entered into pursuant to this Agreement. 4.09Special Reporting Requirements. The Council is required to report to the FTA regarding the Project activities. Accordingly, the City agrees to provide the Council with any additional or follow-up information reasonably requested by the Council, in order to meet the Council’s FTA reporting requirements. PART TWO ARTICLE 5. SUBORDINATE FUNDING AGREEMENT TRANSFERRING FUNDS FROM CITYTO COUNCIL 5.01Purpose. The purpose of thisPart Two is to provide a method for transferring City funds to the Council for components related to but currently not part of the Project, should any such payment be authorized by the City. 5.02Transferof Funds Requires Subordinate Funding Agreement.The Citymay provide funding for components related to but not part of the Project through the transfer of funds to the Council. Each such transfer of funds to the Council from the Cityshall be in accordance with one or more duly executed Subordinate Funding Agreements, each of which shall define the amount of funds committed by the City to the Council, specify the purpose for the funds, and establish which Partywill own the asset constructed or remaining upon completion of the Project activity. Packet Page Number 204 of 312 J1, Attachment 1 5.03SubordinateFunding Agreements. To facilitate funding by the City in accordance with Section 5.01, the Parties shall enter into Subordinate Funding Agreements. Subordinate Funding Agreements shall be in a form similar to Exhibit A1 and shall follow and be subject to the terms of Parts Two and Three of this Agreement, unless expressly otherwise agreed to in writing. In spite of any other provisions of this Agreement, this Agreementdoes not create a specific financial obligation for either Party or to require either Party to enter into any specific Subordinate Funding Agreements, and no liability shall attach to either Party under this Agreement for refusing to enter into one or more subsequent Subordinate Funding Agreements. 5.04Implementationof Subordinate FundingAgreements.The City will only reimburse the Council for components related to the Project that are the subject of a Subordinate Funding Agreement. Prior to entering into a contractual obligation with any third party (including for the acquisition of property rights) to accomplish the Council’s obligations reimbursable by the City, or prior to authorizing any Council employees to proceed with any reimbursable actions, the Council shall present a work scope (including a work schedule), staffing plan, and detailed budget for such services or expenditures to the City for review and approval. 5.05 Modifications of Subordinate Funding Agreements. The following provisions apply to any modifications in a particular Subordinate Funding Agreement: a.Re-budgeting within an approved budget is allowable, as long as the budget is within the maximum amount of authorized funding. b.Modifications in work scope, if within the approved budget, are authorized when approved in writing by the City’s Assistant City Engineer, or such other person as the Citymay designate by notice to the Council. c.Any other modifications in a particular Subordinate Funding Agreement, including any increase in the maximum amount of authorized funding or changes in the applicable activity period, shall require a formal amendment of the Subordinate Funding Agreementexecuted by the Parties. 5.06Transfer of Funds to the Council Under Subordinate Funding Agreements. The Cityshallpay the Council under Subordinate Funding Agreements as follows: a.Unless specifically agreed to otherwise by the Parties under a particular Subordinate Funding Agreement, payment to the Council for costs under each Subordinate Funding Agreement shall be on a reimbursement basis after the submittal of invoices evidencing the expenditure of funds by the Council. b.The Council shall submit separate monthly invoices for each outstanding Subordinate Funding Agreement to the following address: City of Maplewood Attn. Steven Love 1902 County Road B East Maplewood MN, 55109 or to such other City address or person as the Citymay designate in writing. Packet Page Number 205 of 312 J1, Attachment 1 c.Unless the Parties otherwise agree, the Council shall submit each invoice to the City in the standard Council format and shall reference the sequential number of the Subordinate Funding Agreement under which the invoice is to be funded. d.Each invoice must include: i.A description of activities undertaken in accordance with the Subordinate Funding Agreement; ii.An itemized list of the expenditures for which payment is requested; and iii.Supporting documentation. e.The Council shall add a 3% administrative fee to each invoice to be paid by the City. The Council reserves the right to adjust the fee percentages on an annual basis as amended in a Subordinate Funding Agreement. If this Agreement or the Subordinate Funding Agreement is terminated, the City shall be entitled to reimbursement of any unused portions of the above fee. f.After receipt of an invoice, the City may request additional information from the Council regarding the invoice to verify the accuracy and appropriateness of the expenditures for which reimbursement is requested. g.The Cityshall pay the Council the approved invoice amount within 30 days of its receipt.The Citymay dispute all of or any part of an invoice if it reasonably believes that the requested payment does not conform to the terms of this Agreement or the applicable Subordinate Funding Agreement. If disputed, the Parties will promptly meet to review and discuss the disputed or denied payment requests and the dispute resolution process outlined in Section 6.11 of this Agreement will ensue if the Parties cannot agree.Unless the City has disputed the payment of an invoice, if the Citydoes not pay the invoiced amount within 30 days of its receipt, the Council shall charge, and the City shall pay interest on the non-disputed amount at the rate of 1-1/2 percent per month. The City shall not withhold the payment of any amount that is not in dispute. h.No invoice payment shall be made by the City without prior amendment to the applicable Subordinate Funding Agreement, which would cause the distribution of funds to exceed, cumulatively through such payment, the maximum amount of authorized funding under the applicable Subordinate Funding Agreement. i.The City’s payment of any invoices or approval of any reports shall not constitutea waiver of any Council noncompliance with this Agreement or the applicable Subordinate Funding Agreement. 5.07Repaymentof Unauthorized Use of Funds. Upon a finding by the Citythat the Council has made an unauthorized or undocumented use of City funds, and upon a demand for repayment issued by the City and supported by the reason for the finding, if the Council agrees, the Council shall promptly repay such amounts to the City. If the Council disagrees, the Parties will promptly meet to review and discuss any challenged use of funds already paid and dispute resolution pursuant to Section 6.11 will ensue if the Parties cannot agree.Neither Party shall be deemed to have waived any rights or remedies available under statelaw, federallaw, common law or otherwise. Packet Page Number 206 of 312 J1, Attachment 1 5.08Use of Funds; Allowable Costs. The Council is authorized to use funds provided by the City under this Agreement only for costs directly incurred under a specific Subordinate Funding Agreement. Funds provided by the City under Subordinate Funding Agreements may only be used for costs directly incurred: a.Within the authorized work scope; b.During the specified activity period; and c.In accordance with the approved budget for the funds. 5.09 Documentation of Costs.All reimbursable costs charged to the Cityby the Council must be supported by proper documentation, including properly executed payrolls, time records, invoices, contracts, receipts for expenses, or vouchers, evidencing in detail the nature and propriety of the charges. 5.10Establishment and Maintenance of Information.The Council agrees to establish and maintain accurate, detailed, complete, and separate books, accounts, financial records, documentation, and other evidence relating to the receipt and expenditure of all funds from the City. All such information shall be established and maintained in accordance with generally accepted government accounting principles and practices and shall be retained intact by the Council until the latest of: a.Complete performance of this Agreement and all Subordinate Funding Agreements; b.Six years following the term of this Agreement and all Subordinate Funding Agreements; c.Six years following the close out of the Project by the Council and the FTA; or d.If any litigation, claim, or audit is commenced during any such periods, when all such litigation, claims or audits have been resolved. If the Council engages any contractors to perform any part of the activitiesreimbursable by the City, the Council agrees that the contract for such services shall include provisions requiring the contractor to establish and maintain information in accordance with the provisions of this Article and to allow audit of such information in the same manner provided with respect to the Council in this Section 5.10. The provisions of this Section 5.10 shall survive termination of this Agreement. 5.11Audit. The accounts and records of the Council relating to costs reimbursable by the City shall be audited in the same manner as all other accounts and records of the Council are audited. During the time of maintenance of information under Section 5.10, authorized representatives of the City; the Legislative Auditor and/or State Auditor in accordance with Minnesota Statutes, Section 16C.05, subdivision 5; the United States Secretary of Transportation; the FTAAdministrator, and the United States Comptroller General in accordance with 49 U.S.C. Section 5325(g); will have access to all such books, records, documents, accounting practices and procedures, and other information for the purpose of inspection, audit, and copying during normal business hours. Proper facilities for such access and inspection shall be provided by the Council. The provisions of this Section 5.11shall survive termination of this Agreement. Packet Page Number 207 of 312 J1, Attachment 1 5.12Use of Contractors. If the Council engages any contractors to perform any activitiesreimbursable by the City under Part Two of this Agreement,the Councilagrees that the contract for such services shall include all of the following provisions. These requirements are in addition to other requirements for such contracts set forth in this Agreement. a.The contractor must maintain all records and provide all reporting as required by this Agreement. b.The contractor must defend, indemnify, and save harmless the Cityfrom all claims, suits, demands, damages, judgments, costs, interest, and expenses arising out of or by reason of the performance of the contracted Project activity, caused in whole or in part by any negligent act or omission of the contractor, including negligent acts or omissions of its employees, subcontractors, or anyone for whose acts any of them may be liable. c.The contractor must provide and maintain insurance in amounts and types of coverage appropriate to the contracted Project activity and naming the Cityas an additional insured and provide to the Council a certificate of insurance evidencing such insurance coverage. d.The contractor must be an independent contractor for the purposes of completing the contracted Project activity. e.The contractor shall perform and complete the contracted Project activity in full compliance with this Agreement and all applicable laws, statutes, rules, ordinances, and regulations issued by any federal, state, or local political subdivisions having jurisdiction over the contracted Project activity. 5.13 Contract Information. The Council shall, in connection with any contract entered into for reimbursable Project activity under Part Two of this Agreement: a.Keep the City informed as to the progress of such contract; b.allow authorized representatives of the Cityaccess to all meetings and documentation related to such contract; c.upon request, promptly provide the Citywith copies of correspondence between the Council and the contractor related toany such contract; and d.in addition to terms specified in this Agreement, contract documents enter into with the contractor will include appropriate insurance, indemnification, and liability provisions as negotiated and accepted by the Council and the contractor. The City expects the contract documentswill include the following: i.the contractor’s insurance will list the City as an additional insured under the contractor’s policy with a minimum 30 day cancellation period; ii.the contractor will defend and indemnify the City; iii.the City will be a beneficiary of the performance and payment bonds; iv.all warranties will extend to the City; and v.the City will be a third party beneficiary to the contract with the contractor which will give the City the authority to enforce the provisions of the contract. Packet Page Number 208 of 312 J1, Attachment 1 PART THREE ARTICLE 6. GENERAL PROVISIONS 6.01Purpose. The purpose of thisPart Three is to establish the general provisions that apply to this Agreement and each Subordinate Funding Agreement executed by the Parties hereafter. 6.02Independent Contractors.The Parties agree that any and all persons employed by or on behalf of a Party to perform any Project activity or duties as an agent of a Party under this Agreement shall not be considered employees of the other Party. Any and all claims that may or might arise under the Workers’ Compensation Act of Minnesota on behalf of said employees or persons while so engaged, and any and all claims made by any third person as a consequence of any act or omission on the part of said employees or persons while so engaged in any of the Project activity contemplated in this Agreement, shall not be the obligation or responsibility of the other Party. This Agreement is not intended to constitute an interchange of government employees within the meaning of Minnesota Statutes, Section 15.51, et seq. 6.03Entire Agreement.This Agreement constitutes the entire agreement between the Parties and supersedes all oral agreements and negotiations between the Parties relating to the subject matter of this Agreement. As stated herein, this Agreement depends upon one or more Subordinate Funding Agreements for the actual authorization of Project activityor transfer of any reimbursements and the terms of any subsequent Subordinate Funding Agreements shall be considered together with this Agreement. 6.04Non-Waiver of Immunity and Limits. Nothing in this Agreement shall be construed to waive the immunities or liability limits provided in Minnesota Statutes, Chapter 466, or other applicable state or federal law. The provisions of Minnesota Statutes, Section 471.59, subdivision 1a, specifically apply to this Agreement. 6.05Amendments.The terms of this Agreement and any Subordinate Funding Agreement may be changed only by mutual agreement of the Parties. Such changes shall be effective only upon the execution of written amendments signed by the Parties’ duly authorized representatives. 6.06Non-Waiver.The failure of either Party at any time to insist upon the strict performance of any or all of the terms, conditions, and covenants in this Agreementor any Subordinate Funding Agreement shall not be deemed a waiver by that Party of any subsequent breach or default in the said terms, conditions, or covenants by the other Party. 6.07 Severability. The provisions of this Agreement shall be deemed severable. If any part of this Agreement is rendered void, invalid or unenforceable, such rendering shall not affect the validity and enforceability of the remainder of this Agreement unless the part or parts which are void, invalid or otherwise unenforceable shall substantially impair the value of the entire Agreement with respect to either Party. 6.08Assignment Prohibited.Neither Party shall assign their obligations under this Agreement. Packet Page Number 209 of 312 J1, Attachment 1 6.09Time.The Parties agree that all obligations undertaken under this Agreement, and with respect to any subsequent Subordinate Funding Agreements entered into by the Parties, will be diligently performed in a manner consistent with the proper exercise of professional care and with due consideration to Project timelines and constraints. 6.10Notices. Except as otherwise expressly provided in this Agreement, all requests, notices, demands, authorizations, directions, consents, waivers or other communications required or permitted under this Agreement shall be in writing and shall either be: a.Delivered in person; b.Deposited postage prepaid in the certified mails of the United States, return receipt requested; c.Delivered by a nationally recognized overnight or same-day courier service that obtains receipts; or d.Delivered via email attachment. Such communications shall be directed to the individuals specified below or to such other persons and at such other addresses as either Party may at any time or from time to time designate for itself by notice in accordance with this section. Each such request, notice, demand, authorization, direction, consent, waiver or other document shall be deemed to be delivered to a Party when received at its address set forth or designated as above provided. For the Council: Christine Beckwith – Senior Project Manager Metro Gold Line Bus Rapid Transit Project Office Metro Square Building th 121 7Place East, Suite 102 St. Paul MN 55101 Phone: 651-602-1994 E-mail address: Christine.Beckwith@metrotransit.org For the City: Steve Love – Public Works Director / City Engineer City of Maplewood 1902 County Road B East Maplewood MN 55109 Phone: 651-249-2404 E-mail address: steve.love@maplewoodmn.gov _______________ 6.11Dispute Resolution. A dispute resolution process shall be used for any unresolved issue, dispute or controversy between the Parties before any legal remedies are exercised. The dispute resolution process contains a three-level dispute resolution ladder that escalates a dispute from the project management level through the executive management level. The City is represented from Level 1 to 3 in the following order: City Engineer,Director of Public Works, and City Manager. The Council is represented from Level 1 to 3 in the following order: Deputy General Manager, General Manager, and Regional Administrator.At each level, representatives of the Parties shall meet and continue to explore resolution until either Party Packet Page Number 210 of 312 J1, Attachment 1 determines, in good faith, that effective resolution is not possible at the current level andnotifies the other Party that the process is elevated to the next level. If either or both Parties make such a determination at any point during issue resolution at Level 3, then the dispute resolution process has been exhausted. 6.12Project Manager.The Council’s Project Manager for purposes of administration of this Agreement, and any Subordinate Funding Agreements entered into pursuant to this Agreement, is the person whose title is listed in Section 6.10, or such other person designated in writing by the Council’s Regional Administrator. The City’s Project Manager for purposes of administration of this Agreement and any Subordinate Funding Agreements entered into pursuant to this Agreement is the person whose title is listed in Section 6.10, or such other person designated in writing by the City.The City’s Project Managershall: a.Coordinate the carrying out of the City's obligations under this Agreement; b.Coordinate Subordinate Funding Agreement work scope activities with the Council’s Project Manager; c.Attend meetings called by the Council’s Project Managerfor Projectstaff; and d.Complete training to be provided by the Council with respect to Council and federal requirements under this Agreement and any Subordinate Funding Agreements entered into pursuant to this Agreement. Unless specifically and duly authorized by the Parties’ respective governing bodies or adopted administrative procedures, the Parties’ Project Managers are not authorized to execute amendments to this Agreement or amendments to any Subordinate Funding Agreement. 6.13Applicable Law and Venue.This Agreement shall be interpreted in accordance with the laws of the State of Minnesota. Venue for all legal proceedings arising out of or relating to this Agreement or any associated Subordinate Funding Agreements, or breach thereof, shall be in the state or federal court with competent jurisdiction inRamsey County, Minnesota. 6.14Effective Date and Termination.This Agreement shall be effective on the date when both Parties’ duly authorized representatives have signed this Agreement. This Agreement or a Subordinate Funding Agreement shall terminate upon the earliest of: a.Completion of construction of the Project and reimbursement of all costs provided for in this Agreement and all Subordinate Funding Agreements; b.A determination by the Council that theProject or Project activities funded under a Subordinate Funding Agreement cannot proceed; c.A determination by the City that a Subordinate Funding Agreement transferring City funds to the Council cannot proceed, however this Agreement may not be terminated if a Subordinate Funding Agreement is outstanding; d.A determination by the Council that sufficient funds do not exist, or are not reasonably projected to exist, in order to complete the Project or a Subordinate Funding Agreement; or e.The Council providing 90daysadvance writtennoticeto the Citythat it is terminating this Agreement or any Subordinate Funding Agreement. Packet Page Number 211 of 312 J1, Attachment 1 The Cityagrees that Project closeout or termination of this Agreement or any particular Subordinate Funding Agreement does not invalidate continuing obligations imposed on the City by this Agreement or such Subordinate Funding Agreements or any agreements entered into pursuant to thisAgreementor aSubordinate Funding Agreement. Project closeout or termination of this Agreement does not alter the Council’s authority to disallow costs and recover funds on the basis of a later audit or other review anddoes not alter the City’s obligation to return any funds determined to be due to the Council. The Council agrees that Project closeout or termination of this Agreement or any particular Subordinate Funding Agreement does not invalidate continuing obligations imposed on the Council by this Agreement or such Subordinate Funding Agreements or any agreements entered into pursuant to thisAgreement or a Subordinate Funding Agreement. Project closeout or termination of this Agreement does not alter the City’s authority to disallow costs and recover funds on the basis of a later audit or other review and does not alter the Council’s obligation to return any funds determined to be due to the City. 6.15Exhibits.All attached exhibits are incorporated intoand made a part ofthis Agreement. 6.16Breachby City.If the Citymaterially breaches the terms, covenants, or conditions which this Agreementrequires the Cityto perform, the Council will notifytheCityof the breach within a reasonable time afterthe Council becomes aware of the breach. The Citywill then be given a reasonable time period to cure the breach. If the breach is not cured within 90 days, then senior management from the Cityand the Council will meet in good faith to discuss the breach and the measuresnecessaryto remedy it. If the meeting between senior management from the Council and the City does not result in a cure or a planto effect a cure that is satisfactory to the Council, then the Council may terminate thisAgreement upon 90 days’ written notice to the City. If circumstances dictate that the breach must be cured immediately, and the Council is forced to cure the breach, the Citywill reimburse the Council for the reasonable costs of effecting the remedy. The Council retains the right to collect any damages from the Citythat occurred as a result of the City’s breach. 6.17Breach by Council.Ifthe Council materially breaches any of the terms, covenants, or conditions which this Agreement requires the Council to perform, the Citywill immediately notify the Council of the breach. The Council will then be given a reasonable time period to cure the breach. If the breach is not cured within 90 days, then senior management from the Cityand the Council will meet in good faith to discuss the breach and the measures necessaryto remedy it. If the meeting between senior management from the Council and the City does not result in a cure or a plan to effect a cure that is satisfactory to the City, then theCity may terminate thisAgreement upon 90 days’ written notice to the Council. If circumstances dictate that the breach must be cured immediately,and the Cityisforced to cure the breach, the Council will reimburse the Cityfor the reasonable costs of effecting the remedy. 6.18Data Practices.The Parties will comply with the Minnesota Government Data Practices Act, Minnesota Statutes, Chapter 13, as it applies to all data created, collected, received, stored, used, maintained, or disseminated under this Agreement. \[THE REMAINDER OF THIS PAGE IS INTENTIONALLY LEFT BLANK; SIGNATURE PAGE TO FOLLOW.\] Packet Page Number 212 of 312 J1, Attachment 1 IN WITNESS WHEREOF, the Parties have caused this Agreement to be executed by their duly authorized representatives on the dates indicated below. Furthermore, this Agreement may be executed in counterparts, each of which shall be deemed to be an original, but all of which, taken together, shall constitute one and the same agreement. CITY OF MAPLEWOODMETROPOLITAN COUNCIL By: ________________________________ By: Its: Mayor_____________________________ Date: ______________________________ Its: Date: _________________________ By: ________________________________ Its: City Manager Date: ______________________________ Packet Page Number 213 of 312 J1, Attachment 1 LIST OF EXHIBITS ExhibitDescription A1Form of Subordinate Funding Agreement(City to pay Council) A2Form of Subordinate Funding Agreement(Council to pay City) BSample Forms CSpecific Federal Requirement –“Federal Clauses” DDisadvantaged Business Enterprise Pass Through Agreement and Program Packet Page Number 214 of 312 J1, Attachment 1 EXHIBITS TO THE MASTER FUNDING AGREEMENT Exhibit A1_SFA example, City Funded Local Work Exhibit A2_SFA example, Met Council Reimbursement to the City Exhibit B_Sample Forms Exhibit C_FTA Clauses Exhibit D_DBE Pass Through Agreement Program Packet Page Number 215 of 312 J1, Attachment 1 Reference Numbers: MFA_Exh A(1)_SFA_CityFundedLocalWork RT Project:6140 Metropolitan Council: City of____:_____________ PROJECT: LINE TRANSITPROJECT MASTER AGREEMENT: Master Funding Agreement# ______ – City of ____ (“MFA”) PARTIES TO AGREEMENT: MetropolitanCouncil (“Council”) City of ____ (“City”) SUBORDINATEFUNDING AGREEMENT #___ TO MFA City of ______ – RE: ______________ This Subordinate Funding Agreement (“SFA”)with the City of _____is entered by and between the above- named Parties. WHEREAS: 1.ThePartiesenteredaTransit Project (“Project”)MasterFundingAgreement (“MFA”)effective on ____________, 201. 2.The Parties provided inthe MFAthat certain aspects of funding for the Project would be determined in subsequent SFAs. 3.The Project includes work requested by _____________, hereby referred to as “Local Work,” for which the City will fund. 4.The Parties desire to enter thisSFA toprovide funding for _____________ as described in attached Exhibit A, the Scope of Work (collective, this SFA and Exhibits are the “Work”). NOW, THEREFORE, in reliance on the statements in these recitals, the Parties hereby agree as follows: 1.The total for Work (described in Exhibit A) shall be up to but not exceeding Amount of Authorized Funding. the amount of $________. 2.Payment. The funds shall be payable in accordance with the payment schedule set forth in Exhibit B and as detailed in the MFA. 3.SFABudget.The budget for the Council’s activities described in this SFA is provided in Exhibit B. City funds provided for this SFA may only be used to fund the Council’s costs for activities to be directly incurred within the described Specific Description of Funding Authorization and as detailed in the MFA. 4.Specific Description of Funding Authorization.Activities to be performed by the Council’s construction contractor and funded by the City include construction of the Work identified on Exhibit A. Packet Page Number 216 of 312 J1, Attachment 1 5.Project Activity Periods.The project activity period for the purposes of this SFA shall be effective upon execution and shall terminate on the later dateof: a)the date all costs under this SFA have been paid, b)unless terminated earlier consistent with the terms of the MFA. 6.Entry onto Easements. The Parties hereby grant to each other the right to enter onto property and any easements and rights-of-way that the Parties may have obtained for construction of the Workin order to fulfill obligations under this SFA. 7.Ownership/Maintenance. Unless otherwise noted on Exhibit A, andafter substantial completion of the Work,the Workshall become property of the City and all associated warranties and guarantees provided by the Council’s contractor(s)performing work onthe Workshall become the property of the City. Upon the City becoming the owner of the Work, the City will be responsible for operation and maintenance of the Work. 8.Project Management. Except for the City’s responsibilities outlined in Exhibit A, the Council shall perform, direct, and supervise all construction, contract administration, and inspection that the Council deems required or necessary and appropriate to complete the Work. All Workshall be performed by the Council or the Council’s contractors, as directed by the Council, in accordance with the Contract Documents, defined in Exhibit A, for the Project. The Council will actively pursue and manage each warranty identified for the duration of the warranty. 9.Incorporation.Theterms, conditions, and definitions of theMFA are expressly incorporated into this SFA except as modified herein. METROPOLITANCOUNCIL CITY OF ______ By:By: Its:Its: Date: Date: By: Its: Date: Packet Page Number 217 of 312 J1, Attachment 1 EXHIBIT A SCOPE OF WORK (“SOW”) FOR SFA # ___ Packet Page Number 218 of 312 J1, Attachment 1 EXHIBIT B Description of Work’s Budget Work NameDescriptionBid Amount Bid Total Administration (3%) SFA Total Payment Schedule for Work (timing subject to change) Payment Payable on or before: Amount # 125%: $ 250%: $ 3Remaining balance: $ Packet Page Number 219 of 312 J1, Attachment 1 Reference Numbers: MFA_Exh A(2)_SFA_Met Council reimbursement to City RT Project:6140 Metropolitan Council: City of____: _____________ PROJECT:TRANSITPROJECT MASTER AGREEMENT:reement # ______ – City of ____ (“MFA”) Master Funding Ag PARTIES TO AGREEMENT: MetropolitanCouncil (“Council”) City of ____(“City”) SUBORDINATEFUNDING AGREEMENT #___ TO MFA City of ______ – RE: ______________ This Subordinate Funding Agreement (“SFA”)with the City of _____is entered by and between the above- named Parties. WHEREAS: 1.ThePartiesenteredaTransit Project (“Project”)MasterFundingAgreement (“MFA”)effective on ____________, 201. 2.TheParties provided in the MFA that certain aspects of funding for the Project would be determined in subsequent SFAs. 3.The Parties desire to enter thisSFA toprovide funding for _____________ as described in attached Exhibit A, the Scope of Work (collective, this SFA and Exhibits are the “Work”). NOW, THEREFORE, in reliance on the statements in these recitals, the Parties hereby agree as follows: 1.The total for Work (described in Exhibit A) shall be up to but not Amount of Authorized Funding. exceeding the amount of $________. 2.Payment. The funds shall be payable in accordance with the payment schedule set forth in Exhibit B and as detailed in the MFA. 3.General Purpose of Funds: The Metropolitan Council will reimburse the City of __________ for the costs to complete _____________ (see attached Exhibit A – Scope of Work). 4.Specific Description of Funding Authorization:Funds provided under this Subordinate Funding Agreement may only be used for costs directly incurred by the City of _____________ within the described Use of Funds: Allowable Costs and as detailed in the Master Funding Agreement. Packet Page Number 220 of 312 J1, Attachment 1 5.Project Activity Period. The Project Activity Period for the purposes of this Subordinate Funding Agreement shall run from ___________, 20XX, or until reimbursement of costs associated with the Exhibit B is complete or unless terminated earlier consistent with the terms of the Master Funding Agreement. 6.Subrecipient Agreement. This Subordinate Funding Agreement, in conjunction with the Master Funding Agreement, constitutes a subrecipient agreement for thepurposes of any federal grant funds passed through to the City of _________ hereby. 7.Incorporation.Theterms, conditions, and definitions of theMFA are expressly incorporated into this SFA except as modified herein. METROPOLITANCOUNCIL CITY OF ______ By:By: Its: Its: Date: Date: By: Its: Date: Packet Page Number 221 of 312 J1, Attachment 1 EXHIBIT A SCOPE OF WORK (“SOW”) FOR SFA # ___ Packet Page Number 222 of 312 J1, Attachment 1 EXHIBIT B Description of Work’s Budget Work NameDescriptionBid Amount Bid Total SFA Total Packet Page Number 223 of 312 J1, Attachment 1 AR) Authorized By (Name of DATE: Disposal NBV (Must be within past 2 years) Date Disposal Use & Conditio DATE OF LAST PHYSICAL INVENTORY: Location e Lif Useful F3) Share Federal V Method used to determine FM Project (Form Price Asset Tracking Log EXHIBIT B - SAMPLE FORMS Date Acquisition Acquisition Source of Funding (Project # Description of AssetID/Tag # SUBRECIPIENT:CONTRACT No.: Packet Page Number 224 of 312 J1, Attachment 1 Packet Page Number 225 of 312 J1, Attachment 1 Subrecipient Contract Initiation Memo Section 1 – Project Information – to be completed by the Subrecipient Project Manager Subrecipient Project Manager: Date: Phone: Project Title: MC Project #: Proposed Services: Estimated Cost: Period of FromTo: Performance: YesNo Indicate whether or not there as a reasonable Subcontracting: opportunity for subcontracting of this procurement Subrecipient Project Manager–I have accurately completed the information in Sections 1, 2, and 3 of this SCIM. If this will be a federally funded purchase, I have completed and filed an Independent Cost Estimate. _________________________________Date: ______________________________ Signature Council Project Manager Approval I have reviewed the information in Sections 1, 2, and 3 and approve the initiation of this contract. _________________________________Date: ______________________________ Signature _________________________________Title Section 2 – Funding – to be completed by the Council Project Manager Check one box only: This contract will be FTA-assisted (complete the Grant Approval section, below) This contract will be USDOT-assisted by an agency other than FTA (i.e. FAA or FHWA) This contract will be Minnesota PFA-eligible This contract will NOT be assisted with grant funds from any source This contract has special funding: Project identification within the Subrecipient Accounting system and approved Subrecipient budget Project Budget _______________________________________________________________ AccountFundOrgProgram Subclass Project Met Council Project Budget Comments: Council Grant Approval – Federal Grant Number: _____________________ FTA-assisted contracts Council Grants Manager Signature DateCouncil Finance Officer Signature Date Funding Approval–Subrecipient financial officer. SignatureDate Title (To be signed by appropriate authorized Subrecipient staff) Packet Page Number 226 of 312 J1, Attachment 1 Section 3 – Solicitation and Selection Process – to be completed by Subrecipient Project Manager 1.Type(s) of contractor and subcontractors involved in this contract: (Please list by specialty, skill or industry) 2.Proposed means of publicizing the availability of the contract State Register Construction Bulletin Trade Publication(s): (Please list) _______, _________, ________ Community Organization(s): _______, _________, ________ Other: (Please Explain) _____________________________________________________ 3.Proposed process to select contractor Sole Source Other: (Please explain) Sealed bids_____________________________________________________ Council staff evaluation committee Section 4 – Diversity – t o be completed by Council Office of Diversity and Equal Opportunity Staff I wish to review the solicitation documents prepared for this procurement prior to advertisement and distribution I wish to be involved in the selection process for this procurement The following diversity business subcontracting goal(s) or preference apply to this contract: DBE Goal of ______% M/WBE Goal of ______ % TGB Goal of ______% MBE Goal of ______ % SBRA Goal of ______ % WBE Goal of ______ % TGB Preference of ______ % Reviewed by: Date: Section 5 – Authorization BySubrecipient in accordance with its organizational structure. I authorize the initiation of the contracting process for this procurement. ___________________________________ ____ Date: __________________________ Signature of Authorized Signer ___________________________________ Title of Authorized Signer Distribution–executedoriginal filed in Subreceipient records; copies provided to: Council Project Manager Council Office of Diversity Council Grants Manager Council Procurement Manager 12/10/2008 Packet Page Number 227 of 312 J1, Attachment 1 BLANKET PORELEASE PO Payment Request Metropolitan Council/Metro Transit Project(Form C-22A) PAYMENT REQUEST NO. FOR SUBRECIPIENTS Interim Payment RequestFinal Payment Request PAY TO:DATE: ADDRESS:PERIOD: CONTRACT # INVOICE # PROJECT NAME: SFA # SFA SUMMARY: Expenses Incurred this Project-to-Date SFA Budget Expense CategorySFA Budget Amount Balance Remaining PeriodExpenses Direct Labor$- $- $- $- Direct Materials (capital)0.000.000.000.00 Direct Materials (non-capital)0.000.000.000.00 Direct Costs (mileage, phone)0.000.000.000.00 Subcontractor0.000.000.000.00 Subcontractor0.000.000.000.00 Subcontractor0.000.000.000.00 Total Expenses$- $- $- $- AMOUNT OF PAYMENT/FINANCIAL REPORT: TOTAL EARNED TO DATE $- LESS AMOUNT PAID OR BILLED PREVIOUSLY $- AMOUNT DUE THIS PAYMENT $- AMOUNT INCURRED OR ENCUMBERED BUT NOT BILLED $- AMOUNT UNENCUMBERED $- CERTIFICATIONBYSUBRECIPIENT METROPOLITAN COUNCIL CERTIFICATION I hereby certify that the above services have been performed and that this claim is just and Disbursement Approval is completed electronically through by correct and no part of it has been paid. I certify the expenditures reflected in this invoice authorizedPO staff. are true and correct and have been made for the purpose of and in accordance with applicable terms and conditions of the award. I have examined the expenditures reflected NOTE: Blanket PO/Release PO required for all payments on this invoice and determined that each reflects a reasonable price based on market prices offered by the vendors to the general public. Appropriate documentation to support these authorized expenditures is on file and available Project/Fund Code Approval for review. These expenditures are not reimbursable from other sources and have not been By: Date: previously claimed. (Metro Tranist Finance Department) By:Date:By: Date: (Subrecipient's Authorized Representative) (Council Grants Analyst) ACCOUNT CHART FIELD AccountFundDeptProgClassProjectAmount $- $- $- $- Comments documenting any processing delays ae included on the electronic Disbursement Approval form. Note the Council is legally required to make payment within a specified period or pay interest to the vendor. Documentation of all delays is imperative in determining whether or not the COMMENTS: interest charge applies. Packet Page Number 228 of 312 J1, Attachment 1 Subrecipient Invoice Detail Project (Form F1) SUBRECIPIENT:CONTRACT No.: SFA No.: INVOICE No:BILLING PERIOD: DETAIL DESCRIPTION DIRECT LABOR LOADED TOTAL LABOR EMPLOYEE NAME TITLE HOURS RATE/HOUR*COST($) 0.00$ -$ - 0.00$ -$ - 0.00$ -$ - 0.00$ -$ - 0.00$ -$ - 0.00$ -$ - 0.00$ -$ - 0.00$ -$ - 0.00$ -$ - 0.00$ -$ - 0.00$ -$ - 0.00$ -$ - 0.00$ -$ - 0.00$ -$ - 0.00$ -$ - 0.00$ -$ - 0.00$ -$ - 0.00$ -$ - 0.00$ -$ - 0.00$ -$ - 0.00$ -$ - 0.00$ -$ - 0.00$ -$ - 0.00$ -$ - TOTAL DIRECT LABOR:$ - DIRECT COSTS** Cell Phone$ - Travel Expenses $ - Other (Explain)$ - TOTAL DIRECT LABOR: $ - SUBCONTRACTOR COSTS*** Sub-Contractor $ - Sub-Contractor$ - Sub-Contractor $ - TOTAL SUB-CONTRACTOR COSTS:$ - TOTAL INVOICED$- *Loaded rate/hour must match SFA Exhibit A (budget). Addition or change requests must be made in writing. ** Direct costs must be specifically budgeted for in the SFA and supported by proper documentation, including but not limited to, invoices, receipts, approved travel claim forms, etc. *** Sub-Contractor invoices must include the same detail and documentation as the subrecipient are required to include. Packet Page Number 229 of 312 J1, Attachment 1 { .w9/Lt9LbahbI\[twhDw9{{w9thw ΛCƚƩƒtЊΜ SFA From:Clickheretoentertext.Number:Clickheretoentertext. Contract Number:Clickheretoentertext.Date:Clickheretoentertext. Invoice Number:Clickheretoentertext.Period:Clickheretoentertext. PARTA:SCHEDULE 1.0Currentscheduledcompletiondate:Clickheretoentertext. 2.0Originalscheduledcompletiondate:Clickheretoentertext. 3.0Ifcurrentandoriginaldatesdiffer,explain:Clickheretoentertext. PARTB:BUDGETSTATUS 1.0.Originalcontractvalue:Clickheretoentertext. 2.0Amendment(ifapplicable):Clickheretoentertext. 3.0Totalearnedtodate:Clickheretoentertext. 4.0Amountduethispayment:Clickheretoentertext. 5.0Balance:Clickheretoentertext. PARTC:NARRATIVEPROGRESSSTATEMENT 1.0WorkCompletedThisMonth: Clickheretoentertext. 2.0WorkPlannedNextMonth: Clickheretoentertext. 3.0InformationalAssistanceRequests: Clickheretoentertext. 4.0Analysisofsignificantcostvariancesthismonth: Clickheretoentertext. PARTD:PROCUREMENTS 1.0ProcurementsCompletedThisMonth: Clickheretoentertext. 2.0ProcurementsPlannedforNextMonth: Clickheretoentertext. SUBMITTERSIGNATURE: SUBMITTERTITLE:DATE: FormP11 Packet Page Number 230 of 312 J1, Attachment 1 Instructions for Completing Subrecipient MPR A.SCHEDULE: Provide an explanation of the differences between original and current scheduled completion dates, include reason for change and impacts to contract deliverable(s). B.BUDGET STATUS: This section provides a summary of the budget from the corresponding monthly Payment Request Form. Amounts must match Payment Request Form. C.NARRATIVE PROGRESS STATEMENT: For each task identified in the Subordinate Funding Agreement, address the following areas: Work Completed this Month: Include significant development affecting progress, including issues encountered and other impacts on progress. Include reports completed and underway, as well as a summary of all meetings attended. Attach supplemental sheets as necessary. Work Planned Next Month: Include the general outlook for progress, including planned meetings and progress towards deliverables. Include schedule for meetings and deliverables. Attach supplemental sheets as necessary. Informational Assistance Requests: Include any needs for special instruction or assistance from the Metropolitan Council or other organizations. Include when assistance is needed, or the date it was provided if completed during the MPR period. Attach supplemental sheets as necessary. Analysis of significant cost variances: Please provide analyses of changes in proposed costs that will impact the overall contract value. Clearly state what led to the changes and how it will impact the work going forward. For instance, do you foresee similar changes occurring and their potential costs? D.PROCUREMENTS: For each task identified in the Subordinate Funding Agreement, address the following areas: Procurements Completed This Month: Include a listing of items procured; procurement method used, contract type, reason for contractor selection, cost or price, whether the vendor or vendors are DBEs, and for materials or supplies, whether the item will be tracked as an asset. Attach supplemental sheets as necessary. Procurements Planned for Next Month: Identify any planned procurements and anticipated cost or price. Attach supplemental sheets as necessary. Packet Page Number 231 of 312 BLANKET PO__________________ RELEASE PO______________________________FORM C-22A J1, Attachment 1 METROPOLITAN COUNCIL/METRO TRANSIT PAYMENT REQUEST NO.________ FOR ENGINEERING/CONSULTANT CONTRACTS _____ Interim Payment Request _____ Final Payment Request (NOTE: DIVERSITY OFFICE SIGN OFF REQUIRED FOR FINAL PAY REQUESTS ON FEDERALLY FUNDED PROJECTS) (NOTE: CONTRACTS SIGNOFF REQUIRED FOR FINAL PAY REQUESTS ON CONSTRUCTION CONTRACTS) PAY TO: DATE: ADDRESS:PERIOD FROM:TO: CONTRACT #WO # INVOICE #DATE PROJ # PROJECT: CONTRACT SUMMARY: ORIGINAL CONTRACT AMOUNT$- AMENDMENT #1$ - AMENDMENT #2$ - AMENDMENT #3$ - NET CHANGES(SUBTOTAL)$ - REVISED CONTRACT AMOUNT$- AMOUNT OF PAYMENT: $- TOTAL EARNED TO DATE LESS AMOUNT PAID OR BILLED PREVIOUSLY$- AMOUNT DUE THIS PAYMENT$- CERTIFICATIONBYCONTRACTORCERTIFICATIONBYCONTRACTORMETROPOLITANCOUNCILCERTIFICATIONMETROPOLITANCOUNCILCERTIFICATION I hereby certify that the above services have been I hereby certify that I have prepared or examined this claim for work performed during the period for performed and that this claim is just and correct and no which this payment claim has been made and that the Contractor is entitled to payment of the claim part of it has been paidUnder the terms of the contract By___________________________________ By ________________________________ __________ Contractor’s/Consultant’s Authorized Representative DateProject Manager Date By ________________________________ __________ SupervisorDate NOTE: Blanket PO/Release PO required for all payments COMPLETE THIS SIGNATURE SECTION FOR FINAL PAY REQUESTS ONLY ____ Federal Funding Applies METROPOLITAN COUNCIL DIVERSITY/EEO CERTIFICATION (final pay requests for federally-funded projects only)METRO TRANSIT CONTRACTS (receipt of Form IC 134 and other close-out documents) By___________________________________ ________By___________________________________ ________ Diversity Office Representative DateContracts Office Representative Date ACCOUNT CHART FIELDPROJECT/FUND CODE APPROVAL: AccountFundDeptProgClassProjectAmount(finance dept use only) $ - By ______________________ ______________ Grants AnalystDate ECHO DRAW # This section is required to be completed to document any processing delays. Note the Council is legally required to make payment within as specified period or pay interest to the vendor. COMMENTS: Documentation of all delays is imperative in determining whether or not the interest charge applies. H:\\Exec\\Grants\\GRANTS DEPARTMENT\\Training\\ManagingFederallyFunded Projects\\Manual\\ FORM C-22A 21.Nonconstruction_Payment_Claim_Form.xls Packet Page Number 232 of 312 BLANKET PO__________________ RELEASE PO_____________________FORM C-21A J1, Attachment 1 METROPOLITAN COUNCIL/METRO TRANSIT PAYMENT REQUEST NO.________ FOR CONSTRUCTION WORK/SERVICES _____ Interim Payment Request _____ Final Payment Request (NOTE: DIVERSITY OFFICE SIGN OFF REQUIRED FOR FINAL PAY REQUESTS ON FEDERALLY FUNDED PROJECTS) (NOTE: CONTRACTS SIGNOFF REQUIRED FOR FINAL PAY REQUESTS ON CONSTRUCTION AND CONTRACTS) PAY TO: DATE: ADDRESS:PERIOD FROM:TO: CONTRACT #WO # INVOICE #DATE PROJ # PROJECT CONTRACT SUMMARY: ORIGINAL CONTRACT AMOUNT$- CHANGE ORDERS TO DATE (CO#1 through _______):$- REVISED CONTRACT AMOUNT$- RETAINAGE : PREVIOUS RETAINAGE$- THIS PAYMENT RETAINAGE$- TOTAL RETAINAGE$- AMOUNT OF PAYMENT: TOTAL EARNED TO DATE$- AMOUNT RETAINED (_____%)$- LESS AMOUNT PAID OR BILLED PREVIOUSLY$- AMOUNT DUE THIS PAYMENT$- CERTIFICATION BY CONTRACTORMETROPOLITAN COUNCIL CERTIFICATION I hereby certify that the above services have been performed I hereby certify that I have prepared or examined this claim for work performed during the period and that this claim is just and correct and no part of it has for which this payment claim has been made and that the Contractor is entitled to payment of the been paidclaim Under the terms of the contract By___________________________________ By ________________________________ __________ Contractor’s/Consultant’s Authorized Representative DateCouncil’s Authorized Representative/ Project Manager Date By ________________________________ __________ Project Manager/Supervisor Date NOTE: Blanket PO/Release PO required for all payments COMPLETE THIS SIGNATURE SECTION FOR FINAL PAY REQUESTS ONLY ____ Federal Funding Applies (final pay METROPOLITAN COUNCIL DIVERSITY/EEO CERTIFICATION requests for federally-funded projects only)METRO TRANSIT CONTRACTS (receipt of Form IC 134 and other close-out documents) By___________________________________ ________By___________________________________ ________ Diversity Office Representative DateContracts Office Representative Date ACCOUNT CHART FIELDPROJECT/FUND CODE APPROVAL: AccountFundDeptProgClassProjectAmount(finance dept use only) By ______________________ ______________ Grants AnalystDate ECHO DRAW # This section is required to be completed to document any processing delays. Note the Council is legally required to make payment within as specified period or pay interest to the vendor. COMMENTS: Documentation of all delays is imperative in determining whether or not the interest charge applies. H:\\Exec\\Grants\\GRANTS DEPARTMENT\\Training\\ManagingFederallyFunded Projects\\Manual\\ FORM C-21A 22.Construction Pay Claim.xls Packet Page Number 233 of 312 J1, Attachment 1 TABLE OF CONTENTS ARTICLEFTA-1ARTICLEFTA-1.DEFINITIONS 1.1C.F.R. 1.2DOT 1.3EPA 1.4FTA 1.5U.S.C. ARTICLEFTA-2ACCESSTORECORDS,ACCESSTOCONSTRUCTIONSITE,AND MAINTENANCEOFRECORDS 2.1AccesstoRecords. 2.2AccesstotheSites of Performance. 2.3ReproductionofDocuments. 2.4RetentionPeriod. ARTICLEFTA-3BUYAMERICA 3.1BuyAmericaProvision. ARTICLEFTA-4CARGOPREFERENCE 4.1CargoPreference–UseofUnitedStates-FlagVessels 4.2FlyAmericaRequirements ARTICLEFTA-5EMPLOYEEPROTECTIONS 5.1PrevailingWage Requirements. 5.2Anti-KickbackProvisions. 5.3ContractWork Hours and Safety Standards. 5.4FlowDown. ModelClause/Language 5.5 PrevailingWage and Anti-Kickback 5.6 5.7ContractWork Hours and Safety Standards Packet Page Number 234 of 312 J1, Attachment 1 ARTCILEFTA-6DEBARMENT,SUSPENSION,INELIGIBILITY,ANDVOLUNTARY EXCLUSION 6.1Certification. ARTICLEFTA-7 ENVIRONMENTALSTANDARDSANDPRACTICES 7.1CleanWaterAct. 7.2CleanAirActCompliance. 7.3EnergyConservation. 7.4RecoveredMaterials. ARTICLEFTA-8LOBBYINGRESTRICTIONS 8.1CertificationofRestrictionsonLobbying;Disclosure. ARTICLEFTA-9SEISMICSAFETY 9.1SeismicSafety. ARTICLEFTA-10NATIONALINTELLIGENTTRANSPORTATIONSYSTEMS ARCHITECTUREANDSTANDARDS 10.1NationalIntelligentTransportationSystemsArchitectureand Standards. ARTICLEFTA-11PROGRAMFRAUDANDFALSEORFRAUDULENTSTATEMENTSOR RELATEDACTS 11.1ProgramFraudandFalseorFraudulentStatementsorRelatedActs. ARTICLEFTA-12CIVILRIGHTS 12.1Nondiscrimination. 12.2EqualEmploymentOpportunity. 12.3InclusioninSubcontracts. ARTICLEFTA-13GENERALPROVISIONS 13.1FederalChanges. 13.2NoObligationbytheFederalGovernment. 13.3IncorporationofFTATerms. ARTICLEFTA-14DISADVANTAGEDBUSINESSENTERPRISE(DBE) 14.1Nondiscrimination. 14.2PromptPayment. 14.3DBEGoodFaithEfforts Packet Page Number 235 of 312 J1, Attachment 1 14.4Reporting. 14.5ReviewofGoodFaithEfforts. 14.6AdministrativeSanctions. ARTICLE FTA-15VETERANS PREFERENCE ARTICLE FTA-16EXECUTIVE ORDER/SPECIAL DOL EEO CLAUSES ARTICLE FTA-17RIGHTS IN DATA AND PATENT RIGHTS Packet Page Number 236 of 312 J1, Attachment 1 ARTICLEFTA-1.DEFINITIONS ThisExhibit C supplementsthe Master Funding Agreement. WherevertherequirementsofthisExhibit C isin conflictwiththe Master Funding Agreement, thatrequirementwhichismostrestrictiveshallapply.For the purpose of this Exhibit C, “Contractor” refers tothe City of XXXX. 1.1C.F.R.: TheacronymreferringtotheUnitedStatesCodeofFederalRegulations,whichcontains regulationsapplicabletoFTAgrantrecipientsandtheircontractorsandsubcontractors. 1.2DOT: TheacronymreferringtotheUnitedStatesDepartmentofTransportation.Alsorepresentedas USDOT. 1.3EPA: TheacronymreferringtotheUnitedStatesEnvironmentalProtectionAgency.Alsorepresentedas USEPA. 1.4FTA: TheacronymreferringtotheFederalTransitAdministration, a publictransitregulatoryunitofthe USDOT,formerlyknownastheUrbanMassTransitAdministration. 1.5U.S.C.: TheacronymreferringtotheUnitedStatesCode. ARTICLEFTA-2.ACCESSTORECORDS,ACCESSTOCONSTRUCTIONSITE,ANDMAINTE- NANCEOFRECORDS 2.1Access to Records.The CONTRACTOR agrees toprovide sufficient access to FTA and its contractors to examine, inspect, and audit records and information related to performance of this Contractas reasonably may be required. In accordance with 49 U.S.C. section 5325(g), CONTRACTOR agrees to provide the Council, the Secretary of Transportation, the FTA Administrator, the Comptroller General of the United States, and any of their authorized representatives access to any books, documents, papers, and records of CONTRACTOR which are directly pertinent tothis Contractfor the purposes of making audits, examinations, inspections, excerpts, and transcriptions. CONTRACTOR also agrees, pursuant to 49 C.F.R. section 633.15, to provide the FTA Administrator or the Administrator’s authorized representatives, including any project management oversight (“PMO”) contractor, access to CONTRACTOR’s records and construction sites pertaining to a major capital project, defined at 49 U.S.C. section 5302(a)(1), which is receiving federal financial assistance through the programs described at 49 U.S.C. sections 5307, 5309, or 5311. 2.2Accesstothe Sites of Performance.CONTRACTOR agrees to permit FTA and its contractors access to the sites of performance under this Contractas may reasonably may be required. 2.3ReproductionofDocuments.The Contractor will retain, and will require its subcontractors at all tiers to retain, complete and readily accessible records related in whole or in part to this Agreement, including, but not limited to, data, documents, reports, statistics, sub-agreements, leases, subcontracts, arrangements, other third-party agreements of any type, and supporting materials related to those records. 2.4Retention Period. The CONTRACTOR agrees to comply with the record retention requirements in accordance with 2 C.F.R section 200.333. CONTRACTOR shall maintain all books, records, Packet Page Number 237 of 312 J1, Attachment 1 accounts, and reports required under this Contractfor aperiod of not less than 3years after the date of termination or expiration of this Contract, except in the event of litigation or settlement of claims arising from the performance of this Contract, in which case records shall be maintained until the disposition of all such litigation, appeals, claims, or exceptions related thereto. The expiration or termination of this Contract does not alter the record retention or access requirements of this Section. ARTICLEFTA-3.BUYAMERICA These provisions of this ArticleFTA-3 apply if the value of this Contract (including the value of any amendments thereto) exceeds $150,000. 3.1BuyAmerica. The CONTRACTORagrees tocomplywith49U.S.C.section5323(j)and49C.F.R. part 661,whichprovidethatFederalfundsmaynotbeobligatedunlessiron,steel,andmanufacturedproducts inFTA-fundedprojectsareproducedintheUnitedStates,unless a waiverhasbeengrantedbyFTA used productissubjectto a generalwaiver.Generalwaiversarelistedin49C.F.R.section661.7. orthe ARTICLEFTA-4.CARGOPREFERENCE 4.1CargoPreference–UseofUnitedStates-FlagVessels.The CONTRACTORagrees: 4.1.1To useprivatelyownedUnitedStates-Flagcommercialvesselstoshipatleast50%ofthegross tonnage(computedseparatelyfordrybulkcarriers,drycargoliners,andtankers)involved, whenevershippinganyequipment,material,orcommoditiespursuanttotheunderlyingcontract totheextentsuchvesselsareavailableatfairandreasonableratesforUnitedStates-Flag commercialvessels; 4.1.2To furnishwithin20workingdaysfollowingthedateofloadingforshipmentsoriginatingwithin theUnitedStatesorwithin30workingdaysfollowingthedateofloadingforshipments originatingoutsidetheUnitedStates, a legiblecopyof a rated,“on-board”commercialoceanbill- EnglishforeachshipmentofcargodescribedinSection 4.1.1 abovetotheDivision of-ladingin NationalCargo,OfficeofMarketDevelopment,MaritimeAdministration,Washington,DC of 20590andtotheCOUNCIL(through the CONTRACTOR in the case of a lower-tier participating subcontractor’s bill of lading); and 4.1.3To includetheserequirementsinallsubcontractsissuedpursuanttothis Contractwhenthe subcontractmayinvolvethetransportofequipment,material,orcommoditiesbyoceanvessel. 4.2FlyAmericaRequirementsTheCONTRACTORagreestocomplywith49 U.S.C.40118(the“FlyAmerica Act”)inaccordancewiththeGeneralServicesAdministration’sregulationsat41 C.F.R. part301-10,which providethatrecipientsandsubrecipientsofFederalfundsandtheircontractorsarerequiredtouserU.S. Flag Air CarriersforU.S.Government-financedinternationalairtravelandtransportationoftheirpersonal effectsorproperty,totheextentsuchserviceisavailable,unlesstravelbyforeignaircarrieris a matterof necessity,asdefinedbytheFlyAmericaAct.TheCONTRACTORshallsubmit,if a foreignaircarrierwas used,anappropriatecertificationormemorandumadequatelyexplainingwhyserviceby a U.S. Flag Air Carrierwasnotavailableorwhyitwasnecessarytouse a foreignaircarrierandshall,inanyevent, providea certificateofcompliancewiththeFlyAmericarequirements.TheCONTRACTORagreesto requirementsofthissectionFTA-4.2inallsubcontractsthatmayinvolveinternationalair includethe transportation. Packet Page Number 238 of 312 J1, Attachment 1 ARTICLEFTA-5. EMPLOYEE PROTECTIONS Certain employee protections apply to all FTA-funded contracts with particular emphasis on construction-related projects. The CONTRACTOR will comply with all federal laws, regulations, and requirements, including: 5.1Prevailing Wage Requirements 5.1.1Federal transit laws, specifically 49 U.S.C. section 5333(a), (“FTA’s Davis-Bacon Related Act”); 5.1.2The Davis-Bacon Act, 40 U.S.C. sections 31441-3144, 3146, and 3147; and 5.1.3U.S. DOL regulations, “Labor Standards Provisions Applicable to Contracts Covering Federally Financed and Assisted Construction (also Labor Standards Provisions Applicable to Non- construction Contracts Subject to the Contract Work Hours and Safety Standards Act),” 29 C.F.R. part 5. 5.2Anti-Kickback Prohibitions. 5.2.1Section 1 of the Copeland “Anti-Kickback” Act, as amended, 18 U.S.C. section 874; 5.2.2Section 2 of the Copeland “Anti-Kickback” Act, as amended, 40 U.S.C. section 3145; and 5.2.3U.S. DOL regulations, “Contractors and Subcontractors on Public Building or Public Work Financed in Whole or in part by Loans or Grants from the United States,” 29 C.F.R. part 3. 5.3Contract Work Hours and Safety Standards. 5.3.1Contract Work Hours and Safety Standards Act, as amended, 40 U.S.C. §§ 3701-3708; and supplemented by Department of Labor (DOL) regulations, 29 C.F.R. part 5; and 5.3.2U.S. DOL regulations, “Safety and Health Regulations for Construction,” 29 C.F.R. part 1926. 5.4Flow Down.These requirements extend to all third-party contractors and their contracts at every tier. The Davis-Bacon Act and the Copeland “Anti-Kickback” Act apply to all prime construction, alteration or repair contracts in excess of $2,000. The Contract Work Hours and Safety Standards Act apply to all FTA funded contracts in excess of $100,000 that involve the employment of mechanics or laborers. 5.5Model Clause/Language. The Contractor must place a copy of the current prevailing wage determination issued by the Department of Labor in each solicitation. The decision to award a contract or subcontract must be conditioned upon the acceptance of the wage determination. In addition, recipients can draw on the following language for inclusion in their federally funded procurements. 5.6Prevailing Wage and Anti-Kickback.For all prime construction, alteration or repair contracts in excess of $2,000 awarded by FTA, the Contractor shallcomply with the Davis-Bacon Act and the Copeland “Anti-Kickback” Act. Under 49 U.S.C. section5333(a), prevailing wage protections apply to laborers and mechanics employed on FTA assisted construction, alteration, or repair projects. The Contractor will comply with the Davis-Bacon Act, 40 U.S.C. sections3141-3144, and 3146-3148 as supplemented by DOL regulations at 29 C.F.R. part 5, “Labor Standards Provisions Applicable to Contracts Governing Federally Financed and Assisted Construction.” In accordance with the statute, the Contractor shall pay wages to laborers and mechanics at a rate not less than the prevailing wages specified in a wage determination made by the Secretary of Labor. In addition, the Contractor agrees to pay wagesnot less than once a week. The Contractor shall also comply with the Copeland “Anti-Kickback” Act (40 U.S.C. section3145), as supplemented by DOL regulations at 29 C.F.R. part 3, “Contractors and Subcontractors on Public Building or Public Work Financed in Whole or in part by Loans or Grants from the United Packet Page Number 239 of 312 J1, Attachment 1 States.” The Contractor is prohibited from inducing, by any means, any person employed in the construction, completion, or repair of public work, to give up any part of the compensation to which he or she is otherwise entitled. 5.7ContractWork Hours and Safety Standards. For all contracts in excess of $100,000 that involve the employment of mechanics or laborers, the CONTRACTOR shall comply with the Contract Work Hours and Safety Standards Act (40 U.S.C. §§ 3701-3708), as supplemented by the DOL regulations at 29 C.F.R. part 5. Under 40 U.S.C. § 3702 of the Act, the CONTRACTOR shall compute the wages of every mechanic and laborer, including watchmen and guards, on the basis of a standard work week of 40 hours. Work in excess of the standard work week is permissible provided that the worker is compensated at a rate of not less than one and a half times the basic rate of pay for all hours worked in excess of 40 hours in the work week. The requirements of 40 U.S.C. § 3704 are applicable to construction work and provide that no laborer or mechanic be required to work in surroundings or under working conditions which are unsanitary, hazardous or dangerous. These requirements do not apply to the purchase of supplies or materials or articles ordinarily available on the open market, or to contracts for transportation or transmission of intelligence. In the event of any violation of the clause set forth herein, the CONTRACTOR and any subcontractor responsible therefor shall be liable for the unpaid wages. In addition, the CONTRACTOR and subcontractor shall be liable to the United States (in the case of work done under contract for the District of Columbia or a territory, tosuch District or to such territory), for liquidated damages. Such liquidated damages shall be computed with respect to each individual laborer or mechanic, including watchmen and guards, employed in violation of this clause in the sum of $10 for each calendar day on which such individual was required or permitted to work in excess of the standard workweek of forty hours without payment of the overtime wages required by this clause. The FTA shall upon its own action or upon written request of an authorized representative of the Department of Labor withhold or cause to be withheld, from any moneys payable on account of work performed by the CONTRACTOR or any subcontractor under any such contract or any other Federal contract with the CONTRACTOR, or any other federally-assisted contract subject to the Contract Work Hours and Safety Standards Act, which is held by the CONTRACTOR, such sums as may be determined to be necessary to satisfy any liabilities of the CONTRACTOR or any subcontractor for unpaid wages and liquidated damages as provided in this section. The CONTRACTOR or subcontractor shall insert in any subcontracts the clauses set forth in this section and also a clause requiring the subcontractors to include these clauses in any lower tier subcontracts. The CONTRACTOR shall be responsible for compliance by any subcontractor or lower tier subcontractor with the clauses set forth in this agreement. ARTICLE FTA-6. DEBARMENT, SUSPENSION,INELIGIBILITY, ANDVOLUNTARY EXCLUSION 6.1The CONTRACTOR agrees to comply with the requirements of 2 C.F.R. part 180, subpart C, as supplemented by 2 C.F.R. part 1200 during the term of this Contract. Bysigningthis Contract,theCONTRACTORcertifiesthat neitheritnoritsprincipals, affiliates, or subcontractors arepresentlydebarred,suspended,proposedfor participationinthiscontractbyany debarment,declaredineligible, voluntarilyexcluded, or disqualified from representationoffactuponwhichthe Federaldepartmentoragency.Thiscertificationis a material COUNCILreliesinenteringthis Contract.IfitislaterdeterminedthattheCONTRACTORknowingly totheCOUNCIL, theFederal renderedanerroneouscertification,inadditiontootherremediesavailable debarment.The Governmentmaypursueavailableremedies,includingsuspensionand/or CONTRACTORshallprovidetotheCOUNCILimmediatewrittennoticeifatanytimetheCONTRACTOR learnsthatitscertificationwaserroneouswhensubmittedorhasbecomeerroneousbyreasonof changedcircumstances.TheCONTRACTORwill include a provision requiring such compliance in its lower tier covered transactions. Packet Page Number 240 of 312 J1, Attachment 1 ARTICLEFTA-7. ENVIRONMENTALSTANDARDSANDPRACTICES 7.1CleanWaterAct.For any project of $150,000 or more, theCONTRACTORagrees to complywithall applicablestandards,orders,orregulationsissuedpursuanttotheFederalWaterPollutionControlAct,as amended,33U.S.C.sections1251-1387. The CONTRACTORagrees toreporteachviolationtothe COUNCILandunderstandsandagreesthatthe COUNCILwill,inturn,reporteachviolationasrequiredto assurenotificationtoFTAandtheappropriateEnvironmental Protection Agency (“EPA”)RegionalOffice. The CONTRACTORalso agrees to includetheserequirementsineachsubcontract exceeding $150,000 financed in whole or in part with Federal assistance provided by FTA. 7.2CleanAirActCompliance.For any project of $150,000 or more, theCONTRACTORagrees tocomplywith allapplicablestandards,orders,orregulationsissuedpursuanttotheCleanAirAct,asamended,42 U.S.C.sections7401-7671q. The CONTRACTORagrees to reporteachviolationtoCOUNCILand eachviolationasrequiredtoassure understandsandagreesthatCOUNCILwill,inturn,report The CONTRACTORalso agrees to notificationtoFTAandtheappropriateEPARegionalOffice. includetheserequirementsineachsubcontract exceeding $150,000 financed in whole or in part with Federal assistance provided by FTA. 7.3EnergyConservation.CONTRACTORagreestocomplywithmandatorystandardsandpoliciesrelating toenergyefficiencywhicharecontainedinthestateenergyconservationplanissuedincompliancewith thefederalEnergyPolicyandConservationAct. 7.4RecoveredMaterials.CONTRACTORagreestoprovide a preference for those products and services that conserve natural resources, protect the environment, and are energy efficient by complying with all the requirements of Section 6002 of the Resource Conservation and Recovery Act (“RCRA”) as amended (42 U.S.C. section 6962) and U.S. Environmental Protection Agency, “Comprehensive Procurement Guideline for Products Containing Recovered Materials,” 40 C.F.R. part 247. ARTICLEFTA-8. LOBBYINGRESTRICTIONS For any project of $100,000 or more, the CONTRACTOR is required to make the following certifications. The CONTRACTOR must also require its contractors or subcontractors to make the following certification in any contracts or subcontracts valued at or above $100,000. 8.1CertificationofRestrictionsonLobbying;Disclosure.TheCONTRACTORcertifies, to the best of its thatno Federalappropriatedfundshavebeenpaidorwillbepaidbyoronbehalfof knowledge and belief, the CONTRACTORforinfluencingorattemptingtoinfluenceanofficeroremployeeofanagency, a memberofCongress,anofficeroremployeeofCongress,oranemployeeof a memberofCongressin awardingofany Federalcontract,themakingofany Federalgrant,themakingofany connectionwiththe Federalloan,theenteringintoofanycooperativeagreement,andtheextension,continuation,renewal, amendment,ormodificationofany Federalcontract,grant,loan,orcooperativeagreement. If any funds other than Federal appropriated funds have been paid or will be paid to any person for influencing or attempting to influence an officer or employee of any agency, a member of Congress, an officer or employee of Congress, or an employee of a member of Congress in connection with a Federal contract, grant, loan, or cooperative agreement, the CONTRACTOR shall complete and submit accordancewithitsinstructions. StandardForm-LLL,“DisclosureFormtoReportLobbying,”in The CONTRACTORshallrequire that the language of this certification be included in the award documents for all subawards at all tiers (including subcontracts, subgrants, and contracts under grants, loans, and cooperative agreements) and that all subrecipients shall certify and disclose accordingly. Packet Page Number 241 of 312 J1, Attachment 1 This certification is amaterialrepresentationoffactuponwhichCOUNCILhas relied to enter this Contract. Submission of this certification is a prerequisite for making or entering into this transaction imposed by 31 U.S.C. section 1352 (as amended by the Lobbying Disclosure Act of 1995). Anyperson whofailstofiletherequiredcertificationshall besubjectto a civilpenaltyofnotlessthan$10,000andnot morethan$100,000foreachsuchfailure. By its signature on this Contract, the CONTRACTORcertifiesoraffirmsthetruthfulnessandaccuracyof eachstatementofitscertificationanddisclosure,ifany.Inaddition,CONTRACTORunderstandsand agreesthattheprovisionsof31U.S.C.Section3801,etseq., applytothiscertificationanddisclosure,if any. ARTICLEFTA-9. SEISMICSAFETY 9.1SeismicSafety.The CONTRACTORagreesthatanynewbuildingoradditiontoanexistingbuildingwill bedesignedandconstructedinaccordancewiththestandardsforSeismicSafetyrequiredinDepartment ofTransportationSeismicSafetyRegulations,49C.F.R.Part41,andwillcertifytocompliancetothe requiredbytheRegulation.The CONTRACTORalsoagreestoensurethatallworkperformed extent contract,includingworkperformedby a subcontractor,isincompliancewiththestandards underthis requiredbytheSeismicSafetyRegulationsandthecertificationofcomplianceissuedontheproject ARTICLEFTA-10. NATIONALINTELLIGENTTRANSPORTATIONSYSTEMSARCHITECTURE ANDSTANDARDS 10.1 NationalIntelligentTransportationSystemsArchitectureandStandards.Totheextentapplicable,the CONTRACTORagreestoconformtotheNationalIntelligentTransportationSystems(ITS)Architecture andStandardsasrequiredbysection5206(e)ofTEA-21,23U.S.C.section502note,andtocomplywith FTANotice,"FTANationalITSArchitecturePolicyonTransitProjects"66Fed.Reg.1455etseq.,January 8,2001,andotherFederalrequirementsthatmaybeissued. ARTICLEFTA-11.ProgramFraudandFalseorFraudulentStatementsorRelatedActs 11.1ProgramFraudandFalseorFraudulentStatementsorRelatedActs.TheCONTRACTOR acknowledgesthattheprovisionsoftheProgramFraudCivilRemediesActof1986,asamended,31 U.S.C. section3801etseq., andUSDOTregulations, “ProgramFraudCivilRemedies,” 49C.F.R. part 31, applytoitsactionspertainingtothisContract.UponexecutionofthisContract,theCONTRACTOR affirmsthetruthfulnessandaccuracyofanystatementishasmade,itmakes,itmaymake,or certifiesor made,pertainingtothis ContractortheFTA-assistedprojectforwhichthisworkisbeing causestobe performed.Inadditiontootherpenaltiesthatmaybeapplicable,theCONTRACTORfurtheracknowledges thatifitmakes,orcausestobemade, a false,fictitious,orfraudulentclaim,statement,submission,or certification,theFederalGovernmentreservestherighttoimposethepenaltiesoftheProgramFraudCivil RemediesActof1986ontheCONTRACTORtotheextenttheFederalGovernmentdeemsappropriate. TheCONTRACTORalsoacknowledgesthatifitmakes,orcausestobemade, a false,fictitious,or fraudulentclaim,statement,submission,orcertificationtotheFederalGovernmentunder a contract connectedwith a projectthatisfinancedinwholeorinpartwithFederalassistanceoriginallyawardedby FTAundertheauthorityof49 U.S.C.chapter 53, theFederalGovernmentreservestherighttoimposethe penaltiesof18U.S.C. section1001and49U.S.C. section5323(l)ontheCONTRACTOR,totheextentthe FederalGovernmentdeemsappropriate. TheCONTRACTORagreestoincludetheabovelanguageineachsubcontractunderthiscontract, Packet Page Number 242 of 312 J1, Attachment 1 modifiedonlytoidentifythesubcontractorthatwillbesubjecttotheprovisions. Packet Page Number 243 of 312 J1, Attachment 1 ARTICLEFTA-12.CIVILRIGHTS Under this Contract, the CONTRACTOR shall at all times comply with the following requirements and shall include these requirements in each subcontract entered into as part hereof. 12.1Nondiscrimination. 12.1.1Nondiscrimination in Employment.InaccordancewithTitleVIoftheCivilRightsAct,as amended,42U.S.C. § 2000d,section303oftheAgeDiscriminationActof1975,asamended,42 U.S.C. § 6102,section202oftheAmericanswithDisabilitiesActof1990,42U.S.C. § 12132,and federaltransitlawat49U.S.C. § 5332,theCONTRACTORagreesthatitwillnotdiscriminate againstanyemployeeorapplicantforemploymentbecauseofrace,color,religion, nationalorigin, sex(including gender identity), age,ordisability.Inaddition,theCONTRACTORagreesto complywithapplicablefederalimplementingregulationsandotherimplementingrequirements issue. FTAmay 12.1.2Nondiscrimination in Contracting.The CONTRACTOR agrees and assures that it will abide by the following conditions, and that it will include the following assurance in every subagreement and third-party contract it signs:(1) The CONTRACTOR must not discriminate on the basis of race, color, national origin, or sex in the award and performance of any FTA or U.S. DOT- assisted subagreement, third party contract, or third party subcontract, as applicable, and the administration of its DBE program or the requuirements of 49 C.F.R. part 26; and (2) the CONTRACTOR musttake all necessary and reasonable steps under 49 C.F.R. part 26 to ensure nondiscrimination in the award and administration of U.S. DOT-assisted subagreements, third party contracts, and third party subcontracts, as applicable. 12.2EqualEmploymentOpportunity.Thefollowingequalemploymentopportunityrequirementsapplytothis Contract: 12.2.1Race,Color,Religion, NationalOrigin,Sex.InaccordancewithTitleVIIoftheCivilRightsAct, asamended,42U.S.C.section200eet seq., andfederaltransitlawsat49U.S.C. § 5332,the CONTRACTORagreestocomplywithallapplicableequalemploymentopportunityrequirements DepartmentofLabor(U.S.DOL)regulations, “OfficeofFederalContractCompliance ofU.S. Programs,EqualEmploymentOpportunity,DepartmentofLabor,”41C.F.R.chapter 60, and ExecutiveOrderNo.11246,“EqualEmploymentOpportunity in Federal Employment,”September 24, 1965, 42 U.S.C. section 2000e note, as further amended by any later Executive Order that amends or supersedes it, referenced in 42 U.S.C. section 2000e note. The CONTRACTOR agrees to take affirmative actiontoensurethatapplicantsareemployed,andthatemployeesare treatedduringemployment,withoutregardtotheirrace,color,religion, nationalorigin,sex (including sexual orientation and gender identity). Suchactionshallinclude,butnotbelimitedto, thefollowing:employment,promotion,demotionortransfer,recruitmentorrecruitment advertising,layoffortermination;ratesofpayorotherformsofcompensation;andselectionfor training,includingapprenticeship.Inaddition,theCONTRACTORagreestocomplywithany implementingrequirementsFTAmayissue. 12.2.2Age.InaccordancewiththeAgeDiscriminationinEmploymentAct,29U.S.C.sections 621- 634, U.S. Equal Employment Opportunity Commission (U.S. EEOC) regulations, “Age Discrimination in Employment Act,”29 C.F.R. part 1625, the Age Discrimination Act of 1975, as amended, 42 U.S.C. section 6101 et seq., U.S. Health and Human Services regulations, “Nondiscrimination on the Basis of Age in Programs or Activities Receiving Federal Financial Assistance,” 45 C.F.R. part 90 and Federal transit law at 49 U.S.C. section 5332, the CONTRACTOR agreestorefrainfromdiscriminationagainstpresentandprospective employeesforreasonofage.Inaddition,theCONTRACTORagreestocomplywithany mayissue. implementingrequirementsFTA Packet Page Number 244 of 312 J1, Attachment 1 12.2.3Disabilities. Inaccordancewithsection504 of the Rehabilitation Act of 1973, as amended, 29 42U.S.C. § 12101 et seq., U.S.C. section 794, theAmericanswithDisabilitiesAct,asamended, the Architectural Barriers Act of 1968, as amended, 42 U.S.C. section 4151 et seq., and Federal transit law at 49 U.S.C. section 5332, theCONTRACTORagreesthatitwillnot discriminate against individuals on the basis of disability. In addition, the CONTRACTOR agrees to complywiththerequirementsofU.S. EqualEmploymentOpportunitycommission,“RegulationstoImplementtheEqualEmployment ProvisionsoftheAmericanswithDisabilitiesAct,“29C.F.R. part1630,andanyimplementing requirementsFTAmayissue.The Contractor will also ensure that accessible facilities (including vehicles and buildings) and services are made available to individuals with disabilities in accordance with the Americans with Disabilities Act of 1990, as amended, 42 U.S.C. section 12101 et seq., the Architectural Barriers Act of 1968, as amended, 42 U.S.C. section 4151 et seq., and any applicable implementing regulations. 12.3InclusioninSubcontracts.TheCONTRACTORagreestoincludetherequirementsofthisarticleFTA-12 ineachsubcontractunderthiscontract,modifiedonlytoidentifythesubcontractorthatwillbesubjecttothe provisions. ARTICLEFTA-13.GENERALPROVISIONS 13.1FederalChanges.TheCONTRACTORshallcomplywiththerequiredFTAclausessetforthinthis contractandwithallapplicableFTAregulations,policies,proceduresanddirectivesincluding,without limitation,thoselisteddirectlyorbyreferenceintheagreementbetweentheCOUNCILandFTA.The CONTRACTOR'sfailuretocomplywithapplicableFTAregulations,policies,procedures,anddirectives,as theymaybeamendedorpromulgatedfromtimetotimeduringthetermofthiscontract,shallconstitute a materialbreachofthiscontract. 13.2NoObligationbytheFederalGovernment.TheCOUNCILandCONTRACTORacknowledgeandagree that,notwithstandinganyconcurrencebythe Federal Governmentinorapprovalofthesolicitationor awardofthisContract,absenttheexpresswrittenconsentbythe Federal Government,the Federal not a partytothisContractandshallnotbesubjecttoanyobligationsorliabilitiestothe Governmentis CONTRACTOR,oranyotherparty(whetherornot a partytotheContract)pertainingtoany COUNCIL, matterresultingfromthisContract. TheCONTRACTORagreestoincludetheprecedingclauseineachsubcontractunderthisContract, modifiedonlytoidentifythesubcontractorthatwillbesubjecttotheprovisions. 13.3IncorporationofFTATerms.Specificprovisionsinthis Contractinclude,inpart,certain Standard Termsand ConditionsrequiredbyUSDOT,whetherornotexpresslysetforthinthecontractprovisions. contractualprovisionsrequiredbyUSDOT,assetforthinFTA Circular 4220.1F (as revised from All time to time) and in Appendix II of 2 C.F.R. part 200areherebyincorporatedbyreference. Notwithstandinganythingtothecontraryinthis Contract,allFTAmandatedtermsshallbedeemedto controlintheeventof a conflictwithotherprovisionscontainedinthis Contract.TheCONTRACTOR anyact,orrefusetocomplywithanyCOUNCILrequestswhich shallnotperformanyact,failtoperform violationoftheFTAtermsandconditions. wouldcausetheCOUNCILtobein ARTICLEFTA-14.DISADVANTAGEDBUSINESSENTERPRISE(DBE) 14.1Nondiscrimination.Pursuantto49CFRpart 26, theCONTRACTOR,sub-recipientorsubcontractorshall this Contract.The notdiscriminateonthebasisofrace,color,nationalorigin,orsexintheperformanceof CONTRACTORshallcarryoutapplicablerequirementsof49 C.F.R. part26intheawardand administrationofDOT-assistedcontracts.FailurebytheCONTRACTORtocarryouttheserequirementsis Packet Page Number 245 of 312 J1, Attachment 1 a materialbreachofthiscontract,whichmayresultintheterminationofthis Contractorsuchotherremedy requirementinall astheCOUNCILdeemsappropriate.TheCONTRACTORshallincludethis subcontractspursuanttothis Contract. 14.2PromptPayment. 14.2.1Section14.13ofDocument00700GeneralConditions,relatingto“PromptPaymentto Subcontractors,”isdeletedandisreplacedwiththissectionFTA-14.2. 14.2.2TheCONTRACTORagreestopaysubcontractorswithinten(10)calendardaysofthe CONTRACTOR’sreceiptofpaymentfromtheCOUNCILforundisputedservicesprovidedbythe subcontractor. TheCONTRACTORagreestopaysubcontractorsallundisputedretainage paymentswithinten(10)calendardaysofcompletion of the work, regardless of whether the retainagepaymentfromtheCOUNCIL.TheCONTRACTOR CONTRACTORhasreceivedany undisputedpaymentsowedsubcontractorswithoutgoodcause shallnotpostponeordelayany andwithoutpriorwrittenconsentoftheCOUNCIL.The CONTRACTOR agrees to include in all subcontracts a provision requiring the use of appropriate alternative dispute resolution mechanisms to resolve payment disputes. The CONTRACTOR will not be reimbursed for work performed by subcontractors unless and until the CONTRACTOR ensures that subcontractors are promptly paid for work they have performed. Failure to comply with the provisions of this Section 14.2 may result in the COUNCIL finding the CONTRACTOR in noncompliance with the DBE provisions of this Contract. 14.2.3TheCONTRACTORshallnot,byreasonofsaidpayments,berelievedfromresponsibilityfor WorkdonebythesubcontractorandshallberesponsiblefortheentireWorkunderthiscontract untilthesameisfinallyacceptedbytheCOUNCIL. 14.2.4TheCONTRACTORagreestoincludeinallsubcontracts a provisionrequiringtheuseof appropriatealternativedisputeresolutionmechanismstoresolvepaymentdisputes. 14.2.5TheCONTRACTORwillnotbereimbursedforworkperformedbysubcontractorsunlessanduntil theCONTRACTORensuresthatsubcontractorsarepromptlypaidforworktheyhaveperformed. FailuretocomplywiththeprovisionsofthissectionFTA-14.2mayresultintheCOUNCILfinding CONTRACTORinnoncompliancewiththeDBEprovisionsofthiscontract 14.3DBEGoodFaithEffortsDuringthetermofthiscontract,theCONTRACTORwillcontinuetomakegood faitheffortstoensurethatDBEshavemaximumopportunitytosuccessfullyperformunderthecontract, andthattheCONTRACTORmeetsitsDBEcommitmentassetforthinitsbid.Theseeffortsshallinclude, withoutlimitation,thefollowing: 14.3.1IfCONTRACTORrequestssubstitutionof a DBEsubcontractororsupplierlistedinitsDocument 00485DisadvantagedBusinessEnterpriseInformationandCertificationsform,the CONTRACTORshallexertgoodfaitheffortstoreplacetheDBEfirmwithanotherDBEfirm subjecttoapprovaloftheCOUNCIL. 14.3.2CONTRACTORshallnotterminateforconvenienceanyDBEsubcontractororsupplierlistedinits Document00485DisadvantagedBusinessEnterpriseInformationandCertificationsform (oranapprovedsubstituteDBEfirm)andthenperformtheworkitselforwithitsaffiliateswithout priorwrittenconsentoftheCOUNCIL 14.3.3If a DBEsubcontractororsupplieristerminatedorfailstocompleteitsworkonthecontractfor Packet Page Number 246 of 312 J1, Attachment 1 anyreason,CONTRACTORshallmakegoodfaitheffortstofindanotherDBEfirmtosubstitutefor theoriginalDBEfirm. 14.3.4Thedollaramountofamendmentsoranyothercontractmodificationswill be entered into the DBE Contract Monitoring System (CMS). 14.3.5The CONTRACTOR will identify a “DBE and Workforce Liaison” who will serve as a single point of contact for all CONTRACTOR DBE and Workforce issues. 14.3.6FailuretocomplywiththeprovisionsofthissectionFTA-14.3mayresultintheCOUNCILfinding CONTRACTORinnoncompliancewiththeDBEprovisionsofthiscontractandtheimpositionof AdministrativeSanctionsdescribedinsectionFTA-14.6. 14.4Reporting. 14.4.1TheCONTRACTORwillsubmitmonthlyprogressreportstotheCOUNCILreflectingitsDBE participationthrough the CMS. 14.4.2Upon award of a contract a representative from the COUNCIL will assign the DBE and Workforce Liaison a CMS user account and provide a CMS User Manual detailing the following guidelines. 14.4.3All committed DBE subcontractors to be used on the contract must be entered into the CMS system. 14.4.4All DBE billing, submitted during the reporting period, must be finalized and entered into CMS prior to submission of CONTRACTOR’S payment application. 14.4.5Any changes to the DBE subcontractor list or their amounts must be entered into CMS. Changes include; DBE firms removed, DBE firms added, changes to subcontract amounts, and DBE credit adjustments. 14.4.6All payments made to DBE firms must be finalized and entered into CMS within 10 days of receipt of payment from the COUNCIL. 14.4.7Failuretosubmitthisreportina timelymannerwillresultin a penaltyof$10perlatedayperreport andmayalsoresultintheimpositionofAdministrativeSanctionsundersectionFTA-14.6, pursuanttotheCOUNCIL’sDBEpolicyandUSDOTregulations.Forthepurposesofthissection FTA-14.4,timelysubmittalmeansreceiptinthecontractcompliancefunctionoftheCOUNCIL’s th OfficeofDiversityandEqualOpportunitybythecloseofbusinessonthefifteenth(15) ofthe followingmonth. 14.5Review of Good Faith Efforts 14.5.1TheCOUNCIL’sOffice of EqualOpportunitywillreviewtheCONTRACTOR’sDBEprogress reportstomonitoranddeterminewhethertheutilizationofDBEfirmsisconsistentwiththe commitmentofCONTRACTORasstatedinitsbid. 14.5.2IfitisdeterminedthattheCONTRACTOR’sDBEutilizationunderthecontractisnotconsistent withitscommitment,theCONTRACTORwillberequested,inwriting,tosubmitevidenceofits goodfaitheffortstomeetthecommitment.TheCONTRACTORshallbegiventen(10)working daystosubmitthisdocumentation.FailuretorespondshallplacetheCONTRACTORinnon- complianceandsubjecttoimpositionofAdministrativeSanctionsasdescribedinsectionFTA- 14.6. Packet Page Number 247 of 312 J1, Attachment 1 14.5.3TheCONTRACTOR’sgoodfaitheffortsdocumentationwillthenbereviewedforaccuracy, sufficiencyandinternalconsistency.COUNCILstaffshallmake a determinationastothe adequacyoftheCONTRACTOR’s goodfaitheffortsdocumentationandsoinformthe CONTRACTOR.IfitisdeterminedthattheCONTRACTOR’sgoodfaitheffortsdocumentationis acceptable,theCONTRACTORwillbedeemedtobeincompliancewiththeDBEprogram. 14.5.4IfitisdeterminedthattheCONTRACTOR’sgoodfaitheffortsdocumentationisnotacceptable, theCONTRACTORwillbenotifiedandbedeemedtobeinnon-compliancewiththeDBE program. 14.5.5Non-compliancebytheCONTRACTORwiththerequirementsoffederalDBEregulations(49 CFRpart26)constitutes a breachofcontractandmayresultinimpositionofAdministrative SanctionsasdescribedinsectionFTA-14.6. 14.6AdministrativeSanctions. 14.6.1IftheCOUNCILdeemstheCONTRACTORtobeinnon-compliancewiththeDBErequirements ofthis Contract,theCOUNCILwillinformtheCONTRACTORinwriting,bycertifiedmail,that sanctionsshallbeimposedforfailuretomeetDBEutilizationgoalsand/orfailuretosubmit documentationofgoodfaithefforts.Thenoticewillstatethespecificsanctiontobeimposed. 14.6.2TheCONTRACTORhasfive(5)workingdaysfromthedateofthenoticetofile a writtenappealto theCOUNCIL’sRegionalAdministrator.Failuretorespondwithinthefive(5)dayperiodshall constitute a waiverofappeal.TheRegionalAdministratorordesignee,athisorhersole discretion,mayschedule a hearingtogatheradditionalfactsandevidenceandshallissue a final determinationonthematterwithinfive(5)workingdaysofreceiptofthewrittenappeal.There shallbenorightofappealtotheCOUNCIL’sgoverningboard. 14.6.3Sanctionsmayinclude,withoutlimitation:suspensionofany paymentor part due tothe thatwasidentifiedtobeperformedby a DBEatthetimeofcontract CONTRACTORforwork award,orofanymoniesheldbytheCOUNCILasretainedonthecontract;denialtothe CONTRACTOR(includingitsprincipalandkeypersonnel)oftherighttoparticipateinfuture tothreeyears;and/orterminationofthecontractfor contractsoftheCOUNCILfor a periodofup cause. ARTICLE FTA-15. VETERANS PREFERENCE The Contractor will give a hiring preference, to the extent practicable, to veterans (as defined in 5 U.S.C Section 2108) who have the requisite skills and abilities to perform the construction work required under this contract. This provision shall not beunderstood, construed, or enforced in any manner that would require an employer to give preference to any veteran over any equally qualified applicant who is a member of any racial or ethnic minority, female, an individual with disability, or former employee. ARTICLE FTA-16. EXECUTIVE ORDER/SPECIAL DOL EEO CLAUSES The following provisions of this Section FTA-16 apply if the value of a subsequent construction contract exceeds $10,000. 16.1 The CONTRACTOR shall not discriminate against any employee or applicant for employment because of race, color, religion, sex, or national origin. The CONTRACTOR shall take affirmative action to ensure that applicants are employed, and that employees are treated during employment, without regard to their race, color, Packet Page Number 248 of 312 J1, Attachment 1 religion, sex, or national origin. Such action shall include, but not be limited to the following: employment, promotion, demotion, or transfer; recruitment or recruitment advertising; layoff or termination; rates of pay or other forms of compensation; and selection for training, including apprenticeship. The CONTRACTOR agrees to post in conspicuous places, available to employees and applicants for employment, notices to be provided by the Council setting forth the provisions of this nondiscrimination clause. 16.2The CONTRACTOR shall, in all solicitations or advertisements for employees placed by or on behalf of the CONTRACTOR state that all qualified applicants shall receive consideration for employment without regard to race, color, religion, sex, or national origin. 16.3The CONTRACTOR shall send to each labor union or representative of workers with which it has a collective bargaining agreement or other contract or understanding, a notice, to be provided by the COUNCIL, advising the labor union or workers’ representative of the CONTRACTOR’s commitments under Section 202 of Executive Order No. 11246 of September 24, 1965, and shall post copies of the notice in conspicuous places available to employees and applicants for employment. 16.4The CONTRACTOR shall comply with all provisions of Executive Order No. 11246 of September 24, 1965, and all of the rules, regulations, and relevant orders of the Secretary of Labor. 16.5The Contractor shall furnish all information and reports required by Executive Order No. 11246 of September 24, 1965, and by the rules, regulations, and orders of the Secretary of Labor, or pursuant thereto, and shall permit access to its books, records, and accounts by the COUNCILand the Secretary of Labor for purposes of investigation to ascertain compliance with such rules, regulations, and orders. 16.6In the event of the CONTRACTOR’s noncompliance with the nondiscrimination clauses of this Contractor with any such rules, regulations, or orders, this Contractmay be cancelled, terminated, or suspended in whole or in part and the CONTRACTOR may be declared ineligible for further government contracts in accordance with procedures authorized in Executive Order No. 11246 of September 24, 1965, or by rule, regulation, or order ofthe Secretary of Labor, or as otherwise provided by law. 16.7The CONTRACTOR shall include the provisions of this Section 16in every subcontract or purchase order unless exempted by rules, regulations, or orders of the Secretary of Labor issued pursuantto Section 204 of Executive Order No. 11246 of September 24, 1965, so that such provisions shall be binding upon each subcontractor or vendor. The CONTRACTOR shall take such action with respect to any subcontract or purchase order as may be directed by the Secretary of Labor as a means of enforcing such provisions including sanctions for noncompliance. Ifthe CONTRACTORbecomes involved in, or is threatened with, litigation with a subcontractor or vendor as a result of such direction, the CONTRACTORmay request the United States to enter into such litigation to protect the interests of the United States. ARTICLE FTA-17. RIGHTS IN DATA AND PATENT RIGHTS The following provisions of this Section FTA-17 apply to each contract involving experimental, developmental, or research work: 17.1The term “subject data” used in this Contract means recorded information, whether or not copyrighted, that is delivered or specified to be delivered under the Contract. The term includes graphic or pictorial delineation in media such as drawings or photographs; text in specifications or related performance or design-type documents; machine forms such as punched cards, magnetic tape, or computer memory printouts; and information retained in computer memory. Examples include, but are not limited to: computer software, engineering drawings and associated lists, specifications, standards, process sheets, manuals, technical reports, catalog item identifications, and related information. The term “subject data” does not include financial reports, cost analyses, and similar information incidental to contract administration. 17.2The following restrictions apply to all subject data first produced in the performance of the Contract: Packet Page Number 249 of 312 J1, Attachment 1 a.Except for its own internal use, the CONTRACTOR may not publish or reproduce subject data in whole or in part, or in any manner or form, nor may the CONTRACTOR authorize others to do so, without the written consent of the Federal Government, until such time as the Federal Government may have either released or approved the release of such data to the public; this restriction on publication, however, does not apply to any contract with an academic institution. b.In accordance with 49 CFR section 18.34 and 49 CFR section 19.36, the Federal Government reserves a royalty-free, non-exclusive and irrevocable license to reproduce, publish, or otherwise use, and to authorize others to use, for “Federal Government purposes,” any subject data or copyright described in subsections (2)(b)1 and (2)(b)2 of this paragraph below. As used in the previous sentence, “for Federal Government purposes,” means use only for the direct purposes of the Federal Government. Without the copyright owner’s consent, the Federal Government may not extend its federal license to any other party. 1.Any subject data developed under that contract, whether or not a copyright has been obtained; and 2.Any rights of copyright purchased by the CONTRACTOR using federal assistance in whole or in part provided by FTA. c.When FTA awards federal assistance for experimental, developmental, or research work, it is FTA’s general intention to increase transportation knowledge available to the public, rather than to restrict the benefits resulting from the work to participants in that work. Therefore, unless FTA determines otherwise, the CONTRACTOR performing experimental, developmental, or research work required by the underlying Contract to which this clause is added agrees to permit FTA to make available to the public, either FTA’s license in the copyright to any subject data developed in the course of that Contract, or a copy of the subject data first produced under the Contract for which a copyright has not been obtained. If the experimental, developmental, or research work, which is the subject of the underlying Contract, is not completed for any reason whatsoever, all data developed under that Contract shall become subject data as defined in subsection (a) of this paragraph and shall be delivered as the Federal Government may direct. This subsection (c), however, does not apply to adaptations of automatic data processing equipment or programs for the CONTRACTOR’s use whose costs are financed in whole or in part with federal assistance provided by FTA for transportation capital projects. d.Unless prohibited by state law, upon request by the Federal Government, the CONTRACTOR agrees to indemnify, save, and hold harmless the Federal Government, its officers, agents, and employees acting within the scope of their official duties against any liability, including costs and expenses, resulting from any willful or intentional violation by the CONTRACTOR of proprietary rights, copyrights, or right of privacy, arising out of the publication, translation, reproduction, delivery, use, or disposition of any data furnished under that Contract. The CONTRACTOR shall not be required to indemnify the Federal Government for any such liability arising out of the wrongful act of any employee, official, or agents of the Federal Government. e.Nothing contained in this paragraph on rights in data shall imply a license to the Federal Government under any patent or be construed as affecting the scope of any license or other right otherwise granted to the Federal Government under any patent. f.Data developed by the CONTRACTOR and financed entirely without using federal assistance provided by the Federal Government that has been incorporated into work required by the underlying Contract to which this clause has been added is exempt from the requirements of subsections (b), (c), and (d) of this paragraph, provided that the CONTRACTOR identifies that data in writing at the time of delivery of the Contract work. g.Unless FTA determines otherwise, the CONTRACTOR agrees to include these requirements in each subcontract for experimental, developmental, or research work financed in whole or in part with federal assistance provided by FTA. Packet Page Number 250 of 312 J1, Attachment 1 17.3Unless the Federal Government later makes a contrary determination in writing, irrespective of the CONTRACTOR’s status (i.e., a large business, small business, state government or state instrumentality, local government, nonprofit organization, institution of higher education, individual, etc.), the CONTRACTOR agrees to take the necessary actions to provide, through FTA, those rights in that invention due the Federal Government as described in U.S. Department of Commerce regulations, “Rights to Inventions Made by Nonprofit Organizations and Small Business Firms Under Government Grants, Contracts and Cooperative Agreements,” 37 CFR part401. 17.4The CONTRACTOR also agrees to include these requirements in each subcontract for experimental, developmental, or research work financed in whole or in part with federal assistance provided by FTA. 17.5If any invention, improvement, or discovery is conceived or first actually reduced to practice in the course of or under the Contract to which this clause has been added, and that invention, improvement, or discovery is patentable under the laws of the United States of America or any foreign country, the CONTRACTOR agrees to take actions necessary to provide immediate notice and a detailed report to the COUNCIL until FTA is ultimately notified. ENDOFDOCUMENT Packet Page Number 251 of 312 J1, Attachment 1 Exhibit D: Disadvantage Business Enterprise (DBE) Pass Through Agreement Program Disadvantaged Business Enterprise Program Office of Equal Opportunity 390 Robert St North, St. Paul, MN 55101 Phone: (651) 602-1769| www.metrocouncil.org The Metropolitan Council is a certifying member of the MnUCP Packet Page Number 252 of 312 J1, Attachment 1 2 METROPOLITAN COUNCIL DISADVANTAGED BUSINESS ENTERPRISE (DBE) PROGRAM 1.0 METROPOLITAN COUNCIL DBE POLICY 1.1 Policy Statement 1.2 Objectives 2.0 DBE PROGRAM DEFINITIONS 3.0 RESPONSIBILITY FOR DBE PROGRAM IMPLEMENTATION 3.1 Duties of DBE Liaison Officer 3.2 Responsibilities of Support Personnel 3.3 Reconsideration Official 4.0 ADMINISTRATIVE REQUIREMENTS (SUBPART B) 4.1 Financial Institutions 4.2 DBE Directory 4.3 Over-concentration of DBEs 5.0 DBE GOALS FOR FEDERALLY-ASSISTED CONTRACTS 5.1 Goal-Setting Methodology 5.2 Transit Vehicle Manufacturers (TVMs) 5.3 Race-Neutral Measures 5.4 Contract Goals 5.5 Good Faith Efforts 5.6 Counting DBE Participation 5.7 Quotas, Set-Asides, and Penalties 6.0 REQUIRED CONTRACT PROVISIONS 6.1 Assurances 6.2 Prompt Payment 6.3 Legal and Contract Remedies 6.4 Contractor Reporting Requirements 7.0 CERTIFICATION STANDARDS (SUBPART D) 7.1 Burdens of Proof 7.2 Group Membership Determinations 7.3 Social and Economic Disadvantage; Statement of Net Worth 7.4 Business Size Determinations 7.5 Ownership Determinations 7.6 Control Determinations 7.7 Considerations Packet Page Number 253 of 312 J1, Attachment 1 3 8.0 CERTIFICATON PROCEDURES (SUBPART E) 8.1 Unified Certification Program 8.2 Initial Certification Procedures 8.3 Recertification Procedures 8.4 Denials and Re-Application Procedures 8.5 De-Certifications 8.6 Certification Appeals 9.0 RECORD KEEPING, MONITORING AND ENFORCEMENT 9.1 Bidders List 9.2 Monitoring Payments to DBEs 9.3 Reporting to DOT 9.4 Availability of Records 9.5 Confidentiality of Information 9.6 Cooperation of DBEs 9.7 Intimidation and Retaliation Prohibited Appendix A.1 Individuals Responsible for Program Implementation A.2 Goal Methodology A.3 Public Participation & Outreach Packet Page Number 254 of 312 J1, Attachment 1 4 1.0 METROPOLITAN COUNCIL DBE POLICY 1.1 Policy Statement In accordance with 49 CFR sections 26.3, 26.7, 26.21, and 26.23, the Metropolitan Council hereby affirms its policy to utilize businesses owned and controlled by socially and economically disadvantaged individuals in the procurement of goods and services, and the award of contracts. The Metropolitan Council will, in accordance with authority granted by DOT regulations, other federal, state and local laws and ordinances, act affirmatively to create a “level playing field” for Disadvantaged Business Enterprises (DBEs) to achieve the goal of equal opportunity. The Metropolitan Council recognizes that creating a “level playing field” for DBEs can only be achieved through the energetic implementation of this plan and the commitment of all Metropolitan Council employees, committees and contractors to the goals of equal opportunity. This policy statement will be circulated throughout the Metropolitan Council’s organization, and to the DBE and non-DBE business communities that perform work on the Metropolitan Council’s DOT-assisted contracts. It will be printed and made available through the Metropolitan Council’s Regional Data Center and will be mailed free upon request to any individual. In addition, it is the policy of the Metropolitan Council to not: 1. Exclude any person from participation in, deny any person the benefits of, or otherwise discriminate against anyone in connection with the award and performance of any contract covered by this program on the basis of race, color, sex, or national origin. 2. In administering the DBE program, directly or through contractual or other arrangements, use criteria or methods of administration that have the effect of defeating or substantially impairing the accomplishment of the objectives of the program with respect to individuals of a particular race, color, sex, or national origin. 1.2 Objectives In accordance with 49 CFR section 26.1, the objectives of the Metropolitan Council’s DBE program are: 1. To ensure nondiscrimination in the award and administration of DOT-assisted contracts in the Metropolitan Council’s financial assistance programs. 2. To create a level playing field on which DBEs can compete fairly for DOT-assisted contracts. 3. To ensure that the Department’s DBE program is narrowly tailored in accordance with applicable law. 4. To ensure that only firms that fully meet this program’s eligibility standards are permitted to participate as DBEs. 5. To remove barriers to the participation of DBEs in DOT-assisted contracts. Packet Page Number 255 of 312 J1, Attachment 1 5 6. To assist the development of firms that can compete successfully in the marketplace outside the DBE program. 7. To utilize the flexibility accorded by Federal financial assistance to establish and provide opportunities for DBEs. 2.0 METROPOLITAN COUNCIL PROGRAM DEFINITIONS In accordance with 49 CFR section 26.5, the following definitions apply to the Metropolitan Council’s DBE program. AFFILIATION As defined in the Small Business Administration (SBA) regulations, 13 CFR part 121: 1. Except as otherwise provided in 13 CFR part 121, concerns are affiliates of each other when, either directly or indirectly: a. One concerns controls or has the power to control the other; b. A third party or parties controls or has the power to control both; or c. An identity of interest between or among parties exists such that affiliation may be found. 2. In determining whether affiliation exists, it is necessary to consider all appropriate factors, including common ownership, common management, and contractual relationships. Affiliates must be considered together in determining whether a concern meets small business size criteria and the statutory cap on the participation of firms in the DBE program. AFFIRMATIVE ACTION Specific and positive activities undertaken by the Metropolitan Council and its contractors to eliminate discrimination and its effects, to ensure nondiscriminatory results and practices in the future, and to involve disadvantaged business enterprises fully in contracts and programs funded by the DOT. ALASKA NATIVE A citizen of the United States who is a person of one-fourth degree or more Alaskan Indian (including Tsimshian Indians not enrolled in the Metlaktla Indian Community), Eskimo, or Aleut blood, or a combination of those bloodlines. The term includes, in the absence of proof of a minimum blood quantum, any citizen whom a Native village or Native group regards as an Alaska Native if their father or mother is regarded as an Alaska Native. ALASKA NATIVE CORPORATION Any Regional Corporation, Village Corporation, Urban Corporation, or Group Corporation organized under the laws of the State of Alaska in accordance with the Alaska Native Claims Settlement Act, as amended (43 U.S.C. 1601, et seq.). APPEAL A formal filing by a business entity who has been denied certification by the Minnesota Unified Certification Program (MnUCP) as a Disadvantaged Business Enterprise (DBE). Packet Page Number 256 of 312 J1, Attachment 1 6 APPLICANT One who submits an application, request, or plan to be approved by a departmental official or by a primary recipient as a condition of eligibility for DOT financial assistance; and application means such an application, request, or plan. CHALLENGE A formal filing by a third party to rebut the presumption that a particular business meets the definition of DBE. COMMERCIALLY USEFUL FUNCTION Work performed by a DBE firm in a particular transaction that in light of industry practices and other relevant considerations, has a necessary and useful role in the transaction, i.e., the firm’s role is not a superfluous step added in an attempt to obtain credit toward goals. If, in the Metropolitan Council’s judgement, the firm (even though an eligible DBE) does not perform a commercially useful function in the transaction, no credit toward the goal may be awarded. COMPLIANCE The condition existing when a recipient or contractor has correctly implemented the requirements of the program. CONTRACTA legally binding relationship or any modification thereof obligating the seller to furnish supplies or services, including construction, and the buyer to pay for them. \[For purposes of this part, a lease is a contract\]. CONTRACTING OPPORTUNITY Any decision by the Metropolitan Council, Council sub- recipients or its contractors to institute a procurement action to obtain a product or service commercially (as opposed to intergovernmental actions). CONTRACTOR One who participates, through a contract or subcontract (at any tier), in a DOT- assisted highway, transit, or airport program covered by this part; and includes lessees. DBE DIRECTORY The MnUCP list of Certified and Denied Firms which is used by the Metropolitan Council, Council sub-recipients and its contractors (at any tier) to identify DBE potential primes, subcontractors and suppliers. DEPARTMENT OR DOT The U.S. Department of Transportation, including the Office of the Secretary, the Federal Highway Administration (FHA), the Federal Transportation Agency (FTA), and the Federal Aviation Administration (FAA). DISADVANTAGED BUSINESS ENTERPRISE (DBE) A for-profit small business concern: That is at least 51% owned by one or more individuals who are both socially and economically disadvantaged; or in the case of a corporation, in which at least 51% of the stock is owned by one or more such individuals; and Whose management and daily business operations are controlled by one or more of the socially and economically disadvantaged individuals who own it. Meets all other eligibility criteria required under 49 CFR Part 26. DOT-ASSISTED CONTRACT Any contract or modification of a contract between the Metropolitan Council, Council sub-recipient or contractor (at any tier) that is funded for in whole Packet Page Number 257 of 312 J1, Attachment 1 7 or in part with DOT financial assistance, including letters of credit or loan guarantees, except a contract solely for the purchase of land. EQUAL OPPORTUNITY The requirements of non-discrimination in employment with regard to race, religion, creed, color, national origin, ancestry, physical handicap, medical condition, age, marital status, or sex, and in accordance with Government Code, Section 12490. GOALThe annual percentage of DOT-assisted dollars intended to be awarded to DBEs. The annual overall DBE goal is achieved through a combination of race-neutral and race-conscious measures, including contract-specific goals. GOOD FAITH EFFORTS Efforts to achieve a DBE goal or other requirement of the program, which by their scope, intensity, and appropriateness to the objective, can be expected to fulfill the program requirement. IMMEDIATE FAMILY MEMBER Father, mother, husband, wife, son, daughter, brother, sister, grandmother, grandfather, grandson, granddaughter, mother-in-law, or father-in-law. INDIAN TRIBE Any Indian tribe, band, nation, or other organized group or community of Indians, including any ANC, which is recognized as eligible for the special programs and services provided by the United States to Indians because of their status as Indians, or is recognized as such by the State in which the tribe, band, nation, group, or community resides. See definition of “tribally-owned concern” in these definitions. JOINT DEVELOPMENT The planning and implementation of an income producing real estate development which is adjacent to or physically related to an existing or proposed public transportation facility (e.g. transit station, Park and Ride, or bus facility). JOINT VENTURE An association of a DBE firm and one or more other firms to carry out a single for profit business enterprise, for which the parties contribute their property, capital, efforts, skills, and knowledge, and in which the DBEs responsible for a distinct, clearly defined portion of the work of the contract and whose share in the capital, contribution, control, management, risks, and profits of the joint venture are commensurate with its ownership interest. LESSEE A business or person that leases, or is negotiating to lease, property from a recipient or the department on the recipient’s or department’s facility for the purpose of operating a transportation-related activity or for the provision of goods or services to the facility or to the public on the facility. LEVEL PLAYING FIELDThe objective of the DOT and Metropolitan Council DBE program; wherein an environment is created to achieve the level of participation by DBEs that would reasonably be expected in the absence of discrimination. MANUFACTURERA business that operates, or maintains a factory or establishment that produces on the premises the materials or supplies obtained by the contractor. MINORITY A person who is a U.S. citizen or lawful permanent resident of the U.S. and who is a: Packet Page Number 258 of 312 J1, Attachment 1 8 a. “Black American”, which includes persons having origins in any of the black racial groups of Africa. b. “Hispanic American”, which includes persons of Mexican, Puerto Rican, Cuban, Central or South American, or other Spanish or Portuguese culture or origin, regardless of race. c. “Native American”, which includes persons that are American Indians, Eskimos, Aleuts or Native Hawaiians. d. “Asian-Pacific American”, which includes persons whose origins are from Japan, China, Taiwan, Korea, Burma (Mayanmar), Vietnam, Laos, Cambodia (Kampuchea), Thailand, Malaysia, Indonesia, the Philippines, Brunei, Samoa, Guam, the U.S. Trust Territories of the Pacific Islands (Republic of Palau), the Commonwealth of the Northern Marianas Islands, Macao, Fiji, Tonga, Kiribati, Tuvalu, Nauru, Federated States of Micronesia, Hong Kong; e. “Subcontinent Asian Americans”, which includes persons whose origins are from India, Pakistan, Bangladesh, Bhutan, the Maldives Islands, Nepal, or Sri Lanka; NATIVE HAWAIIAN Any individual whose ancestors were natives, prior to 1778, of the area which now comprises the State of Hawaii. NATIVE HAWAIIAN ORGANIZATION Any community service organization serving Native Hawaiians in the State of Hawaii which is a not-for-profit organization chartered under the State of Hawaii, is controlled by Native Hawaiians, and whose business activities will principally benefit such Native Hawaiians. NONCOMPLIANCE The condition existing when a recipient or contractor has not correctly implemented the requirements of the program. OPERATING ADMINISTRATION OR OA Any of the following parts of the DOT: the Federal Aviation Administration (FAA), Federal Highway Administration (FHWA), and Federal Transit Administration (FTA). The “Administrator” of an operating administration includes his or her designees. PERSONAL NET WORTH The net value of the assets of an individual remaining after total liabilities are deducted. An individual’s personal net worth does not include the individual’s ownership interest in an applicant or participating DBE firm; or the individual’s equity in his or her primary place of residence.An individual’s personal net worth includes only his or her own share of assets held jointly or as community property with the individual’s spouse. PRE-BID/PRE-PROPOSAL CONFERENCE A meeting held by the Metropolitan Council, prior to the bid/proposal closing date of a particular project, at which prospective bidders/proposers are advised of Metropolitan Council specification requirements, which include DBE provisions. PRE-BID/PRE-CONSTRUCTION CONFERENCE A meeting held by the Metropolitan Council prior to solicitation at which the prospective prime contractors are advised of its federal compliance obligations and other technical & administrative requirements. Packet Page Number 259 of 312 J1, Attachment 1 9 PREPONDERANCE OF THE EVIDENCEThe standard of evidence used in DBE eligibility criteria. Pertains to the total context of factual submissions. PRIMARY INDUSTRY CLASSIFICATION The four-digit Standard Industrial Classification (SIC) code designation which best describes the primary business of a firm. The SIC code designations are described in the Standard Industry Classification Manual. As the North American Industrial Classification System (NAICS) replaces the SIC system, references to SIC codes and the SIC Manual are deemed to refer to the NAICS manual and applicable codes. The SIC Manual and the NAICS Manual is available through its web site (www.ntis.gov/naics). PRIMARY RECIPIENT A recipient who receives DOT financial assistance and passes some or all of this assistance on to another recipient. PRINCIPAL PLACE OF BUSINESS The business location where the individuals who manage the firm’s day-to-day operations spend most working hours and where top management’s business records are kept. If the offices from which management is directed and where business records are kept are in different locations, the recipient will determine the principal place of business for DBE program purposes. PROGRAM Any undertaking by a recipient to use DOT financial assistance, and includes the entire activity any part of which receives DOT financial assistance. RACE-CONSCIOUS MEASURE OR PROGRAM One that is focused specifically on assisting only DBEs, including women-owned DBEs. RACE-NEUTRAL MEASURE OR PROGRAM One that is, or can be, used to assist all small businesses. For the purposes of this part, race-neutral includes gender-neutrality. REBUTTABLE PRESUMPTIONA fact related to DBE eligibility criteria that is held to meet the standards of eligibility unless proven otherwise. RECIPIENT Any entity, public or private, to which DOT financial assistance is extended, whether directly or through another recipient, through the programs of the FAA, FHWA, or FTA, or who has applied for such assistance. REGULAR DEALER A firm that owns, operates or maintains a store, warehouse or other establishment in which the materials or supplies required for the performance of the contract are bought, kept in stock, and regularly sold to the public in the usual course of business. To be a regular dealer, the firm must engage in, as its principal business, and in its own name, the purchase and sale of the products in question. A regular dealer in such bulk items as steel, cement, gravel, stone, and petroleum products need not keep such products in stock, if it owns or operates distribution equipment. Brokers and packagers shall not be regarded as manufacturers or regular dealers within the meaning of this definition. RELATIVE AVAILABILITYThe percentage of available DBE firms in light of local circumstances and the number of total available firms. SECRETARY The secretary of transportation or his/her designee. Packet Page Number 260 of 312 J1, Attachment 1 10 SET-ASIDE A contracting practice restricting eligibility for the competitive award of a contract solely to DBE firms. SMALL BUSINESS ADMINISTRATION OR SBA The United States Small Business Administration. SMALL BUSINESS CONCERN (with respect to firms seeking to participate as DBEs in DOT- assisted contracts) A small business as defined pursuant to Section 3 of the Small Business Act (13 CFR 121), and regulations implementing it, that does not exceed the cap on gross receipts specified in 49 CFR 26.65(6). SOCIALLY AND ECONOMICALLY DISADVANTAGED INDIVIDUALS (for purposes of DOT- assisted projects) Any individual who is a citizen (or lawfully admitted permanent resident) of the United States, and who is: a. Any individual who a recipient finds to be a socially and economically disadvantaged individual on a case-by-case basis; b. Any individuals in the following groups, members of which are rebuttably presumed to be socially and economically disadvantaged: i. Black Americans ii. Hispanic Americans iii. Native Americans iv. Asian-Pacific Americans v. Subcontinent Asian Americans b. Women (regardless of race, ethnicity or origin); or c. Individuals found to be socially and economically disadvantaged by the U.S. SBA pursuant to Section 8(a) of the Small Business Act. The Metropolitan Council will make a rebuttable presumption that individuals in the above groups are socially and economically disadvantaged. The Metropolitan Council may, on a case- by-case basis, determine or accept the determination by another DOT recipient, individuals who are socially and economically disadvantaged in accordance with 49 CFR 26, Appendix E. TRANSIT VEHICLE MANUFACTURER A manufacturer of vehicles used by FTA recipients for the primary program purpose of public mass transportation (e.g. buses, railcars, vans). The term does not apply to firms that rehabilitate old vehicles or to manufacturers of locomotives or ferryboats. The term refers to distributors of or dealers in transit vehicles with respect to requirements of 49 CFR part 23.67 of the regulations. TRIBALLY-OWNED CONCERN Any concern that at least 51% owned by an Indian tribe as defined in these definitions. Packet Page Number 261 of 312 J1, Attachment 1 11 U.S. DOT REGULATIONS (49 CFR part 23 and part 26) Federal rules and regulations published in the Federal Register dated March 31, 1980; amended April 27, 1981; July 21, 1983; October 21, 1987; and March 4, 1999; by the Department of Transportation, Office of the Secretary; entitled “Participation by \[Minority Business Enterprise\] in Department of Transportation Programs” and codified at Title 49, Code of Federal Regulations, Part 23. DBE LIAISON OFFICER The official designated by the head of the department element to have overall responsibility for promotion of DBE participation. 3.0 RESPONSIBILITY FOR DBE PROGRAM IMPLEMENTATION 1. The Chair of the Metropolitan Council has overall responsibility for the DBE program, and performs the role of providing policy leadership regarding the involvement of DBEs in the activities of the Metropolitan Council. 2. The Regional Administrator has responsibility for establishing and maintaining a program to promote the Metropolitan Council’s DBE program. This responsibility will be carried out in conjunction with the DBE Liaison Officer. 3.In accordance with 49 CFR section 26.25, the Metropolitan Council has designated its Manager, Office of Diversity and Equal Opportunity as its DBE Liaison Officer, responsible for implementing all aspects of the DBE program. The DBE Liaison Officer shall have direct and independent access to, and direct communication with, the Regional Administrator concerning DBE program matters. 4. Department directors, division directors and managers of operating elements have responsibility for effectively carrying out this policy within their particular departments. The manager of each program shall work in cooperation with the DBE Liaison Officer for the promotion of DBEs in his or her department. Each department director will include DBE contracting efforts as a factor in regular contract review activities. 3.1 Duties of DBE Liaison Officer The responsibilities of the DBE Liaison Officer include: 1. Providing information and recommendations to the Regional Administrator of the Metropolitan Counsel regarding its obligations for compliance with current applicable federal and state law, regulations and local ordinances. 2. Provide information and recommendations directly to the General Manager. This includes: a. Analyzing and revising the DBE Program policies and procedures as necessary. b. Surveying the DBE community for development of goal-setting data and conducting outreach in order to increase business opportunities to DBEs. c. Analyzing Metropolitan Council contract opportunities available of DBEs, and developing annual DBE goals. Packet Page Number 262 of 312 J1, Attachment 1 12 d. Establishing contract-specific goals. e. Conducting periodic training of Metropolitan Council managers on DBE responsibilities. 3. Maintaining and updating the Metropolitan Council’s DBE directory as provided for in Section 4.2 of this program. 4. Implementing DBE outreach activities as described in Section 5.3 of this program. 5. Monitoring contractor/grantee compliance with DBE commitments, maintaining accurate records, demonstrating DBE efforts and accomplishments, and determining compliance. This includes: a. Issuing periodic reports to the Metropolitan Council’s Contracts & Procurement/Purchasing Unit concerning DBE compliance or non-compliance of contractors and staff with the requirements of this program. b. Attending meetings of the Metropolitan Council at which time these matters are considered; and responding to queries from Metropolitan Council members. c. Compiling DBE statistical and narrative reports for the DOT, the Metropolitan Council, and other public agencies. d. Analyzing and recommending revisions to the DBE policies and procedures for granting and denying DBE certification; monitoring contractors’ compliance with DBE requirements; and recommending sanctions for violation of these requirements. e. Reviewing contractor’s good faith efforts to meet the DBE goal committed to in the bid or proposal throughout the performance of the contract. f. Reviewing and recommending to the Council’s Authorized Representative (CAR) and Project Manager the approval or disapproval of a prime contractor’s request to substitute a DBE. g. Reviewing contractor’s violation of DBE utilization requirements; recommending any appropriate administrative sanctions to be imposed in accordance with 49 CFR part 26; and coordinating imposition of administrative sanctions with the Metropolitan Council’s General Counsel, Contracts & Procurement/Purchasing Unit, and CAR. 6. Coordinating development and implementation of policies and procedures for DBE participation on joint development projects with the Metropolitan Council’s Community Development Department and participating in the proposal evaluation process. 7. Participating on Proposal/Bid Evaluation Teams (PETs). Packet Page Number 263 of 312 J1, Attachment 1 13 8. Evaluating bids and proposals for compliance with DBE requirements, including bidder’s good faith efforts. 9. Monitoring contractor’s compliance with DBE utilization goals. 10. Coordinating dispute resolution through process established in partnering workshops with contract representatives, vendors and others regarding DBE program. 11. Ensuring the placement of legal and public notices of the Metropolitan Council’s annual DBE goals pursuant to Section 5.1 of this program. 3.2 Responsibilities of Support Personnel Metropolitan Council personnel from other Departments share the responsibility for ensuring the effective implementation of the DBE program. They shall give their full cooperation and active support to the DBE Liaison and his/her designee(s) in this effort. The performance of all personnel in support of the DBE Program will be evaluated by their superiors as part of their annual performance appraisal. The following are the support personnel. Legal-General Counsel Director of Finance/Controller Director of Internal Audit Grants Manager Contract & Procurement Unit Purchasing Unit Council Authorized Representative Metropolitan Council Project Managers 3.2.1 Legal-General Counsel The responsibilities of the Legal-General Counsel in support of the DBE Program include: 1. Addressing legal matters relating to DBE program implementation. 2. Rendering legal opinions regarding the interpretation of DBE bid specifications and contract provisions. 3. Advising the DBE Liaison Officer and the Contract & Procurement/Purchasing Unit regarding matters dealing with imposition of administrative sanctions against contractors who violate DBE provisions. 4. Representing the Metropolitan Council in all litigation matters involving DBE issues. 5. Providing the DBE Liaison Officer with legal opinions relevant to DBE certification. 3.2.2 Director of Finance/Controller The responsibilities of the Director of Finance/Controller in support of the DBE Program include: Packet Page Number 264 of 312 J1, Attachment 1 14 1. Ensuring the submittal of data to the DBE Liaison Officer to assist in the establishment of contract-specific goals. 2. Conferring with the DBE Liaison Officer to maximize investment of Metropolitan Council funds with DBE financial institutions, and periodically report the progress to the Metropolitan Council. 3. Assisting the DBE Liaison Officer in compiling data to develop the federal funding base for calculation of the annual DBE goals pursuant to Section 5.1of this program. 4. Ensuring maximum participation by DBE financial advisors, investment bankers, and bond counsel through the sale of Revenue Anticipation Notes, Equipment Trust Certificates, and other investment instruments. 3.2.3 Director of Internal Audit The responsibilities of Director of Internal Audit in support of the DBE Program include: 1. Providing audit or investigation assistance to the Manager, Office of Diversity and Equal Opportunity in particularly complex or difficult cases involving potential fraud or false statements on the part of certified DBEs in order to obtain certification. 2. Providing audit or investigation assistance to the Manager, Office of Diversity and Equal Opportunity in particularly complex or difficult cases involving potential fraud or false statements on the part of Metropolitan Council contractors and subcontractors in carrying out their DBE contract obligations. 3.2.4 Grants Manager The responsibilities of the Grants Manager in support of the DBE Program include: 1. Ensuring the submittal of data to the DBE Liaison Officer to assist in the establishment of contract-specific goals. 2. Ensuring that DBE Liaison Officer is notified when DOT programs or funding levels are revised. 3.2.5 Contract & Procurement Unit The responsibilities of the Contract & Procurement Unit in support of the DBE Program include: 1. Ensuring the timely forward of data to the DBE Liaison Officer to assist in the establishment of contract-specific goals, and the monitoring of contractors’ DBE obligations. 2. Maintaining the Bidders List of prime and subcontractors in accordance with 49 CFR section 26.11 and Section 9.1of this program. Packet Page Number 265 of 312 J1, Attachment 1 15 3. Ensuring that the Contract Initiation Memo (CIM) from the requesting department has been properly routed to the DBE Liaison Officer for determination of contract-specific DBE goals. 4. Providing the DBE Liaison Officer with draft scopes of work for Invitations to Bid (IFBs), Requests for Proposals (RFPs), and Requests for Invitations for Qualifications (RFIQs) to enable goal-setting, outreach and, where applicable, development of appropriate DBE language. 5. Providing the DBE Liaison Officer with copies of all final IFBs, RFPs, RFIQs, purchase orders (POs), mailing lists and advanced notices. 6. Incorporating DBE goals and appropriate DBE and contract compliance language into IFBs, RFPs, and RFIQs. 7. Informing the DBE Liaison Officer of any changes to IFBs, RFPs, RFIQs and POs prior to solicitation. 8. Sending IFBs, RFPs, RFIQs and POs to DBEs referred by the DBE Liaison Officer. 9. Placing IFB, RFP, RFIQ, and PO notices in minority-focused newspapers. 10. Notifying the DBE Liaison Officer of scheduled pre-bid, pre-proposal and pre-construction conferences. 11. Maintaining a computerized vendor listing by commodity codes, race, ethnicity and gender data to assist Procurement and DBE staff in identifying potential DBE vendors/contractors. 12. Ensuring that the DBE Liaison Officer’s designee serves on all formal Proposal/Bid Evaluation Teams. 13. Forwarding copies of bids/proposals to the DBE Liaison Officer for evaluation of compliance with DBE requirements. 14. Incorporating analysis prepared by the DBE Liaison Officer concerning bidders’ and proposers’ conformance with DBE requirements into Metropolitan Council executive summaries (business items) for all contracts or procurements with DBE goals. 15. Maintaining computerized data on purchase orders and contracts to enable compilation of quarterly DOT and other DBE progress reports. 16. Allocating appropriate resources (budget and staff) to participate with Office of Diversity and Equal Opportunity and Equal Opportunity representatives at trade fairs targeted for DBEs. 17. Ensuring that all department staff: a. Receive adequate orientation on DBE policies and procedures. Packet Page Number 266 of 312 J1, Attachment 1 16 b. Refer all potentially eligible vendors to apply for DBE certification. c. Utilize the Metropolitan Council’s DBE Directory to seek potential vendors. d. Solicit quotes from at least one DBE (in commodities or services where DBEs are identified) for informal procurements. 18. Incorporating applicable DBE provisions into all contracts. 19. Ensuring that RFPs, RFIQs, and IFBs do not contain requirements that may unnecessarily restrict or eliminate DBEs from competing. 20. Facilitating release to DBEs of public documents that provide non-proprietary information on prior winning bids and proposals. 21.Notifying DBE Liaison Officer when the project scope, funding or other changes affecting the attainment of a DBE goal, is made. 3.2.6 Purchasing Units The responsibilities of the Purchasing Unit in support of the DBE Program include: 1. Ensuring the timely submittal of data to the DBE Liaison Officer to assist in the establishment of contract-specific goals, and the monitoring of contractors’ DBE obligations. 2. Maintaining Bidders List of prime and subcontractors in accordance with 49 CFR section 26.11 and Section 9.1 of this program. 3. Ensuring that the Contract Initiation Memo (CIM) from the requesting department has been properly routed to the DBE Liaison Officer for determination of contract-specific DBE goals. 4. Providing the DBE Liaison Officer with draft scopes of work for Invitations to Bid (IFBs), Requests for Proposals (RFPs), and Requests for Invitations for Qualifications (RFIQs) to enable goal-setting, outreach and, where applicable, development of appropriate DBE language. 5. Providing the DBE Liaison Officer with copies of all final IFBs, RFPs, RFIQs, purchase orders (POs), mailing lists and advanced notices. 6. Incorporating DBE goals and appropriate DBE and contract compliance language into IFBs, RFPs, and RFIQs. 7. Informing the DBE Liaison Officer of any changes to IFBs, RFPs, RFIQs and POs prior to solicitation. 8. Sending IFBs, RFPs, RFIQs and POs to DBEs referred by the DBE Liaison Officer. 9. Placing IFB, RFP, RFIQ, and PO notices in minority-focused newspapers. Packet Page Number 267 of 312 J1, Attachment 1 17 10. Notifying the DBE Liaison Officer of scheduled pre-bid, pre-proposal and pre-construction conferences. 11. Maintaining a computerized vendor listing by commodity codes, race, ethnicity and gender data to assist Procurement and DBE staff in identifying potential DBE vendors/contractors. 12. Ensuring that the DBE Liaison Officer’s designee serves on all formal Proposal/Bid Evaluation Teams. 13. Forwarding copies of bids/proposals to the DBE Liaison Officer for evaluation of compliance with DBE requirements. 14. Incorporating analysis prepared by the DBE Liaison Officer concerning bidders’ and proposers’ conformance with DBE requirements into Metropolitan Council executive summaries (business items) for all contracts or procurements with DBE goals. 15. Maintaining computerized data on purchase orders and contracts to enable compilation of quarterly DOT and other DBE progress reports. 16. Allocating appropriate resources (budget and staff) to participate with Office of Diversity and Equal Opportunity representatives at trade fairs targeted for DBEs. 17. Ensuring that all department staff: a. Receive adequate orientation on DBE policies and procedures. b. Refer all potentially eligible vendors to apply for DBE certification. c. Utilize the Metropolitan Council’s DBE Directory to seek potential vendors. d. Solicit quotes from at least one DBE (in commodities or services where DBEs are identified) for informal procurements. 18. Incorporating applicable DBE provisions into all contracts. 19. Ensuring that RFPs, RFIQs, and IFBs do not contain unnecessary requirements that could unduly restrict or eliminate DBEs from competing. 20. Facilitating release to DBEs of public documents that provide non-proprietary information on prior winning bids and proposals. 3.2.7 Council’s Authorized Representative (CAR) The responsibilities of Council’s Authorized Representative (CAR) in support of the DBE Program include: Packet Page Number 268 of 312 J1, Attachment 1 18 1. Becoming familiar with the Metropolitan Council’s DBE policies and procedures, including but not limited to, attending orientation sessions conducted by the Office of Diversity and Equal Opportunity and Equal and Contract & Documents Purchasinb Unit staff concerning contract procurement and administration, and DBE policies and procedures. 2.For contracts with DBE goals, ensuring that: a. DBEs maintain current DBE certification by verifying their status with the contract compliance function of the Office of Diversity and Equal Opportunity. b. DBEs are utilized in accordance with the terms of the contract. c. Potential DBE utilization problems are immediately referred to the DBE Liaison Officer. d. The prime contractor continues to outreach to DBEs for additional business opportunities that result during the performance of the contract. e. Referring all requests for DBE substitution to the DBE Liaison Officer and conferring with him or her in granting or denying the request. 3.2.8 Metropolitan Council Project Managers The responsibilities of Project Managers in support of the DBE Program include: 1. Ensuring the timely submittal of data to the DBE Liaison Officer to assist in the establishment of contract-specific goals, and the monitoring of contractors’ DBE obligations. 2. Becoming familiar with the Metropolitan Council’s DBE policies and procedures, including but not limited to, attending orientation sessions conducted by the Office of Diversity and Equal Opportunity and Contract & Procurement/Purchasing Unit staff concerning contract procurement and administration, and DBE policies and procedures. 3. Providing the Contracts Documents Unit with a completed Contract Initiation Memo, and providing the Purchasing Unit with a completed Purchase Requisition, as required. 4. Utilizing the DBE directory to search for potential DBE vendors. 5. Providing maximum opportunity to DBEs by initiating informal competitive procurement procedures for DBEs to compete for contracts within their respective areas that do not require solicitation of formal, public bids or proposals. 6. Referring all potentially eligible firms to apply for DBE certification. 7. For contracts with DBE goals, ensuring that: Packet Page Number 269 of 312 J1, Attachment 1 19 a. DBEs maintain current DBE certification by verifying their status with the contract compliance function of the Office of Diversity and Equal Opportunity. b. DBEs are utilized in accordance with the terms of the contract. c. Potential DBE utilization problems are immediately referred to the DBE Liaison Officer. d. The prime contractor continues to outreach to DBEs for additional business opportunities that result during the performance of the contract. e. Referring all requests for DBE substitution to the DBE Liaison Officer and conferring with him or her in granting or denying the request. 8. Packaging individual contracts in a manner to maximize the ability of DBEs to compete favorably and ensuring that RFPs, RFIQs, and IFBs do not contain unnecessary requirements that could unduly restrict or eliminate DBEs from competing. 9. Informing the DBE Liaison Officer of the scheduled pre-construction conference. 10. Informing the DBE Liaison Officer of any potential problems concerning DBE utilization during contract administration. 3.2.9 Chief Information Officer The responsibilities of the Director of Information System Management in support of the DBE Program are: 1. Ensuring the development of long and short range information management strategies to meet DBE recordkeeping and reporting requirements. 2. Designing and developing technical systems and processes to support vendor utilization tracking and agency progress towards attainment of its DBE goal. 3.3 Reconsideration Official In accordance with the reconsideration process pursuant to 49 CFR section 26.53, and described in Section 5.5 of this program, the Metropolitan Council will, when appropriate, appoint a person to serve as its reconsideration official. The reconsideration official will be: a. Familiar with the Metropolitan Council’s DBE program and its requirements; and b. Not have any involvement in any decisions that a bidder’s good faith efforts were inadequate for which they are serving as reconsideration official. 4.0 ADMINISTRATIVE REQUIREMENTS 4.1 Financial Institutions Packet Page Number 270 of 312 J1, Attachment 1 20 The Metropolitan Council has thoroughly investigated the full extent of services offered by financial institutions owned and controlled by socially and economically disadvantaged individuals in its community. The Metropolitan Council has identified one minority owned bank in the state of Minnesota. Two branches of the bank are located adjacent to the region served by the Metropolitan Council. The Metropolitan Council will encourage prime contractors to use the services of these institutions by communicating their existence prior to contract award. These institutions are: Woodlands National Bank PO Box 190 Hinkley, Minnesota 55037 Woodlands National Bank PO Box 187 Sturgeon Lake, MN 55783 The surveys offered by these institutions include checking and savings accounts, certificates of deposits, individual retirement accounts and loans. In accordance with 49 CFR section 26.27, the Metropolitan Council will continue to investigate the full extent of services offered by, and making reasonable efforts to use, financial institutions owned and controlled by socially and economically disadvantaged individuals in our community as they are identified. 4.2 DBE Directory 1. In accordance with 49 CFR section 26.31, the Metropolitan Council will maintain a current directory of DBE firms certified to do work with the Metropolitan Council. The directory will include the following minimum information for each firm: a. Name. b. Address. c. Phone number/fax number/e-mail. d. Types of work certified to perform. e. SIC, ethnicity & certification dates 2. Only those firms certified as DBEs in accordance with the procedures specified in Section VII of this program will be included in the DBE directory. The DBE directory will be made available to the public electronically, on the Internet, and in print format. Electronic formats will be updated as appropriate; and the entire directory will be updated at least annually. 3. The DBE Directory shall serve as a source list to help in identifying DBEs with capabilities relative to contracting solicitations. The directory will be available to bidders and proposers during normal business hours to assist in their efforts to meet DBE Packet Page Number 271 of 312 J1, Attachment 1 21 requirements. The directory will be categorized by type of firm to facilitate identifying businesses with capabilities relative to a particular specification. 4.3 OVERCONCENTRATION OF DBEs. a. If Metropolitan Council determines that DBE firms are so over-concentrated in a certain type of work as to unduly burden the opportunity of non-DBE firms to participate in this type of work, Metropolitan Council will devise appropriate measures to address this over-concentration. b. Metropolitan Council governing board may, either alone or in concert with other recipients, institute additional measures which by way of example may include the use of incentives, technical assistance, business development programs, mentor- protégé programs, and other appropriate measures designated to assist DBEs in performing work outside of the specific field in which Metropolitan Council has determined that non-DBEs are unduly burdened. Metropolitan Council may also consider varying its use of contract goals, to the extent consistent with £ 26.51, to ensure that non-DBEs are not unfairly prevented from competing for subcontracts. c. Metropolitan Council will obtain the approval of the DOT's administering agency for Metropolitan Council's determination of over-concentration and the measures Metropolitan Council devises to address it. Once approved, the measures become part of the Plan. 5.0DETERMINING, MEETING AND COUNTING OVERALL ANNUAL DBE GOALS FOR FEDERALLY-ASSISTED CONTRACTS 5.1 Goal-Setting Methodology Pursuant to 49 CFR section 26.45, the Metropolitan Council will establish an annual overall DBE goal through a two-step process consisting of (a) establishing a base figure; and (b) adjusting the base figure. (See Appendix A2) 1. The following departments will assist the DBE Liaison Officer in the development of the annual goal by providing budget, financial, procurement, and other relevant information which will be used to develop the federal funding base against which the annual DBE goals are calculated: a. Offices of the Director of Finance and the Controller. b. Grants Manager. c. Offices of the Contract & Procurement/Purchasing Unit. d. All departments that intend to purchase goods and services during the reporting period. Packet Page Number 272 of 312 J1, Attachment 1 22 2. Data sources used to develop the annual overall DBE goal may include, but not be limited to, the following: a. The Metropolitan Council’s fiscal year budget. b. Grant-funded capital lists, specific Capital Projects, Financial Plan and Schedule. c. Past results of contracting agencies such as the Metropolitan Council with similar contracting opportunities, and the reasons for the level of such results. d. Demographics and business activity of the geographical area in which the Metropolitan Council will solicit bids or proposals. FTA assistance used in transit vehicle procurements will not be included in the base amount from which the annual overall goal is calculated. 3. The Metropolitan Council will conduct public participation in setting the overall goal. This participation will include the following: a. Consultation with women, minority and general contractor groups, community organizations, and other officials or organizations which could be expected to have information concerning the availability of disadvantaged and non- disadvantaged businesses, the effects of discrimination on opportunities for DBEs, and the Metropolitan Council’s efforts to establish a level playing field for the participation of DBEs. b. A published notice announcing the Metropolitan Council’s proposed overall goal, informing the public that the proposed goal, and its rationale are available for inspection during normal business hours at the Metropolitan Council’s principal office for 30 days following the date of the notice, and informing the public that the Metropolitan Council and the DOT will accept comments on the goals for 45 days from the date of the notice. The notice will include the addresses to which comments may be sent, and will be published in general circulation media and available minority-focused media and trade association publications. 5.1.1 Establishing the DBE Base Figure 1. The Base Figure will reflect the “relative availability” of DBEs based on demonstrable evidence of ready, willing and able DBEs relative to all ready, willing and able firms available to participate in DOT-assisted contracts. The Metropolitan Council will establish the Base Figure through the use of one of the following five options: a. DBE directories and Census Data. b. Bidders Lists. c. Data from Disparity Studies. d. Goals of other recipients. Packet Page Number 273 of 312 J1, Attachment 1 23 e. As calculated through alternative means, subject to review and approval by the Operating Administration. 5.1.2 Adjusting the DBE Base Figure 1. In order to consider additional evidence to narrowly tailor the DBE program, the Metropolitan Council will conduct a survey of available data to determine what evidence is available to use in adjusting the Base Figure that demonstrates the capacity of available firms to work on DOT-assisted projects for the Metropolitan Council. 2. The annual overall DBE goal will provide for participation by all certified DBEs and not be subdivided into group-specific goals. 3. The overall goal will include a calculation of the percentage of the goal that will be made through race-neutral measures and through contract-specific goals. 5.1.3 Reporting Goals 1. Pursuant to 49 CFR section 26.45, the Metropolitan Council’s annual overall DBE goal will be submitted to the FTA for approval 60 days prior to. The overall goal submission will include the following: a. A description of the methodology used to establish the goal, including the Base Figure and the evidence by which it was calculated. b. A description of the adjustments made to the Base Figure and the evidence relied on for the adjustments, including a summary of the relevant available evidence in the Metropolitan Council’s jurisdiction. Where applicable, this will include an explanation of why the Metropolitan Council did not use that evidence in adjusting the Base Figure. c. A projection of the relative portions of the overall goal that the Metropolitan Council expects to meet through race-neutral and race-conscious means. 2. The annual goals will be submitted to the Metropolitan Council for approval and will become part of all DOT financial assistance agreements. 3. Concurrent with DBE goal submittal, the Metropolitan Council will publish a notice in majority and minority-focused newspapers announcing the goals, and providing the public an opportunity to review the annual goals and submit comments to the Metropolitan Council and/or the DOT. 5.2 Transit Vehicle Manufacturers (TVMs) Participation and Certification In accordance with 49 CFR section 26.45, the Metropolitan Council requires that each transit vehicle manufacturer (TVM) certify, as a condition of being authorized to bid or propose on FTA- assisted transit vehicle procurements that it has complied with the requirements of this section. FTA assistance used in transit vehicle procurements will not be included in the base amount from which the annual overall goal is calculated. Packet Page Number 274 of 312 J1, Attachment 1 24 5.3 Race-Neutral Measures In accordance with 49 CFR section 26.51, the Metropolitan Council will use the following guidelines for the utilization of race-neutral measures to attain the annual overall DBE goal, and contract-specific goals. Race-neutral measures to attain the overall DBE goal, as allowed by state and local law, may include, but not be limited to, the following: 1. Arranging solicitations, times for the presentation of bids, quantities, specifications, and delivery schedules in ways that facilitate the participation of DBEs and other small businesses. For example: a. Unbundling large projects to make them more accessible to small businesses. b. Requiring or encouraging prime contractors to subcontract portions of work that they might otherwise perform with their own work forces. c. Ensuring that contract solicitations do not contain unnecessarily restrictive requirements. d. Waiving or allowing incremental bonding. e. Providing assistance to overcome limitations such as the inability to obtain bonding or financing. f. Providing services to help DBEs, and other small businesses, to obtain bonding and financing; and the administration of a surety bond guarantee and working capital loan program for DBE prime contractors and subcontractors. 2. Providing technical assistance and other services, including but not limited to: a. Assisting potentially eligible firms in applying to the contract compliance function of the Office of Diversity and Equal Opportunity for DBE certification. b. Referring DBEs to appropriate minority business development centers for more in- depth “hands on” technical and financial assistance (i.e. preparing bids, proposals, business plans, financial statements, and accessing working capital and bonding). c. Assisting in preparation of bid submissions to assure bids are technically correct. d. Explaining terms, conditions and specifications of bidding documents and procurement regulations that may apply. e. Providing instructions on job performance requirements to those DBEs contacted to submit proposals. 3. Carrying out information and communications programs on contracting procedures and specific contract opportunities, including but not limited to: Packet Page Number 275 of 312 J1, Attachment 1 25 a. Ensuring the inclusion of DBEs and other small businesses on the Metropolitan Council’s mailing lists for bidders. b. Ensuring the dissemination to bidders on prime contracts of lists of potential subcontractors. c. Providing for the provision of information in languages other than English, where appropriate. d. Publishing and distributing a comprehensive guide which contains information about the Metropolitan Council’s DBE procurement policies and procedures, name and telephone numbers of key contact persons, and a listing of all Metropolitan Council types of goods and services they may purchase. e. Linking interested DBEs with appropriate buyers, contract administrators and project managers to inquire about short and long-range needs of the Metropolitan Council for procurement of goods and services within their areas of specialization. f. Ensuring adequate lead-time in advertisements to allow DBE firms sufficient opportunity to develop bid packages. g. opportunities in written form by direct mail to those DBE firms that are certified with the Metropolitan Council and organizations that work in support of DBE firms. 4. Conducting outreach to DBEs to inform them of upcoming contract opportunities through the following methods: a. Trade fairs b. Newsletters c. Seminars d. One-on-one e. Minority and women business associations f. Business development centers g. Vendor relations programs h. Advertisements in minority and majority publications 5. Ensuring distribution of the Metropolitan Council’s DBE directory, through print and electronic means, to the widest feasible universe of potential prime contractors. 5.3.1 Supportive Services 1. Implementing a supportive services program to develop and improve immediate and long-term business management, record keeping, and financial and accounting capability for DBEs and other small businesses. This may include but not be limited to facilitating the debriefing of unsuccessful DBE proposer by his/her proposal evaluation team to discuss strengths and weaknesses of his/her proposal. 2. Providing services to help DBEs, and other small businesses, improve long-term development, increase opportunities to participate in a variety of kinds of work, handle Packet Page Number 276 of 312 J1, Attachment 1 26 increasingly significant projects, and achieve eventual self-sufficiency. This may include but not be limited to encouraging consortiums and co-ventures of businesses owned and controlled by DBEs. 3. Establishing a program to assist new, start-up firms, and particularly in fields in which DBE participation has historically been low. 4. Assisting DBEs, and other small businesses, to develop their capability to utilize emerging technology and conduct business through electronic media. 5.4 Contract Goals In order to achieve the percentage of the annual overall DBE goal not attainable by race-neutral means, the Metropolitan Council will set contract-specific goals as follows: 1. The DBE Liaison Officer will receive from the requesting department a Contract Initiation Memo (CIM) for each purchase requisition over $25,000. 2. The DBE Liaison Officer will consult with the requester, CAR, project manager and Contracts & Procurement/Purchasing Unit, to determine the level and type of subcontracting opportunities for goal setting. 3. The DBE Liaison Officer will conduct an in-depth analysis of the DBE availability within the identified contract. 4. The DBE Liaison Officer will recommend the contract-specific goal to the Contract & Procurement/Purchasing Units, and the requestor, for incorporation into the appropriate solicitation documents. 5.5 Good Faith Efforts In accordance with 49 CFR section 26.53 and Appendix A thereto, the following guidelines will apply to good faith efforts. 1. For all contracts where goals are set, regardless of contract size, prime contractors will be required to propose the participation of specific DBEs to either (a) meet the goal; or (b) demonstrate good faith efforts to meet the goal in their bid or proposal. 2. Bidders must submit with their bids/proposals, written confirmation of their commitment to use DBEs subcontractor(s), whose participation it submits to meet a contract-specific goal; and identify in their Bid (on the List of Proposed DBEs) all DBEs proposed to participate in the contract, regardless of their percent of participation. The List of Proposed DBEs will include: a. A description of how DBE firms will participate in this contract. The DBE goal may be satisfied by a commitment to DBE participation in the contract as a prime contractor, joint venture partner, subcontractor, trucker, or supplier. b. The name and address of each DBE prime contractor, joint venture partner, subcontractor, trucker or supplier that the bidder intends to credit toward the DBE Packet Page Number 277 of 312 J1, Attachment 1 27 goal. The complete legal business name as used for DBE certification shall be identified on the form. c. A description of the work to be performed or materials to be supplied by each DBE. d. The estimated dollar value of each DBEs participation in the contract. e. The estimated percent of the total bid for each DBE. The percentage allocated for each DBE must be in accordance with the provisions for performing a commercially useful function, as required by 49 CFR section 26.55, and described in Section 5.6 of this program. 3. All bidders must submit in their bid/proposal written confirmation from the DBE(s) participating in the contract as provided in the prime contractor’s commitment. 4. If the List of Proposed DBEs does not demonstrate meeting the contract-specific goal, bidders must complete and submit a Good Faith Efforts Summary form (Exhibit B) with the bid/proposal. 5. The DBE Liaison Officer will determine whether a contractor made sufficient good faith efforts to meet the goal in accordance with the guidelines set forth in 49 CFR section 26.53, and Appendix A thereto. The bidder must show that they took all necessary and reasonable steps to achieve a DBE goal or other requirement of 49 CFR Part 26 which, by their scope, intensity, and appropriateness to the objective, could reasonably be expected to obtain sufficient DBE participation, even if they were not fully successful. Compliance will be determined on a case-by-case basis, based on a review of documentation of the following types of activities: a. Soliciting through all reasonable and available means (e.g. attendance at pre-bid meetings, advertising and/or written notices) the interest of all certified DBEs who have the capability to perform the work of the contract. The bidder must solicit this interest within sufficient time to allow the DBEs to respond to the solicitation. The bidder must determine with certainty if the DBEs are interested by taking appropriate steps to follow up initial solicitations. b. Selecting portions of the work to be performed by DBEs in order to increase the likelihood that the DBE goals will be achieved. This includes, where appropriate, breaking out contract work items into economically feasible units to facilitate DBE participation, even when the prime contractor might otherwise prefer to perform these work items with its own forces. c. Providing interested DBEs with adequate information about the plans, specifications, and requirements of the contract in a timely manner to assist them in responding to a solicitation. d. Negotiating in good faith with interested DBEs. The bidder has the responsibility to make a portion of the work available to DBE subcontractors and suppliers and to select those portions of the work or material needs consistent with the available DBE subcontractors and suppliers so as to facilitate DBE participation. Evidence of such Packet Page Number 278 of 312 J1, Attachment 1 28 negotiation includes the names, addresses, and telephone numbers of DBEs that were considered; a description of information provided regarding the plans and specifications for the work selected for subcontracting; and evidence as to why additional agreements could not be reached for DBEs to perform the work. e. A bidder using good business judgement would consider a number of factors in negotiating with subcontractors, including DBE subcontractors, and would take a firm’s price and capabilities as well as contract goals into consideration. However, the fact that there may be some additional costs involved in finding and using DBEs is not in itself sufficient reason for bidder’s failure to meet the contract DBE goal, as long as such costs are reasonable. Also, the ability or desire of a prime contractor to perform the work of a contract with its own organization does not relieve the bidder of the responsibility to make good faith efforts.Prime contractors are not, however, required to accept higher quotes from DBEs if the price difference is excessive or unreasonable. f. Not rejecting DBEs as being unqualified without sound reasons based on a thorough investigation of their capabilities. The contractor’s standing within its industry, membership in specific groups, organizations, or associations and political or social affiliations (for example union vs. non-union employee status) are not legitimate causes for rejection or non-solicitation of bids in the contractor’s efforts to meet the project goal. g. Making efforts to assist interested DBEs in obtaining bonding, lines of credit, or insurance as required by the recipient or contractor. h. Making efforts to assist interested DBEs in obtaining necessary equipment, supplies, materials or related assistance or services. i. Effectively using the services of available minority/women community organizations; minority/women contractors’ groups; local, state and Federal offices of minority/women business assistance; and other organizations as allowed on a case- by-case basis to provide assistance in the recruitment and placement of DBEs. j. The performance of other bidders in meeting the contract. For example, when the apparent successful bidder fails to meet the contract goal, but others meet it, you may reasonably raise the question of whether, with additional reasonable efforts; the apparent successful bidder could have met the goal. If the apparent successful bidder fails to meet the goal, but meets or exceeds the average DBE participation obtained by other bidders, you may view this, in conjunction with other factors, as evidence of the apparent successful bidder having made good faith efforts. 6. Any of the following conditions will constitute failure to meet the goal: a. The total percentage participation by DBE firms reflected on the List of Proposed DBEs is less than the DBE goal set forth in the procurement. b. Firms on the List of Proposed DBEs whose participation are being credited toward meeting the DBE goal, but are not certified by the Metropolitan Council as DBEs as of the execution of the contract. Packet Page Number 279 of 312 J1, Attachment 1 29 7. If the Metropolitan Council determines that the apparent successful bidder has failed to meet the Good Faith Efforts requirements of this program, it will, before contract award, provide the bidder an opportunity for administrative reconsideration. The bidder will have the opportunity to: a. Provide a written documentation or argument concerning the issue of whether the bidder met the goal or made adequate good faith efforts to do so. b. Meet in person with the Metropolitan Council or its reconsideration official (as required in Section 3.3 of this program) to discuss the issue of whether the bidder met the goal or made adequate good faith efforts to do so. 8. The Metropolitan Council will send the bidder a written decision on its reconsideration, explaining the basis of whether it met the goal or made adequate good faith efforts to do so. 9. In accordance with 49 CFR section 26.53, the result of the Metropolitan Council’s reconsideration process is not subject to administrative appeal to the Department of Transportation. 10. In “design-build” or “turnkey” contracting situations where the Metropolitan Council lets a master contract to a contractor, who in turn lets subsequent subcontracts for the work of the project, the Metropolitan Council will set a goal for the project. The master contractor then must establish contract-specific goals, as appropriate, for all subcontracts it lets. The Metropolitan Council will monitor the master contractor’s activities to ensure that they are consistent with the requirements of the program. 11. The Metropolitan Council requires that prime contractors not terminate for convenience a DBE subcontractor listed on the List of Proposed DBEs (or an approved substitute DBE) and then perform the work of the terminated subcontract with its own forces or those of an affiliate, without prior written consent of the Metropolitan Council’s DBE Liaison Officer. 12. If a DBE subcontractor is terminated or fails to complete its work on a contract for any reason, the prime contractor must make good faith efforts to find another DBE subcontractor to substitute for the original DBE. These good faith efforts must be directed at finding another DBE to perform at least the same amount of work under the contract as the DBE that was terminated, to the extent needed to meet the contract- specific goal. 13. These good faith efforts requirements also apply to DBE bidders/proposers for prime contracts. The work proposed to be performed with its own work force as well as work committed to DBE subcontractors and suppliers will count toward the contract-specific goal. 5.6 Counting DBE Participation Packet Page Number 280 of 312 J1, Attachment 1 30 In accordance with 49 CFR section 26.55, the Metropolitan Council will utilize the following guidelines in determining the percentage of DBE participation that will be counted toward the overall DBE goal: 1. If a firm is not currently certified as a DBE in accordance with the standards of subpart D of the regulations at the time of the execution of the contract, the firm’s participation toward any DBE goals will not be counted, except as provided in 49 CFR section 26.87(I). 2. The dollar value of work performed under a contract with a firm after it has ceased to be certified will not be counted toward the overall goal. 3. The participation of a DBE subcontractor toward the prime contractor’s DBE achievements or the overall goal will not be counted until the amount being counted toward the goal has been paid to the DBE. 4. When a DBE participates in a contract, the value of the work actually performed will be counted as follows: a. The entire amount of that portion of a construction contract (or other contract not covered by paragraph 49 CFR part 26.55 that is performed by the DBE’s own forces. Include the cost of supplies and materials obtained by the DBE for the work of the contract, including supplies purchased or equipment leased by the DBE (except supplies, and equipment the DBE subcontractor purchases or leases from the prime contractor or its affiliate). b. The entire amount of fees or commissions charged by a DBE firm for providing a bona fide service, such as professional, technical, consultant, or managerial services, or for providing bonds or insurance specifically required for the performance of a DOT- assisted contract, toward DBE goals, provided that the Metropolitan Council determines the fee to be reasonable and not excessive as compared with fees customarily allowed for similar services. c. When a DBE subcontracts part of the work of its contract to another firm, the value of the subcontract work may be counted toward DBE goals only if the DBE’s subcontractor is itself a DBE. Work that a DBE subcontracts to a non-DBE firm will not count toward DBE goals. 5. When a DBE performs as a participant in a joint venture, the Metropolitan Council will count a portion of the total dollar value of the contract equal to the distinct, clearly defined portion of the work of the contract that the DBE performs with its own forces toward DBE goals. 6. The Metropolitan Council will count expenditures to a DBE contractor toward DBE goals only if the DBE is performing a commercially useful function on that contract: a. A DBE performs a commercially useful function when it is responsible for execution of the work of the contract and is carrying out it responsibilities by actually performing, managing, and supervising the work involved. To perform a commercially useful function, the DBE must also be responsible, with respect Packet Page Number 281 of 312 J1, Attachment 1 31 to materials and supplies used on the contract, for negotiating price, determining quality and quantity, ordering the material, and installing (where applicable) and paying for the material itself. To determine whether a DBE is performing a commercially useful function, the Metropolitan Council will evaluate the amount of work subcontracted, industry practices, whether the amount the firm is to be paid under the contract is commensurate with the work it is actually performing and the DBE credit claimed for its performance of the work, and other relevant factors. b. A DBE does not perform a commercially useful function if its role is limited to that of an extra participant in a transaction, contract, or project through which the funds are passed in order to obtain the appearance of DBE participation. In determining whether a DBE is such an extra participant, you must examine similar transactions, particularly those in which DBEs do not participate. c. If a DBE does not perform or exercise responsibility for at least 30 percent of the total cost of its contract with its own work force, or the DBE subcontracts a greater portion of the work of a contract than would be expected on the basis of normal industry practice for the type of work involved, you must presume that it is not performing a commercially useful function. d. When a DBE is presumed not to be performing a commercially useful function as provided in this program, the DBE may present evidence to rebut this presumption. You may determine that the firm is performing a commercially useful function given the type of work involved and normal industry practices. e. The Metropolitan Council's decisions on matters of whether a DBE performs a commercially useful functions are subject to review by the concerned operating administration, but is not subject to an administrative appeal to DOT. 7. The Metropolitan Council will use the following factors in determining whether a DBE trucking company is performing a commercially useful function: a. The DBE must be responsible for the management and supervision of the entire trucking operation for which it is responsible on a particular contract, and there cannot be a contrived arrangement for the purpose of meeting DBE goals. b. The DBE must itself own and operate at least one fully licensed, insured, and operational truck used on its contract. c. The DBE receives credit for the total value of the transportation services it provides on the contract using trucks it owns, insures, and operates using drivers it employs. d. The DBE may lease trucks from another DBE firm, including an owner-operator who is certified as a DBE. The DBE who leases trucks from another DBE receives credit for the total value of the transportation services the lessee DBE provides on the contract. Packet Page Number 282 of 312 J1, Attachment 1 32 e. The DBE may also lease trucks from a non-DBE firm, including an owner- operator. The DBE who leases trucks from a non-DBE is entitled to credit only for the fee or commission it receives as a result of the lease arrangement. The DBE does not receive credit for the total value of the transportation services provided by the lessee, since these services are not provided by the DBE. f. For purposes of this section, a lease must indicate that the DBE has exclusive use of and control over the truck. This does not preclude the leased truck from working for others during the term of the lease with the consent of the DBE, so long as the lease gives the DBE absolute priority for the use of the leased truck. Leased trucks must display the name and identification number of the DBE. 8. The Metropolitan Council will count expenditures with DBEs for materials or supplies toward DBE goals as provided in the following: a. The Metropolitan Council will count 100% of the cost of the materials or supplies toward DBE goals if the materials or supplies are obtained from a DBE manufacturer. For purposes of this paragraph, a manufacturer is a firm that operates or maintains a factory or establishment that produces, on the premises, the materials, supplies, articles, or equipment required under the contract and of the general character described in the specifications. b. The Metropolitan council will count 60% of the cost of the materials or supplies toward DBE goals if the materials or supplies are purchased from a DBE regular dealer. For purposes of this section, a regular dealer is a firm that owns, operates, or maintains a store, warehouse, or other establishment in which the materials, supplies, articles or equipment of the general character described by the specifications and required under the contract are bought, kept in stock, and regularly sold to or leased to the public in the usual course of business. 9. To be a regular dealer, the firm must be an established, regular business that engages, as its principal business and under its own name, in the purchase and sale or lease of the products in question. 10. A person may be a regular dealer in such bulk items as petroleum products, steel, cement, gravel, stone or asphalt without owning, operating, or maintaining a place of business as provided in 49 CFR section 26.55(e)(2)(ii) if the person both owns and operates distribution equipment for the products. Any supplementing of regular dealers’ own distribution equipment shall be by a long-term lease and not on an ad hoc or contract-by-contract basis. 11. Packagers, brokers, manufacturers’ representatives, or other persons who arrange or expedite transactions are not regular dealers within the meaning of 49 CFR section 26.55(e)(2). 12. With respect to materials or supplies purchased from a DBE which is neither a manufacturer nor a regular dealer, the Metropolitan Council will count the entire amount Packet Page Number 283 of 312 J1, Attachment 1 33 of fees or commissions charged for assistance in the procurement of the materials and supplies, or fees or transportation charges for the delivery of materials or supplies required on a job site, toward DBE goals, provided that the Metropolitan Council has determined the fees to be reasonable and not excessive as compared with fees customarily allowed for similar services. The Metropolitan Council will not count any portion of the cost of the materials and supplies themselves toward DBE goals, however. 5.7 Quotas, Set-Asides and Penalties 1. Pursuant to 49 CFR section 26.43, the Metropolitan Council will utilize the following guidelines for use of quotas and set-asides: a. The Metropolitan Council will not use quotas for DBEs on DOT-assisted contracts subject to the regulations of 49 CFR Part 26. b. The Metropolitan Council has the discretion to use set-aside contracts only in limited and extreme circumstances, when no other method could be reasonably expected to redress egregious instances of discrimination. 2.In accordance with 49 CFR section 26.47, the Metropolitan Council will not be penalized or be held in non-compliance with the regulations because DBE participation falls short of its overall goal, unless the Metropolitan Council has failed to administer its program in good faith. 3. If the Metropolitan Council does not have an approved DBE program or overall goal, or if it fails to implements its program in good faith, it will be considered to be in non- compliance with the regulations. 6.0 REQUIRED CONTRACT PROVISIONS 6.1 Assurances 1. In accordance with 49 CFR section 26.13, each financial assistance agreement that the Metropolitan Council signs with a DOT operating administration (or a primary recipient) must include the following assurance: The recipient shall not discriminate on the basis of race, color, national origin, or sex in the award and performance of any DOT-assisted contract or in the administration of its DBE program or the requirements of 49 CFR Part 26. The recipient shall take all necessary and reasonable steps under 49 CFR Part 26 to ensure nondiscrimination in the award and administration of DOT-assisted contracts. The recipient’s DBE program, as required under 49 CFR Part 26 and as approved by DOT, is incorporated by reference in this agreement. Implementation of this program is a legal obligation and failure to carry out its terms shall be treated as a violation of this agreement. Upon notification to the recipient of its failure to carry out its approved program, the Department may impose sanctions as provided under Part 26 and may, in appropriate cases, refer the matter for enforcement under 18 U.S.C. 1001 and/or the Program Fraud Civil Remedies Act of 1986 (31 U.S.C. 3801 et seq.). Packet Page Number 284 of 312 J1, Attachment 1 34 2. In accordance with 49 CFR section 26.13, each contract the Metropolitan Council signs with a contractor (and each subcontract the prime contractor signs with a subcontractor) must include the following assurance: The contractor, sub recipient or subcontractor shall not discriminate on the basis of race, color, national origin, or sex in the performance of this contract. The contractor shall carry out applicable requirements of 49 CFR Part 26 in the award and administration of DOT-assisted contracts. Failure by the contractor to carry out these requirements is a material breach of this contract, which may result in the termination of this contract or such other remedy, as the recipient deems appropriate. 6.2 Prompt Payment In accordance with 49 CFR section 26.29, the Metropolitan Council has established: 1. A contract clause requiring prime contractors to pay subcontractors for satisfactory performance of their contracts no later than 5 days from receipt of each payment that the Metropolitan Council makes to the prime contractor. This clause requires the return of retainage payments from the prime contractor to the subcontractor within 10 days after the contractor receives payment from the Metropolitan Council. This clause also provides for: a. Appropriate penalties for failure to comply, in accordance with terms and conditions set by the Metropolitan Council. b. That any delay or postponement of payment among the parties may take place only for good cause, with the Metropolitan Council’s prior written approval. 2. The Metropolitan Council has also established as part of its DBE program, the following additional mechanisms to ensure prompt payment: a. A contract clause that requires prime contractors to include in their subcontracts language providing that prime contractors and subcontractors will use appropriate alternative dispute resolution mechanisms to resolve payment disputes as referred to in Section 3.1 of this program. b. A contract clause providing that the prime contractor will not be reimbursed for work performed by subcontractors unless and until the prime contractor ensures that the subcontractors are promptly paid for the work they have performed. 3. The Metropolitan Council may, consistent with the regulations and applicable state and local law, implement other mechanisms at its discretion, to ensure that DBEs and other contractors are fully and promptly paid. 6.3 Legal and Contract Remedies 1. In accordance with 49 CFR section 26.37, the Metropolitan Council will implement appropriate mechanisms to ensure compliance by all participants with program Packet Page Number 285 of 312 J1, Attachment 1 35 requirements, including that DBE commitments are actually performed by DBEs. This monitoring includes the review of monthly Summary of Subcontract Awards and Paid Report (Exhibit C), and a provision that DBE participation is counted toward overall or contract goals only when payments are actually made to DBEs. The Metropolitan Council will apply all legal and contract remedies available under Federal, state, and local law as described in Section 6.3.1 of this program. 2. The contract compliance function of the Office of Diversity and Equal Opportunity and Equal Opportunity will implement the monitoring aspect of the DBE program. 3. Non-compliance by the contractor with the requirements of the DBE regulations constitute a breach of contract and may result in termination of the contract, liquidated damages or other appropriate remedy as set forth in Section 6.3.1 of this program. 4. Prior to execution of all contracts containing DBE goals the prime contractor will be directed to the contract specification for the Metropolitan Council’s specific DBE reporting and record keeping requirements, as described in Section 6.4 of this program. 6.3.1 Administrative Sanctions 1. All contractors deemed to be in non-compliance will be informed in writing, by certified mail, by the \[Contracts & Procurement Unit/Procurement Unit\] that sanctions shall be imposed for failure to meet DBE utilization goals and/or submit documentation of good faith efforts. The Contractor will be given five (5) working days from the date of the notice to file a written appeal to the Regional Administrator. Failure to respond within the five- (5) day period shall constitute a waiver of appeal. The notice will state the specific sanction to be imposed. 2. The Regional Administrator or designee, at his or her sole discretion, may schedule a hearing to gather additional facts and evidence and shall issue a final determination on the matter within five (5) working days of receipt of the written appeal. There shall be no right of appeal to the Metropolitan Council. 3. Sanctions may include, but not be limited to: a. Liquidated damages; b. Suspension of payment to the contractor of any monies held by Metropolitan Council as retained on the contract; c. The denial to the contractor (including its principal and key personnel) of the right to participate in future contracts of the Metropolitan Council for a period of up to three years; and d. Contract termination. e. The DBE Liaison Officer will recommend which sanction to apply. Packet Page Number 286 of 312 J1, Attachment 1 36 6.4 Contractor Reporting Requirements 1. During the term of the contract, the contractor will continue to make good faith efforts to ensure that DBEs have maximum opportunity to successfully perform in the contract, and that the contractor meets its DBE goal. These efforts shall include but not be limited to the following: a. Negotiating in good faith to attempt to finalize a subcontract agreement with DBEs committed to prior to contract award; b. Continuing to provide assistance to DBE subcontractors or suppliers in obtaining bonding, lines of credit, etc., if required by the contract; c. Notifying a DBE in writing of any potential problem and attempting to resolve the problem prior to formally requesting Metro Metropolitan Council approval to substitute the DBE; d. As with all subcontractors, timely payment of all monies due and owing to DBE subcontractors and suppliers; e. Timely submittal of complete and accurate DBE monthly reports in accordance with paragraph 3 below; and f. Informing the Metropolitan Council’s contract compliance function within the Office of Diversity and Equal Opportunity and Equal Opportunity in a timely manner of any problems anticipated in attaining the DBE participation goal committed to in the bid. 2. If a contractor requests a substitution of DBE subcontractors or suppliers, the contractor must exert good faith efforts to replace a DBE subcontractor with another DBE subcontractor subject to the approval of Metropolitan Council. 3. The contractor will submit monthly progress reports to the Metropolitan Council, in conformance with the currently approved schedule, reflecting its DBE participation. A Summary Subcontracts Award and Paid Report (Exhibit C)shall be submitted to comply with this reporting requirement. Failure to submit this report in a timely manner will result in the imposition of administrative sanctions pursuant to Metropolitan Council’s DBE policy and DOT regulations. 4. Staff will review the contractor’s monthly progress reports to monitor and determine whether the utilization of DBE firms is consistent with the commitment of the contractor as stated in its bid or proposal. 5. If it is determined that the contractor’s DBE utilization during performance of the contract is not consistent with the commitment thereto, the contractor will be requested, in writing, to submit evidence of its good faith efforts to meet the goal. The contractor shall be given ten (10) working days to submit this documentation. Failure to respond shall place the Packet Page Number 287 of 312 J1, Attachment 1 37 contractor in non-compliance, subject to sanctions as provided in the section on Administrative Sanctions below. 6. The contractor’s good faith efforts documentation will then be reviewed for accuracy, sufficiency and internal consistency. Staff shall make a determination as to the adequacy of the contractor’s good faith efforts documentation and so inform the contractor. If it is determined that the contractor’s good faith efforts documentation is acceptable, the contractor will be deemed to be in compliance with the DBE utilization goals. If it is determined that the contractor’s good faith efforts documentation is not acceptable, the contractor will be notified and be deemed to be in non-compliance with the DBE utilization goals. 7. The dollar amount of Change Orders or any other contract modifications that increase or decrease the work area in which DBEs participation has been committed to in the bid, will be commensurately added to or subtracted from the total contract base figure used to compute actual dollars paid to DBEs. Revised total contract dollar values shall be reflected in the monthly progress report submitted to Metropolitan Council and referenced above. 8. Failure to carry out these requirements constitutes a breach of contract and, and after notification to the U.S. Department of Transportation, may result in termination of the contract by Metropolitan Council or imposition of other appropriate sanctions. This notice is given pursuant to 49 CFR section 23.43(c). For purposes of this section, timely submittal means received in the contract compliance function of the Office of Diversity and Equal Opportunity and Equal Opportunity by the close of business on the fifteenth (15th) of the following month. 7.0 CERTIFICATION STANDARDS (SUBPART D) 7.1 Burdens of Proof In accordance with 49 CFR section 26.61, the Metropolitan Council will apply the following standards to determine DBE eligibility: 1. The firm seeking certification has the burden of demonstrating to the Metropolitan Council, by a preponderance of the evidence, that it meets the requirements of 49 CFR Part 26, Subpart D (sections 26.61-26.73) concerning group membership or individual disadvantage, business size, ownership, and control. 2. The Metropolitan Council will rebuttably presume that members of the designated groups identified in 49 CFR section 26.67(a) are socially and economically disadvantaged. This means that they do not have the burden of proving to the Metropolitan Council that they are socially and economically disadvantaged. However, applicants have the obligation to provide the Metropolitan Council information concerning their economic disadvantage. 3. Individuals who are not presumed to be socially and economically disadvantaged, and individuals whose presumption of disadvantage has been rebutted, have the burden of proving to the Metropolitan Council, by a preponderance of evidence, that they are socially and economically disadvantaged in accordance with Appendix B of 49 CFR Part 26. Packet Page Number 288 of 312 J1, Attachment 1 38 4. The Metropolitan Council will determine whether individuals and firms have met their burden of demonstrating group membership, business size, individual disadvantage, ownership, and control by considering all the facts in the record, viewed as a whole. 7.2 Group Membership Determinations In accordance with 49 CFR section 26.63, the Metropolitan Council will utilize the following guidelines to determine group membership status for purposes of DBE eligibility. 1. If there is reason to question whether an individual is a member of a group that is presumed to be socially and economically disadvantaged, the Metropolitan Council will require the individual to demonstrate, by a preponderance of evidence, that he or she is a member of the group. 2. In making such a determination, the Metropolitan Council will consider whether the person has held him or herself out to be a member of the group over a long period of time prior to application for certification and whether the person is regarded as a member of the group by the relevant community. The Metropolitan Council may require the applicant to produce appropriate documentation of group membership. 3. If the Metropolitan Council determines that an individual claiming to be a member of a group presumed to be disadvantaged is not a member of a designated disadvantaged group, the individual must demonstrate social and economic disadvantage on an individual basis in accordance with the guidelines of Section 7.3.4 of this program. 4. The Metropolitan Council’s decisions concerning membership in a designated group are subject to the certification appeals procedure of 49 CFR part 26.89, and as described in Section 8.6 of this program. 7.3 Social and Economic Disadvantage; Statement of Net Worth In accordance with 49 CFR section 26.67, the Metropolitan Council will utilize the following guidelines to determine social and economic disadvantage for purposes of DBE eligibility. 7.3.1 Presumption of disadvantage 1. The Metropolitan Council will rebuttably presume that citizens of the United States (or lawfully admitted permanent residents) who are women, Black Americans, Hispanic Americans, Native Americans, Asian-Pacific Americans, Subcontinent Asian Americans, or other minorities found to be disadvantaged by the SBA, are socially and economically disadvantaged individuals. The Metropolitan Council will require applicants to submit a signed, notarized certification that each presumptively disadvantaged owner is, in fact, socially and economically disadvantaged. 2. The Metropolitan Council requires each individual applying to participate as a DBE whose ownership and control are relied upon for DBE certification to submit a signed, notarized statement of personal net worth, with appropriate supporting documentation. Packet Page Number 289 of 312 J1, Attachment 1 39 3. In determining net worth, the Metropolitan Council will exclude an individual’s ownership interest in the applicant firm and the individual’s equity in his or her primary residence (except any portion of such equity that is attributable to excessive withdrawals from the applicant firm). Furthermore, contingent liability will not reduce an individual’s net worth for these purposes. The personal net worth of an individual claiming to be an Alaska Native will include assets and income from other than an Alaska Native Corporation and exclude any of the following which the individual receives from any Alaska Native Corporation: a. Cash (including cash dividends on stock received from an ANC) to the extent that it does not, in the aggregate, exceed $2,000 per individual per annum; b. Stock (including stock issued or distributed by an ANC as a dividend or distribution on stock); c. A partnership interest; d. Land or an interest in land (including land or an interest in land received from an ANC as a dividend or distribution on stock); and e. An interest in a settlement trust. 7.3.2 Rebuttal of presumption of disadvantage 1. If the statement of personal net worth that an individual submits under paragraph III-C above shows that the individual’s personal net worth exceeds $750,000, the individual’s presumption of economic disadvantage is rebutted. The Metropolitan Council is not required to have a proceeding in order to rebut the presumption of economic disadvantage in such cases. 2. If the Metropolitan Council has a reasonable basis to believe that an individual who is a member of one of the designated groups is not, in fact, socially and/or economically disadvantaged, the Metropolitan Council may, at any time, start a proceeding to determine whether the presumption should be regarded as rebutted with respect to that individual. Such proceedings will follow the procedures of 49 CFR part 26.87, as described in Section 8.5 of this program. 3. In such proceedings, the Metropolitan Council has the burden of demonstrating, by a preponderance of the evidence, that the individual is not socially and economically disadvantaged. The Metropolitan Council may, at its discretion, require the individual to produce information relevant to the determination of his or her disadvantage. 4. When an individual’s presumption of social and/or economic disadvantage has been rebutted, his or her ownership and control of the firm in question cannot be used for purposes of DBE eligibility under this program unless and until he or she makes an individual showing of social and/or economic disadvantage. If the basis for rebutting the presumption is a determination that the individual’s personal net worth exceeds $750,000, the individual is no longer eligible for participation in the program and cannot regain eligibility by making an individual showing of disadvantage. Packet Page Number 290 of 312 J1, Attachment 1 40 7.3.3 SBA 8(a) and SDB Firms 1. If a firm applying for certification has a current, valid certification from or is recognized by the SBA under the 8(a) or small and disadvantaged business (SDB) program (except an SDB certification based on the firm’s self-certification as an SDB), the Metropolitan Council may accept the firm’s 8(a) or SDB certification in lieu of conducting its own certification proceeding. The Metropolitan Council may, at its discretion, accept the certification of another DOT recipient for this purpose. 7.3.4 Individual determinations of social and economic disadvantage 1. Firms owned and controlled by individuals who are not presumed to be socially and economically disadvantaged (including individuals whose presumed disadvantage has been rebutted) may apply for DBE certification. The Metropolitan Council will make a case-by-case determination of whether each individual whose ownership and control are relied upon for DBE certification is socially and economically disadvantaged. In such a review, the applicant firm has the burden of demonstrating to the Metropolitan Council, by a preponderance of the evidence, that the individuals who own and control it are socially and economically disadvantaged. An individual whose personal net worth exceeds $750,000 shall not be deemed to be economically disadvantaged. In making these determinations, the Metropolitan Council will use the guidelines found in Appendix E of 49 CFR part 26;and the Metropolitan Council will require that applicants provide sufficient information to permit determinations under the guidelines referenced herein. 7.4 Business Size Determinations In accordance with 49 CFR section 26.65, the Metropolitan Council will utilize the following guidelines to determine business size for purposes of DBE eligibility. 1. An eligible DBE (including its affiliates) must be an existing small business, as defined by Small Business Administration (SBA) standards. The Metropolitan Council will apply current SBA business size standards found in 13 CFR Part 121 appropriate to the type(s) of work the firm seeks to perform on DOT-assisted contracts. 2. Even if the firm meets these requirements, a firm will not be certified as an eligible DBE in any Federal fiscal year if the firm (including its affiliates) has had average annual gross receipts, as defined by SBA standards, in excess of $16.6 million. 7.5 Ownership Determinations In accordance with 49 CFR section 26.69, the Metropolitan Council will utilize the following guidelines to determine social and economic disadvantage for purposes of DBE eligibility: 1. Eligible DBE firms must be at least 51% owned by socially and economically disadvantaged individuals, as follows: a. In a corporation, eligible individuals must own at least 51% of each class of voting stock outstanding and 51% of the aggregate of all stock outstanding. Packet Page Number 291 of 312 J1, Attachment 1 41 b. In a partnership, 51% of each class of partnership interest must be owned by socially and economically disadvantaged individuals. Such ownership must be reflected in the firm’s partnership agreement. c. In a limited liability company, at least 51% of each class of member interest must be owned by socially and economically disadvantaged individuals. 2. The firm’s ownership by socially and economically disadvantaged individuals must be real, substantial, and continuing, going beyond pro forma ownership of the firm as reflected in ownership documents. To be eligible, the disadvantaged owners must enjoy the customary incidents of ownership, and share in the risks and profits commensurate with their ownership interests, as demonstrated by the substance, not merely the form, of arrangements. 3. All securities that constitute ownership of a firm must be held directly by disadvantaged persons. Except as provided in this paragraph, no securities or assets held in trust, or by any guardian for a minor, are considered as held by disadvantaged persons in determining ownership of a firm. However, securities or assets held in trust are regarded as held by a disadvantaged individual for purposes of ownership of a firm, if: a. The beneficial owner of securities or assets held in trust is a disadvantaged individual, and the trustee is the same or another such individual; or b. The beneficial owner of a trust is a disadvantaged individual who, rather than the trustee, exercises effective control over the management, policy-making, and daily operational activities of the firm. Assets held in a revocable living trust may be counted only in the situation where the disadvantaged individual is the sole grantor, beneficiary, and trustee. 4. The contributions of capital or expertise by the socially and economically disadvantaged owners to acquire their ownership interests must be real and substantial. Examples of insufficient contributions include a promise to contribute capital, an unsecured note payable to the firm or an owner who is not a disadvantaged individual, or mere participation in a firm’s activities as an employee. Debt instruments from financial institutions or other institutions that lend funds in the normal course of their business do not render a firm ineligible, even if the debtor’s ownership interest is security for the loan. 5. The following requirements apply to situations in which expertise is relied upon as part of a disadvantaged owner’s contribution to acquire ownership; the owner’s expertise must be: a. In a specialized field; b. Of outstanding quality; c. In area’s critical to the firm’s operations; d. Indispensable to the firm’s potential success; e. Specific to the type of work the firm performs; and f. Documented in the records of the firm. These records must clearly show the contribution of expertise and its value to the firm. Packet Page Number 292 of 312 J1, Attachment 1 42 6. The individual whose expertise is relied upon must have a significant financial investment in the firm. 7. For purposes of determining ownership, all interests in a business or other assets obtained by the individual in the following manners will be considered as held by a socially and economically disadvantaged individual: a. As the result of a final property settlement or court order in a divorce or legal separation, provided that no term or condition of the agreement or divorce decree is inconsistent with this section; or b. Through inheritance, or otherwise because of the death of the former owner. 8. For purposes of determining ownership, the Metropolitan Council does not count all interests in a business or other assets obtained by the individual as the result of a gift, or transfer without adequate consideration, from any non-disadvantaged individual or non- DBE firm who is: a. Involved in the same firm for which the individual is seeking certification, or an affiliate of that firm; b. Involved in the same or a similar line of business; or c. Engaged in an ongoing business relationship with the firm, or an affiliate of the firm, for which the individual is seeking certification. 9. To overcome this presumption and permit the interests or assets to be counted, the disadvantaged individual must demonstrate to the Metropolitan Council, by clear and convincing evidence, that: a. The gift or transfer to the disadvantaged individual was made for reasons other than obtaining certification as a DBE; and b. The disadvantaged individual actually controls the management, policy and operations of the firm, notwithstanding the continuing participation of a non- disadvantaged individual who provided the gift or transfer. 10. The Metropolitan Council will apply the following rules in situations in which marital assets form a basis for ownership of a firm: a. When marital assets (other than the assets of the business in question), held jointly or as community property by both spouses, are used to acquire the ownership interest asserted by one spouse, you must deem the ownership interest in the firm to have been acquired by that spouse with his or her own individual resources, provided that the other spouse irrevocably renounces and transfers all rights in the ownership interest in the manner sanctioned by the laws of the state in which either spouse or the firm is domiciled. You do not count a greater portion of joint or community property assets toward ownership than state law would recognize as belonging to the socially and economically disadvantaged owner of the applicant firm. Packet Page Number 293 of 312 J1, Attachment 1 43 b. A copy of a document legally transferring and renouncing the other spouse’s rights in the jointly owned or community assets used to acquire an ownership interest in the firm must be included as part of the firm’s application for DBE certification. 11. The Metropolitan Council may consider the following factors in determining the ownership of a firm. However, the Metropolitan Council will not regard a contribution of capital as failing to be real or substantial, or find a firm ineligible, solely because – a. A socially and economically disadvantaged individual acquired his or her ownership interest as the result of a gift, or transfer without adequate consideration, other than the types set forth in paragraph 7 above. b. There is a provision for the co-signature of a spouse who is not a socially and economically disadvantaged individual on financing agreements, contracts for the purchase or sale of real or personal property, bank signature cards, or other documents; or c. Ownership of the firm in question or its assets is transferred for adequate consideration from a spouse who is not a socially and economically disadvantaged individual to a spouse who is such an individual. In this case, the Metropolitan Council will give close and careful scrutiny to the ownership and control of a firm to ensure that it is owned and controlled, in substance as well as in form, by a socially and economically disadvantaged individual. 7.6 Control Determinations In accordance with 49 CFR part 26.71, the Metropolitan Council will utilize the following guidelines to determine control for purposes of DBE eligibility: 1. Only an independent business may be certified as a DBE.An independent business is one the viability of which does not depend on its relationship with another firm or firms. In considering the independence of the potential DBE, the Metropolitan Council will: a. Scrutinize relationships with non-DBE firms, in such areas as personnel, facilities, equipment, financial and/or bonding support, and other resources. b. Consider whether present or recent employer/employee relationships between the disadvantaged owner(s) of the potential DBE and non-DBE firms or persons associated with non-DBE firms compromise the independence of the potential DBE firm. c. Examine the firm’s relationships with prime contractors to determine whether a pattern of exclusive or primary dealings with a prime contractor compromises the independence of the potential DBE firm. d. Consider the consistency of relationships between the potential DBE and non- DBE firms with normal industry practice. Packet Page Number 294 of 312 J1, Attachment 1 44 2. A DBE firm must not be subject to any formal or informal restrictions which limit the customary discretion of the socially and economically disadvantaged owners. There can be no restrictions through corporate charter provisions, by-law provisions, contracts or any other formal or informal devices (e.g., cumulative voting rights, voting powers attached to different classes of stock, employment contracts, requirements for concurrence by non-disadvantaged partners, conditions precedent or subsequent, executory agreements, voting trusts, restrictions on or assignments of voting rights) that prevent the socially and economically disadvantaged owners, without the cooperation or vote of any non-disadvantaged individual from making any business decision of the firm. This paragraph does not preclude a spousal co-signature on documents as provided for in 49 CFR section 26.69(j)(2). 3. The socially and economically disadvantaged owners must possess the power to direct or cause the direction of the management and policies of the firm and to make day-to-day as well as long-term decisions on matters of management, policy and operations. a. A disadvantaged owner must hold the highest officer position in the company (e.g., chief executive officer or president). b. In a corporation, disadvantaged owners must control the board of directors. c. In a partnership, one or more disadvantaged owners must serve as general partners, with control over all partnership decisions. 4. Individuals who are not socially and economically disadvantaged may be involved in a DBE firm as owners, managers, employees, stockholders, officers, and/or directors. Such individuals must not, however, possess or exercise the power to control the firm, or be disproportionately responsible for the operations of the firm. 5. The socially and economically disadvantaged owners of the firm may delegate various areas of the management, policymaking, or daily operations of the firm to other participants in the firm, regardless of whether these participants are socially and economically disadvantaged individuals. Such delegations of authority must be revocable, and the socially and economically disadvantaged owners must retain the power to hire and fire any person to whom such authority is delegated. The managerial role of the socially and economically disadvantaged owners in the firm’s overall affairs must be such that the Metropolitan Council can reasonably conclude that the socially and economically disadvantaged owners actually exercise control over the firm’s operations, management, and policy. 6. The eligible owners must have an overall understanding of, and managerial and technical competence and experience directly related to, the type of business in which the firm is engaged and the firm’s operations. The eligible owners are not required to have experience or expertise in every critical area of the firm’s operations, or to have greater experience or expertise in a given field than managers or key employees. However, the eligible owners must have the ability to intelligently and critically evaluate information presented by other participants in the firm’s activities and to use this information to make independent decisions about the firm’s daily operations, management, and policymaking. Generally, expertise limited to office management, administration, or bookkeeping Packet Page Number 295 of 312 J1, Attachment 1 45 functions unrelated to the principal business activities of the firm is insufficient to demonstrate control. 7. If state or local law requires the persons to have a particular license or other credential in order to own and/or control a certain type of firm, then the socially and economically disadvantaged persons who own and/or control a potential DBE firm of that type must possess the required license or credential. If state or local law does not require such a person to have such a license or credential to own and/or control a firm, the Metropolitan Council will not deny certification solely on the ground that the person lacks the license or credential. However, the Metropolitan Council may take into account the absence of the license or credential as one factor in determining whether the socially and economically disadvantaged owners actually control the firm. 8. The Metropolitan Council will consider differences in the remuneration between the eligible owners and other participants in the firm in determining whether to certify a firm as a DBE. Such consideration shall be in the context of the duties of the persons involved, normal industry practices, the firm’s policy and practices concerning reinvestment of income, and any other explanations for the differences proffered by the firm. The Metropolitan Council may determine that a firm is controlled by its eligible owner although that owner’s remuneration is lower than that of some other participants in the firm. In a case where a non-eligible individual formerly controlled the firm, and an eligible individual now controls it, the Metropolitan Council may consider a difference between the remuneration of the former and current person who controls the firm as a factor in determining who controls the firm, particularly when the non-eligible individual remains involved with the firm and continues to receive greater compensation than the eligible individual. 9. In order to be viewed as controlling a firm, an eligible owner cannot engage in outside employment or other business interests that conflict with the management of the firm or prevent the individual from devoting sufficient time and attention to the affairs of the firm to control its activities. For example, absentee ownership of a business and part-time work in a full-time firm are not viewed as constituting control.However, an individual could be viewed as controlling a part-time business that operates only on evenings and/or weekends, if the individual controls it all the time that it is operating. 10. An eligible individual may control a firm even though one or more of the individual’s immediate family members (who themselves are not eligible individuals) participate in the firm as a manager, employee, owner, or in another capacity. Except as otherwise provided in this section, the Metropolitan Council will make a judgement about the control the eligible owner exercises vis-a-vis other persons involved in the business as you do in other situations, without regard to whether or not the other persons are immediate family members. If the Metropolitan Council cannot determine that the eligible owners- as distinct from the family as a whole- control the firm, then the eligible owners have failed to carry their burden of proof concerning control, even though they may participate significantly in the firm’s activities. Packet Page Number 296 of 312 J1, Attachment 1 46 11. Where a firm was formerly owned and/or controlled by a non-eligible individual (whether or not an immediate family member), ownership and/or control were transferred to an eligible individual, and the non-eligible individual remains involved with the firm in any capacity, the eligible individual now owning the firm must demonstrate, by clear and convincing evidence, that: a. The transfer of ownership and/or control to the eligible individual was made for reasons other than obtaining certification as a DBE; and b. The eligible individual actually controls the management, policy, and operations of the firm, notwithstanding the continuing participation of a non-eligible individual who formerly owned and/or controlled the firm. 12. In determining whether a firm is controlled by its eligible owners, the Metropolitan Council may consider whether the firm owns equipment necessary to perform its work. However, the Metropolitan Council will not determine that a firm is not controlled by eligible owners solely because the firm leases, rather than owns, such equipment, where leasing equipment is a normal industry practice and the lease does not involve a relationship with a prime contractor or other party that compromises the independence of the firm. 13. The Metropolitan Council will grant certification to a firm only for specific types of work in which the eligible owners have the ability to control the firm. To become certified in an additional type of work, the firm must demonstrate to the Metropolitan Council that its eligible owners are able to control the firm with respect to that type of work. The Metropolitan Council will not, in this situation, require that the firm be re-certified or submit a new application for certification, but must verify the eligible owner’s control of the firm in the additional type of work. 14. A business operating under a franchise or license agreement may be certified as a DBE if it meets the standards in 49 CFR Part 26, Subpart D and the franchiser or licenser is not affiliated with the franchisee or licensee. In determining whether affiliations exists, the Metropolitan Council will generally not consider the restraints relating to standardized quality, advertising, accounting format, and other provisions imposed on the franchisee or licensee by the franchise agreement or license, provided that the franchisee or licensee has the right to profit from its efforts and bears the risk of loss commensurate with ownership. Alternatively, even though a franchisee or licensee may not be controlled by virtue of such provisions in the franchise agreement or license, affiliation could arise through other means, such as common management or excessive restrictions on the sale or transfer of the franchise interest or license. 15. In order for a partnership to be controlled by eligible individuals, any non-eligible partners must not have the power, without the specific written concurrence of the eligible partner(s), to contractually bind the partnership or subject the partnership to contract or tort liability. 16. The eligible individuals controlling a firm may use an employee leasing company. The use of such a company does not preclude the eligible individuals from controlling their firm if they continue to maintain an employer-employee relationship with the leased employees. This includes being responsible for hiring, firing, training, assigning, and Packet Page Number 297 of 312 J1, Attachment 1 47 otherwise controlling the on-the-job activities of the employees, as well as ultimate responsibility for wage and tax obligations related to the employees. 7.7 Other Considerations In accordance with 49 CFR section 26.73, the Metropolitan Council will utilize the following additional guidelines to determine DBE eligibility: 1. Consideration of whether a firm performs a commercially useful function or is a regular dealer pertains solely to counting toward DBE goals the participation of firms that have already been certified as DBEs. Except as provided in this section, the Metropolitan Council will not consider commercially useful function issues in making decisions about whether to certify a firm as a DBE. 2. The Metropolitan Council may consider, in making certification decisions, whether a firm has exhibited a pattern of conduct indicating involvement in attempts to evade or subvert the intent or requirements of the DBE program. 3. The Metropolitan Council will evaluate the eligibility of a firm on the basis of present circumstances. The Metropolitan Council will not refuse to certify a firm based solely on historical information indicating a lack of ownership or control of the firm by eligible individuals at some time in the past, if the firm currently meets the ownership and control standards of this part. Nor will the Metropolitan Council refuse to certify a firm solely on the basis that it is a newly formed firm. 4. DBE firms and firms seeking DBE certification must cooperate fully with requests by the Metropolitan Council and DOT for information relevant to the certification process. Failure or refusal to provide such information is grounds for a denial or removal of certification. 5. Only firms organized for profit may be eligible DBEs. Not-for-profit organizations, even though controlled by eligible individuals, are not eligible to be certified as DBEs. 6. An eligible DBE firm must be owned by individuals who are socially and economically disadvantaged. Except as provided in this paragraph, a firm that is not owned by such individuals, but instead is owned by another firm- even a DBE firm- cannot be an eligible DBE. a. If eligible individuals own and control a firm through a parent or holding company, established for tax, capitalization or other purposes consistent with industry practice, and the parent or holding company in turn owns and controls an operating subsidiary, the Metropolitan Council may certify the subsidiary if it otherwise meets all requirements of this subpart. In this situation, the individual owners and controllers of the parent or holding company are deemed to control the subsidiary through the parent or holding company. b. The Metropolitan Council may certify such a subsidiary only if there is cumulatively 51% ownership of the subsidiary by eligible individuals. Packet Page Number 298 of 312 J1, Attachment 1 48 7. Recognition of a business as a separate entity for tax or corporate purposes is not necessarily sufficient to demonstrate that a firm is an independent business, owned and controlled by eligible individuals. 8. A firm that is owned by an Indian tribe, Alaska Native Corporation, or Native Hawaiian organization as an entity, rather than by Indians, Alaska Natives, or Native Hawaiians, as individuals, may be eligible for certification. Such a firm must meet the size standards of Section 26.65; and such a firm must be controlled by eligible individuals, as provided in Section 26.71. 8.0 CERTIFICATION PROCEDURES (SUBPART E) 8.1 Unified Certification Program In accordance with 49 CFR section 26.81, the Metropolitan Council will participate with other DOT recipients in Minnesota in a Unified Certification Program (UCP) as follows. 1. The Metropolitan Council and other recipients in Minnesota will sign an agreement establishing the UCP for Minnesota and submit the agreement to the Secretary for approval no later than March 4, 2002. The Secretary may, on the basis of extenuating circumstances shown by the recipients in Minnesota, extend this deadline for no more than one additional year. 2. The UCP agreement must provide for the establishment of a UCP that meets all the requirements of 49 CFR section 26.81, and as summarized in this section. The agreement must specify the following: a. That the UCP will follow all certification procedures and standards of this part, on the same basis as recipients; b. That the UCP shall cooperate fully with oversight, review, and monitoring activities of DOT and its operating administrations; c. That the UCP shall implement DOT directives and guidance concerning certification matters; and d. Commit UCP participants to ensuring that the UCP has sufficient resources and expertise to carry out the requirements of this part. The agreement shall include an implementation schedule ensuring that the UCP is fully operational no later than 18 months following the approval of the agreement by the Secretary. 3. Subject to approval by the Secretary, the UCP in each state may take any form acceptable to the recipients in that state. 4. The Secretary shall review the UCP and approve it, disapprove it, or remand it to the recipients in the state for revisions. A complete agreement that is not disapproved or remanded within 180 days of its receipt by the Secretary will be deemed to be accepted. Packet Page Number 299 of 312 J1, Attachment 1 49 5. If the Metropolitan Council and other Minnesota recipients fail to meet the deadlines set forth in this section, they will have the opportunity to make an explanation to the Secretary why a deadline could not be met and why meeting the deadline was beyond the control of the Minnesota recipients. If the Minnesota recipients fail to make such an explanation, or the explanation does not justify the failure to meet the deadline, the Secretary shall direct them to complete the required action by a date certain. If the Metropolitan Council and the other Minnesota recipients fail to carry out this direction in a timely manner, they will be collectively in noncompliance with this part. 6. The UCP shall make all certification decisions on behalf of all DOT recipients in Minnesota with respect to participation in the DOT DBE Program. Specifically: a. Certification decisions by the UCP shall be binding on all DOT recipients within the state. b. The UCP shall provide “one-stop shopping” to applicants for certification, such that an applicant is required to apply only once for a DBE certification that will be honored by all recipients in the state. c. All obligations of recipients with respect to certification and nondiscrimination must be carried out by UCPs, and recipients may use only UCPs that comply with the certification and nondiscrimination requirements of this part. 7. All certifications by UCPs shall be pre-certifications; i.e., certifications that have been made final before the due date for bids or offers on a contract on which a firm seeks to participate as a DBE. 8. The Minnesota UCP will not be required to process an application for certification from a firm having its principal place of business outside the state if the firm is not certified by the UCP in the state in which it maintains its principal place of business. The “home state” UCP shall share its information and documents concerning the firm with other UCPs that are considering the firm’s application. 9. Subject to DOT approval as provided in 49 CFR section 26.81, the recipients in two or more states may form a regional UCP. UCPs may also enter into written reciprocity agreements with other UCPs. Such an agreement shall outline the specific responsibilities of each participant. A UCP may accept the certification of any other UCP or DOT recipient. 10. Pending the establishment of UCPs meeting the requirements of this section, you may enter into agreements with other recipients, on a regional or inter-jurisdictional basis, to perform certification functions required by 49 CFR section 26.81. The Minnesota UCP may also grant reciprocity to other recipient’s certification decisions. 11. The Minnesota UCP will maintain a unified DBE directory containing, for all firms certified by the UCP (including those from other states certified under the provisions of this section), the information required by 49 CFR part 26.31. The UCP will make the directory available to the public electronically, on the internet, as well as in print; and will update the electronic version of the directory by including additions, deletions, and other changes routinely. Packet Page Number 300 of 312 J1, Attachment 1 50 12. Except as otherwise specified in this section, all provisions of this 49 CFR Part 26, Subpart E and subpart D of this part pertaining to recipients also applies to UCPs. 8.2 Initial Certification Procedures In order to ensure that only firms certified as eligible DBEs under 49 CFR Part 26, Subpart D participate as DBEs in its program. the Metropolitan Council will determine the eligibility of firms as DBEs consistent with the standards of 49 CFR Part 26, Subpart D.When a UCP is formed, the UCP must meet all the requirements of 49 CFR Part 26, Subpart D and Subpart E that recipients are required to meet. The Metropolitan Council will take all the following steps in determining whether a DBE firm meets the standards of 49 CFR Part 26, Subpart D as follows. 1. Require potential DBEs to complete and submit an appropriate application form. The Metropolitan Council will make sure that the applicant attests to the accuracy and truthfulness of the information on the application form. This shall be done either in the form of an affidavit sworn to by the applicant who is authorized by state law to administer oaths or in the form of an unsworn declaration executed under penalty of perjury of the laws of the United States. Subject to the approval of the concerned operating administration as part of the its DBE program, the Metropolitan Council may impose a reasonable application fee for certification. Fee waivers shall be made in appropriate cases. 2. The Metropolitan Council will review all information on the form prior to making a decision about the eligibility of the firm. This review will include the following: a. Perform an on-site visit to the offices of the firm. The Metropolitan Council must interview the principal officers of the firm and review their resumes and/or work histories; and must also perform an on-site visit to job sites if there are such sites on which the firm is working at the time of the eligibility investigation in your jurisdiction or local area. The Metropolitan Council may rely upon the site visit report of any other recipient with respect to a firm applying for certification. b. If the firm is a corporation, analyze the ownership of stock in the firm. c. Analyze the bonding and financial capacity of the firm. d. Determine the work history of the firm, including contracts it has received and work it has completed. e. Obtain a statement from the firm of the type of work it prefers to perform as part of the DBE program and its preferred locations for performing the work, if any. f. Obtain or compile a list of the equipment owned by or available to the firm and the licenses the firm and its key personnel possess to perform the work it seeks to do as part of the DBE program. Packet Page Number 301 of 312 J1, Attachment 1 51 3. When another DOT recipient has certified a firm, the Metropolitan Council has the discretion to take any of the following actions: a. Certify the firm in reliance on the certification decision of the other recipient; b. Make an independent certification decision based on documentation provided by the other recipient, augmented by any additional information the Metropolitan Council requires the applicant to provide; or c. Require the applicant to go through the Metropolitan Council’s application process without regard to the action of the other recipient. 4. When another recipient, in connection with its consideration of the eligibility of a firm, makes a written request for certification information that the Metropolitan Council has obtained about that firm (e.g., including application materials or the report of a site visit, if you have made one to the firm), the Metropolitan Council will promptly make the information available to the other recipient. 5. The Metropolitan Council must safeguard from disclosure to unauthorized persons information gathered as part of the certification process that may reasonably be regarded as proprietary or other confidential business information, consistent with applicable Federal, state, and local law. 6. Once the Metropolitan Council has certified a DBE, it shall remain certified for a period of at least three years unless and until its certification has been removed through the procedures of 49 CFR section 26.87. The Metropolitan Council may not require DBEs to reapply for certification as a condition of continuing to participate in this program during this three-year period, unless the factual basis on which the certification was made changes. 7. DBEs must inform the Metropolitan Council or UCP in writing of any change in the circumstances affecting its ability to meet size, disadvantaged status, ownership, or control requirements of 49 CFR Part 26, Subpart D or any material change in the information provided in the Metropolitan Council’s application form. a. Changes in management responsibility among members of a limited liability company are covered by this requirement. b. DBEs must attach supporting documentation describing in detail the nature of such changes. c. The notice must take the form of an affidavit sworn to by the applicant before a person who is authorized by state law to administer oaths or of an unsworn declaration executed under penalty of perjury of the laws of the United States. The DBE must provide the written notification within 30 days of the occurrence of such change. If the DBE fails to make timely notification of such a change, they will be deemed to have failed to cooperate under Section 26.109(c). Packet Page Number 302 of 312 J1, Attachment 1 52 8. DBEs must provide to the Metropolitan Council every year on the anniversary date of its certification, an affidavit sworn to by the firm’s owners before a person who is authorized by state law to administer oaths or an unsworn declaration executed under penalty of perjury of the laws of the United States. This affidavit must affirm that there have been no changes in the firm’s circumstances affecting its ability to meet size, disadvantaged status, ownership, or control requirements of this part or any material changes in the information provided in its application form, except for changes about which the DBE has notified the Metropolitan Council such as those described in this section. The affidavit shall specifically affirm that the DBE firm continues to meet SBA business size criteria and the overall gross receipts cap of 49 CFR Part 26, Subpart D, documenting this affirmation with supporting documentation of the firm’s size and gross receipts. If a DBE fails to provide this affidavit in a timely manner, they will be deemed to have failed to cooperate under 49 CFR section 26.109(c). 9. The Metropolitan Council will make decisions on applications for certification within 90 days of receiving from the applicant firm all information required under this part. This time period may be extended once, for no more than 60 days, upon written notice to the firm, explaining fully and specifically reasons for the extension. Failure by the Metropolitan Council to make a decision by this deadline will be deemed a constructive denial of the application, on the basis of which the applicant firm may appeal to DOT under 49 CFR section 26.89. 8.3 Recertification Procedures Firms that are certified as DBEs by the Metropolitan Council may renew their certification by applying for recertification and demonstrating their continued eligibility. 1. Not less than 3 months prior to expiration of the initial certification date, the Metropolitan Council will send a letter to the DBE firm notifying it of its responsibility to submit an application for recertification. 2. The Metropolitan Council may, at its discretion, require any and all documentation required of an initial certification in order to recertify a firm as a DBE. 3. All other procedures for recertification shall be the same as those for initial certification. 8.4 Denials and Re-Application Procedures 1. When the Metropolitan Council denies a request by a firm not currently certified with the Metropolitan Council to be certified as a DBE, the Metropolitan Council will provide the firm a written explanation of the reason for the denial, specifically referencing the evidence in the record that supports each reason for the denial. All documents and other information on which the denial is based will be made available to the applicant, on request. 2. When the Metropolitan Council denies a firm DBE certification, it may reapply after one year. The time period for reapplication begins to run on the date the explanation required by paragraph 1 above is received by the firm. Packet Page Number 303 of 312 J1, Attachment 1 53 3. When the Metropolitan Council makes an administratively final denial of certification concerning a firm, the firm may appeal the denial to the Department under 49 CFR section 26.89. 8.5 Decertfications 8.5.1 Ineligibility complaints 1. Any person may file with the Metropolitan Council a written complaint alleging that a currently certified firm is ineligible and specifying the alleged reasons why the firm is ineligible. The Metropolitan Council is not required to accept a general allegation that a firm is ineligible or an anonymous complaint. The complaint may include any information or arguments supporting the complainant’s assertion that the firm is ineligible and should not continue to be certified. Confidentiality of complainant’s identities must be protected as provided in 49 CFR section 26.109(b). 2. The Metropolitan Council will review its records concerning the firm, any material provided by the firm, and the complainant, and other available information. The Metropolitan Council may request additional information from the firm or conduct any other investigation that it deems necessary. 3. If the Metropolitan Council determines, based on this review, that there is reasonable cause to believe that the firm is ineligible, the Metropolitan Council will provide written notice to the firm that it proposes to find the firm ineligible, setting forth the reasons for the proposed determination. If the Metropolitan Council determines that such reasonable cause does not exist, it will notify the complainant and the firm in writing of this determination and the reasons for it. All statements of reasons for findings on the issues of reasonable cause must specifically reference the evidence in the record on which each reason is based. 8.5.2 Recipient-initiated proceedings 1. If, based on notification by the firm of a change in its circumstances or other information that comes the attention of the Metropolitan Council, it determines that there is reasonable cause to believe that a currently certified firm is ineligible, the Metropolitan Council will provide written notice to the firm that it proposes to find the firm ineligible, setting forth the reasons for the proposed determination. The statement of reasons for the finding of reasonable cause must specifically reference the evidence in the record on which each reason is based. 8.5.3 DOT directive to initiate proceeding 1. If the concerned operating administration determines that information in the Metropolitan Council’s certification records, or other information available to the concerned operating administration, provides reasonable cause to believe that a firm that the Metropolitan Council certified does not meet the eligibility criteria of this part, the concerned operating administration may direct the Metropolitan Council to initiate a proceeding to remove the firm’s certification. Packet Page Number 304 of 312 J1, Attachment 1 54 2. The concerned operating administration will provide the Metropolitan Council and the firm a notice setting forth the reasons for the directive, including any relevant documentation or other information. 3. The Metropolitan Council will immediately commence and prosecute a proceeding to remove eligibility as provided in this section. 8.5.4 Hearing 1. When the Metropolitan Council notifies a firm that there is reasonable cause to remove its eligibility, as provided in this section, the Metropolitan Council will give the firm an opportunity for an informal hearing, at which the firm may respond to the reasons for the proposal to remove its eligibility in person and provide information and arguments concerning why it should remain certified. 2. In such proceeding, the Metropolitan Council shall bear the burden of proving, by a preponderance of the evidence, that the firm does not meet the certification standards of this part. 3. The Metropolitan Council will maintain a complete record of the hearing, by any means acceptable under state law for the retention of a verbatim record of an administrative hearing. If there is an appeal to DOT under 49 CFR part 26.89, the Metropolitan Council will provide a transcript of the hearing to DOT and, on request, to the firm. The Metropolitan Council will retain the original record of the hearing; and may charge the firm only for the cost of copying the record. 4. The firm may elect to present information and arguments in writing, without going to a hearing. In such a situation, the Metropolitan Council will bear the same burden of proving, by a preponderance of the evidence, that the firm does not meet the certification standards, as it would during a hearing. 8.5.5 Separation of functions 1. The Metropolitan Council will ensure that the decision in a proceeding to remove a firm’s eligibility is made by an office and personnel that did not take part in actions leading to or seeking to implement the proposal to remove the firm’s eligibility and are not subject, with respect to the matter, to direction from the office or personnel who did take part in these actions. 2. The decision-maker must be an individual who is knowledgeable about the certification requirements of the Metropolitan Council’s DBE program and of the requirements of 49 CFR Part 26. 8.5.6 Grounds for decision 1. The Metropolitan Council will not base a decision to remove eligibility on a reinterpretation or changed opinion of information available to the recipient at the time of certification of the firm. The Metropolitan Council may base such a decision only on one or more of the following: Packet Page Number 305 of 312 J1, Attachment 1 55 2. Changes in the firm’s circumstances since the certification of the firm by the Metropolitan Council that renders the firm unable to meet the eligibility standards of this part. a. Information or evidence not available to the Metropolitan Council at the time the firm was certified. b. Information that was concealed or misrepresented by the firm in previous certification actions by the Metropolitan Council. c. A change in the certification standards or requirements of the Department since the Metropolitan Council certified the firm. d. A documented finding that the Metropolitan Council’s determination to certify the firm was factually erroneous. 8.5.7 Notice of decision 1. Following its decision, the Metropolitan Council will provide the firm written notice of the decision and the reasons for it, including specific references to the evidence in the record that supports each reason for the decision. The notice will inform the firm of the consequences of the Metropolitan Council’s decision and of the availability of an appeal to the Department of Transportation under 49 CFR part 26.89. The Metropolitan Council will send copies of the notice to the complainant or the concerned operating administration that had directed the Metropolitan Council to initiate the proceeding. 8.5.8 Status of firm during proceeding 1. A firm remains an eligible DBE during the time that the Metropolitan Council’s proceeding to remove its eligibility is pending. 2. The firm does not become ineligible until the issuance of the notice provided for in this section. 8.5.9 Effects of removal of eligibility When it removes a firm’s eligibility, the Metropolitan Council will take the following action: 1. When a prime contractor has made a commitment to using the ineligible firm, or the Metropolitan Council has made a commitment to using a DBE prime contractor, but a subcontract or contract has not been executed before you issue the decertification notice provided for in this section, the ineligible firm does not count toward the contract goal or overall goal. The Metropolitan Council will direct the prime contractor to meet the contract goal with an eligible DBE firm or demonstrate that it has made a good faith effort to do so, in accordance Section V. 2. If a prime contractor has executed a subcontract with the firm before the Metropolitan Council has notified the firm of its ineligibility, the prime contractor may continue to use the firm on the contract and may continue to receive credit toward its DBE goal for the firm’s work. In this case, or in a case where the Metropolitan Council has let a prime Packet Page Number 306 of 312 J1, Attachment 1 56 contract to the DBE that was later ruled ineligible, the portion of the ineligible firm’s performance of the contract remaining after the Metropolitan Council issued the notice of its ineligibility shall not count toward the Metropolitan Council’s overall goal, but may count toward the contract goal. 8.5.10 Exception 1. If the DBE’s ineligibility is caused solely by its having exceeded the size standard during the performance of the contract, the Metropolitan Council may continue to count its participation on that contract toward overall and contract goals. 8.5.11 Availability of Appeal 1. When the Metropolitan Council finalizes an administrative removal of a firm’s eligibility under this section, the firm may appeal the removal to the Department under 49 CFR section 26.89. 8.6 Certification Appeals 1. Firms denied certification or whose eligibility is removed by a recipient, may make an administrative appeal to the Department. a. A complainant in an ineligibility complaint to the Metropolitan Council (including the concerned operating administration in the circumstances provided in 49 CFR section 26.87(c), may appeal to the Department if the Metropolitan Council does not find reasonable cause to propose removing the firm’s eligibility or, following a removal of eligibility proceeding, determines that the firm is eligible. b. Appeals should be sent to: Department of Transportation, Office of Civil Rights, 400 7th Street, SW, Room 2401, Washington, D.C. 20590. 2. Pending the Department’s decision in the matter, the Metropolitan Council’s decision remains in effect. The Department does not stay the effect of the Metropolitan Council’s decision while it is considering an appeal. 3. If a firm wants to file an appeal, it must send a letter to the Department within 90 days of the date of the Metropolitan Council’s final decision, including information and arguments concerning why the Metropolitan Council’s decision should be reversed. The Department may accept an appeal filed later than 90 days after the date of the decision if the Department determines that there was good cause for the late filing of the appeal. a. An appellant who is a firm that has been denied certification, whose certification has been removed, whose owner is determined not to be a member of a designated disadvantaged group, or concerning whose owner the presumption of disadvantage has been rebutted, must include in its letter the name and address of any other recipient which currently certifies the firm or removed the firm’s eligibility within one year prior to the date of the appeal, or before which an application for certification or a removal of eligibility is pending. Packet Page Number 307 of 312 J1, Attachment 1 57 Failure to provide this information may be deemed a failure to cooperate under 49 CFR section 26.109(c). b. An appellant other than one described above, the Department will request, and the firm whose certification has been questioned shall promptly provide, the information called for in the paragraph above. Failure to provide this information may be deemed a failure to cooperate under 49 CFR section 26.109(c). 4. When it receives an appeal, the Department will request a copy of the Metropolitan Council’s complete administrative record in the matter. The Metropolitan Council will provide the administrative record, including a hearing transcript, within 20 days of the Department’s request. The Department may extend this time period on the basis of the Metropolitan Council’s showing of good cause. To facilitate the Department’s review of a recipient’s decision, such administrative records must be well organized, indexed, and paginated. Records that do not comport with these requirements are not acceptable and will be returned to the Metropolitan Council be corrected immediately. If an appeal is brought concerning one recipient’s certification decision concerning a firm, and that recipient relied on the decision and/or administrative record of another recipient, this requirement applies to both recipients involved. 5. The Department will make its decision based solely on the entire administrative record. The department will not make a de novo review of the matter, nor conduct a hearing. The Department may supplement the administrative record by adding relevant information made available by the DOT Office of Inspector General: Federal, state, or local law enforcement authorities; officials of a DOT operating administration or other appropriate DOT office; a recipient; or a firm or other private party. 6. When the Metropolitan Council provides supplementary information to the Department, it will also make this information available to the firm and any third-party complainant involved, consistent with Federal or applicable state laws concerning freedom of information and privacy. The Department makes available, on request by the firm and any third-party complainant involved, any supplementary information it receives from any source. a. The Department affirms the Metropolitan Council’s decision unless it determines, based on the entire administrative record, that its decision is unsupported by substantial evidence or inconsistent with the substantive or procedural provisions of this part concerning certification. b. If the Department determines, after reviewing the entire administrative record, that the Metropolitan Council’s decision was unsupported by substantial evidence or procedural provisions of this part concerning certification, the Department will reverse the Metropolitan Council’s decision and directs it to certify the firm or remove its eligibility, as appropriate. The Metropolitan Council is required to take the action directed by the Department’s decision immediately upon receiving written notice of it. c. The Department will not be required to reverse the Metropolitan Council’s decision if the Department determines that a procedural error did not result in Packet Page Number 308 of 312 J1, Attachment 1 58 fundamental unfairness to the appellant or substantially prejudice the opportunity of the appellant to present its case. d. If it appears that the record is incomplete or unclear with respect to matters likely to have a significant impact on the outcome of the case, the Department may remand the record to the Metropolitan Council with instructions seeking clarification or augmentation of the record before making a finding. The Department may also remand a case to the Metropolitan Council for further proceedings consistent with Department instructions concerning the proper application of provisions of this part. e. The Department does not uphold the Metropolitan Council’s decision based on grounds not specified in your decision. f. The Department’s decision is based on the status and circumstances of the firm as of the date of the decision being appealed. g. The Department provides written notice of its decision to the Metropolitan Council, the firm, and the complainant in an ineligibility complaint. A copy of the notice is also sent to any other recipient whose administrative record or decision has been involved in the proceeding. The notice includes the reasons for the Department’s decision, including specific references to the evidence in the record that supports each reason for the decision. h. The Department’s policy is to make its decision within 180 days of receiving the complete administrative record. If the Department does not make its decision within this period, the Department provides written notice to concerned parties, including a statement of the reason for the delay and a date by which the appeal decision will be made. 7. All decisions under this section are administratively final, and are not subject to petitions for reconsideration. 8. If the Metropolitan Council’s action is subject to an appeal under Section 26.89 is taken, the decision is binding. It is not binding on other recipients. 9. If it is subject to a DOT determination under 49 CFR section 26.89, the Metropolitan Council must the following action: a. If the Department determines that the Metropolitan Council erroneously certified a firm, it must remove the firm’s eligibility on receipt of that determination, without further proceedings on the Metropolitan Council’s part. Effective on the date of the Metropolitan Council’s receipt of the Department’s determination, the consequences of a removal of eligibility set forth in 49 CFR section 26.87(I) take effect. b. If the Department determines that the Metropolitan Council erroneously failed to find reasonable cause to remove the firm’s eligibility, it must expeditiously commence a proceeding to determine whether the firm’s eligibility should be removed, as provided in 49 CFR section 26.87. Packet Page Number 309 of 312 J1, Attachment 1 59 c. If the Department determines that the Metropolitan Council erroneously declined to certify or removed the eligibility of the firm, it must certify the firm, effective on the date of your receipt of the written notice of Department’s determination. d. If the Department determines that the Metropolitan Council erroneously determined that the presumption of social and economic disadvantage either should or should not be deemed rebutted, it must take appropriate corrective action as determined by the Department. e. If the Department affirms the Metropolitan Council’s determination, no further action is necessary. 10. Where DOT has upheld the Metropolitan Council’s denial of certification to or removal of eligibility from a firm or directed the removal of a firm’s eligibility, other recipients with whom the firm is certified may commence a proceeding to remove the firm’s eligibility under 49 CFR section 26.87. Such recipients must not remove the firm’s eligibility absent such a proceeding. Where DOT has reversed your denial of certification to or removal of eligibility of a firm, other recipients must take the DOT action into account in any certification action involving the firm. However, other recipients are not required to certify the firm based on the DOT decision. 9.0 RECORD KEEPING, MONITORING AND ENFORCEMENT 9.1 Bidders List 1. Pursuant to 49 CFR section 26.11(c), the Metropolitan Council will create and maintain a bidder’s list, consisting of firms bidding on prime contracts and bidding or quoting subcontracts on DOT-assisted projects. The Bidders List will include the following minimum information for each firm: a. Firm name; b. Firm address; c. Firm’s status as a DBE or non-DBE; d. The age of the firm; and e. The annual gross receipts of the firm. 9.2 Monitoring Payments to DBEs 1. In accordance with the requirements of Section 6.3 of this program, the Metropolitan Council will require all prime contractors to submit on a monthly basis, evidence of actual payments to each DBE listed on the contract. 2. This evidence shall take the form of the Summary Subcontracts Award and Paid Report. Packet Page Number 310 of 312 J1, Attachment 1 60 3. The Metropolitan Council will review and monitor the amount actually paid to each DBE and non-DBE in accordance with the requirements of Section 6.3 of this program. 9.3 Reporting to DOT 1. The Metropolitan Council will continue to provide data on its DBE program to the Department as directed by the DOT Operating Administration. The Metropolitan Council shall submit a quarterly report by the last day in January, April, July and October describing the activities undertaken toward progress achieved in meeting the goal of greater DBE participation in its procurement and financial assistance programs during the preceding federal quarter. These reports shall discuss at least the following: 2. Data on the level of DBE participation in contracting and subcontracting activities of the Metropolitan Council and recipients of financial assistance both in terms of number of DBE contracts awarded and the identities of DBEs and the dollar value of work being so contracted. 3. A statistical breakdown and methods of awards to DBEs, for example, open competition, small business set-aside, competitive DBE set-asides, and subcontracts. 4. Data reported by prime contractors under subcontracting as required by federal procurement regulations. 5. A description of any participation or attendance in seminars, conferences, or workshops on DBEs by the Metropolitan Council. 6. A brief description of any problems encountered in the general area of DBEs, or specific contracts or projects. 7. Specific efforts to identify and award contracts to DBEs. 8. A summary of the extent to which percentages have been met. 9. All reports and records will be categorized separately by type of work (by Primary Industry Classification code) for all DBE and other firms. Reports will be made available to the public and DBE reports will be submitted to the Metropolitan Council’s board. 9.4 Availability of Records In responding to requests for information concerning any aspect of the DBE program, the Department complies with provisions of the Federal Freedom of Information and Privacy Acts (5 U.S.C. 552 and 552a). The Department may make available to the public any information concerning the DBE program where not prohibited by Federal law. The Metropolitan Council will safeguard against disclosure to unauthorized persons information that may reasonably be considered as confidential business information, consistent with Federal, State, and local law. Packet Page Number 311 of 312 J1, Attachment 1 61 9.5 Confidentiality of information The identity of complainants will be kept confidential, at their election. If such confidentiality hinders an investigation, proceeding, or hearing, or will result in a denial of appropriate administrative due process to other parties, the complainant will be advised for the purpose of waiving the privilege. Complainants are advised that, in some cases, failure to waive the privilege may result in the closure of the investigation or dismissal of the proceeding or hearing. FAA follows procedures of 14 CVR Part 16 with respect to confidentiality of information in complaints. 9.6 Cooperation of DBEs All participants in the DBE program are required to cooperate fully and promptly with DOT and Metropolitan Council compliance reviews, certification reviews, investigations, and other requests for information. Failure to do so will be grounds for appropriate action against the party involved. 9.8 Intimidation and Retaliation Prohibited The Metropolitan Council, its contractors, and other program participants must not intimidate, threaten, coerce, or discriminate against any individual or firm for the purpose of interfering with any right or privilege secured by this part or because the individual or firm has made a complaint, testified, assisted, or participated in any manner in any investigation, proceeding, or hearing under the program. Violation of this prohibition will be deemed as noncompliance. Packet Page Number 312 of 312