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Home My WebLink AboutCouncil Actions 09-17-07 DOWE 37891-091707 ROANOKE CITY COUNCIL REGULAR SESSION SEPTEMBER 17, 2007 2:00 P.M. CITY COUNCIL CHAMBER AGENDA 1. Call to Order--RolI Call. Council Member Fitzpatrick was absent. The Invocation was delivered by Mayor C. Nelson Harris. The Pledge of Allegiance to the Flag of the United States of America was led by Mayor Harris. Welcome. Mayor Harris. NOTICE: Meetings of Roanoke City Council are televised live on RVTV Channel 3. Today's Council meeting will be replayed on Channel 3 on Thursday, September 20, 2007, at 7:00 p.m., and Saturday, September 22, 2007, at 4:00 p.m. Council meetings are offered with closed captioning for the hearing impaired. I ANNOUNCEMENTS: THE PUBLIC IS ADVISED THAT MEMBERS OF COUNCIL RECEIVE THE CITY COUNCIL AGENDA AND RELATED COMMUNICATIONS, REPORTS, ORDINANCES AND RESOLUTIONS, ETC., ON THE THURSDAY PRIOR TO THE COUNCIL MEETING TO PROVIDE SUFFICIENT TIME FOR REVIEW OF INFORMATION. CITIZENS WHO ARE INTERESTED IN OBTAINING A COPY OF ANY ITEM LISTED ON THE AGENDA MAY CONTACT THE CITY CLERK'S OFFICE, ROOM 456, NOEL C. TAYLOR MUNICIPAL BUILDING, 215 CHURCH AVENUE, S. W., OR CALL 853-2541. THE CITY CLERK'S OFFICE PROVIDES THE MAJORITY OF THE CITY COUNCIL AGENDA ON THE INTERNET FOR VIEWING AND RESEARCH PURPOSES. TO ACCESS AGENDA MATERIAL, GO TO THE CITY'S HOMEPAGE AT WWW.ROANOKEVA.GOV.CLlCK ON THE SERVICE ICON, CLICK ON COUNCIL AGENDAS TO ACCESS THE APPROPRIATE AGENDA AND COUNCIL MEETING. IF ADOBE ACROBAT IS NOT AVAILABLE, A PROMPT WILL APPEAR TO DOWNLOAD PRIOR TO VIEWING AGENDA INFORMATION. NOTICE OF INTENT TO COMPLY WITH THE AMERICANS WITH DISABILITIES ACT. SPECIAL ASSISTANCE IS AVAILABLE FOR DISABLED PERSONS ADDRESSING CITY COUNCIL. EFFORTS WILL BE MADE TO PROVIDE ADAPTATIONS OR ACCOMMODATIONS BASED ON INDIVIDUAL NEEDS OF QUALIFIED INDIVIDUALS WITH DISABILITIES, PROVIDED THAT REASONABLE ADVANCE NOTIFICATION HAS BEEN RECEIVED BY THE CITY CLERK'S OFFICE. ALL PERSONS WISHING TO ADDRESS COUNCIL WILL BE REQUIRED TO CALL THE CITY CLERK'S OFFICE PRIOR TO THE MONDAY COUNCIL MEETING, OR REGISTER WITH THE STAFF ASSISTANT ATTHE ENTRANCE TO THE COUNCIL CHAMBER PRIOR TO COMMENCEMENT OF THE COUNCIL MEETING. ONCE THE COUNCIL MEETING HAS CONVENED, THERE WILL BE NO FURTHER REGISTRATION OF SPEAKERS, EXCEPT FOR PUBLIC HEARING MATTERS. ON THE SAME AGENDA ITEM, ONE TO FOUR SPEAKERS WILL BE ALLOTTED FIVE MINUTES EACH; HOWEVER, IF THERE ARE MORE THAN FOUR SPEAKERS, EACH SPEAKER WILL BE ALLOTTED THREE MINUTES. ANY PERSON WHO IS INTERESTED IN SERVING ON A CITY COUNCIL APPOINTED AUTHORITY, BOARD, COMMISSION OR COMMITTEE IS REQUESTED TO CONTACT THE CITY CLERK'S OFFICE AT 853-2541, OR ACCESS THE CITY'S HOMEPAGE AT WWW.ROANOKEVA.GOV, TO OBTAIN AN APPLICATION. 2 2. PRESENTATIONS AND ACKNOWLEDGEMENTS: Proclamation declaring September 17 - 23, 2007 as Constitution Week. Proclamation was presented to Virginia Jarrett, Regent, Colonel William Preston Chapter, Daughters of the American Revolution. Recognition of the Fire-EMS accreditation from the Commission on Fire Accreditation International, Inc. Remarks given by Fire Chief David Hoback. 3. CONSENT AGENDA (APPROVED 6-0) ALL MATTERS LISTED UNDER THE CONSENT AGENDA ARE CONSIDERED TO BE ROUTINE BY THE MEMBERS OF CITY COUNCIL AND WILL BE ENACTED BY ONE MOTION. THERE WILL BE NO SEPARATE DISCUSSION OF THE ITEMS. IF DISCUSSION IS DESIRED, THE ITEM WILL BE REMOVED FROM THE CONSENT AGENDA AND CONSIDERED SEPARATELY. C-l Minutes of the regular meetings of Council held on Monday, July 2, 2007, and Monday, July 16, 2007, recessed until Tuesday, July 24, 2007. RECOMMENDED ACTION: Dispensed with the reading of the minutes and approved as recorded. C-2 A communication from Mayor C. Nelson Harris requesting that Council convene in a Closed Meeting to discuss vacancies on certain authorities, boards, commissions and committees appointed by Council, pursuant to Section 2.2-3711 (A)(I), Code of Virginia (1950), as amended. RECOMMENDED ACTION: Concurred in the request. C-3 A communication from Mayor C. Nelson Harris requesting that Council convene in a Closed Meeting to discuss Citizen of the Year, pursuant to Section 2.2-3711 (A)(1 0), Code of Virginia (1950), as amended. RECOMMENDED ACTION: Concurred in the request. 3 C-4 A communication from the City Manager requesting that Council convene in a Closed Meeting to discuss disposition of publicly-owned property, where discussion in open meeting would adversely affect the bargaining position or negotiating strategy of the public body, pursuant to Section 2.2-3711 (A)(3), Code of Virginia (1950), as amended. RECOMMENDED ACTION: Concurred in the request. C-5 Qualification of the following individuals: Octavia Johnson and B. Steven Lugar as City representatives to the Court Community Corrections Program Regional Community Criminal Justice Board, for terms ending June 30, 2010; Charles R. Shaver as a member of the Roanoke Valley Greenway Commission, for a term ending June 30, 2010; Stephen S. Willis as a member of the Personnel and Employment Practices Commission, for a term ending June 30, 2010; and Daniel E. Wooldridge as a member of the Roanoke Civic Center Commission, for a term ending September 30, 2010. RECOMMENDED ACTION: Received and filed. REGULAR AGENDA 4. PUBLIC HEARINGS: a. Proposal of the City of Roanoke to adjust the aggregate amount of its FY 2007-2008 annual budget in connection with appropriation of funds for the Technology Fund and the Roanoke City Public Schools' Capital Maintenance and Equipment Replacement Program (CMERP). Darlene L. Burcham, City Manager. Adopted Budget Ordinances Nos. 37891-091707, 37892-091707 and 37893-091707. (6-0) 4 5. PETITIONS AND COMMUNICATIONS: a. A communication from Harwell M. Darby, Jr., Attorney, representing Virginia Lutheran Homes, Inc., requesting the adoption of a measure to approve issuance of bonds by the Economic Development Authority for $6 Million to assist in the financing of certain improvements to its existing continuing care retirement community, known as Brandon Oaks, located at 3804 Brandon Avenue, S. W. (Sponsored by the City Manager.) Adopted Resolution No. 37894-091707. (6-0) 6. REPORTS OF OFFICERS: a. CITY MANAGER: BRIEFINGS: Market Area Advisory Committee Report (Briefing was held following 2:00 p.m. session) 20 minutes ITEMS RECOMMENDED FOR ACTION: 1. Acceptance of the United States Department of Health and Human Services Grant funds for the Runaway and Homeless Youth Act, Sanctuary Outreach Program; and appropriation of funds. Adopted Resolution No. 37895-091707 and Budget Ordinance No. 37896-091707. (6-0) 2. Acceptance of Virginia Department of Motor Vehicles Grant funds in connection with selective enforcement activities by the Police Department; and appropriation of funds. Adopted Resolution No. 37897-091707 and Budget Ordinance No. 37898-091707. (6-0) 3. Acceptance of the Virginia Department of Motor Vehicles Aggressive Driver Grant; and appropriation of funds. Adopted Resolution No. 37899-091707 and Budget Ordinance No. 37900-091707. (6-0) 5 4. Amendment of the City's Fee Schedule to reflect the downtown parking rate increases, effective October I, 2007. Adopted Resolution No. 37901-091707. (4-2, Council Members Lea and Wishneff voting no.) 5. Approval and execution of an Economic Development Grant Performance Agreement between the City, Roanoke Hotel Group, LLC, and the Economic Development Authority of the City of Roanoke, to promote economic development in the City. Adopted Ordinance No. 37902-091707. (6-0) 6. Approval and execution of Amendment No.2 to the Performance Agreement between the City, IMD Investment Group, LLC, and the Economic Development Authority of the City of Roanoke, dated November 18, 2004, in connection with the development of property located on the corner of Wonju Street and Franklin Road, S. W. Adopted Ordinance No. 37903-091707. (6-0) 7. Approval and execution of the Fiscal Year 2008 Performance Contract with Blue Ridge Behavioral Healthcare Board of Directors to ensure delivery of publicly funded services and support to citizens with mental illness, mental retardation, or substance abuse. Adopted Resolution No. 37904-091707. (6-0) 8. Authorization to execute an extension of the Operating Agreement with the Meadowbrook Golf Group, Inc., for Countryside Golf Course, for a term commencing November 1, 2007 through October 31, 2008. Adopted Ordinance No. 37905-091707. (6-0) 9. Authorization to execute the 2007-2008 CDBGjHOME Subgrant Agreement with Blue Ridge Housing Development Corporation, Inc., in connection with the "Project GOLD-New Gilmer Program". Adopted Resolution No. 37906-091707. (6-0) 6 10. Authorization to execute the 2007-2008 CDBG/HOME Subgrant Agreement with Total Action Against Poverty in the Roanoke Valley, Inc., to provide limited and emergency repairs to 15 homes throughout the City. Adopted Resolution No. 37907-091707. (6-0) 11. Authorization to execute an agreement with the Roanoke City School Board to continue the operation of the Breckinridge Middle School Fitness Center, for a term commencing October 1, 2007 through September 30, 2008, with the option of four additional one-year terms. Adopted Ordinance No. 37908-091707. (6-0) 12. Authorization to execute a Joint Services Agreement with the Roanoke City School Board in order to establish the framework for joint/shared services between the two entities. Adopted Ordinance No. 37909-091707. (6-0) 13. Authorization for waiver of the City's sovereign immunity and execution of a right of entry agreement with Norfolk Southern Railroad, in connection with the Roanoke River Flood Reduction- Phase 2 Topographic Survey. Adopted Resolution No. 37910-091707. (6-0) 14. Authorization for waiver of the City's sovereign immunity and execution of rental agreements with Jefferson Center Foundation, Ltd., in connection with the Roanoke Arts Festival events on October 4, 6 and 7, 2007, and Renovate Roanoke, an Old Home Renovation Fair, on October 20, 2007. Adopted Resolution No. 37911-091707. (6-0) 7. REPORTS OF COMMITTEES: NONE. 7 8. UNFINISHED BUSINESS: a. Request of Echo Sentinel Group, LLC, and Unified Human Services Transportation Systems, Inc., that 31st Street, N. W., between Baker Avenue and Breckenridge Avenue, N. W.; and a portion of Breckenridge Avenue, N. W.; and a 1 5 foot wide alley running in an easterly direction to its terminus at 31st Street, N. W., be permanently vacated, discontinued and closed. (Ordinance was tabled on August 20, 2007, and carried over from September 4, 2007.) Adopted Ordinance No. 37912-091707. (6-0) 9. INTRODUCTION AND CONSIDERATION OF ORDINANCES AND RESOLUTIONS: a. A Resolution supporting a clean and green campaign for the City of Roanoke. Adopted Resolution No. 37913-091707. (6-0) b. A Resolution providing for additional holiday leave for all City employees. Adopted Resolution No. 37914-091707. (6-0) 10. MOTIONS AND MISCELLANEOUS BUSINESS: a. Inquiries and/or comments by the Mayor and Members of City Council. Council Member Lea requested that the suggest of Total Action Against Poverty (TAP) with regard to changing the name of First Street back to Henry Street was referred to the City Manager for report to Council. b. Vacancies on certain authorities, boards, commissions and committees appointed by Council. 11. HEARING OF CITIZENS UPON PUBLIC MATTERS: CITY COUNCIL SETS THIS TIME AS A PRIORITY FOR CITIZENS TO BE HEARD. MATTERS REQUIRING REFERRAL TO THE CITY MANAGER WILL BE REFERRED IMMEDIATELY FOR RESPONSE, RECOMMENDATION OR REPORT TO COUNCIL. 8 12. CITY MANAGER COMMENTS: CERTIFICATION OF CLOSED SESSION. THERE BEING NO PUBLIC HEARING MATTERS SCHEDULED BEFORE THE COUNCIL. THE 7:00 P.M. SESSION WAS CANCELLED. THE COUNCIL MEETING WAS DECLARED IN RECESS UNTIL THURSDAY, SEPTEMBER 20, 2007, AT 9:00 A.M., FOR A JOINT MEETING WITH THE ROANOKE COUNTY BOARD OF SUPERVISORS AND WESTERN VIRGINIA WATER AUTHORITY, AT THE WASTEWATER TREATMENT PLANT, 1502 BROWNLEE AVENUE, S. E., ROANOKE, VIRGINIA. 9 _i~ -p.~~",; n ..':! ' , fi J' j 'J } 4 ,'~. --0-.1'- t / ~ifE' "-. ,JJ ~,,--, L/ "'Cr. .'i.r; -:::" " j"Jii' ",'I{\'f _.'t_" y~) _".2.. ....~:-.. CITY Ofi (;Iti) }F'~iO/i\l<rf)JKiE WHEREAS, the Constitution of the United States of America, the guardian of our liberties, is a product of reflection and choice, embodying the principles of limited government in a Republic dedicated to rule by law, not by men; and WHEREAS, September 17, 2007, marks the two hundred and twentieth anniversary of the drafting of the Constitution of the United States of America by the Constitutional Convention; and WHEREAS, it is fitting and proper to accord official recognition to this memorable anniversary, and to the patriotic exercises that will commemorate the occasion; and WHEREAS, Public Law No. 915 guarantees the issuing of a proclamation each year by the President of the United States of America designating September 17 through September 23 as Constitution Week NOW, THEREFORE, I, C. Nelson Harris, Mayor of the City of Roanoke, Virginia, do hereby proclaim September 17 - 23, 2007, throughout this great All-America City, as CONSTITUTION WEEK. Given under our hands and the Seal of the City of Roanoke this seventeenth day of September in the year two thousand and seven ATTEST: C. Nelson Harris Mayor ~~m.~ Stephanie M Moon City Clerk _~@'J.,.,-ft>.l~.' ~. ." . . ),. .~": -~' ~l: .. ~~l;21' ~ CITY OF ROANOKE OFFICE OF THE MAYOR 215 CHURCH AVENUE, S.W., ROOM 452 ROANOKE, VIRGINIA 24011-1594 TELEPHONE, (540) 853-2444 FAX, (540) 853-1145 C. NELSON HARRIS Mayor September 17, 2007 The Honorable Vice-Mayor and Members of the Roanoke City Council Roanoke, Virginia Dear Members of Council: This is to request a Closed Meeting to discuss vacancies on certain authorities, boards, commissions and committees appointed by Council, pursuant to Section 2.2-3711 (A)(1), Code of Virginia (1950), as amended. Sincerely, c..x...... i..4 C. Nelson Harris Mayor CNH:snh CITY OF ROANOKE OFFICE OF THE MAYOR 215 CHURCH AVENUE, S.W., ROOM 452 ROANOKE. VIRGINIA 24011-1594 TELEPHONE: (540) 853-2444 E<\X. (540) 853-1145 C. NELSON HARRIS Mayor September 17, 2007 The Honorable Vice-Mayor and Members of the Roanoke City Council Roanoke, Virginia Dear Members of Council: This is to request a Closed Meeting to discuss Citizen of the Year, pursuant to Section 2.2- 3711 (A)(1 0), Code of Virginia (1950), as amended. Sincerely, c..1(cJw.~ C. Nelson Harris Mayor CNH:snh ...... CITY OF ROANOKE OFFICE OF THE CITY MANAGER Noel C. Taylor Municipal Building 215 Church Avenue, S.W., Room 364 Roanoke, Virginia 24011-1591 Telephone: (540) 853-2333 Fax: (540) 853-1138 City Web: www.roanokeva.gov September 17,2007 The Honorable Mayor and Members of City Council Roanoke, Virginia Re: Request for closed meeting Dear Mayor Harris and Council Members: This is to request that City Council convene a closed meeting to discuss the disposition of publicly-owned property, where discussion in open meeting would adversely affect the bargaining position or negotiating strategy of the public body, pursuant to 92.2- 3711.A.3, Code of Virginia (1950), as amended. Sincerely, Darlene L. Burcham City Manager DLB/f c: William M. Hackworth, City Attorney Jesse A. Hall, Director of Finance Stephanie M. Moon, City Clerk II CITY OF ROANOKE OFFICE OF THE CITY CLERK 21S Church Avenue, S. W., Room 456 Roanoke, Virginia 24011-1536 Telephone: (540) 853-2541 Fax: (540) 853-1145 E-mail: clerk@roanokeva.gov SHEILA N. HARTMAN Deputy City Clerk STEPHANIE M. MOON, CMC City Clerk CECELlA R. TYREE Assistant Dep,uty City Clerk September 18, 2007 James T. Phipps Director of Court and Community Corrections P. O. Box 1725 Salem, Virginia 24153 Dear Mr. Phipps: This is toadvise you that Octavia Johnson and B. Steven Lugar have qualified as City representatives to the Court Community Corrections Program Regional Community Criminal Justice Board for terms ending June 30, 2010. Sincerely, ~0' Sheila N. Hartman Deputy City Clerk SNH:ew pc: Andrea R. Johnson, Administrative Secretary, City Clerk's Office Oath or Affirmation of Office Commonwealth of Virginia, City of Roanoke, to-wit: I, Octavia Johnson, do solemnly affirm that I will support the Constitution of the United States of America and the Constitution of the Commonwealth of Virginia, and that I will faithfully and impartially discharge and perform all the duties incumbent upon me as a City representative to the Court Community Corrections Program Regional Community Criminal Justice Board, for a term ending June 30, 2010, according to the best of my ability (So help me God). ~~-~ Subscribed and sworn to before me thi~1;~y of~l.J/2007. BRENDA S. HAMILTON, CLERK OF THE CIRCUIT COURT B , CLERK " , K:\oath and leaving servicc\Court Community Corrections Program Regional Community Crimianl Justice Board\Octavia Johnson oath June 30 20lO.doc . . -. -' .' l.-"r.~-. Oath or Affirmation of Office Commonwealth of Virginia, City of Roanoke, to-wit: I, B. Steven Lugar, do solemnly affirm that I will support the Constitution of the United States of America and the Constitution of the Commonwealth of Virginia, and that I will faithfully and impartially discharge and perform all the I duties incumbent upon me as a City representative to the Court Community Corrections Program Regional Community Criminal Justice Board, for a term ending June 30, 2010, according to the best of my ability (So help me God). ~.~ Subscribed and sworn to before me this.L day Of~r:2007. BRENDA S. HAMILTON, CLERK OF THE CIRCUIT COURT J)E.,PtlT ,CLERK K:\oath and leaving service\Court Community Corrections Program Regional Community Crimianl Justice Board\Deputy Chief Steve Lugar oath June 30 2010.doc CITY OF ROANOKE OFFICE OF THE CITY CLERK 215 Church Avenue, S. W., Room 456 Roanoke, Virginia 24011-1536 Telephone: (540) 853.2541 Fax: (540) 853-1145 E~mail: clerk@roanokeva.gov SHEILA N. HARTMAN Deputy City Clerk CECELIA R. TYREE Assistant Deputy City Clerk STEPHANIE M. MOON, CMC City Clerk September 18, 2007 Donald R. Witt, Chair Roanoke Valley Greenway Commission 3332 Kenwick Trail, S. W. Roanoke, Virginia 24018 Dear Mr. Witt: This is to advise you that Charles R. Shaver has qualified as a member of the Roanoke Valley Greenway Commission, for a term ending June 30, 2010. Sincerely, ~?J). Sheila N. Hartman Deputy City Clerk . SNH:ew pc: Elizabeth Belcher, Greenway Coordinator, Roanoke Valley Greenway Commission, P. O. Box 29800, Roanoke, Virginia 24018 Andrea R. Johnson, Administrative Secretary, City Clerk's Office Oath'or Affirma'fibn of Office Commonwealth of Virginia, City of Roanoke, to-wit: I, Charles R. Shaver, do solemnly affirm that I will support the Constitution of the United States of America and the Constitution of the Commonwealth of Virginia, and that I will faithfully and impartially discharge and perform all the duties incumbent upon me as a member of the Roanoke Valley Greenway Commission, for a term ending June 30, 2010, according to the best of my ability (So help me God). a~ Subscribed and sworn to before me this 61 day Of~2007. BRENDA S. HAMILTON, CLERK OF THE CIRCUIT COURT B 71.1, CLERK K:\oath and leaving service\Roanoke valley green way commission\Charles W Shaver oath 07.doc ~~ - CITY OF ROANOKE OFFICE OF THE CITY CLERK 21S Church Avenue, S. W., Room 456 Roanoke, Virginia 24011-1536 Telephone: (540) 853-2541 Fax: (540) 853-1145 E-mail: c1erk@roanokeva.gov SHEILA N. HARTMAN Deputy City Clerk CECELlA R. TYREE Assistant Deputy City Clerk STEPHANIE M. MOON, CMC City Clerk September 18, 2007 Keli M. Greer, Secretary Personnel and Employment Practices Commission Roanoke, Virginia Dear Ms. Greer: . This is to advise you that Stephen S. Willis has qualified as a member of the Personnel and Employment Practices Commission, for a term ending June 30, 2010. Sincerely, ~~ Sheila N. Hartman Deputy City Clerk SNH:ew pc: Andrea R. Johnson, Administrative Secretary, City Clerk's Office K:\oath and leaving scrvice\personnel and employment practices commission\Stephen S Willis qualifi.doc Oath or Affirm"atfon of Office Commonwealth of Virginia, City of Roanoke, to-wit: I, Stephen S. Willis, do solemnly affirm that I will support the Constitution of the United States of America and the Constitution of the Commonwealth of Virginia, and that I will faithfully and impartially discharge and perform all the duties incumbent upon me as a member of the Personnel and Employment Practices Commission, for a term ending June 30, 2010, according to the best of my ability (So help me God). d!---\/VdL.... /' - Subscribed and sworn to before me this ~ay ofM 2007. BRENDA S. HAMILTON, CL RK OF THE CIRCUIT COURT ~J ERK B K:\oath and \caving service\personnel and employment practices commission\Stephen S Willils 07oath.doc .r..~...!...\ r.. ... ., ... .'":'1'..., ., @l CITY OF ROANOKE OFFICE OF THE CITY CLERK 215 Church Avenue, S. W., Room 456 Roanoke, Virginia 24011-1S36 Telephone: (540) 853-2541 Fax: (540) 853.1145 E-mail: c1erk@roanokeva.gov SHEILA N. HARTMAN Deputy City Clerk STEPHANIE M. MOON, CMC City Clerk CECELIA R. TYREE Assistant Deputy Citjo' Clerk September 18, 2007 Corri G. Browbell, Secretary Roanoke Civic Center Commission Roanoke, Virginia Dear Ms. Browbell: This is to advise you that Daniel E. Wooldridge has qualified as a member of the Roanoke Civic Center Commission, for a term ending September 30, 2010. Sincerely, ~ /J7r Sheila N. Hartman Deputy City Clerk SNH:ew pc: Paul P. Anderson, Chair, Roanoke Civic Center Commission, 1335 Ivy Street, S. E., Roanoke, Virginia 24014 Andrea R. Johnson, Administrative Secretary, City Clerk's Office Oath or Affirmation of Office Commonwealth of Virginia, City of Roanoke, to-wit: I, Daniel E. Wooldridge, do solemnly affirm that I will support the Constitution of the United States of America and the Constitution of the Commonwealth of Virginia, and that I will faithfully and impartially discharge and perform all the duties incumbent upon me as a member of the Roanoke Civic Center Commission, for a term ending September 30, 2010, according to the best of my ability (So help me God). (!iw ~~ /' Subscribed and sworn to before me this3 V day Of~L{.~007. BRENDA S. HAMILTON, CLERK OF THE CIRCUIT COURT B~f~ ,~J~~ K\oath and leaving service\roa civic center commission\Daniel E Wooldridge 9 30 201 O.doc CITY OF ROANOKE OFFICE OF THE CITY CLERK 215 Church Avenue, S. W., Room 456 Roanoke, Virginia 24011-1536 Telephone: (540) 853-2541 Fax: (540) 853-1145 E-mail: c1erk@roanokeva.gov SHEILA N. HARTMAN Deputy City Clerk STEPHANIE M. MOON, CMC City Clerk CECELlA R. 'IYREE Assistant Deputy City Clerk September 18, 2007 Jesse A. Hall Director of Finance Roanoke, Virginia Dear Mr. Hall: I am attaching copy of Budget Ordinance No. 37891-091707 appropriating funds from undesignated fund balance for the Capital Maintenance and Equipment Replacement Program, and the Reserve for Self-Insured Claims, and amending and re-ordaining certain sections of the 2007-2008 General, Capital Projects, Department of Technology, Fleet Management, Risk Management and Grant Funds Appropriations. The above referenced measure was adopted by the Council of the City of Roanoke at a regular meeting held on Monday, September 17, 2007, and is in full force and effect upon its passage. Sincerely, ~q Sheila N. Hartman Deputy City Clerk SNH:ew Attachment pc: Dr. Rita D. Bishop, Superintendent, Roanoke City Public Schools David B. Carson, Chair, Roanoke City School Board, 3037 Carolina Avenue, S. W., Roanoke, Virginia 24014 Cindy H. Poulton, Clerk, Roanoke City School Board, P. O. Box 13145, Roanoke, Virginia 24031 Darlene L. Burcham, City Manager ? IN THE COUNCIL OF THE CITY OF ROANOKE, VIRGINIA The 17th day of September, 2007. No. 37891-091707. AN ORDINANCE to appropriate funding from undesignated fund balance for the Capital Maintenance and Equipment Replacement Program (CMERP), and the Reserve for Self-Insured Claims, amending and re-ordaining certain sections of the 2007- 2008 General, Capital Projects, Department of Technology, Fleet Management, Risk Management and Grant Funds Appropriations. BE IT ORDAINED by the Council of the City of Roanoke that certain sections of the 2007-2008 General, Capital Projects, Department ofTechnology, Fleet Management, Risk Management and Grant Funds Appropriations be, and the same are hereby, amended as follows: General Fund . Appropriations Inmate Phone Commissions VA Museum of Transportation History Museum CMERP- Equipment Purchases CMERP - Equipment Purchases Youth Scholarships Foster Care-Donation Expense Sporting Events Citizen Police Academy Homeland Defense Project Life Saver Transfer to Capital Projects Fund Transfer to DOT Fund Transfer to Risk Management Fund Transfer to School Fund Transfer to Grant Fund Fund Balance Reserved for CMERP - City Reserved for Self-Insured Claims Capital Proiects Fund 01-140-3310-2074 01-300-7220-3714 01-300-7220-3776 01-530-4210-9132 01-620-4340-9132 01-620-8170-2302 01-630-5314-2305 01-640-3114-2081 01-640-3114-2132 01-640-3114-2164 01-640-3114-2169 01-250-9310-9508 .01-250-9310-9513 01 "250-931 0-9519. 01-250-9310-9530 01-250-9310-9535 $ 8,815 32,200 33,000 15,000 40,000 4,657 9,700 750 563 391 13,064 717,325 47,050 250,000 500,000 54,422 01-3323 01-3327 (1,476,937) (250,000) Appropriations CMERP - Equipment Purchases 08 -310- 9793 -9132 (9,673) CMERP - Equipment Purchases 08- 310 - 9799 -9132 100,000 CMERP - Equipment Purchases 08- 440 - 9810 -9132 90,000 CMERP - Equipment Purchases 08- 530 - 9563 -9132 30,000 CMERP - Equipment Purchases 08- 520 - 9542 -9132 120,140 Contingency 08- 530 - 9575 -9220 216,435 CMERP - Equipment Purchases 08- 530 - 9661 -9132 (58,000) CMERP - Equipment Purchases 08- 530 - 9798 -9132 120,643 CMERP - Equipment Purchases 08- 530 - 9726 -9132. 55,000 CMERP - Equipment Purchases 08- 610 - 9929 -9132 78,096 CMERP - Equipment Purchases 08- 620 - 9758 -9132 (25,316) Revenues Transfer from General Fund 08- 110 - 1234 -1037 717,325 Department of Technology Fund Appropriations Reserve - Future Capital Outlay 13- 430 - 1602 -3028 693,000 CMERP - Equipment Purchases 13- 430 - 9925 -9132 238,000 CMERP - Equipment Purchases 13- 430 - 9870 -9132 (190,950) Revenues Transfer from General Fund 13- 110 - 1234 -0951 47,050 Fund Balance Retained Earnings Available 13 -3348 (693,000) Fleet Management Fund Appropriations Other Equipment 17- 440 - 2642 -9015 31,000 Fund Balance Retained Earnings Unrestricted 17 -3336 (31,000) Risk Management Fund Revenues Transfer from General Fund 19- 110 - 1234 -1037 250,000 Retained Earnings Reserve for Self- Insured Claims 19 -3327 250,000 Grant Fund Appropriations Local Match Funding for Grants 35- 300 - 9700 -5415 54,422 Revenues Transfer from General Fund 35- 300 - 9700 -5207 54.422 Pursuant to the provisions of Section 12 of the City Charter, the second reading of this ordinance by title is hereby dispensed with ATTEST: ~O;. ~CitYClerk. CITY OF ROANOKE OFFICE OF THE CITY CLERK 215 Church Avenue, S. W., Room 456 Roanoke, Virginia 24011-1536 Telephone: (540) 853-2541 Fax: (540) 853-1145 E-mail: c1erk@rO<lnokeva.gov SHEILA N. HARTMAN Dep!lty City Clerk STEPHANIE M. MOON, CMC City Clerk CECELlA R. TYREE Assistant Deputy City Clerk September 18, 2007 Jesse A. Hall Director of Finance Roanoke, Virginia Dear Mr. Hall: I am attaching copy of Budget Ordinance No. 37892-091707 appropriating funds from the General Fund for textbooks, and amending. and reordaining certain sections of the 2007-2008 School Fund Appropriations, and dispensing with the second reading by title of this ordinance. The abovereferenced measure was adopted by the Council of the City of Roanoke at a regular meeting held on Monday, September 17, 2007, and is in full force and effect upon its passage. Sincerely, ~;r;.' Sheila N. Hartman Deputy City Clerk SNH:ew Attachment pc: Dr. Rita D. Bishop, Superintendent, Roanoke City Public Schools David B. Carson, Chair, Roanoke City School Board, 3037 Carolina Avenue, S. W., Roanoke, Virginia 24014 Cindy H. Poulton, Clerk, Roanoke City School Board, P. O. Box 13145, Roanoke, Virginia 24031 Darlene L. Burcham, City Manager ~s IN THE COUNCIL OF THE CITY OF ROANOKE, VIRGINIA The 17th day of September, 2007. No. 37892-091707. AN ORDINANCE to appropriate funding from the General Fund for textbooks, amending and reordaining certain sections of the 2007-2008 School Fund Appropriations, and dispensing with the second reading by title of this ordinance. BE IT ORDAINED by the Council of the City of Roanoke that the following sections of the 2007-2008 School Fund Appropriations be, and the same are hereby, amended and reordained to read and provide as follows: School Fund Appropriations Textbooks 30-065-7600-6100-0613 $500,000 Revenue Transfer from General Fund 30-110-1234-0951 500,000 Pursuant to the provisions of Section 12 of the City Charter, the second reading of this ordinance by title is hereby dispensed with. ATTEST: 2;). '-'7! ! (';-r '_.l~,", '.,' :... CITY OF ROANOKE OFFICE OF THE CITY MANAGER Noel C. Taylor Municipal Building 215 Church Avenue, S.W., Room 364 Roanoke, Virginia 24011-1591 Telephone, (540) 853-2333 Fa" (540) 853-1138 City Web: www.roanokcva.gov September 17, 2007 Honorable C. Nelson Harris, Mayor Honorable David B. Trinkle, Vice Mayor Honorable Alfred T. Dowe. Jr., Council Member Honorable Beverly T. Fitzpatrick, Council Member Honorable Sherman P. Lea, Council Member Honorable Gwendolyn W. Mason, Council Member Honorable Brian J. Wish neff, Council Member Dear Mayor Harris and Members of City Council: Subject: Use of Undesignated Fund Balance (Capital Maintenance and Equipment Replacement Program - CMERP) Background: City Council was briefed on the unaudited FY 2006-07 financial performance and the undesignated fund balance on August 20, 2007. The year end undesignated General Fund balance is used for our Capital Maintenance and Equipment Replacement Program (CMERP) and totals $1,476,937. In addition, unobligated prior year CMERP funding in the amount of $283,939 is available for transfer to other projects. This funding was appropriated for the Downtown Sealed Compactor Project, Downtown Historic Building Plaques, ADA Improvements for Preston Park, and E-911 Console Furniture. These projects are not prepared to proceed at this time and we are recommending that the funds be reallocated with the expectation that funding will again be recommended for appropriation when the projects are prepared to move forward. Retained earnings in the amount of $693,000 from the Department of Technology will supplement $762,601 in the Technology Fund operating budget to address prioritized technology projects. Honorable Mayor Harris and Members of City Council September 17, 2007 Page 2 Funding in the amount of $31,000 from Fleet Management Retained Earnings will be utilized for tools and equipment to assist with the maintenance of vehicular equipment. The total of all funding sources outlined above is $2,484,876. Requests for CMERP funding totaled approximately $10.1 million. These requests were prioritized by the assignment of a high, medium or low priority designation. The requests designated as high priority totaled approximately $4.3 million. City Code stipulates that $250,000 in undesignated General Fund balance shall be reserved annually for self-insured liabilities of the City. The maximum balance of the reserve is three percent of the total General Fund appropriations for the concluded fiscal year. As such, atJune 30, 2007, $250,000 was reserved in the General Fund for self-insured liabilities. This amount shall be transferred to the Risk Management Fund where the City accounts for all of its self-insured liabilities. Considerations: On September 7, 2007, City Council was sent a list of the items tentatively recommended for funding. A list of the final funding recommendations is attached (Attachment 1) and addresses the following categories: . Contributions/Commitments . Capital Improvements . Technology . Fleet Management . Equipment . Carryover Items Total $831,870 836,066 693,000 31,000 55,000 37.940 $2,484,876 The funding recommendation includes an allocation of $500,000 to match $2,000,000 in School funds to be appropriated for the purchase of textbooks. The School Board has requested an adjustment to the School Fund budget for the $500,000 in match funding. On September 10,2007, advertisement was properly made in The Roanoke Times for the appropriation of $693,000 recommended in the Department of Technology Fund. A public hearing is required for this appropriation since the budget adjustments proposed exceed one percent of the adopted budget. Honorable Mayor Harris and Members of City Council September 17, 2007 Page 3 Recommended Action: Following a public hearing, adopt the attached budget ordinance appropriating funding to the proper accounts as outlined in Attachment 1 and appropriate $250,000 reserved in the General Fund for self-insured liabilities to be transferred to the Risk Management Fund. Establish a revenue estimate of the same amount in the Risk Management Fund representing this transfer. Reallocate unobligated prior year CMERP funding of $283,939 from the Downtown Sealed Compactor Project, Downtown Historic Building Plaques, ADA Improvements for Preston Park, E-911 Console Furniture to support the projects on Attachment 1. Adopt the attached budget ordinance adjusting the School Fund budget in the amount of $500,000 for the match funding provided by the City for the purchase of textbooks. Respectfully submitted, Darlene L. rcham City Manager DLB:ms c: Stephanie M. Moon, City Clerk William M. Hackworth, City Attorney Jesse A. Hall, Director of Finance Sherman M. Stovall, Director of Management and Budget Dr. Rita D. Bishop, Superintendent, Roanoke City Public Schools CM07-00148 Attachment 1 Recommended Expenditures - Justification Contributions/Commitments - $831,870 1. Total Action Aqainst Poverty/Dumas - $100,000 - Funding will provide the fifth of five planned installments to support the renovation of the Dumas facility. 2. School Text Books - $500,000 - Funding will provide matching funds for textbooks for Roanoke City Public Schools. 3. History Museum - $33.000 - Funding will provide the first of three planned installments to support the renovation and enhancement of the exhibition space. 4. Mill Mountain Zoo - $166.670 - Funding will provide the first of three planned installments as matching funds to support capital improvements. This level of funding was advanced-funded from Capital Project Contingency and is being replaced with the allocation of CMERP funds. 5. Virqinia Museum of Transportation - $32,200 - Funding will be utilized to replace a HVAC unit and to install ceiling fans to help facilitate the circulation of air. The provision of funding will result in a utility expenditure reduction. Capital Maintenance/Other - $836,066 1. Enqineerinq - $175,643 a. Storm Drain Capital - $120.643 - This funding will address small and miscellaneous storm drain projects. b. Storm Drain Cross Connection - $55.000 - This will provide funding for storm drain cross connection to sanitary sewer removal. 2. Grant Matchinq Fundinq - $54,422 - This funding will be utilized to provide matching funds for competitive grants. 3. Percent for the Arts - $78.096 - This funding will provide for the purchase of public art and is based on 1 % of the anticipated construction cost expenditures during FY 2008 for the following facilities: · Library Improvements - Phase I Library Master Plan . Fire/EMS Facility Improvement Programs 4. Public Safety Radios - $238,000 -_Funding will supplement Department of Technology capital funds and provide for the purchase of digital radios for Police, Fire/EMS, and Sheriff Departments. 5. Emerqency Generator for Patrick Henry High School- $120,140- Provides for the purchase and installation of an emergency generator at Patrick Henry High School in the event the school is used as an emergency shelter. The School Superintendent has agreed to purchase and install a similar generator at William Fleming High School. 6. Fire/EMS - Emerqency Signal - $30,000 - This provides funding for an emergency signal outside of Station 13. 7. Mayors' Monument - $90,000 - Funding will be used to improve and enhance the Mayors' Monument located in Elmwood Park. 8. Capital Proiect Contingency - $49,765 - This funding will be utilized for unanticipated capital project expenses. Technology - $693,000 Funding in the amount of $693,000 from Department of Technology Fund Retained Earnings will supplement $762,601 in the Technology Fund to address prioritized technology projects. The goal is to grow the annual budget for technology capital items to $1.5 - $2 million. Fleet Management - $31,000 Funding in the amount of $31 ,000 from Fleet Management Retained Earnings will be utilized for tools and equipment to assist with the maintenance of vehicular equipment. Equipment - $55,000 1. Parks & Recreation - $40,000 - These funds will be utilized to purchase equipment to help maintain the greenways. 2. Solid Waste Manaqement - Litter Containers - $15,000 - These funds will be used to purchase trash receptacles as part of a city-wide clean~up program. Carryover Funds - $37,940 1. Police - $14,768 - This funding is a carryover of FY2006-07 unobligated funding from mini-grants and donations for a specific purpose. 2. Sheriff -Inmate Phone Commissions - $8,815 - This funding is a carryover of revenue in excess of expenses associated with the operation of the inmate telephone system. 3. Social Services - $9,700 - This funding is a carryover of FY 2006-07 unobligated funding from mini grants and donations for a specific purpose. 4. Parks & Recreation - $4.657 - This funding is a carryover of FY 2006-07 unobligated funding from donations for youth scholarships. CITY OF ROANOKE OFFICE OF THE CITY CLERK 215 Church Avenue, S. W., Room 456 Roanoke, Virginia 24011-1536 Telephone: (540) 853-2541 Fax: (540) 853-1145 E-mail: clerk@roanokeva.gov SHEILA N. HARTMAN Deputy City Clerk CECELlA R. TIREE Assistant Deputy City Clerk STEPHANIE M. MOON, CMC City Clerk September 18, 2007 Jesse A. Hall Director of Finance Roanoke, Virginia Dear Mr. Hall: I am attaching copy of Budget' Ordinance No. 37893-091707 appropriating funds from undesignated fund balances for textbooks and facilities maintenance, and amending and reordaining certain sections of the 2007-2008 General and School Funds Appropriations, and dispensing with the second reading by title of this ordinance. . The abovereferenced measure was adopted by the Council of the City of Roanoke at a regular meeting held on Monday, September 17, 2007, and is in full force and effect upon its passage. Sincerely, ~~. Sheila N. Hartman Deputy City Clerk SNH:ew Attachment pc: Dr. Rita D. Bishop, Superintendent, Roanoke City Public Schools David B. Carson, Chair, Roanoke City School Board, 3037 Carolina Avenue, S. W., Roanoke, Virginia 24014 Cindy H. Poulton, Clerk, Roanoke City School Board, P. O. Box 13145, Roanoke, Virginia 24031 Darlene L. Burcham, City Manager ~ 7 IN THE COUNCIL OF THE CITY OF ROANOKE, VIRGINIA The 17th day of september, 2007. No. 37893-091707. AN ORDINANCE to appropriate funding from undesignated fund balances for textbooks and facilities maintenance, amending and reordaining certain sections of the 2007-2008 General and School Funds Appropriations, and dispensing with the second reading by title of this ordinance. BE IT ORDAINED by the Council of the City of Roanoke that the following sections of the 2007-2008 General and School Funds Appropriations be, and the same are hereby, amended and reordained to read and provide as follows: General Fund Appropriations Transfer to School Fund 01-250-9310-9530 $329,702 Fund Balance Undesignated Fund Balance 01-3324 (329,702) School Fund Appropriations Textbooks Maintenance Revenues . Transfer from General Fund 30-065-7600-6100-0613 30-065-7600-6681-0821 2,000,000 2,000,000 30-110-1234-0951 329,702 Fund Balance Undesignated Fund Balance 30-3324 (3,670,298) Pursuant to the provisions of Section 12 of the City Charter, the second reading of this ordinance by title is hereby dispensed with. . ATTEST: ~. City Clerk. City of Roanoke School Board P.O. Box 13145, Roanoke VA 24031 . 540-853-2381 . FAX 540-853-2951 David B. Carson Chairman Jason E. Bingham Vice Chairman V. Mignon Chubb-Hale Mae G. Huff Suzanne p, Moore Courtney A. Penn Todd A. Putney Dr. Rita D. Bishop Superintendent Cindy H. Poulton Clerk of the Board September 17, 2007 The Honorable C. Nelson Harris, Mayor and Members of Roanoke City Council Roanoke, VA 24011 Dear Members of Council: As the result of official School Board action at its meeting on September 11, the Board respectfully requests City Council to appropriate $4,000,000.00 from the FY07-08 Capital Maintenance and Equipment Replacement Fund. The monies will be used to fund textbooks and facilities maintenance for various buildings. The School Board thanks you for your approval of the appropriation request. re cc: Mr. David B. Carson Dr. Rita D. Bishop Mr. Curtis D. Baker Mr. William C. Wingfield Mr. Richard C. Patterson Sin~erel~~~ C~,"' Cloc' Ms. Darlene L. Burcham Mr. William M. Hackworth Mr. Jesse A. Hall Mrs. Ann H. Shawver Ms. Lori Van Curen (with accounting details) . r ..', C t ";~ ./_ ~ :!::.: J H :...>>>< CITY OF ROANOKE DEPARTMENT OF FINANCE 215 Church Avenue, S.W., Room 461 P.O. Box 1220 Roanoke, Virginia 24006-1220 Telephone: (540) 853-2821 Fax: (540) 853-6142 ANN H. SHAWVER Deputy Director email: ann_shawver@ci.roanoke.va.us JESSE A. HALL Director of Finance email: jesse_hall@ci.roanoke.va.us September 17, 2007 Honorable C. Nelson Harris, Mayor Honorable David B. Trinkle, Vice-Mayor Honorable Alfred T. Dowe, Jr., Council Member Honorable Beverly T. Fitzpatrick, Jr., Council Member Honorable Sherman P. Lea, Council Member Honorable Gwendolyn W. Mason, Council Member Honorable Brian J. Wishneff, Council Member Dear Mayor Harris and Members of City Council: Subject: School Board Appropriation Request Background: As a result of official School Board action at its meeting on September 11, 2007, the Board has respectfully requested that City Council appropriate $4 million from the undesignated fund balance of the General and School Funds for use by the Schools. The funds will be used to purchase textbooks, perform facilities maintenance for various buildings, and to buy furniture and fixtures for various classrooms. This appropriation requires a public hearing since it exceeds one percent of the School Fund adopted budget. Advertisement for a public hearing has been made in the Roanoke Times. Recommendation: Following a public hearing, we recommend that you concur with this report of the School Board and adopt the attached budget ordinance to appropriate funding as described above. Sincerely, 9~A, L~ Jesse A. Hall Director of Finance JAH:ca c: Darlene L. Burcham, City Manager William M. Hackworth, City Attorney Stephanie M. Moon, City Clerk Sherman M. Stovall, Director of Management and Budget Dr. Rita D. Bishop, Superintendent, Roanoke City Public Schools .The Roanoke Times Roanoke, Virginia Affidavit of Publication The Roanoke Times - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - -+- - - - - - - - - - - - - - - - - - - --- -- STEHANIE M. MOON CITY OF ROANOKE - CITY CLERK MUNICIPAL BLDG RM 456 ROANOKE VA 24011 REFERENCE, 10154151 10487003 Notice of Public Hea State of Virginia City of Roanoke CITY CLERK '07 SEP 13 Rti09::30 I, (the undersigned) an authorized representative of the Times-World Corporation, which corporation is publisher of the Roanoke Times, a daily newspaper published in Roanoke, in the State of Virginia, do certify that the annexed notice was published in said newspapers on the fol"lowing dates: City/County of Roanpke, Commonwealth/State of Vir~fnia. Sworn and subscribed before me this _LQ~__day of September 2007. Witness my hand and official seal. ~~~-q1-~~-~~o- 3oNotary Public My commissi~~~txp~~s _~~~__~_~~______' PUBLISHED ON, 09/10 \,,'IlIIIIIII, ,...,\' ~"E N I~t, " 0~.'''''': 0./0 " ;:' ~""NOTARY"',,~ ", = It:. PUBLIC ". ~ ~ :: * : REG #332963 : * :. :: : MY COMMISSiON.: :: -~. ~ .~- .,...... .~... ~0_'. . 0- -:"-~'. ,.' ~ ~ ........~O ............~~,...... ", '1'WEALTu ()' ", '" II \\\ 1"1111"'\ TOTAL COST: FILED ON, 223.53 09/10/07 Authorized ~ .Il illr ~ L . _ _ . Signa ture '-f-fJlJ1M..-tl----W~---' . NOTICE OF PUBLIC HEARING . ~ The. Council of the City of Roanoke will consider a,.proposal to adjust the aggregate l amount of its FY 2007-2008 annual budget in the following respeCts, in connection ".with appropriation of funds for the Technology Fund as well . as ~n appropriation of f';....funds.{9r}h~Roanoke City Public. Schools' Capital Maintenance and Equipment ~~pla?~ment ~rogr;;; (~E-:): n ~:. ,?! '''' ~~' .l ~ ~ ~ ;: \1] ~ ~E., ,~J'FII~O m .:t'. ,iff) .'! 'iADOPTEDl iW~;;1 -J RECOMMENDEO "0' ."~' .\' . .,..,ru """1I.l>'il..,BUllGEf..lI'iillllil.....INCREASE ~ ,': SelJool,und $136,523,844 $ 4,000,000 ' ':'Wtechnoio9Y Fund $ 6,961,665 $ 931,000 Pursuant to the requirements of 915.2-2507, Code of Virginia (1950), as amended, notice is hereby given that the- Counal of the City of Roanoke will hold a public hearing on the above matter on Monday, September 17, 2007, at 2:00 p.m., local time, or as soon thereafter as the matter may be heard, in the Council Chambers, Room 450, Noel C. Taylor MunicipallBuUding, 215 Church Avenue, SW, Roanoke. Virginia. For further information on these matters, you may contact the Departm.ent of Management and Budget at (540)853-6800. All parties and interested citizens may apPear on the above date and be heard on the matter. . If you are a person who needs accommodations for this hearing, please contact the City Clerk's Off!ce at (~O) 853-2541 before 12:00 noon on Thursday, September 13: 2007. GIVE.N under my hand this 10th day of September, 2007. . Stephanie M. Moon, City Clerk. Billing Services Representative J1'( / NOTICE OF PUBLIC HEARING The Council of the City of Roanoke will consider a proposal to adjust the aggregate amount of its FY 2007-2008 annual budget in the following respects, in connection with appropriation of funds for the Technology Fund as well as an appropriation of funds for the .Roanoke City Public Schools' Capital Maintenance and Equipment Replacement Program (GMERP): FUND ADOPTED BUDGET RECOMMENDED INCREASE School Fund Technology Fund $ 138,523,844 $ 6,961,885 $ 4,000,000 $ 931,000 Pursuant to the requirements of 915.2-2507, Code of Virginia (1950), as amended, notice is hereby given that the Council of the City of Roanoke will hold a public hearing on the above matter on Monday, September 17, 2007, at 2:00 p.m., local time, or as soon thereafter as the matter may be heard, in the Council Chambers, Room 450, Noel C. Taylor Municipal Building, 215 Church Avenue, SW, Roanoke, Virginia. For further information on these matters, you may contact the Department of Management and Budget at (540) 853-6800. All parties and interested citizens may appear on the above date and be heard on the matter. If you are a person who needs accommodations for this hearing, please contact the City Clerk's Office at (540) 853-2541 before 12:00 noon on Thursday, September 13, 2007. GIVEN under my hand this 10th day of September, 2007. Stephanie M. Moon, City Clerk. \ Please publish the attached as a display ad to appear for one day, Monday, September 10,2007. ' Send Publisher's Affidavit to: Stephanie M. Moon, City Clerk Room 456, Municipal Building 215 Church Avenue, SW Roanoke, VA 24011 Send bill and correspondence to: Department of Management and Budget Room 354, Municipal Building 215 Church Avenue, SW Roanoke, Virginia 24011 Direct questions about this ad to: Amelia Merchant (540) 853-6805 (540) 853-2773 fax Amelia.Merchant@roanokeva.gov .p~ - CITY OF ROANOKE OFFICE OF THE CITY CLERK 215 Church Avenue, S. W., Room 456 Roanoke, Virginia 24011-1536 Telephone: (540) 853-2541 Fax: (540) 853-1145 E-mail: c1erk@roanokeva.gov SHEILA N. HARTMAN Deputy CiIY Clerk STEPHANIE M. MOON, CMC City Clerk CECELIA R. TYREE Assistant Deputy City Clerk September 18, 2007 Harwell M. Darby, Jr., Attorney Glenn, Feldmann, Darby and Goodlatte P. O. Box 2887 Roanoke, Virginia Dear Mr. Darby: I am enclosing copy of Resolution No. 37894-091707 approving issuance of an amount not to exceed $6 Million in revenue bonds to be issued by the Economic Development Authority of the City of Roanoke, Virginia, for the benefit of Virginia Lutheran Homes, Inc., for the financing or refinancing of certain improvements to its existing continuing care retirement community known as Brandon Oaks, located at 3804 Brandon Avenue,. in' the City of Roanoke, Virginia. The abovereferenced measure was adopted by the Council of the City of Roanoke at a regular meeting held on Monday, September 17, 2007. Sin~erely, ~1r1.~ Stephanie M. Moon, CMC City Clerk SMM:ew Enclosure pc: Darlene L. Burcham, City Manager Jesse A. Hall, Director of Finance Sherman M. Stovall, Director, Management and Budget , V'li v IN THE COUNCIL OF THE CITY OF ROANOKE, VIRGINIA The 17th day of September, 2007 No: ,7RQ4-091707. A Resolution of the City Council of the City of Roanoke, Virginia approving the issuance of an amount not to exceed $6,000,000 in revenue bonds to be issued by the Economic Development Authority of the City of Roanoke, Virginia for the benefit of Virginia Lutheran Homes, Inc., for the financing or refinancing of certain improvements to its existing .continuing care retirement community !mown as Brandon Oaks, located at 3804 Brandon Avenue, in the City of Roanoke, Virginia ("Brandon Oaks"). The Economic Development Authority of the City of Roanoke, Virginia ("Authority") has considered the application of Virginia Lutheran Homes, Inc., a Virginia non-stock, non-profit 'corporation (the "Borrower"), requesting the issuance of the Authority's revenue bonds in an amount not to exceed $6,000,000 (the "Bonds") to be issued at one time or from time to time to assist the Borrower in financing or refmancing the following (collectively, the "Plan of Financing"): (1) the costs of constructing and equipping a renovation of and expansion to the Brandon Oaks, consisting of approximately 20,000 square feet of renovated space to include, without limitation, a pool, a fitness and wellness center, dining areas and staff and resident activity space (the "Project"), (2) other capital expenditures at Brandon Oaks, working capital and funded interest, and (3) amounts required to fund a debt service reserve fund and to pay costs of issuance and other expenses in connection with the issuance of the Bonds. The Authority held a public hearing on the Borrower's application on September 12, 2007, as required by Section 147(f) of the Internal Revenue Code of 1986, as amended (the "Code"), and Section 15.2-4906 of the Code of Virginia of 1950, as amended (the "Virginia Code"). Section 147(f) of the Code also provides that the governmental unit having jurisdiction over the issuer of private activity bonds and over the area in which any facility financed with the proceeds of private activity bonds is located must approve the issuance ofthe bonds. The Authority issues its bonds on behalf of the City of Roanoke, Virginia (the "City"); the Project is located in the City; and the City Council of the City of Roanoke, Virginia (the "Council") constitutes the highest elected governmental unit of the City. The Authority has recommended that the Council approve the issuance of the Bonds. A copy of the Authority's resolution approving the issuance of the Bonds, subject to the terms to be agreed upon, a certificate of the public hearing and a Fiscal Impact Statement have been filed with the Council. NOW, THEREFORE, IT IS RESOLVED BY THE CITY COUNCIL OF THE CITY OF . ROANOKE, VIRGINIA: I. The Council approves the issuance of the Bonds pursuant thereto by the Authority for the benefit of the Borrower, as required by Section l47(f) of the Code and Section 15.2-4906 of the Virginia Code to permit the Authority to assist the Borrower in financing or refinancing the Plan of Financing. 2. The approval of the issuance of the Bonds does not constitute an endorsement to a prospective purchaser of the Bonds of the creditworthiness of the Plan of Financing or the Borrower. 3. This resolution shall take effect immediately upon its adoption. Adopted by the City Council of the City of Roanoke, Virginia this l7'h 'day of September, 2007. [SEAL] ~~~..-h,.~ Clerk, City Council' City of Roanoke, Virginia -2- September 12,2007 City Council City of Roanoke, Virginia 215 Church Avenue, Room 364 Roanoke, Virginia 24011 Economic Development Authority of the City of Roanoke, Virginia Proposed Financing for Virginia Lutheran Homes, Inc. Virginia Lutheran Homes, Inc. (the "Borrower") has requested that the Economic Development Authority of the City of Roanoke, Virginia (the "Authority"), issue of its revenue bonds, in one or more series from time to time, in an amount not to exceed $6,000,000 (the "Bonds"). assist the Borrower in financing or refinancing (1) the costs of constructing and equipping a renovation of and expansion to the Borrower's existing continuing care retirement community known as Brandon Oaks, located at 3804 Brandon Avenue, in the City of Roanoke, Virginia ("Brandon Oaks"), consisting of approximately 20,000 square feet of renovated space to include, without limitation, a pool, a fitness and wellness center, dining areas and staff and resident activity space (the "Project"), (2) other capital expenditures at Brandon Oaks, working capital and funded interest, and (3) amounts required to fund a debt service reserve fund and to pay costs of issuance and other expenses in connection with the issuance of the bonds (the "Plan of Financing"). As set forth in the resolution of the Authority attached hereto (the "Resolution"), the Authority has agreed to issue its Bonds as requested. The Authority has conducted a public hearing on the proposed financing or refinancing of the Plan of Financing and has recommended that you approve the issuance of the Bonds as required by Section 147(f) of the Internal Revenue Code of 1986, as amended, and Section 15.2-4906 of the Code of Virginia of 1950, as amended. Attached hereto is (1) a certificate evidencing the conduct of the public hearing and the action taken by the Authority, (2) the Fiscal Impact Statement required pursuant to Virginia Code Section 15.2-4907, and (3) the form of resolution suggested by counsel to evidence your approval. ~ Secretary, Economic Development Authority of the City of Roanoke, Virginia CERTIFICATE The undersigned Secretary of the Economic Development Authority of the City of Roanoke, Virginia ("Authority") certifies as follows: I. A meeting of the Authority was duly called and held on September 12, 2007, at 8:00 o'clock a.m. in the Economic Development Conference Room in the Office of Economic Development of the City of Roanoke located at III Franklin Plaza, Suite 200, Roanoke, Virginia 240 II, pursuant to proper notice given to each Director of the Authority before such meeting. The meeting was open to the public. The time of the meeting and the place at which the meeting was held provided a reasonable opportunity for persons of differing views to appear and be heard. 2. The Chairman announced the commencement of a public hearing on the application of Virginia Lutheran Homes, Inc. and that a notice of the hearing was published once a week for two successive weeks in a newspaper having general circulation in the City of Roanoke, Virginia (the "Notice"), with the second publication appearing not less than six days nor more than twenty-one days prior to the hearing date. A copy of the Notice has been filed with the minutes of the Authority and is attached as Exhibit A. 3. A summary of the statements made at the public hearing is attached as Exhibit B. 4. Attached as Exhibit C is a true, correct and complete copy of a resolution (the "Resolution") adopted at such meeting of the Authority by a majority of the Directors present at such meeting. The Resolution constitutes all formal action taken by the Authority at such meeting relating to matters referred to in the Resolution. The Resolution has not been repealed, revoked, rescinded or amended and is in full force and effect on this date. \4175824.7 WITNESS my hand and the seal of the Authority, this 12th day of September, 2007. [SEAL] s"ret?€!::Q- of the City of Roanoke, Virginia Exhibits: A - Copy of Certified Notice from Newspaper B - Summary of Statements C - Public Hearing Resolution -2- .. -- - - - - - - - - - - - - - - ~ - - - - -. - - - - - - - - - " - - - .. - + - - - .. . I I I I I I I I I I I I I I I I I I I I I I I I I I I I I I I I I I I I I \ I I I SEP-07-2007 04:02 PM ACCOUNTING-DEPT. The Roanoke Times Roanoke, Virginia Affidavit of ~ublication The Roanoke Ti~e8 MCGUIREWOOD5 LLP 901 EAST CARY STREET ONE JAMES CENTER RICHMOND VA 23219 REFERENCE: a01012~0 10465244 NOTICE OF PUBLIC REA State of Virginia City of Roanoke I. (the underaigned) an authorized repreeentat~ve of the Times-World Corporation, which corporatlon is publisher of the Roanoke Times, a daily newspaper published in Roanoke, in the St~te of virginia, do certify that the annexed not1~e was published in said newspapers an the follOWlng dates: City/County of Roanoke, Commonwealth/State a~ Virginia. Sworn and subscribed before me thiS __~_day of Septembe~ 2007. Witness my hand and off ic:ial seal. W ClLLu.lD" !J!:._::!! ___ I ~ ___ ~~.ary publi c My co~~eio~~txpi e1'=~~__~Ql~__. \\\IIH""'I ",,"'''''c!:. N.JOJ.-:'I~" "~"....... C....' ....... ~....~~"-t ....,'.- '~..... PUBLI SHED ON: 08/29 0 ~ / 0 5 lQ~:' ~O\J"'VO ~ ...... :. ."'. ~ k"'!>~^"'",,' _ It,L . ~T.J ~\1'. . _ . :a:l:~~e.~~ ;i!;; : . ...~o .<, .",_ ..-+co 'tl\' ~ '~.. ':.', ~.. .Sf- ::: -:,. ~"" .....~ ....... ", OJ,. ........ ~<::s .. ";;'I'4tONWE~\-<' "",- . ""11111"\ TOTAL COST, FILED ON, 679.76 09/05/07 --- --- ------ -------- -- ----. --- ----- Authorized~' ,'iJ?--Hlt Signature:_~tr-_~-C' Billing Services Representative EXHIBIT A 5"40981'3158 . ."--.,7,-.,-:.; - -.- ,,+ - -- PAGE 212' RCVD AT 917/20074:03:41 PM lEastern Da~lght Time]' SVR:R1GHTFAX/9' DNIS:8001 'CSID:54098131S8' DURATION (mm.ss):01.12 EXHIBIT B Summary of Statements Representatives of Virginia Lutheran Homes, Inc. appeared before the Authority to explain the project and the financing. No one appeared in opposition to the proposed bond issue. EXHIBIT C RESOLUTION OF THE ECONOMIC DEVELOPMENT AUTHORITY OF THE CITY OF ROANOKE, VIRGINIA AUTHORIZING THE ISSUANCE OF UP TO $6,000,000 REVENUE BONDS FOR THE BENEFIT OF VIRGINIA LUTHERAN HOMES, INC. WHEREAS, the Economic Development Authority of the City of Roanoke, Virginia, a political subdivision of the Commonwealth of Virginia (the "Authority"), is empowered by the Industrial Development and Revenue Bond Act, Chapter 49, Title 15.2, Code of Virginia of 1950, as amended (the "Act"), to issue its revenue bonds to protect and promote the health and welfare of the inhabitants of the Commonwealth of Virginia by assisting in the refinancing of medical facilities and facilities for the residence or care of the aged owned and operated by organizations which are exempt from taxation pursuant to Section 501(c)(3) of the Internal Revenue Code, as amended; WHEREAS, the Authority has received a request from Virginia Lutheran Homes, Inc., a Virginia non-stock, not-for-profit corporation (the "Borrower"), requesting that the Authority issue its revenue bonds to assist in financing or refinancing ((I) the costs of constructing and equipping a renovation of and expansion to the Borrower's existing continuing care retirement community known as Brandon Oaks, located at 3804 Brandon Avenue, in the City of Roanoke, Virginia ("Brandon Oaks"), consisting of approximately 20,000 square feet of renovated' space to include, without limitation, a pool, a fitness and wellness center, dining areas and staff and resident activity space (the "Project"), (2) other capital expenditures at Brandon Oaks, working capital and funded interest, and (3) amounts required to fund a debt service reserve fund and to pay costs of issuance and other expenses in connection with the issuance of the bonds (the "Plan of Financing"); WHEREAS, such assistance will benefit the inhabitants of the City of Roanoke, Virginia and the Commonwealth of Virginia, either through the increase of their commerce or through the promotion of their safety, health, welfare, convenience or prosperity; WHEREAS, preliminary plans for the Plan of Financing have been described to the Authority and a public hearing has been held as required by Section l47(f) of the Internal Revenue Code of 1986, as amended, ("Code") and Section 15.2-4906 of the Act; WHEREAS, the Borrower has represented that the estimated cost of the financing of the Plan of Financing and all expenses of issue will require an issue of revenue bonds in the aggregate principal amount not to exceed $6,000,000; WHEREAS, (a) no member of the Board of Directors of the Authority is an officer or employee ofthe City of Roanoke, Virginia, (b) each member has, before entering upon his duties during his or her present term of office, taken and subscribed to the oath prescribed by Section 49-1 of the Code of Virginia of 1950, as amended and (c) at the time oftheir appointments and at all times thereafter, including the date hereof, all of the members of the Board of Directors of the Authority have satisfied the residency requirements of the Act; and WHEREAS, no member of the Board of Directors of the Authority has any personal interest or business interest in the Borrower or the bonds or has otherwise engaged in conduct prohibited under the Conflict of Interests Act, Chapter 31, Title 2.2 of the Code of Virginia of 1950, as amended (the "Conflict of Interests Act") in connection with this resolution or any other official action of the Authority in connection therewith. NOW, THEREFORE, BE IT RESOLVED BY THE ECONOMIC DEVELOPMENT AUTHORITY OF THE CITY OF ROANOKE, VIRGINIA: I. It is hereby found and determined that the construction and equipping of the Project will be in the public interest and will promote the commerce, safety, health, welfare, convenience or prosperity of the Commonwealth of Virginia, the City of Roanoke, Virginia and their citizens. 2. The Authority hereby agrees to assist the Borrower in financing or refinancing the Plan of Financing by undertaking the issuance of its revenue bonds in an amount not to exceed $6,000,000 upon terms and conditions mutually agreeable to the Authority and the Borrower. The bonds will be issued pursuant to documents satisfactory to the Authority. The bonds may be issued in one or more series at one time or from time to time. 3. It having been represented to the Authority that it is necessary to proceed immediately with the Plan of Financing, and the planning therefor, the Authority agrees that the Borrower may proceed with plans for the Plan of Financing, enter into contracts for land, construction, materials and equipment for the Project, and take such other steps as it may deem appropriate in connection with the Plan of Financing, provided, however, that nothing in this resolution shall be deemed to authorize the Borrower to obligate the Authority without its consent in each instance to the payment of any moneys or the performance of any acts in connection with the Plan of Financing. The Authority agrees that the Borrower may be reimbursed from the proceeds of the bonds for all expenditures and costs so incurred by it, provided such expenditures and costs are properly reimbursable under the Act and applicable federal laws. 4. At the request of the Borrower, the Authority approves McGuire Woods LLP, Richmond, Virginia, as Bond Counsel in connection with the issuance ofthe bonds. 5. All costs and expenses in connection with the financing or refinancing of the Plan of Financing and the construction and equipping of the Project, including the fees and expenses of Bond Counsel and Authority Counsel, shall be paid by the Borrower or, to the extent permitted by applicable law, from the proceeds of the bonds. If for any reason such bonds are not issued, it is understood that all such expenses shall be paid by the Borrower and that the Authority shall have no responsibility therefor. 6. In adopting this resolution the Authority intends to take "official action" toward the issuance of the bonds and to evidence its "official intent" to reimburse from the proceeds of the bonds any expenditures paid by the Borrower to fi~ance or refinance the construction and equipping of the Project and the planning therefor before the issuance of the bonds, all within the -2- meaning of regulations issued by the Internal Revenue Service pursuant to Sections 103 and 141 through 150 and related sections of the Code. 7. The Authority recommends that the City Council of the City of Roanoke, Virginia, approve the issuance of the bonds. 8. No bonds may be issued pursuant to this resolution until such time as the issuance of the bonds has been approved by the City Council of the City of Roanoke, Virginia. 9. This resolution shall take effect immediately upon its adoption. -3- CERTIFICATE The undersigned Secretary of the Economic Development Authority of the City of Roanoke, Virginia (the "Authority") certifies that the foregoing is a true, correct and complete copy of a resolution adopted by a majority of the Directors of the Authority present and voting at a meeting duly called and held on September 12, 2007, in accordance with law, and that such resolution has not been repealed, revoked, rescinded or amended but is in full force and effect on this date. WITNESS the following signature and seal of the Authority, this ~ day of September, 2007. ~ Secretary ofthe Economic Development Authority of the City of Roanoke, Virginia [SEAL] FISCAL IMPACT STATEMENT FOR PROPOSED BOND FINANCING Date: September 12,2007 To the City Council City of Roanoke, Virginia Applicant: Facility: Virginia Lutheran Homes, Inc. Financing/refinancing renovation of and expansion to an existing residential care facility . for the aged 1. Maximum amount of financing sought. $ 6,000,000 2. Estimated taxable value of the facility's real property to be constructed in the locality. $ 4,000,000 3. Estimated real property tax per year using present tax rates. $ 2,395 4. Estimated personal property tax per year using present tax rates. N/A 5. Estimated merchants' capital tax per year using present tax rates. None 6. (a) Estimated dollar value per year of goods that will be purchased from Virginia companies within the locality. $ 92,040 (b) Estimated dollar value per year of goods that will be purchased from non-Virginia companies within the $ 0 locality. (c) Estimated dollar value per year of services that will be purchased from Virginia companies within the locality. $ 0 (d) Estimated dollar value per year of services that will be purchased from non-Virginia companies within the $ 0 locality. 7. Estimated number of regular employees on year round basis. 4 Additional FTEs 8. A verage annual salary per employee. $ 21,075 ~->>~ l:hainnan, Economic Development Authority of the City of Roanoke, Virginia . Note, this statement relates only to the 2007 Project to be financed, not to the Applicant's full continuing care retirement facility. At a regular meeting of the City Council of the City of Roanoke, Virginia, held on the l7'h day of September, 2007, the following members were recorded as present: PRESENT: Council Members Alfred T. Dowe, Jr., Sherman P. Lea, Gwendolyn W. Mason, David B. Trinkle, Brian J. Wishneff and Mayor C. Nelson Harris. On motion by Council Member DOlilSeconded by Council Member Mason the attached Resolution was adopted by a majority of the members of the City Council of the City of Roanoke, Virginia by a roll call Yote, the yotes being recorded as follows: MEMBER VOTE Alfred T. Dowe, Jr. Sherman P. Lea Aye Aye Aye Aye Aye Abs,tained Gwendolyn W. Mason Brian J. Wishneff Mayor C. Nelson Harris Vice-Mayor David B. Trinkle Beverly T. Fitzpatrick, Jr. Absent , \lAi v IN THE COUNCIL OF THE CITY OF ROANOKE, VIRGINIA The 17th day of September, 2007 No: '17~q4-091707. A Resolution of the City Council of the City of Roanoke, Virginia approving the issuance of an amount not to exceed $6,000,000 in revenue bonds to be issued by the Economic Development Authority of the City of Roanoke, Virginia for the benefit of Virginia Lutheran Homes, Inc., for the financing or refinancing of certain improvements to its existing continuing care retirement community known as Brandon Oaks, located at 3804 Brandon Avenue, in the City of Roanoke, Virginia ("Brandon Oaks"). The Economic Development Authority of the City of Roanoke, Virginia ("Authority") has considered the application of Virginia Lutheran Homes, Inc., a Virginia non-stock, non-profit corporation (the "Borrower"), requesting the issuance of the Authority's revenue bonds in an amount not to exceed $6,000,000 (the "Bonds") to be issued at one time or from time to time to assist the Borrower in financing or refmancing the following (collectively, the "Plan of Financing"): (1) the costs of constructing and equipping a renovation of and expansion to the Brandon Oaks, consisting of approximately 20,000 square feet of renovated space to include, without limitation, a pool, a fitness and wellness center, dining areas and staff and resident activity space (the "Project"), (2) other capital expenditures at Brandon Oaks, working capital and funded interest, and (3) amounts required to fund a debt service reserve fund and to pay costs of issuance and other expenses in connection with the issuance cifthe Bonds. The Authority held a public hearing on the Borrower's application on September 12, 2007, as required by Section 147(f) of the Internal Revenue Code of 1986, as amended (the "Code"), and Section 15.2-4906 of the Code of Virginia of 1950, as amended (the "Virginia Code"). Section 147(f) of the Code also provides that the governmental unit having jurisdiction over the issuer of private activity bonds and over the area in which any facility financed with the proceeds of private activity bonds is located must approve the issuance of the bonds. The Authority issues its bonds on behalf of the City of Roanoke, Virginia (the "City"); the Project is located in the City; and the City Council of the City of Roanoke, Virginia (the "Council") constitutes the highest elected governmental unit of the City. The Authority has recommended that the Council approve the issuance of the Bonds. A copy of the Authority's resolution approving the issuance of the Bonds, subject to the terms to be agreed upon, a certificate of the public hearing and a Fiscal Impact Statement have been filed with the Council. NOW, THEREFORE, IT IS RESOLVED BY THE CITY COUNCIL OF THE CITY OF ROANOKE, VIRGINIA: I. The Council approves the issuance of the Bonds pursuant thereto by the Authority for the benefit of the Borrower, as required by Section l47(f) of the Code and Section 15.2-4906 of the Virginia Code to permit the Authority to assist the Borrower in financing or refinancing the Plan of Financing. 2. The approval of the issuance of the Bonds does not constitute an endorsement to a prospective purchaser of the Bonds of the creditworthiness of the Plan of Financing or the Borrower. 3. This resolution shall take effect immediately upon its adoption. Adopted by the City Council of the City of Roanoke, Virginia this 17th day of September, 2007. [SEAL] ~ n,. cq..w Clerk, City Council City of Roanoke, Virginia -2- CITY OF ROANOKE OFFICE OF THE CITY MANAGER Noel C. Taylor Municipal Building 215 Church Avenue, S.W., Room 364 Roanoke, Virginia 24011-1591 Telephone, (540) 853-2333 Fa" (540) 853-1138 City Web: www.roanokeva.gov September 17, 2007 The Honorable Mayor and Members of City Council Roanoke, Virginia Dear Mayor and Members of City Council: I would like to sponsor a request from Harwell M. Darby, Jr., representing Virginia Lutheran Homes, Inc., requesting the adoption of a measure to approve issuance of bonds by the Economic Development Authority for improvements to Brandon Oaks continuing care retirement community. Darlene L. B cham City Manager DLB:jb c: City Attorney Director of Finance City Clerk <P~ _I.l....~.',. .~... ,..;, -'~' '~ CITY OF ROANOKE OFFICE OF THE CITY CLERK 215 Church A venue, S. W., Room 456 Roanoke, Virginia 24011-1536 Telephone: (540) 853-2541 Fax: (540) 853-1145 E-mail: cJerk@roanokeva.gov SHEILA N. HARTMAN Deputy City Clerk CECELIA R. TYREE Assistant Deputy City Clerk STEPHANIE M. MOON, CMC City Clerk September 6, 2007 Darlene L. Burcham City Manager Roanoke, Virginia Jesse A. Hall Director of Finance Roanoke, Virginia Dear Darlene and Jesse: Per the City Attorney's request, I am forwarding copy of a communication from Harwell M. Darby, Jr., Attorney, representing Virginia Lutheran Homes, Inc., requesting the adoption of a measure approving issuance of bonds by the Economic Development Authority, in the amount of $6 million, to assist in financing certain improvements at Brandon Oaks located at 3804 Brandon Avenue, in the City of Roanoke. Mr. Darby has requested that the matter be heard by the Council at its regular meeting on Monday, September 17, 2007 at 2:00 p.m. Please review the documents and share your comments with the City Attorney. Sincerely, Stephanie M. Moon, CMC City Clerk Attachment pc: William M. Hackworth, City Attorney GLENN FELDMANN DARBY& GOODLATIE 210 1st Street S.W. Suite 200 Post Office: Box 28H7 Roanoke. Virginia 24001 540.224.8000 Fax 540.224.8050 gfdg@gfdg.com ~s WOII "-''''"000 S y-y ~ 5 TIT;;; "'fRI11''' HARWELL M. DARBY. JR. Direct Dial (540) 224-8006 E-mail hdarby@gfdg.com September 6, 2007 HAND DELIVERED Stephanie M. Moon, City Clerk City of Roanoke, Virginia 456 Municipal Building 215 Church Avenue, S.W. Roanoke, VA 240 II RE: Industrial Development Authority of the City of Roanoke, Virginia Proposed Financing for Virginia Lutheran Homes, Inc. Dear Stephanie: The Economic Development Authority is holding a public hearing for the captioned bond issue for Virginia Lutheran Homes, Inc. to finance certain improvements at Brandon Oaks located at 3804 Brandon Avenue. I am sending the following documents: I. Certificate of Secretary of the Economic Development Authority with exhibits. The Certificate of Publication (Exhibit A) will be available for us tomorrow and will be included in the final package. 2. Fiscal Impact Statement 3. City Council Resolution These are pro forma documents and we propose to deliver signed copies after the EDA holds its public hearing the morning of September 12,2007. GLENN FELDMANN DARBY & GOODLATIE Stephanie M. Moon September 6, 2007 Page 2 We would appreciate having this on the City Council's Agenda for the September 17, 2007 meeting. I and a representative of Virginia Lutheran Homes plan to attend. Very truly yours, ~ Harwell M. Darby, Jr. HMDJR:lww:0042123 Ene. c: Ms. Darlene 1. Burcham, City Manager (w/encs.) William M. Hackworth, Esq., City Attorney (w/encs.) d1~ .'~.~oL~ ,. ,.....}. - '!? CITY OF ROANOKE OFFICE OF THE CITY CLERK 215 Church Avenue, S. W., Room 456 Roanoke, Virginia 24011-1536 Telephone: (540) 853-2541 Fax: (540) 853-1145 E-mail: clerk@roanokeva.gov SHEILA N. HARTMAN Deputy City Clerk STEPHANIE M. MOON, CMC City Clerk CECELlA R. lYREE Assistant Deputy City Clerk September 18, 2007 Darlene L. Burcham City Manager Roanoke, Virginia Dear Ms. Burcham: I am attaching copy of Resolution No. 37895-091707 authorizing acceptance of a grant from the United States Department of Health and Human Services to be used for salary and fringe benefits of counselors and related activities in the Sanctuary Outreach Program; and authorizing the execution of the necessary documents. The abovereferenced measure was adopted by the Council of the City of Roanoke at a regular meeting held on Monday, September 17, 2007. Sincerely, ~m..~~ Stephanie M. Moon, CMC City Clerk SMM:ew pc: Jesse A, Hall, Director of Finance R. Brian Townsend, Assistant City Manager for Community Development Sherman M. Stovall, Director, Management and Budget Jane Conlin, Director, Human/Social Services fJie IN THE COUNCIL OF THE CITY OF ROANOKE, VIRGINIA, The 17th day of September, 2007. No. 37895-091707. A RESOLUTION authorizing the acceptance of a grant from the United States Department of Health and Human Services to be used for salary and fringe benefits of counselors and related activities in the Sanctuary Outreach Program; and authorizing the execution of the necessary documents. BE IT RESOLVED by the Council of the City of Roanoke that: 1. The City of Roanoke hereby accepts the United States Department of Health and Human Services' Runaway and Homeless Youth Program Grant (No. 03CY0459/03), in the amount of $134,381.00 to be used for salary and fringe benefits of counselors and related activities in the Sanctuary Outreach Program, and as more particularly set forth in the ~ September 17,2007, letter of the City Manager to this Council. 2. The City Manager is hereby authorized to execute any and all requisite documents, upon form approved by the City Attorney, and to furnish such additional information as may be required in connection with the City's acceptance of this grant. ATTEST: ~h1.~w City Clerk. R-RunawlIy and Homel~s 9-17-07 CITY OF ROANOKE OFFICE OF THE CITY CLERK 215 Church Avenue, S. W., Room 456 Roanoke, Virginia 24011-1536 Telephone: (540) 853-2541 Fax: (540) 853-1145 E-mail: c1erk@roanokeva.gov SHEILA N. HARTMAN Deputy City Clerk STEPHANIE M. MOON, CMC City Clerk CECELIA R. 1YREE Assistant Deputy City Clerk September 18, 2007 Jesse A. Hall Director of Finance Roanoke, Virginia Dear Mr. Hall: I am attaching copy of Budget Ordinance No. 37896-091707 appropriating funds from the Runaway and Homeless Youth Act Grant, amending and reordaining certain sections of the 2007-2008 Grant Fund Appropriations, and dispensing with the second reading by title of this ordinance. The above referenced measure was adopted by the Council of the City of Roanoke at a regular meeting held on Monday, September 17, 2007, and is in full force and effect upon its passage. Sincerely, ~rn.~oO)V Stephanie M. Moon, CMC City Clerk SMM:ew Attachment pc: Darlene L. Burcham, City Manager R. Brian Townsend, Assistant City Manager for Community Development Sherman M. Stovall, Director, Management and Budget Jane Conlin, Director, Human/Social Services ~> IN THE COUNCIL OF THE CITY OF ROANOKE, VIRGINIA The 17th day of September, 2007. No. 37896-091707. AN ORDINANCE appropriating funds from the federal government for the . -: t:'; . . Runaway and Homeless Youth Act Grant, amending and reordaining certain sections of the 2007-2008 Grant Fund Appropriations, and dispensing with the second reading by title of this ordinance. BE IT ORDAINED by the Council of the City of Roanoke that the following sections of the 2007-2008 Grant Fund Appropriations. be, and the same are hereby, amended and reordained to read and provide as follows: Grant Fund Appropriations Regular Employee Salaries Temporary Employee Wages Cjty Retirement ICMA Match FSA Match FICA Medical Insurance Dental Insurance Life Insurance Disability Insurance Telephone Cellular Administrative Supplies Dues and Memberships Training and Development Local Mileage Program Activities Revenues Runaway and Homeless Grant FY08 35-630-5146-1002 35-630-5146-1004 35-630-5146-1105 35-630-5146-1116 . 35-630-5146-1118 35-630-5146-1120 35-630-5146-1125 35-630-5146-1126 35-630-5146-1130 35-630-5146-1131 35-630-5146-2021 35-630-5146-2030 35-630-5146-2042 35-630-5146-2044 35-630-5146-2046 35-630-5146-2066 35-630-5146-5146 $ 63,939 828 9,258 1,300 130 5,054 8,280 518 723 163 1,920 1,850 700 6,529 740 32,449 134,381 Pursuant to the provisions of Section 12 of the City Charter, the second reading' of this ordinance by title is hereby dispensed with. ATTEST: U. J.. ~.: 1'Yl. h.1~ 1~~Clerk.' 'C ,':.0.11' ~~;~~." ((~" ~~\\ '-". '.~, ~. . . ~ ... - --- 'M.;;- ~ - ~ . ,. . ..;,- . G \tv CITY OF ROANOKE OFFICE OF THE CITY MANAGER Noel C. Taylor Municipal Building 215 Church Avenue, S.W., Room 364 Roanoke, Virginia 24011-1591 Telephone, (540) 853-2333 Fa" (540) 853-1138 City Web: www.ronllokevi1.gov September 17, 2007 Honorable C. Nelson Harris, Mayor Honorable David B. Trinkle, Vice Mayor Honorable Alfred T. Dowe, Jr., Council Member Honorable Beverly T. Fitzpatrick, Jr., Council Member Honorable Sherman P. Lea, Council Member Honorable Gwendolyn W. Mason, Council Member Honorable Brian J. Wishneff, Council Member Dear Mayor Harris and Members of City Council: Subject: Acceptance of United States Department of Health and Human Services funds for the Runaway and Homeless Youth Act Program, Sanctuary Outreach Background: The U.S. Department of Health and Human Services awards grants for services in three-year cycles. The City of Roanoke has been selected as a grantee for the third year of a three year funding cycle for Runaway and Homeless Youth (RHY) program under the provisions of the Runaway and Homeless Youth Act. The amount of the grant is $134,381 annually. The project period for this grant began September 30, 2005 and will end on September 29, 2008. These funds are used to cover the salary and fringe benefits of a Youth Counselor III, a Youth Counselor II, a Relief Counselor and related program activities in the Sanctuary Outreach program. The required local match is offered as in-kind services. The focus of this program is to alleviate the problems of runaways and homeless youth and their families, strengthen family relationships and encourage stable living conditions. The early intervention of Sanctuary Outreach staff in a combination of shelter based and home based services offers runaway and homeless youth and their families, supportive services that will decrease the incidence of repeat runaway episodes. Program services Honorable Mayor and Members of City Council September 17, 2007 Page 2 include: 24 hour intake and referral access, temporary shelter, individual, group and family counseling, community service linkages, aftercare services, case disposition and recreation opportunities. Recommended Action(s): Adopt a resolution accepting the $134,381 in funding from the U.S. Department of Health and Human Services, Grant 03CY04S9j03 for Sanctuary's Runaway and Homeless Youth Outreach program. Authorize the City Manager to execute any other forms required by the Department of Health and Human Services in order to accept these funds. Adopt the accompanying budget ordinance to establish a revenue estimate in the amount of $1 34,381 in the Grant Fund and appropriate funding in the same amount to expenditure accounts to be established by the Director of Finance as detailed in Attachment A. Respectfully submitted, Darlene L. Bu~ ham City Manager DLB:jo c: Stephanie M. Moon, City Clerk William M. Hackworth, City Attorney Jesse A. Hall, Director of Finance R. Brian Townsend, Asst. City Manager for Community Development Jane Conlin, Director of Human/Social Services CM07-00136 Attachment A U.S. Department of Health and Human Services RHY 2007-2008 Account Set-up Transactions Account No. Description Amount Revenue-2007/2008 RHY grant # $134,381.00 03CY0459/03 Total revenue $134,381.00 Expenditures: 1002 Regular Salaries $ 63,939.00 1004 Temporary Employees $ 828.00 1105 Retirement $ 9,258.00 1116 ICMA Match $ 1,300.00 1118 FSA Match $ 130.00 1120 FICA $ 5,054.00 1125 Health $ 8,280.00 1126 Dental $ 518.00 1130 Life $ 723.00 1131 Long term disability $ 163.00 2021 Telephone Cellular $ 1,920.00 2030 Administrative Supplies $ 1,850.00 2042 Dues and memberships $ 700.00 2044 Training and Development $ 6,529.00 2046 Local Mileage $ 740.00 2066 Program Activities $ 32.449.00 Total expenditures $134,381.00 CITY OF ROANOKE OFFICE OF THE CITY CLERK 2i5 Church Avenue, S. W., Room 456 Roanoke, Virginia 24011-1536 Telephone: (540) 853-2541 Fax: (540) 853-1145 E-mail: clerk@roanokeva.gov SHEILA N. HARTMAN Deputy City Clerk STEPHANIE M. MOON, CMC City Clerk CECEUA R. 1YREE Assistant Deputy City Clerk September 18, 2007 Darlene L. Burcham City Manager Roanoke, Virginia Dear Ms. Burcham: I am attaching copy of Resolution No. 37897-091707 accepting a grant to the City from the Commonwealth of Virginia's Department of Motor Vehicles, and authorizing execution of any required documentation on behalf of the City. The abovereferenced measure was adopted by the Council of the City of Roanoke at a regular meeting held on Monday, September 17, 2007. Sincerely, ~~M.~ Stephanie M. Moon, CMC City Clerk SMM:ew pc: Jesse A. Hall, Director of Finance R. Brian Townsend, Assistant City Manager for Community Development Sherman M. Stovall, Director, Management and Budget A. L. Gaskins, Chief of Police VA3 IN THE COUNCIL OF THE CITY OF ROANOKE, VIRGINIA The 17th day of September, 2007. No. 37897-091707. A RESOLUTION accepting a grant to the City from the Commonwealth of Virginia's Department of Motor Vehicles, and authorizing execution of any required documentation on behalf of the City. BE IT RESOLVED by the Council of the City of Roanoke as follows: 1. The City of Roanoke does hereby accept from the Commonwealth of Virginia, Department of Motor Vehicles, a grant in the amount of $30,000. The grant, which requires no match by the City, is more particularly described in the letter of the City Manager to Council, dated September 17, 2007. 2. The City Manager and the City Clerk are hereby authorized to execute, seal and attest, respectively, the grant agreement and all necessary documents required to accept this grant; all such documents to be approved as to form by the City Attorney. 3. The City Manager is further directed to furnish such additional information as may be required by the Commonwealth of Virginia, Department of Motor Vehicles, in connection with the City's acceptance of this grant. ATTEST: M:qJ14t~ (n. ~~ City Clerk CITY OF ROANOKE OFFICE OF THE CITY CLERK 215 Church A venue, S. W., Room 456 Roanoke, Virginia 24011-1536 Telephone: (540) 853-2541 Fax: (540) 853-1145 E-mail: clerk@roanokeva.gov SHEILA N. HARTMAN Deputy City Clerk STEPHANIE M. MOON. CMC City Clerk CECELiA R. lYREE Assistant Deputy City Clerk September 18, 2007 Jesse A. Hall Director of Finance Roanoke, Virginia Dear Mr. Hall: I am attaching copy of Budget Ordinance No. 37898-091707 appropriating funds from the U. S. Department of Transportation through the Commonwealth of Virginia Department of Motor Vehicles for a multi-purpose highway safety grant (Driving Under the Influence, Aggressive Driver, and Motor Vehicle Occupant Protection), amending and reordaining certain sections of the 2007- 2008 Grant Fund Appropriations, and dispensing with the second reading by title of this ordinance. The abovereferenced measure was adopted by the Council of the City of Roanoke at a regular meeting held on Monday, September 17, 2007, and is in full force and effect upon its passage. Sincerely, ~h1,~ Stephanie M. Moon, CMC City Clerk SMM:ew Attach ment pc: Darlene L. Burcham, City Manager R. Brian Townsend, Assistant City Manager for Community Development Sherman M. Stovall, Director, Management and Budget A. L. Gaskins, Chief of Police ~~~ IN THE COUNCIL OF THE CITY OF ROANOKE, VIRGINIA The 17th day of September, 2007. No. 37898-091707. AN ORDINANCE to appropriate funding from the U.S. Department of Transportation through the Commonwealth of Virginia Department of Motor Vehicles for a multi-purpose highway safety grant (Driving Under the Influence, Aggressive Driver, and Motor VehiCle Occupant Protection), amending and' reordaining certain sections of the 2007-2008 Grant Fund Appropriations, and dispensing with the second reading by title of this ordinance. BE IT ORDAINED by the Council of the City of Roanoke that the following sections of the2007-2008 Grant Fund Appropriations be, and the same are hereby, amended and reordained to read and provide as follows: Appropriations Overtime Wages FICA Expendable Equipment Training and Development Revenues DMV Multi-purpose Grant FY08 35-640-3439-1 003 35-640-3439-1120 35-640~3439-2035 35-640-3439-2044 $ 23,223 1,777 4,650 350 35-640-3439-3439 30,000 Pursuant to the provisions of Section 12 of the City Charter, the second reading of this ordinance by title is. hereby dispensed with. ~S~j. .'. . '.' IJ;,~ tn. ~IM/ . City Clerk. CITY OF ROANOKE OFFICE OF THE CITY MANAGER Noel C. Taylor Municipal Building 215 Church Avenue, S.W., Room 364 Roanoke, Virginia 24011-1591 Telephone: (540) 853-2333 Fnx: (540) 853-1138 City Web: www.roanokeva.gov September 17, 2007 Honorable C. Nelson Harris, Mayor Honorable David B. Trinkle, Vice Mayor Honorable Beverly T. Fitzpatrick, Jr., Council Member Honorable Alfred T. Dowe, Jr., Council Member Honorable Sherman P. Lea, council Member Honorable Gwendolyn W. Mason, Council Member Honorable Brian J. Wish neff, Council Member Dear Mayor Harris and Members of City Council: Subject: DMV Grant Background: The Virginia Department of Motor Vehicles (DMV) is the administering agency for pass through funds provided by the United States Department of Transportation for highway safety projects in Virginia. DMV offers these funds to successful applicants for activities which improve highway safety in Virginia. On July 23, 2007, DMV awarded the police department $30,000 to be used for overtime and related FICA expenditures, equipment and training. The funding will assist the department in its efforts to conduct selective enforcement activities which target Driving Under the Influence (DUI), Aggressive motor vehicle operators and Motor Vehicle Occupant Protection. The grant period is from October 1, 2007 through September 30, 2008. A local match is not required. There is a statistical correlation between levels of motor vehicle law enforcement and traffic accidents in the City of Roanoke. Increased patrols, funded by these grants, are an effective strategy to reduce accidents and prevent injuries. These programs will allow officers to Honorable Mayor and Members of City Council September 17, 2007 Page 2 j concentrate on alcohol impaired and aggressive drivers at times when such violations are most likely to occur. Recommended Action: Accept the DMV grant. Authorize the City Manager to execute the grant agreements and any related documents, subject to them being approved as to form by the City Attorney. Adopt the accompanying budget ordinance to appropriate funding totaling $30,000 to the following accounts. Establish a corresponding revenue estimate in an account to be established by the Director of Finance in the Grant Fund. Overtime FICA Equipment Training $23,223 $ 1,777 $ 4,650 $ 350 Darlene L. Bu ham City Manager DLB:tlh c: Stephanie Moon, City Clerk William M. Hackworth, City Attorney Jesse A. Hall, Director of Finance R. Brian Townsend, Assistant City Manager A.L. Gaskins, Chief of Police CM07-00151 , <P~ '" CITY OF ROANOKE OFFICE OF THE CiTY CLERK 215 Church Avenue, S. W., Room 456 Roanoke, Virginia 24011-1536 Telephone: (540) 853-2541 Fax: (540) 853-1145 E~mail: c1erk@roanokeva.gov SHEILA N. HARTMAN Deputy City Clerk STEPHANIE M. MOON, CMC City Clerk CECELlA R. lYREE Assistant Deputy City Clerk September 18, 2007 Darlene L. Burcham City Manager Roanoke, Virginia Dear Ms. Burcham: I am attaching copy of Resolution No. 37899-091707 accepting an Aggressive Drive Grant to the City from the Commonwealth of Virginia's Department of Motor Vehicles, and authorizing execution of any required documentation on behal f of the City. The abovereferenced measure was adopted by the Council of the City of Roanoke at a regular meeting held on Monday, September 17, 2007. Sincerely, W,-::vtn. h-iDOYv Stephanie M. Moon, CMC' C City Clerk SMM:€w pc: Jesse A. Hall, Director of Finance. R. Brian Townsend, Assistant City Manager for Community Development Sherman M. Stovall, Director, Management and Budget A. L. Gaskins, Chief.of Police 5r::5 IN THE COUNCIL OF THE CITY OF ROANOKE, VIRGINIA The 17th day of September, 2007. No. 37899-091707. A RESOLUTION accepting an Aggressive Driver Grant to the City from the Commonwealth of Virginia's Department of Motor Vehicles, and authorizing execution of any required documentation on behalf of the City. BE IT RESOLVED by the Council of the City of Roanoke as follows: 1. The City of Roanoke does hereby accept from the Commonwealth of Virginia, Department of Motor Vehicles, an Aggressive Driver Grant in the amount of $5,000. The grant, which requires no match by the City, is more particularly described in. the letter of the City Manager to Council, dated September 17, 2007. 2. The City Manager and the City Clerk are hereby authorized to execute, seal and attest, respectively, the grant agreement and all necessary documents required to accept this grant; all such documents to be approved as to form by the City Attorney. 3. The City Manager is further directed to furnish such additional information as may be required by the Commonwealth of Virginia, Department of Motor Vehicles, in connection with the City's acceptance of this grant. ATTEST: ~~ M. ~Db-Yv City Clerk \ .p~ .....~.~"'-~~ . '\ -= --""'.', '.;. CITY OF ROANOKE OFFICE OF THE CITY CLERK 215 Church Avenue, S. W., Room 456 Roanoke, Virginia 24011-1536 Telephone, (540) 853-2541 Fa" (540) 853-1145 E-mail: c1erk@roanokeva.gov SHEILA N. HARTMAN Deputy City Clerk STEPHANIE M. MOON. CMC City Clerk CECELIA R. 1YREE Assistant Deputy City Clerk September 18, 2007 Jesse A. Hall Director of Finance Roanoke, Virginia Dear Mr. Hall: I am attaching copy of Budget Ordinance No. 37900-091707 appropnatIng funds from the U. S. Department of Transportation through the Commonwealth of Virginia Department of Motor Vehicles for an Aggressive Driver highway safety grant, amending and reordaining certain sections of the 2007-2008 Grant Fund Appropriations, and dispensing with the second reading by title of this ordinance. The abovereferenced measure was adopted by the Council of the City of Roanoke at a regular meeting held on Monday, September 17, 2007, and is in full force and effect upon its passage. Sincerely, ;i:t,l~ M. IY} btYV Stephanie M. Moon, CMC { City Clerk . SMM:ew Attachment pc: Darlene L. Burcham, City Manager R. Brian Townsend, Assistant City Manager for Community Development Sherman M. Stovall, Director, Management and Budget A. L. Gaskins, Chief of Police ~ "<." '> n I IN THE COUNCIL OF THE CITY OF ROANOKE, VIRGINIA The 17th day of September, 2007; No. 37900-091707. AN ORDINANCE to appropriate funding from the U.S. Department of Transportation through the Commonwealth of Virginia Department of Motor' Vehicles for an Aggressive Driver highway safety grant, amending and reordaining certain sections. of the 2007~2008 Grant Fund Appropriations, and dispensing with the second reading by title of this ordinance. BE IT ORDAINED by the Council of the City of Roanoke that the following sections of the 2007-2008 Grant Fund Appropriations be, and the same are hereby, amended and reordained to read and provide as follows: Appropriations . . Overtime Wages FICA Revenues DMV Aggressive Driver Grant FY08 $ 4,644 356 35-640-3441-1 003 35-640-3441-1120 35-640-3441-3441 5;000 Pursuant to the provisions of Section 12 of the City Charter, the second reading of this ordinance by title is hereby dispensed with. ATTEST: ~~":~j In. iv16ty.../ City Clerk. ( CITY OF ROANOKE OFFICE OF THE CITY MANAGER Noel C. Taylor Municipal Building 215 Church Avenue, S.W., Room 364 Roanoke, Virginia 24011-1591 Telephone: (540) 853-2333 Fax: (540) 853-1138 City Web: www.roanokeva.gov September 17, 2007 Honorable C. Nelson Harris, Mayor Honorable David B. Trinkle, Vice Mayor Honorable Beverly T. Fitzpatrick, Jr., Council Member Honorable Alfred T. Dowe, Jr., Council Member Honorable Sherman P. Lea, Council Member Honorable Gwendolyn W. Mason, Council Member Honorable Brian J. Wishneff, Council Member Dear Mayor Harris and Members of City Council: Subject: Aggressive Driver Grant Background: The Virginia Department of Motor Vehicles (DMV) is the administering agency for pass through funds provided by the United States Department of Transportation for highway safety projects in Virginia. DMV offers these funds to successful applicants for activities which improve highway safety in Virginia. A regional grant application was prepared and the Roanoke Police Department has been awarded grant funding in the amount of $5,000 as a sub grantee of the regional effort. The funding is to be used for overtime and related FICA expenditures associated with conducting selective enforcement activities which target aggressive motor vehicle operators. The grant period is from October 1, 2007, through September 30, 2008. A local match is not required. There is a statistical correlation between levels of motor vehicle law enforcement and traffic accidents in the City of Roanoke. Increased patrols, funded by this grant, are an effective strategy to reduce accidents and prevent injuries. This program will allow officers to concentrate on aggressive drivers at times when such violations are most likely to occur. Honorable Mayor and Members of City Council September 17, 2007 Page 2 Recommended Action: Accept the Aggressive Driver Grant funding and authorize the City Manager to execute the grant agreements and any related documents, subject to them being approved as to form by the City Attorney. Adopt the accompanying budget ordinance to appropriate funding totaling $5,000 to the following accounts. Establish a corresponding revenue estimate in an account to be established by the Director of Finance in the Grant Fund. Aqqressive Driver Grant Overtime FICA $4,644 $ 356 Respectfully submitted, Darlene L. Bu City Manager DLB:tlh c: Stephanie Moon, City Clerk William M. Hackworth, City Attorney Jesse A. Hall, Director of Finance Brian Townsend, Assistant City Manager A. L. Gaskins, Chief of Police CM07-001S2 CITY OF ROANOKE OFFICE OF THE CITY CLERK 215 Church Avenue, S. W., Room 456 Roanoke, Virginia 24011-1536 Telephone: (540) 853~2541 Fax: (540) 853-1145 E-mail: clerk@roanokeva.gov SHEILA N. HARTMAN Deputy City Clerk STEPHANIE M. MOON, CMC City Clerk CECELlA R. 1YREE Assistant Deputy City Clerk September 18, 2007 Darlene L. Burcham City Manager Roanoke, Virginia Dear Ms. Burcham: I am attaching copy of Resolution No.3 790 1-091707 rescinding Resolution No. 37765-051407 and providing for an amendment of the fees charged at Center in the Square Garage, Church Avenue Garage, Elmwood Park Garage, Gainsboro Garage, Market Garage, Tower Garage, Elmwood Lot, Higher Ed Center Lot, Market Lot, Warehouse Row Lot, and Williamson Lot; authorizing the City Manager to modify, waive or reduce such parking fees under certain conditions; providing for assessment of certain fees for late payment or non-payment of such parking fees; authorizing the City Manager to issue guidelines to implement, administer and enforce such fees; and directing amendment of the Fee Compendium. . The above referenced measure was adopted by the Council of the City of Roanoke at a regular meeting held on Monday, September 17, 2007. Sincerely, ~rn~ Stephanie M. Moon, CMC City Clerk SMM:ew pc: Jesse A. Hall, Director of Finance R. Brian Townsend, Assistant City Manager for Community Development Sherman M. Stovall, Director, Management and Budget Debbie Moses, Parking Coordinator p1' IN THE COUNCIL OF THE CITY OF ROANOKE, VIRGINIA The 17th day of September, 2007. No. 37901-091707. A RESOLUTION rescinding Resolution No. 37765-051407 and providing for an amendment of the fees charged at Center in the Square Garage, Church Avenue Garage, Elmwood Park Garage, Gainsboro Garage, Market Garage, Tower Garage, Elmwood Lot, Higher Ed Center Lot, Market Lot, Warehouse Row Lot, and Williamson Lot; authorizing the City Manager to modifY, waive, or reduce such parking fees under certain conditions; providing for assessment of certain fees for late payment or nonpayment of such parking fees; authorizing the City Manager to issue guidelines to implement, administer, and enforce such fees; and directing amendment of the Fee Compendium. BE IT RESOLVED by the Council ofthe City of Roanoke that: 1. Resolution No.3 7765-051407, adopted by Council on May 14,2007, which addressed parking fee changes, be, and it hereby is rescinded, retroactive to May 14,2007, since parking fees are now being addressed in this Resolution. 2. The parking fees for the Center in the Square Garage shall be amended in accordance with the following new fee schedule effective October I, 2007: Center in the Square Garage Current Fee Schedule New Fee Schedule Monthly reserved $85/mo Monthly reserved $90/mo' Monthly umeserved $65/mo Monthly unreserved $70/mo Short term weekdays Short term weekdays 8amto5pm 8amt04pm 0-.5 hr. $.75 Per.5 hr. $1.00 .5-1 hr. $1.50 over 2.5 hrs. $6.00 1-1.5 hrs. $2.25 1.5-2 hrs. $3.00 2.0-2.5 hrs. $3.75 2.5-3 hrs. $4.25 over 3 ms. $5.00 Short term weeknights $2.00 flat rate C:Uj. ',: t 'Short tem weeknights $3.00 flat rate 5 om to 90m 4pmt09pm. Saturday FREE Saturday (except 4 pm FREE to 9 pm) Short term Saturday $3.00 flat rate 4pmt09pm Sunday FREE Sunday FREE K:\Susan's Documents\Tegenkamp\Measures\2007\Garage and Parking Lot fees 2007-amended.doc 1 3. The parking fees for the Church Avenue Garage shall be amended in accordance with the following new fee schedule effective October 1, 2007: Church Avenue Garage Current Fee Schedule New Fee Schedule Monthly unreserved $65/mo Monthly unreserved $65/mo Short term weekdays Short term weekdays '8amto5pm 8amto4pm 0-.5 hr. $.75 Per .5 hr. $1.00 .5-1 hr. $1.50 over 2.5 hrs. $6.00 1-1.5 hrs. $2.25 1.5 -21m. $3.00 2-2.5 hrs. $3.75 2.5-3 hrs. $4.25 , over 3 hrs. $5.00 Enter Monday-Friday FREE Short term weeknights $2.00 flat rate after 5 pm 4pmto9pm Saturday FREE Saturday FREE Sundav FREE Sundav FREE 4. The parking fees for the Elmwood Park Garage shall be amended in accordance with the following new fee schedule effective October 1, 2007: Elmwood Park Garage Current Fee Schedule New Fee Schedule Monthly unreserved $65/mo Monthly unreserved $65/mo Short term weekdays Short term weekdays 8amto5pm 8amto5pm 0-.5 hr. $.75 Per .5 hr. $1.00 .5-1 hr. $1.50 over 2.5 hrs. $6.00 1-1.5 hrs. $2.25 1.5-2 hrs. $3.00 , 2-2.5 hIs. $3.75 2.-3 hrs. $4.25 over 3 hrs. $5.00 Enter Monday-Friday FREE Enter Monday-Friday FREE after 5 pm after 5 pm Saturday FREE Saturday FREE Sunday FREE Sunday FREE K:\Susan's Documents\Tegenkamp\Measures\2007\Garage and Parking Lot fees 2007-amended.doc 2 5. The parking fees for the Gainsboro Garage shall be amended in accordance with the following new fee schedule effective October I, 2007: Gainsboro Garage Current Fee Schedule New Fee Schedule Monthly reserved $351mo Monthly reserved $351mo Monthly student $17.50Imo Monthly student $17.50Imo unreserved unreserved Short term weekdays Short term weekdays 8amto4pm 8amto4pm 0-.5 hr. $.50 Per .5 hr. $.50 .5-1 hr. $1.00 over 4.5 hrs. $5.00 1-1.5 hrs. $1.50 1.5 -2 hrs. $2.00 2-2.5 hrs. $2.50 2.5-3 hrs. $3.00 3-3.5 hrs. $3.50 over 3.5 hrs. $4.00 Enter Monday-Friday FREE Short term weeknights $2.00 flat rate after 5 pm 4pmto9pm Note: A $1 discount off of the evening rate will be made available for Roanoke Higher Education Center students with appropriate student documentation when presented to the attendant on duty. Saturday FREE Saturday FREE Sunday FREE Sunday FREE 6. The parking fees for the Market Garage shall be amended in accordance with the following new fee schedule effective October 1, 2007: Market Garage Current Fee Schedule New Fee Schedule Monthly reserved $851mo Montlllyreserved $851mo Monthly unreserved $651mo Monthly unreserved $651mo Short term weekdays Short term weekdays 8amto5pm 8amto4pm 0-.5 hr. $.75 Per .5 hr. $1.00 .50-lhrs. $1.50 over 2.5 hrs. $6.00 1-1.5 hrs. $2.25 1.5-2 hrs. $3.00 2-2.5 hrs. $3.75 2.5-3 hrs. $4.25 over 3 hrs. $5.00 Enter Monday-Friday FREE Short term weeknights $2.00 flat rate after 5 nm 4omto9om Saturday FREE Saturday (except 4 pm FREE to 9 pm) Short term Saturday $2.00 flat rate 4nmto9nm Sunday FREE Sundav FREE K\Susan's Documents\Tegenkamp\Measures\2007\Garage and Parking Lot fees 2007-arnended.doc 3 7. The parking fees for the Tower Garage shall be amended in accordance with the following new fee schedule effective October I, 2007: Tower Garage Current Fee Schedule New Fee Schedule Monthly reserved $85/mo Monthly reserved $85/mo Monthly unreserved $ 65/mo Monthly unreserved $65/mo Short term weekdays Short term weekdays 8amto5pm 8amto4pm 0-.5 hr. $.75 Per .5 hr. $1.00 .5-1 hr. $1.25 over 2.5 hrs. $6.00 1-1.5 hrs. $2.25 1.5-2 hrs. $3.00 2-2.5 hrs. $3.75 2.5-3 hrs. $4.25 over 3 hrs. $5.00 Enter Monday-Friday FREE Short term weeknights $2.00 flat rate after 5 nm 4omto9om Saturday FREE Saturday (except 4 pm FREE t09pm Short term Saturday $2.00 flat rate 4nmt09nm Sunday FREE Sunday FREE 8. The parking fees for the Elmwood Lot shall be amended in accordance with the following new fee schedule effective October I, 2007: Elmwood Lot Current Fee Schedule New Fee Schedule Monthly unreserved $43/mo Monthly unreserved $43/mo Short term weekdays Short term weekdays 8amto5pm 8amto5pm 0-.5 hr. $.75 Per .5 hr. $.75 .5-1 hr. $1.50 over 3 hrs. $5.00 1-1.5 hrs. $2.25 1.5-2 hrs. $3.00 2-2.5 hrs. $3.75 2.5-3 hrs. $4.50 over 3 hrs. $5.00 Enter Monday-Friday FREE Enter Monday-Friday FREE after 5 pm After 5 pm Saturday FREE Saturday FREE Sunday FREE Sunday FREE I K\Susan's Documents\Tegenkamp\Measures\2007\Garage and Parking Lot fees 2007-amended.doc 4 9. The parking fees for the Higher Ed Center Lot shall be amended in accordance with the following new fee schedule effective October 1, 2007: Higher Ed Center Lot Current Fee Schedule New Fee Schedule Monthly reserved $351mo Monthly reserved $351mo Monthly student $17.50Imo Monthly student $17.50Imo unreserved unreserved Short term weekdays Short term weekdays 8amt04pm 8amt04pm 0-.5 hr. $.50 Per .5 hr. $.50 .5-1 hr. $1.00 over 4.5 hrs. $5.00 1-1.5 hrs. $1.50 I 1.5 -2 hrs. $2.00 2-2.5 hrs. $2.50 2.5-3 hrs. $3.00 3-3.5 hrs. $3.50 over 3.5 hrs. $4.00 Enter Monday-Friday FREE Short term weeknights $2.00 flat rate after 4 "m 4omt09om Saturday FREE Saturday FREE Slllldav FREE Slllldav FREE 10. The parking fees for the Market Lot shall be amended in accordance with the following new fee schedule effective October 1, 2007: Market Lot Current Fee Schedule New Fee Schedule Monthly unreserved $651mo MontWy unreserved $651mo Short term weekdays Short term weekdays 8amt05pm 8 am t05 pm 0-.5 hr. $.75 Per .5 hr. $.75 .5-1 hr. $1.50 over 3 hrs. $5.00 1-1.5 hrs. $2.25 1.5-2 hrs. $3.00 2-2.5 hrs. $3.75 2.5-3 hrs. $4.25 over 3 hrs. $5.00 Enter Monday-Friday FREE Weeknights FREE after 5 om after 5 "m Saturday FREE Saturday FREE Sllllday FREE Sllllday FREE K:\Susan's Documents\Tegenkamp\M:easures\2007\Garage and Parking Lot fees 2007-amended.doc 5 11. The parking fees for the Warehouse Row Lot shall be amended in accordance with the following new fee schedule effective October 1, 2007: Warehouse Row Lot Current Fee Schedule New Fee Schedule Mon1hly unreserved $52.50 Mon1hly unreserved $52.50 Short term weekdays Short term weekdays 8 am to 5 prn 8 am to 5pm 0-.5 hr. $.50 Per .5 hr. $.50 .5-1 hr. $1.00 over 2.5 hrs. $3.00 1-1.5 hrs. $1.50 1.5-2 hrs. $2.00 2-2.5 hrs. $2.50 over 2.5 hrs. $3.00 Enter Monday-Friday FREE Enter Monday-Friday FREE after5 pm after 5 pm Saturday FREE Saturday FREE Sunday FREE Sunday FREE 12. The parking fees for the Williamson Lot shall be amended in accordance with the following new fee schedule effective October I, 2007: Williamson Lot Current Fee Schedule New Fee Schedule . Monthly unreserved $55/mo Mon1hly unreserved $55/mo Short term weekdays Short term weekdays 8 am to 5pm 8amto5pm 0-.5 hr. $.75 Per .5 hr. $.75 .5-1 hr. $1.50 over 3 hrs. $5.00 1-1.5 hrs. $2.25 1.5-2 hrs. $3.00 2-2.5 hrs. $3.50 2.5-3 hrs. $4.00 3-3.5 hrs. $4.50 over 3.5 hrs. $5.00 Enter Monday-Friday FREE Enter Monday-Friday FREE after 5 pm after 5 pm Saturday FREE Saturday FREE Sunday FREE Sunday FREE K:\Susan's Documents\Tegenkamp\Measures\2007\Garage and Parking Lot fees 2007-amended.doc 6 13. The City Manager is hereby authorized to reduce any such parking fees for any of the above parking facilities by up to $10.00 in accordance with the following guidelines, which are intended to encourage the optimal use of the parking system. Therefore, the City Manager may authorize a change in rates and/or fees in any of the following circumstances: A. To provide a specific transportation benefit including reduced traffic congestion; B. To facilitate parking facility cost savings; C. To avoid excessive parking supply; D. To encourage the reduced use of on-street parking; E. To promote, market and/or develop specific parking facilities; F. To ensure an appropriate mix of parking uses in all city facilities; or G. To encourage or enhance the use of downtown parking facilities for special event locations. 14. The City. Manager is hereby authorized to modifY or waive the parking fees for any of . the above parking facilities for City sponsored events or other special events, as the City Manager may deem appropriate. 15. Any payments of monthly parking fees received more than five calendar days after such fees are due may be assessed a late fee of$5.00 per card in addition to the monthly rate charged. Any payment of monthly parking fees received more than fifteen calendar days after such fees are due is subject to a $15.00 per access card reactivation fee. 16. Nonpayment of daily parking fees may subject violators to the following fees; $10.00 if paid within the first seven days after the violation; $17.50 ifpaid within seven to fourteen days after the violation; and $25.00 if paid after fourteen days after the violation. 17. The parking fees set forth herein will not be applicable to parking agreements that provide for a specific parking fee or other method of payment for a specified period of time unless otherwise provided for in such agreements or until such agreements expire or are terminated. Nor will such parking fees be applicable to City parking programs except as set forth in such program. 18. The above mentioned New Fee Schedules, charges, and related matters will be effective October 1, 2007. K:\Susan'g.Documents\Tegenkamp\Measures\2007\Garage and Parking Lot fees 2007-amended.doc 7 19. The City Manager is hereby authorized to issue such guidelines as the City Manager deems appropriate in order to implement, administer, and enforce the fees and matters provided for in this Resolution. 20. The Fee Compendium of the City, maintained by the Director of Finance and authorized and approved by the City Council by Resolution No. 32412-032795, adopted March 27, 1995, effective as of that date, shall be amended to reflect the new fees to be charged at Center in the Square Garage, Church Avenue Garage, Elmwood Park Garage, Gainsboro Garage, Market Garage, Tower Garage, Elmwood Lot, Higher Ed Center Lot, Market Lot, Warehouse Row Lot, and Williamson Lot. ATTEST: .~~~.~ City Clerk. K:\Susan's Documents\Tegenkarnp\Measures\2007\Garage and Parking Lot fees 2007-amended.doc 8 CITY OF ROANOKE OFFICE OF THE CITY MANAGER Noel C. Taylor Municipal Building 215 Church Avenue, S.W., Room 364 Roanoke, Virginia 24011-1591 Telephone, (540) 853-2333 Fa" (540) 853-1138 City Web: www.roanokeva.gov September 17, 2007 Honorable C. Nelson Harris, Mayor Honorable David B. Trinkle, Vice Mayor Honorable Alfred T. Dowe, Jr., Council Member Honorable Beverly T. Fitzpatrick, Jr., Council Member Honorable Sherman P. Lea, Council Member Honorable Gwendolyn W. Mason, Council Member Honorable Brian J. Wish neff, Council Member Dear Mayor Harris and Members of City Council: Subject: Downtown Parking System Rate Increases Background: On May 14, 2007, City Council adopted a resolution providing for an amendment of fees charged at City of Roanoke-owned and/or controlled parking facilities. On JUne 4, 2007, City Council delayed implementation of the proposed parking rate revisions to allow staff an opportunity to continue to discuss the issue with downtown stakeholders. Two public meetings were held on Tuesday, July 31, 2007, at the Science Museum of Western Virginia, to provide information to the public regarding the proposed FY 2008 parking rate revisions and to facilitate discussions of alternative suggestions for revenue generation in lieu of the proposed rates. Following these meetings, city staff evaluated each comment or suggestion for potential inclusion in the recommended rate structure. Considerations: CI1A cr:I:.. Council was briefed on September 4, 2007 with respect to the recommended changes to the previously adopted rate increases. The recommendations include the following: Honorable Mayor and Members of City Council September 17, 2007 Page 2 Rate AdoDted - Mav 14 2007 Pro Dosed Daily Rate: Center in the Square, Church Avenue, Elmwood $1 per half hour; $6 daily No change from adopted Park, Tower, and Market maximum Garages Gainsboro Garage $.50 per half hour; $5 No change from adopted daily maximum Higher Ed Center Lot $.50 per half hour; $5 No change from adopted daily maximum Market and Williamson Lots $.75 per half hour; $5 No change from adopted daily maximum Monthly Rate: Center in the Square Garage $90 reserved No change from adopted $70 unreserved No change from adopted Evening Rate (Monday- Friday) Church Avenue, Tower and Market Garages, Higher Ed $2 No change from adopted Center Lot Gainsboro Garage $2 $2 A $1 discount off of the Evening Rate will be made available for RHEC students with appropriate student documentation when presented to the attendant on duty Center in the Square Garaqe $3 No chanqe from adoDted Saturday Rate (All Day) $2 $2 Tower Garage and Market (4pm - 9pm only) Garage Center in the Square Garage $3 $3 (4pm - 9pm only) Honorable Mayor and Members of City Council September 17, 2007 Page 3 Recommended Action: Approve the attached resolution and amend the City's Fee Schedule (Compendium) to reflect the aforementioned fees to be effective starting on October 1, 2007. Respectfully submitted, Darlene L. Bu City Manager DLB:acm c: Stephanie M. Moon, City Clerk William M. Hackworth, City Attorney Jesse A. Hall, Director of Finance R. Brian Townsend, Asst. City Manager for Community Development Sherman M. Stovall, Director of Management and Budget Debbie Moses, Parking Coordinator CM07-001S3 Remarks of Tom McKeon, Chairman of the Board, Downtown Roanoke, Inc. To Roanoke City Council, September 17,2007 Mr. Mayor and Members of Council. I am Tom McKeon, Chairman of the Board of Downtown Roanoke, Inc. and I thank you for this opportunity to speak with you today regarding parking fee increases. DR! views the amendment you will vote on today as a compromise from our original position of no changes at this time. We appreciate your delay of action on this item and the subsequent public information sharing sessions that were conducted by the City staff on this issue. I think we all learned a good deal from those presentations and ensuing discussions. The Downtown is experiencing some real success right now, but we also have too many vacant buildings and storefronts to claim that our success is not fragile. Therefore we are working hard every day to build on our successes and push the City over the tipping point to greatness. In support of further successes DR! would rather have no change in parking fees right now, but we can accept the compromise that is before you today. As we go forward I want to thank City staff for providing DR! with additional information on City parking fund financing. All involved in our inquiry were forthcoming and responsive to questions. We now have a basis for further discussion of parking fees as they relate to the forthcoming repairs and improvements to the market garage, ongoing incentives provided to large downtown employers, downtown residents, and students at the Roanoke Higher Education Center, and to economic development in the City. The City staff has invited input from DR! as discussions regarding next year's City budget begin this fall. We look forward to participating in those discussions, and we thank you, our elected representatives, the City Manager and City staff for this opportunity for citizen and stakeholder input. You can count on DR! to provide that input in the spirit of doing what's best to create a vibrant, successful downtown. A strong downtown core will radiate success through the rest of the City and throughout the region. We are pleased to be working with you to strengthen the core. Thank you. CITY OF ROANOKE OFFICE OF THE CITY CLERK 215 Church Avenue, S. W., Room 456 Roanoke, Virginia 24011-1536 Telephone: (540) 853-2541 Fax: (540) 853-1145 . E-mail; cJerk@roanokeva.gov SHElLA N. HARTMAN Deputy City Clerk CECELlA R. lYREE Assistant Deputy City Clerk STEPHANIE M. MOON, CMC City Clerk September 18, 2007 Darlene L. Burcham City Manager Roanoke, Virginia Dear Ms. Burcham: I am attachin~ copy of Ordinance No. 37902-091707 authorizing the proper City officials to execute a Performance Agreement among the City of Roanoke, the Economic Development Authority of the City of Roanoke, Virginia, and Roanoke Hotel Group, LLC, providing for certain undertakings by the parties in connection with the development of certain property located along Reserve Avenue; and dispensing with the second reading by title of this ordinance. The abovereferenced measure was adopted by the Council of the City of Roanoke at a regular meeting held on Monday, September 17, 2007, and is in full force and effect upon its passage. Sincerely, !t:rI~rn. rnD~' Stephanie M. Moon, CMC - C City Clerk SMM:ew Attachment Darlene L. Burcham September 18, 2007 Page 2 pc: Kjell Kasshagen, Managing Member, Roanoke Hotel Group, LLC Ryan Eller, Managing Member, Roanoke Hotel Group, LLC David L. Tenzer, Attorney, Roanoke Hotel Group, LLC, Dennis R. Cronk, Chair, Economic Development Authority Harwell M. Darby, Jr., Attorney, . Jesse A. Hall, Director of Finance R. Brian Townsend, Assistant City Manager for Community Development Sherman M. Stovall, Director, Management and Budget Brian K. Brown, Economic Development Administrator Linda Bass, Economic Development Specialist J1,1" IN THE COUNCIL OF THE CITY OF ROANOKE, VIRGINIA The 17th day of September, 2007. No. 37902-091707. AN ORDINANCE authorizing the proper City officials to execute a Performance Agreement among the City of Roanoke (City), the Economic Development Authority of the City of Roanoke, Virginia, (EDA), and Roanoke Hotel Group, LLC, (RHG), providing for certain undertakings by the parties in connection with the development of certain property located along Reserve A venue; and dispensing with the second reading by title of this Ordinance. WHEREAS, RHG has proposed the development of certain property located along Reserve Avenue; WHEREAS, the development of the site will require significant infrastructure cost for the site development to provide for a hotel; WHEREAS, RHG has requested an economic development grant through the EDA to assist in the unusual expense for development of the site; WHEREAS, City staff has advised Council that such project will benefit economic development within the City and the Roanoke Valley; and WHEREAS, the City and the EDA wish to encourage RHG in connection with the development of the project in order to enhance and promote economic development within the City and the Roanoke Valley. THEREFORE, BE IT ORDAINED by the Council of the City of Roanoke as follows: I. City Council hereby approve~ the terms of the Performance Agreement among the City, the EDA, and RHG, as set forth in the attachment to the City Manager's letter to Council dated September 17, 2007, which provides for certain undertakings and obligations by RHG, as K:\Susan's Docwnents\Tegenkamp\Measures\2007\Roanoke Hotel Group.doc 1 well as' certain undertakings by the City and the EDA. City Council further finds that the economic development grant(s), which shall not exceed a total of $1,000,000.00, provided for by the Performance Agreement will promote economic development within the City and the Roanoke Valley. 2. The City Manager and the City Clerk are authorized on behalf of the City to execute and attest, respectively, a Performance Agreement among the City, the EDA, and RHG, upon certain terms and conditions as set forth in the City Manager's letter to Council dated September 17, 2007. The Performance Agreement shall be substantially similar to the one attached to such letter and in a form approved by the City Attorney. 3. The City Manager is further authorized to take such actions and execute such documents as may be necessary to provide for the implementation and administration of such Performance Agreement, including any amendments thereto. 4. Pursuant to the provisions of Section 12 of the City Charter, the second reading of this Ordinance by title is hereby dispensed with. ATTEST: ~~M.~ City Clerk K:\Susan's Documents\Tegenkamp\Measures\2007\Roanoke Hotel Group.doc 2 CITY OF ROANOKE OFFICE OF THE CITY MANAGER Noel C. Taylor Municipal Building 215 Church Avenue, S.W., Room 364 Roanoke, Virginia 24011-1591 Telephone, (540) 853-2333 Fa" (540) 853-1138 City Web: www.roanokcva.gov September 17, 2007 Honorable C. Nelson Harris, Mayor Honorable David B. Trinkle, Vice-Mayor Honorable Alfred T. Dowe, Jr., Council Member Honorable Beverly T. Fitzpatrick, Jr., Council Member Honorable Sherman P. Lea, Council Member Honorable Gwendolyn W. Mason, Council Member Honorable Brian J. Wish neff, Council Member Dear Mayor Harris and Members of City Council: Subject: Performance Agreement for an Economic Development Grants: Roanoke Hotel Group, LLC The City and Roanoke Hotel Group, LLC (RHG), the developer of property located on Reserve Avenue, have negotiated an annual Economic Development Grant Performance Agreement. The Economic Development Grant will be funded by the City, but issued and administered through the Economic Development Authority of the City of Roanoke, Virginia (EDA). Such grant would assist in the provision of structured ground floor parking and infrastructure necessary for building in the floodplain to make the site developable for a Cambria Suites hotel. The project will provide an economic development benefit through additional tax revenues, jobs, and services to the citizens of the City and the Roanoke Valley. Consideration: The proposed Agreement outlines the obligations of RHG to qualify for and receive the grant. A copy of the proposed Agreement is attached to this letter. Some of the main provisions provide RHG must complete the hotel construction, obtain a permanent Certificate of Occupancy, and open the facility to the public within 24 months after the date of the Agreement. RHG will spend or cause to be spent at least $14.4 million on the development of the Project, Honorable Mayor and Members of City Council September 17, 2007 Page 2 including at least $1 million on ground floor structured parking and related infrastructure improvements as detailed in the Agreement. After the hotel opens, RHG can make up to six (6) annual grant requests to the EDA. The tax revenues for real estate taxes and transient occupancy taxes, as listed in the Agreement, the City actually receives from the Property or the hotel must exceed $275,000 for the preceding grant year. If so, then RHG may make a grant request to the EDA for an amount equal to up to 50% of the amount of such revenue the City actually received during the preceding grant year, subject to certain other provisions in the Agreement. However, the maximum amount of all grant funds RHG may receive shall not exceed $1 million. The Agreement requires RHG to provide the City and the EDA appropriate supporting documentation for each grant request. Funding for each annual grant request will be subject to appropriation by the City Council to the EDA. No funding is anticipated to be needed during the current 2007-2008 fiscal year. For Council's information, City staff have been advised that counsel for the EDA, Glenn, Feldman, Darby & Goodlatte, will also represent RHG in this matter through different attorneys with the firm. Recommended Action: Approve the terms of the Performance Agreement among the City, RHG, and the EDA, as set forth in the attachment to this letter, and determine that such grant will promote economic development within the City. Authorize the City Manager to execute a Performance Agreement among the City, RHG, and the EDA, substantially similar to the one attached to this letter, and to execute such other documents and take such further action as may be necessary to implement and administer, including amendments thereto, such Performance Agreement, with the form of such Agreement and/or amendments to be approved by the City Attorney. Respectfully submitted, arlene L. Bu cham City Manager DB/LB Honorable Mayor and Members of City Council September 17, 2007 Page 3 c: Stephanie M. Moon, City Clerk Jesse A. Hall, Director of Finance William M. Hackworth, City Attorney R. Brian Townsend, Assistant City Manager for Community Development Brian K. Brown, Economic Development Administrator Linda Bass, Economic Development Specialist Kjell Kaashagen, Managing Member, Roanoke Hotel Group, LLC Ryan Eller, Managing Member, Roanoke Hotel Group,LLC David L. Tenzer, Attorney for Roanoke Hotel Group, LLC Dennis R. Cronk, Chair, EDA Harwell M. Darby, Jr., Attorney for EDA CM07-00141 PERFORMANCE AGREEMENT This Performance Agreement (Agreement) is dated ,2007, by and among the City of Roanoke, Virginia, a municipal corporation (City), Roanoke Hotel Group, LLC, a Virginia limited liability company (RHG), and the Economic Development Authority of the City of Roanoke, Virginia, an industrial development authority organized and existing under the laws of the Commonwealth of Virginia (EDA), WITNESSETH: WHEREAS, RHG has proposed development of certain property owned by Roanoke Land Development LLC and located along Reserve Avenue, identified as Tract I-A, bearing tax map number 1032210, on a certain Resubdivision Plat prepared by Caldwell White Associates, having a revision date of December 14,2006, which is marked Exhibit A and attached hereto and made a part hereof ( the "Property"), on which RHG will construct a Cambria Suites hotel, with at least 127 rooms, and structured ground floor parking, and landscaping, (the "Facility"), such Facility being shown in more detail on a site development plan marked as Exhibit B , attached hereto and made a part hereof; WHEREAS, the City recognizes that the development of the Property will require significant cost for site development due to its lying within the floodplain; WHEREAS, RHG has requested economic grants from the City through the EDA to assist in the cost of the structured ground floor parking and other infrastructure necessitated by development in the floodplain, but not for the costs of the hotel or landscaping part of the Facility, or the costs of the Property. Such costs for the structured ground floor parking and infrastructure are set forth in Exhibit C, attached hereto and made a part hereof; WHEREAS, the City and the EDA desire that the development of the Property and the Facility ( the "Project") proceed and have determined such Project will promote economic development within the City and within the Roanoke Valley. Such Project will provide additional tax revenue and services to benefit the citizens of the City and the Roanoke Valley; WHEREAS, the EDA, based on the undertakings of RHG, has determined to make an annual economic development grant for a specified period to RHG from funds to be provided to the EDA by the City, all in accordance with the terms of this Agreement; and WHEREAS, the parties wish to reduce to writing the understanding of the parties concerning this matter. NOW, THEREFORE, the parties, in consideration of the promIses and obligations contained herein, mutually agree as follows: C:\DOCUM E-I \cmjb I \LOCALS-I \Temp\notesFFF692\-1206055.doc I SECTION 1. EDA ECONOMIC DEVELOPMENT GRANT. Subject to the terms of this Agreement, the EDA will make up to six (6) annual Economic Development Grants (each a "Grant"), the total of which shall not exceed $1,000,000.00, to RHG in order to assist with the development of the structured ground floor parking and other infrastructure related to building in the floodplain for the Project for the purposes of promoting economic development in the City and the Roanoke Valley. The EDNs obligations hereunder are not general obligations of the EDA, but are special obligations of the EDA limited to those funds which are provided by the City and received by the EDA under the terms set forth herein. SECTION 2. OBLIGATIONS OF RHG. RHG agrees and promises that in order to qualify to receive and to continue to receive the Grant for each grant year (as defined in this Agreement), RHG shall do or provide each of the following, all of which are material to this Agreement: A. Provide to the EDA and the City, prior to the execution of this Agreement, and at any time after its execution, sufficient documentation, as determined by the EDA and the City, establishing that RHG has the right, authority, and financial ability to develop the Property as contemplated by this Agreement and to operate a Cambria Suites hotel on such Property. B. Within 24 months after the date of this Agreement, complete the construction of a Cambria Suites hotel with at least 127 rooms and structured ground floor parking on the Property on Reserve A venue, together with appropriate landscaping, all as substantially shown in Exhibit B. Furthermore, within such 24 month time period, RHG shall obtain a permanent certificate of occupancy for the Facility and the Facility will be open to the public for business. C. Within 24 months after the date of this Agreement, RHG will have spent or caused to have been spent at least $14.4 million on the development of the Facility. The $14.4 million shall include the cost of items shown on Exhibit D attached hereto and made a part hereof, but shall exclude the cost of the Property. Either the EDA or the City may request, in writing, that RHG provide documentation of the expenditure of the $14.4 million and, if so, RHG will provide such documentation within 30 days of any such written request. D. As part of the $14.4 million expenditure, the amount of at least $1,000,000.00 must be spent or caused to have been spent by RHG for the items set forth in Exhibit C. RHG shall provide verification of the expenditures for such items, and their related costs, referenced in Exhibit C, by submitting invoices, statements showing the cost of items, a spreadsheet showing such expenses, and/or other documents and information reasonably acceptable to the EDA and the City to document the expenditures incurred and as listed in Exhibit C, C:\DOCUME-] \cmjb I \LOCALS-l \Temp\notcsFFF692\-] 206055.doc 2 which information shall be provided at 6 month intervals from the date of this Agreement- through the completion of construction of the Facility. E. Verification of the expenditures submitted by RHG shall be sufficient to allow the EDA and the City to determine if RHG has met the expenditure requirements of Exhibit C and, if requested, Exhibit D. If the information submitted by RHG for verification of the expenditures of either Exhibit C or D is not reasonably sufficient to evidence such expenditure, either the EDA or the City may request further documentation, which will be provided by RHG within 30 days of receipt of the request for further documentation. All of the documents or information produced by RHG to verify such costs or expenditures shall be provided to the City and the EDA without any cost or charge to either the City or the EDA. F. Although specific items listed in Exhibits C and D will show an estimated cost, as long as the total verified expenditures for the items set forth in Exhibit D amount to $14.4 million or more, and the total verified expenditures for the items set forth in Exhibit C amount to $1,000,000.00 or more, the required expenditures by RHG for each respective Exhibit will have been met. G. RHG will file all appropriate and applicable real estate tax and other tax forms or notices with the City, ensure it has received assessments from the City for such taxes, and RHG shall pay all such taxes to the City and not claim any exemptions from real estate taxes or other taxes for any periods of time for which Grant funds are requested. RHG shall also ensure that the owner of the Property and any entity that may operate and/or manage the Facility, if different than RHG, also complies with all the obligations of this Section 2 (G) and any other applicable provisions of this Agreement. SECTION 3. ECONOMIC DEVELOPMENT GRANT. Subject to the conditions as set forth in this Agreement, the EDA will provide certain Grant funds, limited to those funds which are received by the EDA from the City, as set forth below, to RHG, in order to assist with the development of the structured ground floor parking and associated infrastructure for the Project as follows: A. At the option of RHG, it may request a yearly Grant for (i) the grant year starting as of July I, prior to the date the Cambria Suites hotel opens to the public (which will be a short year) or (ii) the grant year starting July 1 after the Cambria Suites hotel opens to the public, provided RHG must submit a request to the EDA each year for such a Grant and provide the EDA and the City sufficient documentation as to RHG's compliance with this Agreement. For purposes of this Agreement, a 'grant year' means July I through June 30 (for example, if the Cambria Suites hotel opens on January 15, 2008, RHG may select as the first grant year the period beginning (i) July I, 2007, to June 30,2008, or (ii) July 1,2008, to June 30, 2009.) C:\DOCUM E-I \cmjb 1 \LOCALS-I \Temp\nOlcsFFF692\- [206055 .doc 3 B. Such Grant may be requested for a maximum period of six (6) consecutive years, which shall include the first Grant request. Furthermore, if no Grant request is made for the shOtt grant year mentioned above, such six (6) consecutive year period shall be deemed to start to run from the grant year after the Cambria Suites hotel opens and end six (6) years thereafter. The six (6) year period shall continue to run whether or not a Grant request is made for any particular year. All Grant requests must be submitted to the EDA between the period of September I and December 1, for the preceding grant year or no Grant will be considered or given for that particular year. For example, if RHG wants to make a request for the grant year of July 1, 2007, to June 30, 2008, RHG must do so between September I, 2008, and December 1, 2008. Also, in such an example the six (6) consecutive years for which a Grant could be requested would be July 1, 2007, through June 30, 2013. The City will cooperate with RHG by providing public information relevant to tax revenue received from the Property or the Project. C. Subject to the provisions of this Agreement, the amount of each Grant request can be up to an amount equal to 50% of the amount of revenue the City actually received during the preceding grant year from the Property and the Cambria Suites hotel coming only from real estate taxes on the Property and transient occupancy taxes from the hotel. Any new local tax or increase in the rate of any of the aforementioned taxes for the purpose of dedicating the incremental revenue for a specific project or purpose shall be excluded from such amount of tax revenue resulting from the Property or the Cambria Suites hotel. In no event shall any request be made or granted if the above total revenue from real estate taxes and transient occupancy taxes for any specific grant year is less than $275,000.00. Furthermore, there shall be no carryover from one grant year to the next for any funds from the prior year or years or for purposes of determining the revenue for any grant year. Each grant year must be looked at separately to see if the requirements for a Grant request have been met. D. The maximum amount of all Grant funds RHG may receive under this Agreement shall in no event exceed a total of $1,000,000.00. Once this maximum amount is paid to RHG, RHG may not make any further Grant requests and no further Grant requests will be considered. E. By way of example only, assuming RHG has complied with its obligations under this Agreement, if the Cambria Suites hotel opens on January I, 2008, and RHG selects the short grant year, it would run from July I, 2007, through June 30, 2008. If RHG wants to make a Grant request, it must deliver such request to the EDA between September 1 and December 1, 2008. RHG must show the total amount of revenue the City actually received only from the real estate taxes and transient occupancy taxes referred to in this Agreement for the period of July I, 2007, through June 30, 2008, amounted to over $275,000.00. The following examples show how the calculation would be made, with the second example modifying some of the assumptions: C:\DOCUM E-] \cmjb I \LOCALS-l \T cmp\notesFFF692\-1206055.doc 4 I. This example would apply for any grant year: Total applicable revenue received by the City - $280,000.00 Since this amount is over the required $275,000.00 minimum required by the Agreement, RHG could request a grant amount equal to 50% of the above amount of $280,000.00, which would equal a $140,000.00 Grant request. 2. This example would apply for any grant year: Total applicable revenue received by the City - $265,000.00 Since this amount is below the $275,000.00 minimum required by the Agreement, no Grant request should be made and no Grant request would be approved. However, this would be considered a grant year of the total of 6 years for which a Grant request can be made. SECTION 4. DISTRIBUTION OF GRANT FUNDS. Following the end of each grant year, upon RHG's compliance with the obligations set forth in this Agreement, RHG may request in writing that the EDA obtain and provide the Grant funds mentioned above in accordance with the terms of this Agreement. Such request must be accompanied by sufficient documentation to establish to the reasonable satisfaction of the EDA and the City RHG's compliance with the obligations set forth in this Agreement. Upon receipt of such request, and approval by the EDA (approved request), the EDA will forward the approved request to the City Manager and Economic Development Administrator. The written Grant request(s) from RHG to the EDA will be on a form approved by the EDA's counsel, attached hereto as Exhibit E. The EDA may disapprove any request not complying with the terms of this Agreement or require a revised request be submitted. Should the EDA disapprove a Grant request or require that RHG submit a revised request, the EDA shall provide written notice to RHG stating the basis for disapproval and any defect in the Grant request and specifying the required additional information. RHG shall submit the revised or resubmitted request within 30 days of receipt of such written notice. After the EDA approves a request, the EDA will promptly make a written request to the City for the distribution to the EDA of the City's appropriation of such funds. The EDA will forward approved Grant requests to the City Manager and Economic Development Administrator. The City will process such approved request within 45 days of receipt thereof, subject to such funds being appropriated. The EDA will make any approved payment to RHG within 10 working days from the date of receipt of the funds from the City, provided, however, the EDA has no liability in the event the City delays processing the EDA's requisition. The EDA's obligations shall be limited to those funds which the EDA shall receive from the City and shall not be a general obligation, but a special obligation of the EDA. Furthermore, no Grant requests may be made by RHG or considered by the EDA after December I of the C:\DOCUME-l \cmjb] \LOCALS-] \Temp\notesFFF692\-1206055 .doc 5 end of the sixth grant year or after the payment of the maximum Grant amount to RHG, whichever occurs first. SECTION 5. PAYMENT OF EDA'S FEES. RHG promises and agrees it will pay all reasonable fees, costs, and expenses of the EDA in connection with this matter, including any action necessary to collect reimbursement hereunder or litigation of any type, all of which includes the reasonable fees of the EDA's counsel. Payment of such items shall not be made from any Grant funds. The EDA will submit statements to RHG for such items and RHG will pay such statements within 30 days after receipt. SECTION 6. REPORTS TO THE EDA AND THE CITY. During the term of this Agreement or until all $1,000,000.00 in approved Grants has been paid to RHG, whichever occurs first, RHG agrees to report to and provide the EDA and the City on a semi-annual basis, on or before June 30 and December 31 of each year, sufficient information related to RHG's compliance with the conditions of this Agreement and to provide appropriate documentation to support such compliance. RHG also agrees to allow the EDA, the City, and/or its representative to inspect, audit, copy, or examine any of RHG's books, documents, or other relevant materials in connection therewith upon written request by the EDA or the City. All such documents, information (including electronic data), or access shall be provided or made available within 30 days of a written request from either the EDA or the City, at no cost to the EDA or the City. However, any such audit or examination will not be more frequent than twice within a calendar year. SECTION 7. COMPLIANCE WITH LAWS. RHG agrees to comply with all applicable federal, state, and local laws, rules, and regulations. SECTION 8. COOPERATION. Each party agrees to cooperate with the other in a reasonable matter to carry out the intent and purpose of this Agreement. SECTION 9. SEVERABILITY. If any term of this Agreement is found to be void or invalid, such invalidity shall not affect the remaining terms of this Agreement, which will continue in full force and effect. The parties intend the remaining provisions of the Agreement be enforced to the fullest extent permitted by applicable law. C:\DOCUME-l \cmjb I \LOCALS-l \Temp\notesFFF692\-1206055 .doc 6 SECTION 10. AUTHORITY TO SIGN. The persons who have executed this Agreement on behalf of the parties represent and warrant they are duly authorized to execute this Agreement on behalf of their respective entity. SECTION 11. COUNTERPART COPIES. This Agreement may be executed in any number of counterpart copies, each of which shall be deemed an original, but all of which together shall constitute a single instrument. SECTION 12. SUCCESSORS. The terms, conditions, provisions, and undertakings of this Agreement shall be binding upon and inure to the benefit of each of the parties hereto and their respective successors and assigns. SECTION 13. NONDISCRIMINATION. A. During the performance or term of this Agreement, RHG agrees as follows: I. RHG will not discriminate against any employee or applicant for employment because of race, religion, color, sex, national origin, age, disability, or any other basis prohibited by state law relating to discrimination in employment, except where there is a bona fide occupational qualification reasonably necessary to the normal operation of RHG. RHG agrees to post in conspicuous places, available to employees and applicants for employment, notices setting forth the provisions of this nondiscrimination clause. II. RHG in all solicitations or advertisements for employees placed by or on behalf of RHG will state RHG is an equal opportunity employer. Ill. Notices, advertisements, and solicitations placed in accordance with federal law, rule, or regulation shall be deemed sufficient for the purpose of meeting the requirements of this section. B. RHG will include the provisions of the foregoing Section A (i, ii, and iii) in every subcontract or purchase order of over $10,000 that is entered into after the date that this Agreement receives final approval from the City and the EDA so that the provisions hereof will be binding upon each such subcontractor or vendor. C:\DOCUM E-I \cmjb I \LOCALS-l \Temp\notesFFF692\-] 206055.doc 7 SECTION 14. ASSIGNMENT. RHG agrees not to assign or transfer any part of this Agreement without the prior written consent of the City and the EDA, which will not be unreasonably withheld, delayed, or conditioned, and any such assignment shall not relieve RHG from any of its obligations under this Agreement. SECTION 15. INDEMNITY. RHG agrees to indemnify and hold harmless the EDA, the City, and their officers, directors, and employees free and harmless for and from any and all claims, causes of action, damages, or any liability of any type, including reasonable attorney's fees, on account of any claims by or any injury or damage to any persons or property growing out of or directly or indirectly resulting or arising in any way out of any actions, omissions, or activities of RHG or its agents, employees, or representatives arising out of or connected in any way to any of the matters involved in this Agreement or any performance thereunder, except to the extent caused by the sole actions, omissions, or activities of the City, the EDA, or their agents or employees. SECTION 16. OPPORTUNITY TO CURE. Except for the requirements contained in Section 2 above, RHG shall not be deemed to have failed to perform or discharge any of RHG's duties or obligations in the other sections of this Agreement until such time as RHG receives written notice thereof and an opportunity to cure within thirty (30) days after written notice thereof, which notice shall specify the failure, or, if the failure is of such nature that it could not reasonably be cured within such thirty (30) day period and RHG does, within said thirty (30) day period, commences to cure such failure and thereafter proceed, with due diligence, to cure it as soon as is reasonably practicable under the circumstances, but in no event shall any such cure period be longer than a total of 60 days from the date of such notice. SECTION 17. FORUM SELECTION AND CHOICE OF LAW. By virtue of entering into this Agreement, RHG agrees and submits itself to a court of competent jurisdiction in the City of Roanoke, Virginia, and further agrees this Agreement is controlled by the laws of the Commonwealth of Virginia, with the exception of Virginia's choice of law provisions which shall not apply; and all claims, disputes, and other matters shall be decided only by such court according to the laws of the Commonwealth of Virginia as aforesaid. SECTION 18. NONWAIVER. Each party agrees any party's waiver or failure to enforce or require performance of any term or condition of this Agreement or any party's waiver of any breach of this Agreement by any other party extends to that instance only. Such waiver or failure is not and shall not be a waiver of any of the terms or conditions of this Agreement or a waiver of any other breaches of the Agreement by any party and does not bar the non-defaulting C:\DOCU M E-l \cmjh I \LOCALS- [\Tcmp\nulcs FFF692\-1206055 .doc 8 party from requiring the defaulting party to comply with all the terms and conditions of this Agreement and does not bar the non-defaulting party from asserting any and all rights and/or remedies it has or might have against the defaulting party under this Agreement or by law. SECTION 19. CAPTIONS AND HEADINGS. The section captions and headings are for convenience and reference purposes and shall not affect in any way the meaning or interpretation of this Agreement. SECTION 20. APPROPRIATION OF FUNDS. The City Administration will make good faith efforts to fund each approved Grant request from the EDA for the Project. However, all obligations or funding undertaken by the City or the EDA in connection with the Project or this Agreement are subject to the availability of funds and the appropriation of such funds by City Council as may be necessary for such obligations or funding. SECTION 21. PERFORMANCE. If RHG fails to comply with any of RHG's material obligations under this Agreement, and which are not cured as may be allowed by this Agreement, as determined by the City in the City's reasonable discretion, RHG will not be entitled to be eligible for and/or receive and/or continue to be eligible for and/or receive any such Grants or Grant funds as referred to above or in this Agreement. SECTION 22. NOTICES. All notices hereunder must be in writing and shall be deemed validly given if sent by certified mail, return receipt requested or by a nationally recognized overnight courier, addressed as follows (or any other address the party to be notified may have designated to the sender by like notice): If to City, to City of Roanoke, City Manager 364 Noel C. Taylor Municipal Building 215 Church Avenue, SW Roanoke, Virginia 24011 Fax No. 540-853-1138 With a copy to: Economic Development Administrator 111 Franklin Plaza, Suite 200 Roanoke, Virginia 24011 Fax No. 540-853-1213 C:\DOCUME-l \cmjb 1 \LOCALS-l \Tcmp\nolcsFFF692\-12D6055.dm: 9 If to EDA, to: Chair, Economic Development Authority of the City of Roanoke, Virginia c/o Harwell M. Darby, Jr., Esquire Glenn, Feldmann, Darby & Goodlatte 210 First Street, SW, Suite 200 Roanoke, Virginia 240 II Fax No. 540-224-8050 If to RHG, to: Kjell Kaashagen, Managing Member Telemark Hotel Group, LLC 414 North Main Street Cambridge, WI 53523 Fax No. 608-423-7722 And Ryan Eller, Managing Member Telemark Hotel Group, LLC Hibernia Street Dallas, TX 75204 Fax No. 214-740-9464 With a copy to: David I. Tenzer, Esq. Glenn, Feldmann, Darby & Goodlatte 210 First Street, SW, Suite 200 Roanoke, VA 24011 Fax No. 540-224-8050 Notice shall be deemed delivered upon the date of personal service, two days after deposit in the United States mail, or the day after delivery to a nationally recognized overnight courier. SECTION 23. FAITH BASED ORGANIZATIONS. Pursuant to Virginia Code Section 2.2-4343.1, be advised the Citv does not discriminate against faith based organizations. SECTION 24. FORCE MAJURE. A delay in, or failure of, performance by any party, shall not constitute a default, nor shall the RHG, the City or EDA be held liable for loss or damage, or be in breach of this Agreement, if and to the extent that such delay, failure, loss or damage is caused by an occurrence beyond the reasonable control of such party, and its agents, employees, contractors, subcontractors, and consultants, including results from Acts of God or the public enemy, compliance with any order or request of any governmental authority or person authorized to act therefore, acts of declared or undeclared war, public disorders, rebellion, sabotage, revolution, earthquake, floods, riots, strikes, labor or equipment C:\DOCUME-l \cmjb I \LOCALS-l \Tcmp\notesFFF692\-1206055 .doc 10 difficulties, delays in transportation, inability of party to obtain necessary materials or equipment or permits due to existing or future laws, rules or regulations of governmental authorities or any other causes, whether direct or indirect, and which by the exercise of reasonable diligence said party is unable to prevent. For purposes of this Agreement any one delay caused by any such occurrence shall not be deemed to last longer than 6 months and the party claiming delay caused by any and all such occurrences shall give the other parties written notice of the same within 30 days after the date such claiming party learns of or reasonably should have known of such occurrence. Notwithstanding anything else set forth above, after a total of 9 months of delays of any type have been claimed by a party as being subject to force majure, no further delays or claims of any type shall be claimed by such party as being subject to force majure and/or being an excusable delay. SECTION 25. ENTIRE AGREEMENT. This Agreement, together with any exhibits or attachments, constitutes the entire agreement of the parties and supersedes all prior agreements between the parties. No amendment to this Agreement shall be valid unless made in writing and signed by the appropriate parties. (SIGNATURE PAGE TO FOLLOW) C:\DOCUME-] \cn~b I \LOCALS-I \ Temp\nOlCS FFF692\-1206055 .doc 11 IN WITNESS WHEREOF, the parties have executed this Performance Agreement by their authorized representatives. ATTEST: CITY OF ROANOKE, VIRGINIA City Clerk Darlene L. Burcham, City Manager (SEAL) WITNESS: Roanoke Hotel Group, LLC Kjell Kaashagen, Managing Member Printed Name and Title Ryan Eller, Managing Member Printed Name and Title WITNESS: ECONOMIC DEVELOPMENT AUTHORITY OF THE CITY OF ROANOKE, VIRGINIA H. M. Darby, Jr., Secretary Dennis R. Cronk, Chair Approved as to Form Approved as to Execution City Attorney Date: City Attorney Date: Appropriation and funds required for this Agreement are subject to future appropriation. Director of Finance Date Acct# C:\DOCUME-I \co1ih] \LOCALS-I \Temp\notcsFFF692\-1206055 .doc 12 :~ ..: o W "0 C '" c5 -' -' ci. => e " Qi o r Q) x o c '" o a:: ~ o c '" f1. 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'''''', ! -, i ; : . ; :; : , ! ~ ~ ~ J ' DATE: ____________________ Exhibit C to Performance Agreement Among City of Roanoke, Roanoke Hotel Group, LLC, and EDA Infrastructure Costs Necessitated by Development in the Floodplain Increase in geo-pier size due to concentrated loads of columns in parking area (the building on grade would have strip footings) $203,500.00 10'5" tall concrete walls including retaining (east) wall $83,551.50 Steel structure columns and beams $417,738.00 First floor decking & slab to accommodate parking on the ground level $107,512.00 .' One stop on each elevator to bring elevator down to parking structure level $11,272.50 Extra floor of elevator shaft due to structured parking on ground floor $27,828.00 Extra floor of stair shaft and stair, including railings and painting due to structured parking on ground floor $68,021.00 Two steel doors and frames with electric strike, panic hardware and weatherstripping to make ground floor pedestrian accessible to parking structure $1,465.00 Extending all plumbing waste lines through parking level (l 0'5") and then into parking level slab Concrete encased electrical ductbank from grade to first floor electrical room because of floodplain location One story of sprinkler riser, water main, and heated shaft to contain them because of additional vertical length between parking structure slab and first habitable floor Core drilling of first floor slab for all plumbing because of additional vertical length between parking structure slab and first habitable floor Change from hydraulic elevator to electric traction because elevator operating parts could not be located within area subject to floodplain regulations (electric traction operations located in building penthouse) Extra geo-piers TOTAL 2 $13,305.00 $11,512.00 $13,305.00 $11,512.00 $127,407.00 $20,000.00 $1,117,929.00 Exhibit D to Performance Agreement Among City of Roanoke, Roanoke Hotel Group, LLC and EDA Total Project Costs for Cambria Suites Hotel with Structured Parking on the Ground Floor Date: Parking, Flood Issue, Site Work $1,680,159 Floodplain CO $435,000 Building Hard Costs $9,150,000 Furniture, Fixtures & Equipment $1,892,800 Plan Development Fee (A&E) $313,510 Choice Franchise Fees $45,000 Appraisal/Market Study $17,200 Legal & Accounting $75,000 Pre OpeningIWorking Capital $120,000 Insurance & Taxes (Construction) $30,000 Permits, Fees, etc. $75,000 Program Managing $200,000 Bonding/Insurance $78,500 Lender Fees $282,500 Fees/Closing $75,000 Total $14,469,669 Exhibit E to Performance Agreement Among City of Roanoke, Roanoke Hotel Group, LLC and EDA Grant Request Form This Grant Request is submitted pursuant to a certain Performance Agreement dated , 2007, (the "Performance Agreement"), by and among the City of Roanoke, Virginia, ("City"), Roanoke Hotel Group, LLC, ("RHG"), and the Economic Development Authority of the City of Roanoke, Virginia, ("EDA"). Terms used but not defined herein shall have the same meanings ascribed to such terms in the Performance Agreement. The Performance Agreement provides that RHG will develop certain Property and construct and operate a Cambria Suites Hotel on such Property. The Performance Agreement also provides that RHG will provide for an investment of at least $14.4 million on the development of the Facility, of which the amount of at least $1 million must be spent or caused to have been spent by RHG for certain items connected with the structured ground floor parking and other items as referred to in the Performance Agreement. These obligations along with other obligations are to be completed within a certain period of time as set forth in the Performance Agreement. The Performance Agreement further provides that RHG may, upon compliance with the provisions of the Performance Agreement, make a request to the EDA for an economic development grant in an amount equal to 50 % of the amount of revenue the City actually received during the preceding grant year from the Property and the Cambria Suites Hotel coming only from real estate taxes on the Property and transient occupancy taxes from the hotel, provided that such total amount ofrevenue received by the City should not be less than $275,000 for the previous grant year. If the total amount of such revenue from the previous grant year is less than $275,000, no grant request may be made by RHG and no grant request will be considered or honored for such grant year. Furthermore, RHG must supply sufficient documentation as called for by the Performance Agreement to document its request and its compliance with the Performance Agreement. Each grant year is to be looked at separately to see if the requirements for a grant request have been met. RHG warrants and represents that it has complied with all of the terms and conditions of the Performance Agreement necessary for it to obtain grant funds from the EDA, including but not limited to all of the provisions of Section 2 of the Performance Agreement, and that it will continue to comply with the terms and conditions of the Performance Agreement in order to continue to be eligible to make further grant requests. Attached to this Grant Request Form is the information RHG represents as being sufficient to show that the City has been paid the sum of $ from the real estate taxes on the Property and transient occupancy taxes from the Cambria Suites Hotel for the prior grant year of July I, , through June 30, , and that such amount exceeds the sum of $275,000. Accordingly, RHG hereby requests from the EDA an economic development grant, as provided for in the Performance Agreement, in the amount of $ , which is an amount equal to 50% of the amount of revenue the City actually received during the preceding 1 grant year as referred to above and is supported by the attached documentation as Attachment A. This Grant Request is for Grant Year No. _' Amounts previously paid by the EDA to RHG in economic grants totals $ Since the total amount of all grants that may be requested and/or provided for under the Performance Agreement is $1 million, the total remaining amount that RHG may request by future grant requests is $ The Performance Agreement provides that a grant may be requested for a maximum period of six consecutive years. Therefore, since this is Grant Request No. I, for the grant year of July 1, , through June 30, , the six consecutive years for which a grant could be requested are July I, , through June 30, In the event of a conflict or difference between the terms of the Performance Agreement and those contained in this Grant Request, the terms and provisions of the Performance Agreement shall control. RHG respectfully requests that the EDA process this grant request through the City and send copies to the City Manager and the City's Economic Development Administrator, in accordance with the provisions of the Performance Agreement. This Grant Request is dated WITNESS: Roanoke Hotel Group, LLC Kjell Kaashagen, Managing Member Printed Name and Title Ryan Eller, Managing Member Printed Name and Title 2 CITY OF ROANOKE OFFICE OF THE CITY CLERK 215 Church A venue, S. W., Room 456 Roanoke, Virginia 240t t-1536 Telephone, (540) 853-2541 Pox, (540) 853-1145 E-mail: c1erk@roanokeva.gov SHEILA N. HARTMAN Deputy City Clerk STEPHANIE M. MOON. CMC City Clerk CECElJA R. lYREE Assistant Deputy City Clerk September 18, 2007 Darlene L. Burcham City Manager Roanoke, Virginia Dear Ms. Burcham: I am attaching copy of Ordinance 37903-091707 authorizing the proper City officials to execute an Amendment No. 2 to a Performance Agreement dated November 18, 2004, as amended, among the City of Roanoke, the Economic Development Authority of the City of Roanoke, Virginia, and IMD Investment Group, LLC, which amendment will provide for a time extension concerning obligation of IMD under such Performance Agreement; and dispensing with the second reading by title of this ordinance. The above referenced measure was adopted by the Council of the City of Roanoke at a regular meeting held on Monday, September 17, 2007, and is in full force and effect upon its passage. Sincerely, . ftttJ,~ rn. ~~ Stephanie M. Moon, CMC City Clerk SMM:ew Attachment Darlene L. Burcham September 18, 2007 Page 2 pc: Bland Painter, IMD, Dennis R. Cronk, Chair, Economic Development Authority Harwell M. Darby, Jr., Attorney, Jesse A. Hall, Director of Finance R. Brian Townsend, Assistant City Manager for Community Development Sherman M. Stovall, Director, Management and Budget Brian K. Brown, Economic Development Administrator Linda Bass, Economic Development Specialist J2,-r IN THE COUNCIL FOR THE CITY OF ROANOKE, VIRGINIA The 17th day of September, 2007. No. 37903-091707. AN ORDINANCE authorizing the proper City officials to execute an Amendment No.2 to a Performance Agreement dated November 18, 2004, as amended, among the City of Roanoke, (City), the Economic Development Authority of the City of Roanoke, Virginia, (EDA), and IMD Investment Group, LLC, (IMD), which amendment will provide for a time extension concerning an obligation of IMD under such Performance Agreement; and dispensing with the second reading by title of this Ordinance. WHEREAS, the City, the EDA, and IMD entered into a Performance Agreement dated November 18,2004, (performance Agreement) and a subsequent Amendment No. 1 dated November 14, 2006, concerning IMD's proposed development of certain property mentioned therein, and which was subject to certain terms and conditions contained in such Performance Agreement; and WHEREAS, IMD has requested a certain time extension for completion of one of IMD's obligations under the Performance Agreement and Amendment NO.1 and the City and the EDA have agreed to lMD's request. THEREFORE, BE IT ORDAINED by the Council of the City of Roanoke as follows: 1. City Council hereby approves lMD's requested time extension for completion of one of lMD's oblighil6Ils" under the Performance Agreement and Amendment No.1, namely that item relating to Subsection 2 (D), as set forth in the City K:\Susan's Documents\Tegenkamp\Measures\2007\Second Amendment to IMD Ordinance.doc 1 Manager's letter to Council dated September 17, 2007, and the draft Amendment NO.2 attached thereto. 2. The City Manager and the City Clerk are authorized on behalf of the City to execute and attest, respectively, an Amendment No.2 to the Performance Agreement and Amendment No.1, providing for a certain time extension for IMD to complete one of IMD's obligations thereunder regarding the time period to open a drug store, upon certain terms and conditions as set forth in the above mentioned City Manager's letter. Such amendment will be substantially similar to the one attached to such letter and in a form approved by the City Attorney. 3. The City Manager is further authorized to take such actions and execute such documents as may be necessary to provide for the implementation, administration, and enforeement of such amendments to the Performance Agreement and of the Performance Agreement itself. . 4. Pursuant to the provisions of Section 12 of the City Charter, the second reading by title of this Ordinance is hereby dispensed with. . ATTEST: ,iq1~-.~ J m. ~~ City Clerk. K:\Susan's Documents\Tegenkamp\Measures\2007\Second Amendment to IMD Ordinance.doc 2 CITY OF ROANOKE OFFICE OF THE CITY MANAGER Noel C. Taylor Municipal Building 215 Church Avenue, S.W., Room 364 Roanoke, Virginia 24011-1591 Telephone, (540) 853-2333 Fa" (540) 853-1138 City Web: www.roallokeva.gov September 17, 2007 Honorable C. Nelson Harris, Mayor Honorable David B. Trinkle, Vice Mayor Honorable Alfred T. Dowe, Jr., Council Member Honorable Beverly T. Fitzpatrick, Jr., Council Member Honorable Sherman P. Lea, Council Member Honorable Gwendolyn W. Mason, Council Member Honorable Brian J. Wishneff, Council Member Dear Mayor Harris and Members of City Council: Subject: Amendment No.2 to Performance Agreement with IMD Investment Group, LLC Background: The City, IMD Investment Group, LLC (IMD), and the Economic Development Authority of the City of Roanoke, Virginia (EDA), entered into a Performance Agreement dated November 18, 2004, with a subsequent Amendment No.1 dated November 14, 2006, regarding the development of certain property on the corner of Wonju Street and Franklin Road, SW, to include a Ukrop's grocery store and a drug store, anticipated to be a Walgreen's, in what is called the Ivy Market shopping center. IMD has requested an extension of the due date for the completion and opening of the drug store to June 30, 2008. For reasons beyond IMD's control, the construction of the drug store has not proceeded as originally anticipated. Plans for the drug store have been approved by the Building Commissioner's office, and building permit issuance is anticipated shortly. The building's design and material composition will be consistent with that used on the adjacent Ukrop's supermarket. A copy of the building elevations is attached. IMD has met other requirements of its first phase - a Ukrop's grocery store with 58,000 square feet opened to the public and IMD spent in excess of $3 million on infrastructure costs on the property and one-floor of structured parking below ground level before July 31, 2007. All other terms of the November 18, 2004, agreement and Amendment No.1 will remain in effect. Honorable Mayor and Members of City Council Page 2 September 17, 2007 Recommended Action: Approve IMD's requested time extension and the terms of Amendment No.2 to the Performance Agreement as set forth in the attachment to this letter. Authorize the City Manager to execute an Amendment No.2 to the Performance Agreement among the City, IMD, and the EDA, in a form substantially similar to the one attached, with the form of such Amendment No.2 to be approved by the City Attorney. Authorize the City Manager to take such actions and execute such documents as necessary to implement, administer, and enforce such Amendment NO.2 to the Performance Agreement. Respectfully submitted, Darlene L. Bur ham City Manager DLB:LB c: Stephanie M. Moon, City Clerk William M. Hackworth, City Attorney Jesse A. Hall, Director of Finance R. Brian Townsend, Assistant City Manager for Development Sherman M. Stovall, Director of Management and Budget Brian K. Brown, Economic Development Administrator Linda Bass, Economic Development Specialist Dennis R. Cronk, Chair, EDA Harwell (Sam) M. Darby, Jr., Attorney, EDA Bland Painter, IMD CM07-00142 AMENDMENT NO.2 TO PERFORMANCE AGREEMENT This is Amendment No.2 to a certain Performance Agreement dated November 18, 2004, by and among the City of Roanoke, Virginia, a municipal corporation (City), IMD Investment Group, LLC, a Virginia Limited Liability Company (IMD), and the Economic Development Authority of the City of Roanoke, Virginia, an eeonomic development authority organized and existing under the laws of the Commonwealth of Virginia (EDA). This Amendment No. 2 is dated September ,2007. WITNESSETH: WHEREAS, the City, IMD, and the EDA (formerly the IDA) entered into a certain Performance Agreement dated November 18, 2004, (Performance Agreement) concerning IMD's proposed development of certain property mentioned therein and which was subject to certain terms and conditions eontained in such Performance Agreement; WHEREAS, due to unanticipated time delays which IMD indieated were beyond its control, IMD requested certain time extensions for completion of some of IMD's obligations under such Performance Agreement and the City and the EDA agreed to IMD's request and entered into Amendment No. I dated November 14, 2006; and WHEREAS, due to additional unanticipated delays which IMD has indicated were beyond its eontrol, IMD has requested a further extension oftime for complying with the IMD's obligations in Section 2 (D) of the Performance Agreement, as amended by Amendment No. I. The City and the EDA have agreed to IMD's request and the parties now wish to reduce to writing their understanding of the time extension that is being granted to IMD by this Amendment No.2. NOW, THEREFORE, the parties, in consideration of the promises and obligations contained in the original Performance Agreement and in this Amendment No.2, mutually agree as follows: Section 1. Certain Limited Time Extension. The following subsection of Section 2. Oblie:ations of IMD, of the Performance Agreement is being modified only to the extent necessary to provide IMD with an additional time period to perform eertain obligations under that subsection as set forth below. Therefore, Subsection 2(D), as contained in the Performance Agreement and as modified by Amendment No. I, is hereby deemed to be replaced effective as of the date of this Amendment No.2 with the replacement Subseetion as set out below: 2(D) On or before June 30, 2008, a drug store, anticipated to be a Walgreens, will be opened to the public for business on the Property. CIDOCUME-IICMSM 1.000lLOCALS-l\TemplnotesFFF692lArnendment 2 to PA with IMD Ukrops 2007.doc Section 2. Continuation of Terms and Conditions of Performance Aereement. All the terms, obligations, and conditions of the original Performance Agreement dated November 18,2004, and Amendment No.1 dated November 14,2006, among the parties shall and do hereby continue in full force and effect, except and only to the extent as modified above. IN WITNESS WHEREOF, the parties have executed this Amendment No.2 by their authorized representatives. ATTEST: CITY OF ROANOKE By: Darlene L. Burcham, City Manager City Clerk (SEAL) WITNESS: IMD Investment Group, LLC By: Bland A. Painter, III, Sole Member and Manager Printed Name and Title (SEAL) WITNESS: ECONOMIC DEVELOPMENT AUTHORITY OF THE CITY OF ROANOKE, VIRGINIA , Seeretary By Dennis R. Cronk, Chair Approved as to Form: Approved as to Execution: City Attorney Date: City Attorney Date: Appropriation of Funds Required for this Agreement are subject to future appropriation: Director of Finance Date Aeet # Authorized by Ordinance No: C:\DOCUME-I\CMSMI.OOOlLOCALS-I\TemplnotesFFF692lAmendmenI2 to PA with IMD Ukrops 2007.doc 2 ~ &" i I~~. 5 <i ~ ,. ~ !! j" - ~ I I !I:!lll PI!' l' ili'lP It! , l! :llll ~!i ! 'Illl;! I ill !Pp! llb'!l, ill liP III ilN ~l!dW ill! ,Il!.ll/ ~iWh! 1'1111 'llllliI! I ~ J!~\IL Ii !lllj!Jw~iJj!~liIY Jill~;~ ~!ii i ~~J ;: -< g;.~ r- ~, d~ ': ~~ 1l _ . ~."o~f6.i NfM I :!'- gz :;! 5'. '" , } ~ j~!L~ IJj8 k ~< H! l!!j! I i!j III i!! l Il!q!lllll I d!<i!l!i Ii I , ! ,Iii ," z ~ iil ~ o 2 ~ ~ 1m ll_m I II. ll' 'I'!l PI sill, d ~ ~ o ~~ ", ~, ~ ~ ~ II CITY OF ROANOKE OFFICE OF THE CITY CLERK 215 Church Avenue, S. W., Room 456 Roanoke, Virginia 24011-1536 Telephone, (540) 853-2541 Fax, (540) 853.1145 E-mail: c1erk@roanokeva.gov SHEILA N. HARTMAN Deputy City Clerk STEPHANIE M. MOON, CMC City Clerk CECELIA R. TIREE Assistant Deputy City Clerk September 18, 2007 Darlene L. Burcham City Manager Roanoke, Virginia Dear Ms. Burcham: I am attaching copy of Resolution No. 37904-091707 approving the Blue Ridge Behavioral Healthcare FY 2008 Performance Contract. The abovereferenced measure was adopted by the Council of the City of Roanoke at a regular meeting held on Monday, September 17, 2007. Sincerely, - (y" h1c~ Stephanie M. Moon, CMC City Clerk SMM:ew Attachment pc: Tim Stellar, Executive Director, Blue Ridge Behavioral Healthcare 301 Elm Avenue, S. W., Roanoke, Virginia 24016-4001 Jesse A. Hall, Director of Finance R. Brian Townsend, Assistant City Manager for Community Development Sherman M. Stovall, Director, Management and Budget Jane Conlin, Director, Human/Social Services DJe IN THE COUNCIL OF THE CITY OF ROANOKE, VIRGINIA The 17th day of September, 2007. No. 37904-091707. A RESOLUTION approvmg the Blue Ridge Behavioral Healthcare FY 2008 Performance Contract. WHEREAS, Section 37:2-500 of the Code of Virginia (1950) as amended, requires every locality to establish a community service board to oversee the delivery of mental health, mental retardation and substance abuse services, and it is further required that the governing body of a locality approve the Community Service Board's performance contract; and WHEREAS, the City of Roanoke has established the Blue Ridge Behavioral Healthcare Board pursuant to this statutory provision. THEREFORE, BE IT RESOLVED by the Council of the City of Roanoke that the Blue Ridge Behavioral Healthcare 2008 Community Service Performance Contract, as more particularly set forth in the City Manager's letter dated September 17, 2007, to this Council, is hereby approved. ATTEST: Ai~-~Jh1. tvJo~ City Clerk. . , C R-BRB Healthcare 2008 Performance Contract 9-17-07 CITY OF ROANOKE OFFICE OF THE CITY MANAGER Noel C. Taylor Municipal Building 215 Church Avenue, S.W., Room 364 Roanoke, Virginia 24011-1591 Telephone: (540) 853-2333 Fa" (540) 853-1138 City Web: www.roanokeva.gov September 17, 2007 Honorable C. Nelson Harris, Mayor Honorable David B. Trinkle, Vice Mayor Honorable Alfred T. Dowe, Jr., Council Member Honorable Beverly T. Fitzpatrick, Council Member Honorable Sherman P. Lea, Council Member Honorable Gwen Mason, Council Member Honorable Brian J. Wish neff, Council Member Dear Mayor Harris and Members of City Council: Subject: Blue Ridge Behavioral Healthcare FY 2008 Performance Contract Background: The 1998 General Assembly passed HB428 which amended and reenacted sections of the Code of Virginia relating to local roles and responsibilities for mental health, mental retardation, and substance abuse services. Section 37.1-194 of the Code of Virginia, 1950, as amended, requires every locality to establish a community service board to oversee the delivery of mental heath, mental retardation and substance abuse services, and it is further required that the governing body of a locality approve the Performance Contract. The City of Roanoke has already established Blue Ridge Behavioral Healthcare pursuant to this statutory provision as the local community services board. The adopted budget for FY 2007-2008 includes an appropriation of $446,934 for Blue Ridge Behavioral Healthcare. Honorable Mayor and Members of City Council September 17, 2007 Page 2 Considerations: In accordance with the Code of Virginia, Title 37.1, Blue Ridge Behavioral Healthcare has submitted the Fiscal Year 2008 Community Services Performance Contract to ensure the delivery of publicly funded services and support to citizens of the Commonwealth with mental illness, mental retardation, or substance abuse. Services are to be provided directly or by contract through the community services board. Section 3 7.1-198B. Code of Virginia requires all governing bodies for the localities served by the community services board to approve the Community Services Performance Contract. Recommended Action: Authorize the City Manager to approve the FY 2008 Performance Contract with Blue Ridge Behavioral Healthcare Board. Respectfully submitted, Darlene L. Bu City Manager DLB:tem c: Stephanie M. Moon, City Clerk William M. Hackworth, City Attorney Jesse A. Hall, Director of Finance R. Brian Townsend, Assistant City Manager for Community Development Sherman M. Stovall, Director of Management and Budget Jane R. Conlin, Director of Human/Social Services Tim Stellar, Executive Director, Blue Ridge Behavioral Healthcare #CM07-00143 Blue Rhlge: Behavioral. Healthcare Rita J. Gliniecki Chairman Sheri Bernath Vice Chairman Daniel R. O'Donnell Treasurer ." Donna H. Henderson Secretary ExecuUve Director S. James Sikkema, LCSW August 2, 2007 Ms. Jane R. Conlin Director of Human/Social Services City of Ro.ano.ke Dept of Social Services 1510 Williamson Road Roano.ke, VA 24012 Dear Ms. Co.nlin: In order to comply with 937.2 - 508 o.r 937.2 - 60811 B. o.f the Co.de of Virginia as amended, I enclose for yo.ur review a copy o.f BRBH's propo.sed FY 2008 Performance Contract with the Virginia Department o.f Mental Health, Mental Retardation, and Substance Abuse Services. According to. the referenced Code sectio.n, it no.w needs the approval of the governing body of each of our participating localities. Please submit this request to City Council for consideratio.n at its next oppo.rtunity, and send me documentation o.f any action taken. Should the City o.f Roano.ke choose not to. act on this request by September 30th, the Code states that this performance contract shall be deemed approved. We are pleased to. provide you with this service contract info.rmatio.n, and, as always, we appreciate the cooperatio.n and support o.f the City o.f Roanoke. Sincerely, fr(~ ~J Marlene Bryant Director, Business and Financial Services mb/c1n Enclosure C: Mr. Sherman M. Sto.va II , Director o.f Management and Budget Executive Offices 301 Elm Avenue SW Roanoke, Virginia 24016-4001 (540) 345-9841 Fax (540) 345-6891 The Community Services Board serving the Cities of Roanoke and Salem, and the Counties of Botetourt, Craig and Roanoke ""'''''' > FY 2008 Central Office, State Facility, and Community Services Board Partnership Agreement, Section 1: Purpose , Collaboration through partnerships is the foundation of Virginia's public system of mental health, mental retardation, and substance abuse services. The CentraL Office of the Department of Mental Health, Mental Retardation and Substance Abuse Services (the Central Office), State Hospitals and Training Centers (State Facilities) operated by the Department, an<:l Community Services Boards (CSBs), which are entities of local governments, are the operational partners in Virginia's public system for providing these services: CSBsinclude operating CSBs, administrative policy CSBs, and local government departments with policy advisory CSBs and behavioral health authorities that are established pursuant to Chapters 5 and 6, respectively, of Title 37.2 of the Code of Virginia. Pursuant to State Board Policy 1034, the partners enter into this partnership agreement to implement the vision statement articulated in State Board Policy 1036 and to improve the quality of care provided to consumers and enhance the quality of their lives. The goal of this agreement is to establish a fully collaborative partnership process through which CSBs, the Central Office, and State Facilities can reach agreements on operational and policy matters and issues. In areas where it has specific statutory accountability, responsibility, or authority, the Central Office will make decisions or determinations with the fullest possible participation and involvement by the other partners. In all other areas, the partners will make decisions or determinations jointly. The partners also agree to make decisions and resolve problems at the level closest to the issue or situation, whenever possible. Nothing in this partnership agreement nullifies, abridges, or otherwise limits or affects the legal responsibilities or authorities of each partner, nor does this agreement create any new rights or benefits on behalf of any third parties. The partners share a common desire.for the system of care to excel in the delivery and seamless continuity of services to consumers and their families, and we seek similar collaborations or opportunities for partnerships with consumer and family advocacy groups and other stakeholders. We believe that a collaborative strategic planning process helps to identify the needs of consumers and ensures effective resource allocation and operational decisions that contribute to the continuity and effectiveness of care provided across the public mental health, mental retardation, and substance abuse services system. We agree to engage in such a collaborative planning process. The Central Office, State Facility, and.CSB partnership reflects a common purpose derived from: 1. Codified roles defined in Chapters 3, 4, 5, 6, and 7 of Tille 37.2 of the Code of Virginia, as delineated in the Community Services Performance Contract; 2. Philosophical agreement on the importance of consumer-driven services and supports and other core goals and vaiues contained in this partnership agreement; 3. Operational linkages associated with funding, program planning and assessment, and joint efforts to address challenges to the public system of services; and 4. Quality improvement-focused accountability to consumers and family members, local and state governments, and the public at large, as described in the accountability section of this partnership agreement. . This partnership agreement also establishes a framework for covering other relationships that may exist among the partners. Examples of these relationships include Part C of the'lndividuals with Disabilities Education Act and regional initiatives, such as the Region IV Acute Care Pilot project, the Discharge Assistance and Diversion program in northern Virginia, reinvestment and' restructuring projects, the initiative to promote integrated services for individuals with co-occurring mental illnesses and substance use disorders, and the system transformation initiative. 1. 05-31-2007 FY 2008 Central Office, State Facility, and Commu!l_ity S!lrvil::es Board p~rtnership Agr,eelllent This partnership agreement contains sections that address: Roies and Responsibilities; Core Values; Indicators Reflecting Core Values; Advancing the Vision; Accountability;C Consumer and Family Member Involvement and Participation; System Leadership Council; Communication; Quality Improvement; Reviews, Consultation, and Technical Assistance; Revision; Relationship to the Community Services Performance Contract; and Signatures. Section 2: Roles and Responsibilities Although this partnership philosophy helps to ensure positive working relationships, each partner has a unique role in providing public mental health, mental retardation, and substance abuse services. These distinct roles promote varying levels of expertise and create opportunities for identifying the most effective mechanisms for planning, delivering, and evaluating services. Central Office 1. Ensures through distribution of available funding that a consumer-driven and community-based system of care, supported by community and state facility resources, exists for the delivery of publicly funded services and supports to individuals with mental illnesses, mental retardation, or substance use disorders. 2. Promotes at all locations of the public mental health, mental retardation, and substance abuse service delivery system (including the Central Office) quality improvement efforts that focus on consumer outcome and provider performance measures designed to enhance service quality, accessibility, and availability, and provides assistance to the greatest extent practicable with Department-initiated surveys and data requests. 3. Supports and encourages the involvement and participation of consumers and family members of consumers in policy formulation and services planning, delivery, monitoring, and evaluation. 4. Ensures fiscal accountability that is required in applieable provisions of the Code of Virginia, relevant state and federal regulations, and State Mental Health, Mental Retardation and Substance Abuse Services Board policies. 5. Promotes identification of state-of-the-art, best or promising practice, or evidence-based programming and resources that exist as models for consideration by other operational partners. 6. Seeks opportunities to affect regulatory, policy, funding, and other decisions made by the Governor, the Secretary of Health and Human Resources, the General Assembly, the Department of Medical Assistance Services and other state agencies, and federal agencies that interact with or affect the other partners. 7. Encourages and facilitates state interagency collaboration and cooperation to meet the service needs of consumers and to identify and address statewide interagency issues that affect or support an effective system of care. 8. Serves as the single point of accountability to the Governor and the General Assembly for the public system of mental health, mental retardation, and substance abuse services. 9. Problem solves and collaborates with a CSB and State Facility together on a complex or difficult consumer situation when the CSB and State Facility have not been able to resolve the situation successfully at their level. Community Services Boards 1. Pursuant to State Board Policy 1035, serve as the single points of entry into the publicly funded system of consumer-driven and community-based services and supports for individuals with mental illnesses, mental retardation, or substance use disorders, including individuals with co- occurring disorders in accordance with State Board Policy 1015. 2. 05-31-2007 FY 2008 Central Office, State Facility, and Community Services Board Partnership Agreement\ 2. Serve as the local points of accountability for the public mental health, mental retardation, and substance abuse service delivery system. 3. To the fullest extent that resources allow, promote the delivery of community-based services that address the specific needs of individual consumers, particularly those with complex needs, with a focus on service quality, accessibility, integration, and availability and on consumer self- determination~ empowerment, arid recovery. 4. Support and encourage the involvement and participation of consumers and family members of consumers in policy formulation and services planning, delivery, monitoring, and evaluation. 5. Establish services and linkages that promote seamless and efficient transitions of consumers , between state facility and local community services. 6. Promote sharing of program knowledge and skills with operational partners to identify models of service delivery that have demonstrated positive consumer outcomes. 7. Problem-solve and Gollaborate with State Facilities on complex or difficult consumer situations. 8. Encourage and facilitate local interagency collaboration and cooperation to meet the other services and supports needs of consumers. State Facilities 1. Provide psychiatric hospitalization and other services to individuals identified by CSBs as meeting statutory requirements for admission, including the development of specific capabilities to meet the needs of individuals with co-occurring mental illnesses and substance use disorders in accordance with State Board Policy 1015. 2. Within the resources available, provide residential, training, or habilitation services to individuals with mental retardation identified by CSBs as needing those services. 3. To the fullest extent that resources allow, provide services that address the specific needs of individual consumers with a focus on service quality, accessibility, and availability and on consumer self-determination, empowerment, and recovery. 4. Support and encourage the involvement and participation of consumers and family members of consumers in policy formulation and services planning, delivery, monitoring, and evaluation. 5. Establish services and linkages that promote seamless and efficient transitions of consumers belween state facility and local community services. 6. Promote sharing of program knowledge and skills with operational partners to identify models of service delivery that have demonstrated positive consumer outeomes. 7. Problem-solve and collaborate with CSBs on complex or difficult consumer situations. Recognizing that these unique roles create distinct visions and perceptions of consumer and service needs at each pOint (statewide, communities, and state facilities) of services planning, management, delivery, and evaluation, the operational partners are committed to maintaining effective lines of communication generally and to addressing particular challenges .or concerns. Mechanisms for communication include the System Leadership Council and its subgroups; the System Operations Team; represenfation on work groups, task forces, and committees; use of websites and electronic communication; consultation activities; and circulation of drafts for soliciting input from other partners. When the need for a requirement is identified, the partners agree to use a participatory process, similar to the process used by the Central Office to develop Departmental Instructions for State Facilities, to establish the requirement. These efforts by the partners will help to ensure that individuals have access to a public, consumer-driven, community-based, and integrated system of mental health, mental retardation, and substance abuse services that maximizes available resources, adheres to the most effective, 3. 05-31-2007 FY 2008 Central Office, State Facility, and Community S~rvices Board Partl1er!.?hipAgreement evidence-based, best, or promising service delivery practices, utilizes the extensive expertise that is available within the public system of care, and encourages and supports the self-determination, empowerment, and recovery of consumers. Section 3: Core Values The Central Office, State Facilities, and CSBs, the partners to this agreement, share a common desire for the public system of care to excel in the delivery and seamless continuity of services to consumers and their families. While they are interdependent, each partner works independently with both shared and distinct points of accountability, such as state, local, or federal governments, other funding sources, consumers, and families. The partners embrace common core values that guide the Central Office, State Facilities, and CSBs in developing and implementing policies, planning services, making decisions, providing services, and measuring the effectiveness of service delivery. Vision Statement Our core values are based on our vision, articulated in State Board Policy 1036, for the public mental health, mental retardation, and substance abuse services system. Our vision is of a consumer-driven and community-based system of serviees and supports that promotes self- determination, empowerment, recovery, resilience, health, and the highest possible level of consumer participation in all aspects of community life, including work, school, family, and other meaningful relationships. This vision also includes the principles of inclusion, participation, and partnership. Core Values 1. The Central Office, State Facilities, and CSBs are working in partnership; we hold each other accountable for adhering to our core values. 2. As partners, we will focus on fostering a culture of responsiveness instead of regulation, finding solutions rather than assigning responsibility, emphasizing flexibility over rigidity, and striving for continuous quality improvement, not just process streamlining. 3. As partners, we will make decisions and resolve problems at the level closest to the issue or situation whenever possible. 4. Services should be provided in the least restrictive and most integrated environment possible. Most integrated environment means a setting that enables individuals with disabilities to interact with non-disabled persons to the fullest extent possible (28 CFR pI. 35, App. A, page 450, 1998). 5. All services should be designed to be welcoming, accessible, and capable of providing interventions properly matched to the needs of consumers with co-occurring disorders. 6. Community and state facility services are integral components of a seamless public, consumer-driven, and community-based system of care. 7. The goal of all components of our public system of care is that the persons we serve recover, realize their fullest potential, or mOve to independence from our care. 8. The participation of the consumer and, when one is appointed or designated, the consumer's authorized representative in treatment planning and service evaluation is necessary and valuable and has a positive effect on service quality and outcomes. 9. The consumer's responsibility for and active participation in his or her care and treatment are very important and should be supported and encouraged whenever possible. 4. 05-31-2007 FY 2008 Central.Ottice, State Facility, and Community Services Board Partnership Agreement \ 10. Consumers have a right to be free from abuse, neglect, or exploitation and to have their basic human rights assured and protected. 11. Choice is a critically important aspect of consumer participation and dignity, and it contributes to consumer satistaction and desirable outcomes. Consumers should be provided as much as possible with responsible and realistic opportunities to choose. . . 12. Family awareness and education about a person's disability or illness and services are valuable whenever the individual with the disability supports these activities. 13. Whenever it is clinically appropriate, children and adolescents should receive services provided in a manner that supports maintenance of their home and family environment. Family includes single parents, grandparents, older siblings, aunts or uncles, and other individuals who have accepted the child or adolescent as a part of their family. 14. Children and adolescents should be in school and functioning adequately enough that the school can maintain them and provide an education for them. 15. Living independently or in safe and affordable housing in the community with the highest level of independence possible is desired for adult consumers. 16. Gaining employment, maintaining employment, or participating in employment readiness activities improves the quality of life for adults with disabilities. 17. Lack of involvement or a reduced level of involvement with the criminal justiee system, including court-ordered criminal justice services, improves the quality of life of all individuals. 18. Pursuant to State Board POlicy 1038, the public, consumer-driven, and community-based mental health, mental retardation, and substance abuse services system serves.as.a safety, net for individuals, particularly people who are uninsured or under-insured, who do not have access to: other service providers or alternatives. Section 4: Indicators Reflecting Core Values Nationwide, service providers, funding sources, and regulators have sought instruments and methods to measure system effectiveness. No one system of evaluation is accepted as the method, as perspectives about the system and desired outcomes vary, depending on the unique role (e.g., as a consumer, family member, payer, provider, advocate, or member ofthe community) that one has within the system. Simple, cosl-effective measures reflecting a limited number of core values or expectations identified by the Central Office, State Facilities, and CSBs guide the public system of care in Virginia. Any indicators or measures should reflect the core values listed in the preceding section. The partners agree to identify, prioritize, collect, and utilize these measures as part of the quality assurance systems' mentioned in section 6 of this agreement and in the quality improvement plan described in .section 6.b of the Community Services Performance Contract. Section 5: Advancing the Vision The operational partners agree to engage in activities to advance the achievement of the ,vision Statement contained in State Board Policy 1036 and stated in section 3 above. These efforts include the following activities. 1. Recovery: The partners agree, to the greatest extent possible, to: a. provide more opportunities for consumers to be involved in decision-making, b. increase recovery-oriented peer-provided and consumer-run services, c. educate staff and consumers about recovery, and 5. 05-31-2007 FY 2008 Central Office, State Facility, and Community Services Board Partnership Agr&ement . . .... . . '.~" .!; '..' .. d. implement recommendations of the System Transformation Initiative DatalMonitoring Work Group, for example, use the ROSI or a similar ,mechanism to assess the consumer recovery orientation of the CSB, Central Office, or State Facility. 2. Integrated Services: The partners agree to advance the values and principles in the Charter Agreement signed by the Board and the Central Offiee and to increase effectiye screening and assessment of consumers for co-occurring disorders to the greatest extent practicable. 3. Person-Centered Planning: The partners agree to promote awareness of the principles of person-centered planning, disseminate and share information about person-centered planning, and participate on work groups focused on implementing person-centered planning. Section 6: Accountability Accountability Improvement The Central Office, State Facilities, and CSBs agree that it is necessary and importantto have a system of accountability in order to: . protect eonsumers, . improve the quality of services, including services to individuals with co-occurring disorders, . protect the interests of citizens and various stakeholders, and . maximize public confidence in the system of care. The partners also agree that any successful accountability system requires early detection with faithful, accurate, and complete reporting and review of agreed-upon accountability indicators. The partners further agree that early detection of problems and collaborative efforts to seek resolutions improve accountability. To that end, the partners commit themselves to a problem identification process defined by open sharing of performance concerns and a mutually supportive effort toward problem resolution. Technical assistance, provided in a non-punitive manner designed not to "catch" problems but to resolve them, is a key component in an effective system of accountability. Where possible, joint work groups, representing CSBs, the Central Offiee, and State Facilities, shall review all surveys, measures, or other requirements for relevance, cost benefit, validity, . efficiency, and consistency with this statement prior to implementation and on an ongoing basis as requirements change. In areas where it has specific statutory accountability, responsibility, or authority, the Central Office will make decisions or determinations with the fullest possible participation and involvement by the other partners. In all other areas, the partners will make decisions or determinations jointly. The partners agree that when accreditation or another publicly recognized independent review addresses an accountability issue or requirement, where possible, compliance with this outside review will constitute adherence. to the accountability measure or reporting requirement. Where accountability and compliance rely on affirmations, the partners agree to make due diligence efforts to comply fully. The Central Office reserves the powers given to the Department to review and audit operations for compliance and veracity and upon cause to take actions necessary to ensure accountability and compliance. Desirable and Necessary Account~bility Areas 1. Mission of the System. As part of a mutual process, the partners, with maximum input from stakeholder groups and consumers, will define a small number of key missions for the public community and state facility services system and a small number of measures of these missions. State Facilities and CSBs will report on these measures at a minimum frequency necessary to determine the level and pattern of performance over several years. 6. 05-31-2007 FY 2008 Central Office, State Facility, and Community Services Board Partnership AgreemenL 2. Central Office Accountability. In addition to internal governmental accountability, the Central Office agrees to support the mission of the public services system by carrying out its functions in accordance with the vision and values articulated in section 3. Accountability for the Central Office will be defined by the fewest necessary measures of key activities that will be reported at a minimum frequency necessary to determine the level and pattern of performance over several years. 3. State Facility Accountability. In addition to internal governmental accountability, State Facilities agree to support the mission of the public services system by carrying out their functions in accordance with the vision and values articulated in section 3. Accountability for State Facilities will be defined by the fewest necessary measures of key activities that will be reported at a minimum frequency necessary to determine the level and pattern of performance over several years. 4. CSB Accountability. In addition to internal governmental accountability, CSBs agree to support the mission of the public services system by carrying out their functions in accordance with the vision and values articulated in section 3. Accountability for CSBs will be defined by the fewest necessary measures of key activities that will be reported at a minimum frequency necessary to determine the level and pattern of performance over several years. 5. Legislative Accountability. Additional reporting or responses may be required of CSBs, the Central Office, or State Facilities by the General Assembly or in support of a legislative request or study. I 6. Quality Improvement. CSBs, State Facilities, and the Central Office will manage internal quality improvement, quality assurance, and corporate compliance systems to monitor activities, detect and address problems, and minimize risk. These activities require no standardized reporting outside of that contained in law, regulation, or policy. The partners agree to identify and, wherever possible, implement evidence-based best practices and programs to improve the quality ofcare that they provide. In the'critically important area of service integration for individuals with to-occurring disorders, the partners agree to a. engage in periodic organizational self-assessment using identified tools, b. develop a work plan that prioritizes quality improvement opportunities in this area, c. monitor progress in these areas on a regular basis, and d. adjust the work plan as appropriate. 7. Fiscal. Funds awarded or Iransferred by one partner to another for a specifie identified purpose should have sufficient means of accountability to ensure that expenditures of funds were for the purposes identified. The main indicators for this accountability include an annuai CPA audit by an independent auditing firm or an audit by the Auditor of Public Accounts and , reports from the recipient of the funds that display the amounts of expenditures and revenues, the purposes for which the expenditures were made and, where necessary, the types and amounts of services provided. The frequency and detail of this reporting shall reflect the minimum necessary. 8. Compliance with Departmental Regulatory Requirements for Service Delivery. In general, regulations ensure that. entities operate within the scope of acceptable practice. The system of Department licensing; in which a licensed entity demonstrates compliance by policy, procedure, or practice with regulatory requirements for service delivery, is a key accountability mechanism. Where a service is not subject to state licensing, the partners may define minimum standards of acceptable practice. Where CSBs obtain nationally recognized accredilation covering services for which the Department requires a license, the Department, to the degree practical and with the fullest possible participation and involvement by the other partners, will consider substituting the accreditation in whole or in part for the application of specific licensing standards. 7. 05-31-2007 FY 2008 Central Office, State Facility, and Community Services B()ard Partnership Agreement 9. Compliance with Federal and Non-Department Standards and Requireri,ents. In areas where it has specific statutory accountability, responsibility, or authority, the Central Office will make decisions or determinations with the fullest possible participation and involvement by the other partners. In all other areas, the partners will make decisions or determinations jointly. The Central Office agrees to identify the minimum documentation needed from the other partners to indicate their compliance with applicable Federal and non-Departmental standards and requirements. Where possible, this documentation shall include affirmations by CSBs or State Facilities in lieu of direct documentation. The partners shall define jointly the least intrusive and least costly compliance strategies, as necessary. 10. COnlpliance with Departmellt-Olitei-mil1ed Requirements. In areas where it has specific statutory accountability, responsibility, or authority, the Central Office will make decisions or determinations with the fullest possible participation and involvement by the other partners. In all other areas, the partners will make decisions or determinations jointly. The Central Office agrees to define the minimum compliance system necessary to ensure that CSBs and State Facilities perform due diligence in regard to requirements established by the Central Office and that this definition will include only the minimum necessary to meet the intent of the State law or State Board policy for which the requirement is created. Where local government standards are in place, compliance with the local standards shall be acceptable. 11. Medicaid Requirements. The Central Office agrees to work proactively with the Department of Medical Assistance Services (DMAS) to create an effective system of accountability that will ensure services paid for by the DMAS meet minimum standards for quality care and for the defined benefit. The Central Office, and CSBs to the fullest extent possible, will endeavor to assist the DMAS in regulatory and compliance simplification in order to focus accountability on the key al1d most important elements. . 12. Maximizing State and Federal Funding Resources: The partners agree to collect and utilize available revenues from all appropriate sources to pay for services in order to extend the use of state and federal funds as much as possible to serve the greatest number of individuals in need of services. Sources include Medicaid cost-based, fee-for service, Targeted Case Management, Rehabilitation (State Plan Option), and MR Waiver payments; other third party payers; auxiliary grants; food stamps; SSI, SSDI, and direct consumer payments; payments or contributions of other resources from other agencies, such as local social services or health departments; and other state or local funding sources. 13. Information for Decision-Making: The partners agree to work collaboratively to a. improve the accuracy, timeliness. and usefulness of data provided to funding sources and stakeholders; b. enhance infrastructure and support for information technology systems and staffing; and c. use this information in their decision-making about resources, services, policies, and procedures and to communicate more effeetively with funding sources and stakeholders about the activities of the public services system and its impact on consumers and families. Section 7: Consumer and Family Member Involvement and Participation 1. Consumer and Family Member Involvement and Participation: CSBs, State Facilities, and the Central Office agree to take all necessary and appropriate actions in accordance with State Board Policy 1040 to actively involve and support the participation of consumers and their family members in policy formulation and services planning, delivery, monitoring, and evaluation. 8. 05-31-2007 FY 2Q08Gentral Office, StatElFCicility, and Community Services Board Partnership Agreement., 2. Consumer and Family Member Involvement in Individual Services Planning and Delivery: CSBs and StCite Facilities agree to involve consumers and, with the consent of consumers where applicable, family members, authorized representatives, and significant others in their care, including the maximum fea~ible degree of participation in individualized services planning and treatmentdecisions and activities, unless their involv~ment is not clinically appropriate. 3. Language: CSBs and State Facilities agree that they will endeavor to deliver services in a manner that is understood by consumers. This involves communicating orally and in writing in the primary languages of consumers, including Braille and American Sign Language when applicable, and at appropriate reading comprehension levels. 4. Culturally Competent Services: CSBs and State Facilities agree that in delivering services they will endeavor to address to a reasonable extent the cultural and linguistic characteristics of the geographic areas and populations that they serve. Section 8: System Leadership Council. The System Leadership Council, established by the partners through this agreement, includes representatives of the Central Office, State Facilities, the State Mental Health, Mental Retardation and Substance Abuse Services Board, CSBs, consumers, iocal governments, and other stakeholders. The Council will meet at least quarterly to;'among other responsibilities: 1. identify, discuss, and resolve issues and problems; 2. examine current system functioning and identify ways to improve or enhance the operations of the public mental health, mental retardation, and substance abuse services syste(11; and 3. identify, develop, propose, and monitor the implementation of new service modalities, systemic innovations, and other approaches for improving the accessibility, responsiveness, and cost effectiveness of publicly funded mental health, mental retardation, and substance abuse services. Some of these responsibilities may be carried out through the System Operations Team (SOT), which includes representatives of the Central Office, State Facilities, and CSBs. The SOT serves two functions: coordinating the services system's response to programmatic and operational issues and acting as a problem-solving group. The SOT will meet monthly to prioritize, track, and work through various operational issues confronting the services system. When appropriate, the SOT will bring resolutions and policy proposals to the System Leadership Council for its consideration and action. Section 9: Communication. CSBs, State Facilities, and the Central Office agree to communicate fully with .each other to the greatest extent possible. Each partner agrees to respond in a timely manner 10 requests for information from other partners, considering the type, amount, and availability of the information requested. Section 10: Quality Improvement. On an ongoing basis, the partners agree to work together to identify and resolve barriers and policy and procedural issues that interfere with the most effective and efficient delivery of public mental health, mental retardation, and substance abuse services. Section 11: Reviews, Consultation, and Technical Assistance. CSBs, State Facilities, and the Central Office agree, within the constraints of available resources, to participate in review, consultation, and technical assistance activities to improve the quality of services provided to consumers and to enhance the effectiveness and efficiency of their operations. 9. 05-31-2007 FY 2008 Central Office, State Facility, and Community ~ervi(;es Board. Partnership ~greement Section 12: Revision. This is a long-term agreeme~t that does not and should not need to be revised or amended annually. However, the partners agree that this agreement may be revised at any time with the mutual consent of the parties. When- revisions become necessary, they will be developed and coordinated through the System Leadership Council. The partners agree that this agreement will be reviewed and renewed at the end of five years from the date of its initial signature, unless they decide jointly to review and renew it sooner. All such reviews and renewals will be coordinated through the System Leadership Council. Finally, either party may terminate this agreement with six months written notice to the other party and to the System Leadership Council. Section 13: Relationship to the Community Services Performance Contract: This partnership agreement, by agreement of the parties, is hereby incorporated into and made a part of the Community Services Performance Contract. Section 14: Signatures. In witness thereof, the CSB and the Department, acting on behalf of the Central Office and the State Facilities that it operates, have caused this partnership agreement to be executed by the following duly authorized officials. Virginia Department of Mental Health, Mental Retardation and Substance Abuse Services Community Services Board By: By: Name: James S. Reinhard, M.D. Title: Commissioner Name: Title: Executive Director Date: Date: 10. 05-31-2007 Community Services Performance Contract General Requirements Document Table of Contents I. Purpose. .. ........................................ ................. ... 2 II. Joint Department and Board Requirements A. General Requirements ... ............................................. 2 B. Continuity of Care Procedures .......................................... 2 C. Discharge Planning Protocols. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .'. . . . . . . .. ... 2 D. Procedures for Continuity of Care Between Community Services Boards and State Hospitals (February 3, 1997) ...... .. .....................2 E. Discharge Assistance Project Procedures. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .3 III. Board Requirements A. State Requirements .................................................... 3 1. General State Requirements .......................................... 3 2. Continuity of Care. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 3 3. Preadmission Screening. . . . . _ . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 3 4. Discharge Planning ..................................................3 5. Protection of Consumers. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .3 6. Financial Management Requirements, Policies, and Procedures .............. 4 7. Procurement Requirements, Policies, and Procedures. . . . . . . . . . . . . . . . . . . . . . . .7 8. Reimbursement Requirements, Policies, and Procedures. . . . . . . . . . . . . . . . . . . . . 8 9. Human Resource Management Requirements, Policies, and Procedures. . . . . . . . . 8 10. Information Technology Capabilities and Requirements. . . . . . . . . . . . . . . . . . . . . . 10 11. Licensing .. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 11 12. Quality of Care ..................................................... 11 13. Planning .......................................................... 11 14. Interagency Relationships. . . . . . . . .. .......... ............ ........... .12 15. Providing Information. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .12 16. Forensic Services. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .12 17. Access to Services for Individuals who are Deaf. . . . . . . . . . . . . . . . . . . . . . . . . . . 14 18. Subeontracting . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .. .14 B. Federal Requirements 1. General Federal Compliance Requirements. . . . . . . . . . . . . . . . . . . . . . . . . . . . .. .15 2. Disaster Response and Emergency Preparedness Requirements ............. .15 3. Federal Certification Regarding Lobbying for the Mental Health and Substance Abuse Preverition and Treatment Block Grants. . . . . . . . . . . . . . . . . . : .15 C. State and Federal Requirements 1. Employment Anti-Discrimination. . . . . . . . . . . . . . . . . . . . . . .. ............... .16 2. Service Anti-Discrimination ........................................... .16 IV. Department Requirements A. State Requirements 1. Human Rights. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 17 2. Licensing.......................................................... 17 3. Policies and Procedures ......................................... .... 1.7 4. Reviews.......................................................... .17 5. Planning.......................................................... .17 6. Information Technology: . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .. . . . . . . . . . . . . . 1.7 7. Providing Information. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .18 8. Licensing Review Protocol for CARF-Accredited Services. . . . . . . . . . . . . . . . . . . . 18 Appendices A. Continuity of Care Procedures. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . " ..... 22 B. Discharge Assistance Project Procedures .. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 31 C. Substance Abuse Treatment and Prevention Block Grant Requirements .............. 36 FY 2008 1. 05-31-2007 Community Services Performance Contract General Requirements Document FY 2008 2. 05-31-2007 Community Services Performance Contract General Requirements Document 1. Purpose A. Title 37.2 of the Code of Virginia establishes the Virginia Department of Mental Health, Mental Retardation and Substance Abuse Services (the Department) to ensure delivery of publicly funded services and supports to individuals with mental illnesses, mental retardation, or substance use disorders and authorizes the Department to fund community mental health, mental retardation, and substance abuse services. . B. Sections 37.2-500 through 37.2-511 ofthe Code of Virginia require cities and counties to establish community services boards for the purpose of providing local public mental health, mentalretardation, and substance abuse services; ~ 37.2-600 through ~ 37.2- 614 authorize certain cities or counties to establish behavioral health authorities that plan and provide those same local public services. In this Document, community services boards, local government departments with policy-advisory community services boards, and behavioral health authorities will be referred to as Boards. C. This General Requirements Document (Document) includes or incorporates by reference ongoing statutory, regulatory, policy, and other requirements that are not expected to change frequently and are accordingly not included in the annual Community Services Performance Contract. This Document is incorporated into and made a part of the current Community Services Performance Contract by reference. Any substantive change in this Doeument, except changes in statutory, regulatory, policy, or other requirements or in other documents incorporated by reference in it, which changes are made in accordance with processes or procedures associated with those statutes, regulations, policies, or other requirements or documents, shall be made in accordance with applicable provisions of the Partnership Agreement and shall be considered to be a performance contract amendment that requires a new contract signature page, signed . by both parties. II. Joint Department and Board Requirements A. General Requirements: Boards and the Department shall comply with all applicable federal and state laws, regulations, policies, and procedures. If any laws, regulations, policies, or procedures that become effective after the issuance of this Document change requirements in it, they shall replace the applicable provisions in this Document and shall be binding upon Boards and the Department, but the Department and Boards retain the right to exercise any remedies available to them by law or applicable provisions in the community'services performance contract. B. Continuity of Care Procedures: In fulfilling their respective statutory responsibilities for preadmission screening and discharge planning, Boards and the Department shall comply with State Board Policies 1035 and 1036 and with the Continuity of Care Procedures, which are contained in Appendix A of this Document. C. Discharge Planning Protocols: Boards and the Department shall comply with the most recent version of the Discharge Planning Protocols, which are issued by the Department and are incorporated into and made a part of this Document by reference. Boards shall provide discharge planning pursuant to ~ 37.2-505 or ~ 37.2"606 of the Code of Virginia arid in accordance with State Board Policies 1035 and 1036, the Continuity of Care Procedures, which are contained in Appendix A of this Document, and the most recent version of the Discharge Planning Protocols. D. Procedures for Continuity of Care Between Boards and State Hospitals: Boards and the Department shall comply with the Procedures for Continuity of Care Between Community Services Boards and State Psychiatric Facilities that were issued on February 3, 1997, and are incorporated into and made a part of this Document by reference. FY 2008 3. 05-31-2007 Community Services Performance Contract General Requirements Document E. Discharge Assistance Project Procedures: Boards, if they participate in any Discharge Assistance Project (DAP) funded by the Department, and the Department shall adhere to provisions of the DAP Procedures in Appendix B of this Document. III. Board Requirements A. State Requirements 1. General State Requirements: Boards shall comply with applicable state statutes and regulations, State Mental Health, Mental Retardation and Substance Abuse Services Board regulations and policies, and Department procedures including: a. Community Services Boards, !j37.2-500 through !j37.2-512 or Behavioral Health Authorities, !l37.2-600 through !j37.2-615 of the Code of Virginia; b. State and Local Government Conflict of Interests Act, !j2.2-3100 through !j2.2- 3127 of the Code of Virginia; c. Virginia Freedom of Information Act, !j2.2-3700 through !j2.2 -3714 of the Code of Virginia, including its notice of meeting and public meeting provisions; d. Government Data Collection and Dissemination Practices Act, !j2.2-3800 through !j2.2-3809 of the Code of Virginia; e. Virginia Public Procurement Act, !j2.2-4300 through !j2.2-4377 of the Code of Virginia; f. Early Intervention Services System, !j2.2-5300 through !j2.2-5308 of the Code of Virginia, if a Board receives early intervention (Part C) state funds; g. Other applicable provisions of Title 37.2 and other titles of the Code of Virginia; and h. Applicable provisions of the current Appropriation Act. 2. Continuity of Care: Section 37.2-500 or 37.2-601 of the Code of Virginia requires each Board to function as the single point of entry into publicly funded mental health, mental retardation, and substance abuse services. The Board fulfills this function for any person who is located in the Board's service area and needs mental health, mental retardation, or substance abuse services. 3. Preadmission Screening: Boards shall provide preadmission screening services pursuant to !j37.2-505 or !l37.2-606, !j37.2-805, !j37.2-809 through !j37.2-813, and !j37.2-814 and !j16.1-335 et seq. of the Code of Virginia and in accordance with the Continuity of Care Procedures for any person who is located in a Board's service area. 4. Discharge Planning: Boards shall provide discharge planning pursuant to !j37.2- 505 or !j37.2-606 of the Code of Virginia and in accordance with the Continuity of Care Procedures and the most recent version of the Discharge Planning Protocols. 5. Protection of Consumers a. Human Rights: Boards shall comply with the current Rules and Regulations to Assure the Rights of Individuals Receiving Services from Providers of Mental Health, Mental Retardation and Substance Abuse Services (the Human Rights Regulations) adopted by the State Mental Health, Mental Retardation and Substance Abuse, Services Board. In the event of a conflict between any of the provisions of this Document and provisions in the Human Rights Regulations, the applicable provisions of the Human Rights Regulations shall apply. Boards shall cooperate with any Department investigation of allegations or complaints of human rights violations, including providing any information needed for the investigation as required under state law and as permitted under 45 CFR !j164.512 (d) in as expeditious a manner as possible. FY 2008 4. 05-31-2007 FY 2008 Community Services Performance Contract General Requirements Document b. Consumer Disputes: The filing of a complaint orthe use of the informal dispute resolution mechanism in the Human Rights Regulations by a cOrlsumer or his family mymber or authorized representCitive shall not adversely affect the quantity, quality, or timeliness of services, pr()vide~ to that consumer unless an action that produces such an.effect is based on c1inicill or safety considerations and is documented in the consumer's ,individualized services plan (ISP). c. Consumer Dispute Resolution Mechanism: Boards shall develop their own procedures for satisfying requirements in S 37.2-504 or S 37.2-605 of the Code of Virgicia fora local consumer dispute resolution mechanism. 6. Financial Management Requirements, Policies, and Procedures a. Generally Accepted Accounting Principles: If it is an operating board, a behavioral health authority, or an administrative policy board that is not a city or county department or agency or is not required to adhere to local government finaneial management requirements, policies, and procedures, a Board's financial management and accounting system must operate and produce financial statements and reports in accordance with Generally Accepted Accounting . Principles, It must include necessary personnel and financial records and a fixed assets sy~tem. It must provide for the practice of fund accounting and adhere to cost accounting guidelines issueq by the Department. If it is an administrative policy board that is a city or county department or agency or is required to adhere to local government financial management requirements, policies, and procedures or it is a local government department with a policy- advisory board, a Board shall comply with local government financial management requirements, policies, and procedures. If the Department receives any complaints about the Board's financial management operations, the Department will forward these complaints to the local government and any other appropriate authorities. In response to those complaints, the Department may conduct a review of that Board's financial management activities. b. Accounting: Boards shall account for all service and administrative expenses accurately and submit timely reports to the Department to document these expenses. Boards shall comply with the Uniform Cost Report Manual issued by the E?epart,ment, pursuant to S 37.2-508 or S 37.2-608 of the Code of Virginia, whepsubrnitting reports to the Department in accordance with requirements contained in th'e Community Services Performance Contract. ';::" "".' ,,-,..,..,- '" -, ,c. Annual Independent Audit: If it is an operating board, a behavioral health authority, oran administrative policy board that is not a city or county department or agency or is not required to 'adhere to local government financial management requirements, policies, and procedures, a Board shall obtain an independent annual audit conducted by certified puplic accountants. Audited financial statelllents ,shall be prepared in accordance with generally accepted accounting princiRles(GMP). The appropri'!te GMP basis financial reporting model is the Enterprise Fund in acc()rdance with, the requirElmellts of GovElrnmental Accounting Standards Board (GAS B) Statement Number 34, Basic FinanCial Statements- and , Management's Discussion and AnaIYsis- for State and Local Governments. GASB 34 replaces the previous financial reporting model Health Care Organizations Guide, produced by the American Institute of Certified Public Accountants. Copies of the audit and the accompanying management letter must be provided to the Office of Budget and Financial Reporting in the Department and to each local government that established the Board. Boards shall, to the extent practicable, obtain unqualified audit opinions. Deficiencies and exceptions noted, in an audit or 5. 05-31-2007 Community Services Performance Contract General Requirements Docllment . management letter must be resolved or correctedwithin a reasonable period of time, mutually agreed upon by the Board and the Department. ' If it is an administrative' policy board that is a city or county department or agency or is required to adhere tb local government financial management requirements, policies, and procedures' or it is a local government department with a policy- advisory board, a Board shall be included in the annual audit of its local government. Copies of the applicable portions of the accompanying management letter must be provided to the Offic~ of Budget and Financial Reporting in the Department. Deficiencies and exceptions noted in a management letter must be resolved or c;orrected within a re<;lsonable period of time, mutually agreed upon by the Board, its local government(s), and the Department. ..' If an administrative policy board that is a city or eourity"department or agency or is required to adhere to local government financial management requirements, policies, and procedures or a local government department with a policy-advisory board obtains a separate independent annual audit condueted by certified public accountants, audited financial statements shall be prepared in accordance with generally accepted accounting principles. The appropriate GAAP basis financial reporting model is the Enterprise Fund in accordance with the requirements of Governmental Accounting Standards Board (GASB) Statement Number 34, Basic Financial Statements- and Management's Discussion and Analysis- for State and Local Governments. GASB 34 replaces the previous financial reporting model Health Care Organizations Guide, produced by the American Institute of Certified Public Accountants. The local government will determine the appropriate fund classification in consultation with its certified public accountant. Copies of the audit and the accompanying management letter must be provided to the Office of Budget and Financial Reporting and to each local government that established the Board. Boards shall, to the extent practicable, obtain unqualified audit opinions. Deficiencies and exceptions noted in an audit or management-letter must be resolved or corrected within a reasonable period of time, mutually agreed upon by the Board and the Department. d. Federal Audit Requirements: When the Department subgrants federal grants to a Board, all federal government audit requirements must be satisfied. e. Subcontractor Audits: Every Board shall obtain, review, and take any necessary actions on audits, which are required by the Financial Management Standards for Community Services Manual issued by the Department, of any subcontractors that provide services that are procured under the Virginia Public Procurement Act and included in a Board's performance contract. The Board shall provide copies of these audits to the Office of Budget and Financial Reporting in the Department. f. Bonding: If it is an operating board, a behavioral health authority, or an administrative policy board that is not a city or county department or agency or is not required to adhere to local government financial management requirements, . policies, and procedures, Board employees with financial r~sponsibilities shall be bonded in accordance with local financial management policies. g. Fiscal Policies and Procedures: If it is an operating board, a behavioral health authority, or an administrative policy board that is not a city or county department or agency or is not required to adhere to local government financial management requirements, policies, and procedures, a Board's written fiscal policies and procedures shall conform to applicable State Board policies and Departmental policies and procedures, contained in the Financial Management Standards for Community Services Manual issued by the Department. FY 2008 6. 05-31-2007 Community Services Performance Contract General Requirements Document h. Financial Management Manual: If it is an operating board, a behavioral health authority, or an administrative policy board that is not a city or cdunty department or agency or is not required to adhere to local government financial management requirements, policies, and procedures, a Board shall be in material compliance with the requirements in the current Financial Management Standards for Community Services Manual issued by the Department. i. Local Governmefl~ Approval: Boards shall slJbmit their performance contracts to the local governments in their service areas for review and approval, pursuant to 937.2-508 or 9 37.2-608 of the Code of Virginia, which requires approval of the contracts by September 30. Boards shall submit their contracts to the local governing bodies of the cities and counties that established them in accordance with the schedules determined by those governing bodies or at least 15 days before meetings at which the governing bodies are scheduled to consider approval of their contracts. Unless prohibited from doing so by its local government(s), a Board may submit its contract to the Department before it is approved by its local government( s). j. Department Review: If a Board is an operating board, a behavioral health authority, or an administrative policy board that is not a city or county department or agency oris not required to adhere to local government financial management requirements, policies, and procedures, the Department may conduct a review of the Board's financial management activities at any time. While it does not conduct routine reviews of the Board's financial management activities, the Department may conduct a review in response to significant deficiencies, irregularities, or problems identified in the Board's independent annual audit or management letter or in response to complaints or information that it receives. Boards shall submit formal- plans of correction to the Office of Budget and Financial Reporting in the Department within 45 days of receipt of official reports of reviews.. Minor . compliance issues must be corrected within 45 days of submitting a plan. Action to correct major compliance issues must be initiated within 45 days and completed within 180 days of submitting a plan, unless tlie bepartmentgl'ants an extension. If it is an administrative policy board that is a city or county department or agency or is required to adhere to local government financial management requirements, policies, and procedures or it is a local government department with a policy- advisory board, the Department may conduct a review of a Board's financial management activities at any time in order to fulfi.ll its responsibilities for federal sub-recipient (Board) monitoring requirements under the Single Audit Act (OMB Circular A-133). While it does not. conduct routjne reviews of the Board's financial management activities, the Department may conduct a review in response to significant deficiencies, irregularities, or problems identified in ilie Board's audit or management letter or in response to complaints or information (hat it receives. Such reviews shall be limited to sub-recipient monitoring responsibilities in Subpart 0.400 of the Single Audit Act associated with receipt of federal}unds by the Board. Boards shall submit formal plans of correction to the Office of Budget and Fin~ncial Reporting in the Dep<lrtment within 45 days of receipt of official reports of reviews. Minor compliance issues must be corrected within 45 days of submitting a plan. Action to correct major compliance issues must be initiated within 45 days and completed within 180 days of submitting a plan, unless the Department grants an extension. k. Balances of Unspent Funds: In calculating amounts of unspent state funds, the Department shall prorate balances of unexpended unrestricted funds after the close of the fiscal year among unrestricted state funds, local matching funds, and fee revenues, based on the relative proportions of those revenues received by the FY 2008 7. 05-31-2007 Community Services Performance Contract General Requirements Document Board. This normally will produce identified balances of unrestricted state funds, local matching funds, and fee revenues, rather than just balances of unrestricted state funds. Restricted state funds, such as Programs of Assertive Community Treatment (PACT) and Discharge Assistance Projects (DAP),.shall be aceounted for separately, given their restricted status, and the Department shall identify balances of unexpended restricted state funds separately. 7. Procurement Requirements, Policies, and Procedures a. Procurement Policies and Procedures: If it is an operating board, a behavioral health authority, or an administrative policy board that is not a city or county department or agency or-is not required to adhere to local government procurement requirements, policies, and procedures, a Board shall have written procurement policies and procedures in effect that address internal procurement responsibilities, small purchases and dollar thresholds, ethics, and disposal of surplus property. Written procurement policies and procedures relating to vendors shall be in effect that address how to sell to the Board, procurement, default, and protests and appeals. All written policies and procedures must conform to the Virginia Public Procurement Act and the current Community Services Procurement Manual issued by the Department. If it is an administrative policy board that is a city or county department or agency or is required to adhere to local government procurement requirements, policies, and procedures or it is a local government department with a policy-advisory board, a Board shall comply with its local government's procurement requirements, policies, and procedures, which must conform to the Virginia Public Procurement Act. If the Department receives any complaints about the Board's procurement operations, the Department will forward these complaints to the local government and any other appropriate authorities. In response to those complaints, the Department may conduct a review of that Board's procurement activities. b. Procurement Manual: If it is an operating board, a behavioral health authority, or an administrative policy board that is not a city or county department or agency or is not required to adhere to local government procurement requirements, policies, and procedures, a Board shall be in material compliance with the requirements contained in the current Community Services Procurement Manual issued by the Department. c. Department Review: If a Board is an operating board, a behavioral health authority, or an administrative policy board that is not a city or eounty department or agency or is not required to adhere to local government procurement requirements, policies, and procedures, the Department may conduct a review of the Board's procurement activities at any time. While it does not conduct routine reviews of the Board's procurement activities, the Department may conduct a review in response to significant deficiencies, irregularities, or problems identified in the Board's independent annual audit or management letter or in response to complaints or information that it receives. The review will include a sampling of Board subcontracts. Boards shall submit formal plans of correction to the Office of Administrative Services in the Department within 45 days of receipt of official reports of reviews. Minor compliance issues must be corrected within 45 days of submitting a plan. Action to correct major compliance issues must be initiated within 45 days and completed within 180 days of submitting a plan, unless the Department grants an extension. FY 2008 8. 05-31-2007 Community Services Performance Contract General Requirements Document 8. Reimbursement Requirements, Policies, and Procedures . ,. a. Reimbursement System: Each Board's reimbursement system shall comply with 937.2-504, 9 37.2-511, 937.2-605, 937.2-612, and 920-61 of the Code of Virginia. Its operation must be described in organizational charts identifying all staff members, flow charts, and specific job descriptions for all personnel involved in the reimbursement system. b. Policies and Procedures: Written fee ,collection policies and procedures shall be adequate to maximize revenues from consumers and responsible third party payors. c. Schedule of Charges: A schedule of charges shall exist for all services that are included in the Performance Contract, shall be related reasonably to the cost of the services, and shall be applicable to all recipients of the services. d. Ability to Pay: A method, approved by a Board's board of directors, that complies with applicable state and federal regulations shall be used to evaluate the ability of each consumer to pay fees for the services he or she receives. e. Reimbursement Manual: Boards shall be in material compliance with the requirements in the current Community Services Reimbursement Manual issued by the Department. f. Department Review: While it does not conduct routine reviews of the Board's reimbursement activities, the Department may conduct a review at any time in response to significant deficiencies, irregularities, or problems identified in the Board's independent annual audit or management letter or in response to complaints or information that it receives. Boards shall submit formal plans of correction to the Office of Cost Accounting and Reimbursement in the Department within 45 days of receipt of official reports of reviews. Minor compliance issues must be corrected within 45 days of submitting a plan. Action to correct major compliance issues must be initiated within 45 days and completed within 180 days of submitting a plan, unless the Department grants an extension. g. Medicaid and Medicare Regulations: Boards shall comply with applicable federal and state Medicaid and Medicare regulations, polieies, procedures, and provider agreements. Medicaid non-compliance issues identified by Department staff will be communicated to the Department of Medical Assistance Services. 9. Human Resource Management Requirements, Policies, and Procedures a. Statutory Requirements: If it is an operating board, a behavioral health authority, or an administrative policy board that is noi a city or county department or agency or is not required to adhere to loeal government human resource management requirements, policies, arid procedures, a Board shall operate a human resource management program that complies with state and federal statutes, regulations, and policies. When its executive director position becomes vacant, a Board shall provide to the Office of Community Contracting in the Department a current position description and salary range and the advertisement for the position for review, pursuant to 9 37.2-504 or 9 37.2-605 of the Code of Virginia~ This review does not include Department approval of-the selection or employment of a particular candidate for the position. In accordance with 9 37.2- 504 or 9 3.7.,2-605 of the Code of Virginia, if.it is an operating board or a behavioral health authority, a Board shall employ its executive director under an annually renewable contract that contains performance objectives and evaluation criteria. A Board shall provide a copy of this employment contract to the Department upon req uest. FY 2008 9. 05-31-2007 Community Services Performance Contract General Requirements Document If it is an administrative policy. board that is a city or county: department or agency or is required to adhere to local government human resource management requirements, policies, and procedures or it is a local government department with a policy-advisory board, a Board shall be part of a human resource management program that complies with state and federal statutes, regulations, and policies. When its executive director position becomes vacant, a Board shall provide to the Office of Community Contracting in the Department a current position description and the advertisement for the position for review, pursuant to ~ 37.2-504 of the Code of Virginia. This review does not include Department approval of the selection or employment of a particular candidate for the position. b. . Policies and Procedures: If it is an operating board, a behavioral health authority, or an administrative policy board that is not a city or county department or agency or is not required to adhere to local government human resource management requirements, policies, and procedures, a Board's written human resource management policies and procedures must include a classification plan and uniform employee pay plan and must address benefits, progressive discipline (standards of conduct), professional conduct, employee ethics, compliance with the state Human Rights Regulations and the Board's local human rights policies and procedures, conflicts of interest, employee performance evaluation, equal employment opportunity, employee grievances, hours of work, leave, outside employment, recruitment and selection, transfer and promotion, termination and layoff, travel, initial employee orientation, examinations, employee to executive director and board of directors contact protocol, and on-the-job expenses. If it is an administrative policy board that is a city or county department or agency or is required to adhere to local government human resource management requirements, policies, and procedures or it is a local government department with a policy-advisory board, a Board shall adhere to its local government's human resource management policies and procedures. c. Job Descriptions: If it is an operating board, a behavioral health authority, or an administrative policy board that is not a city or county department or agency or is not required to adhere to local government human resource management requirements, policies, and procedures, a Board must have written, up-to-date job descriptions for all positions. Job descriptions must include identified essential functions, explicit responsibilities, and qualification statements, expressed in terms of knowledges, skills, and abilities as well as business necessity and bona fide occupational qualifications or requirements. d. Grievance Procedure: If it is an operating board, a behavioral health authority, or an administrative policy board that is not a city or county department or agency or is not required to adhere to local government human resource management requirements, policies, and procedures, a Board's grievanee procedure must satisfy ~ 15.2-1506 or ~ 15.2-1507 of the Code of Virginia. e. Uniform Pay Plan: If it is an operating board, a behavioral health authority, or an administrative policy board that is not a city or county department or agency or is not required to adhere to local government human resource management requirements, policie-s, and procedures, a Board must adopt a uniform pay plan in accordance with ~ 15.2-1506 of the Code and the Equal Pay Act of 1963. f. Department Review: If it is an operating board, a behavioral health authority, or an administrative policy board that is not a city or county department or agency or is not required to adhere to local government human resource management requirements, policies, and procedures, employee complaints regarding a Board's human resource management practices will be referred back to the Board for FY 2008 10. 05-31-2007 Community Services Pejformance Contract General Requirements Document appropriate local remedies. The Department may'conduct ahul"{lan resource management review to ascertain aBoard's compliance with performance contract requirements and assurances, based on complaints or other information received about a Board'shuman resource management practices. If a review is done and deficiencies are identified, a Board shall submit a formal plan of correction to the Office of Human Resource Management and Development in the Department within 45 days of receipt of an official report of a review. Minor compliance issues must be corrected within 45 days of submitting the plan. Action to correct major compliance issues must be initiated within 45 days and completed within 180 days of submitting the plan, unless the Department grants an extension. If it is an administrative policy board that is a city or county department or agency or is required to adhere to local government human resource management requirements, policies, and procedures or it is a local government department with a policy-advisory board, employee complaints regarding a Board's human resource management practices will be referred back to the local government for appropriate'local remedies. In response to complaints that it receives, the Department may conduct a review of the local government's human resource management practices at any. time. 10. Information Technology Capabilities and Requirements: Boards shall meet the following requirements: a. Hardware and SoftWare Procurement: Any hardware and software purchased by a Board with state or federal funds shall be capable of addressing requirements established by the Department, including communications, compatibility, and network protocols and the reporting requirements in the Perforrnance Contract. Such procurements may be subject to review and approval by the Office of Information Technology Services in the Department. b. Operating Syst~ins: Boards shall useor have access to operating systems that are compatibl(3 with oLarEl ~bfe t9 communicate with the Department's network. A Board's computer network or system must be capable of supporting and running the Department's CARS-ACCESS software and Community Consumer Submission 3 (CCS 3) extract software and should be capable of processing and reporting standardized aggregate and individual consumer, service, outcome, and financial information based on documents and requirements listed in the Performance Contract. c. Electronic Communication: Boards shall ensure that their information systems communicate with those used by the Department and that this communication conforms to the security requirements of the Health Insurance Portability and Accountability Act of 1996. This communication shall provide file and data exchange capabilities for automated routines and access to legally mandated systems via the TCP/lP networking protocol. d. Data Access: B.9ards shall d(3yelop and implement or access automated systElTlls th<')t allow for ()utpu! of fiscal, service, anq,P9nsumer data, taking into consideration th(3need for appr6pria.tesecurity and confidentiality. Output shall be in a format prescribed by ttie Department. In addiiion to regular reporls, such data may be used to prepare ad hoc reports on consumers and services and to update Department files using this information. Boards shall ensure that their inforrnation systems meet all applicable state and federal confidentiality, privacy, and security requirements, particularly concerning the distribution of identifying information, diagnosis, service history, and service use and that their information systems are compliant with the Health Insurance Portability and Accounlability Act of 1996. FY2008 11. 05-31-2007 . Community Services Performance Contract General Requirements Document 11. Licensing: Boards shall complywith the currentlicensing regulaJions adopted by the State Board. Boards shall establish systems to ensure ongoing compliance with applicable licensing regulations. Results of licensing reviews, including scheduled reviews, unannounced visits, and complaint investigations, shall be provided to all members of a Board in a timely manner. 12. Quality of Care a. Individualized Services Plan (ISP) 1) Assessment: Each consumer shall receive an assessment appropriate to his or her needs that a) includes, where appropriate, consideration of co- occurring mental illness, mental retardation, or substance use disorder, b) is consistent with the Department's licensing regulations, and c) is performed by an individual with appropriate clinical training. The assessment and the development of the ISP shall be completed within time periods specified in the applicable Medicaid or Departmental licensing regulations! After the initial assessment, the consumer shall be referred to a qualified service provider for treatment appropriate to his or her condition or needs. 2) Service Planning: Boards shall develop and implement a written ISP for each consumer who is admitted that is appropriate to his or her needs and the scope of the services required and reflects current acceptable professional practice. This ISP shall include an assessment of level of functioning, treatment goals, and all services and supports needed, whether delivered by a Board, its subcontractors, or other providers. 3) Plan Implementation: The implementation of the ISP shall be documented and the ISP shall be reviewed within the time periods specified in applicable Medicaid or Departmental licensing regulations, or for unlicensed services, except motivational treatment,consumer monitoring, assessment and evaluation, early intervention, orconsumcer:ti.m::;ervices as defined in the current Core Services Taxonomy andinwhicti an ISP is not required, at least every six months or more often as indicated by the consumer's level of functioning. Discharge planning and discharge from services shall be consistent with the ISP or the program's criteria for discharge. 13. Planning a. General Planning: Boards shall participate in collaborative local and regional service and management information systems planning with state facilities, other Boards, other public and private human services agencies, and the Department, as appropriate. In accordance with ~ 37.2-504 or ~ 37.2-605 of the Code of Virginia, Boards shall provide input into long-range planning activities that are conducted by the Department, including the Comprehensive State Plan required by ~ 37.2-315 of the Code of Virginia. Boards shall report unduplicated community waiting list information to the Department when required for the Comprehensive State Plan update. Boards shaUwork with local prevention planning bodies 'composed of representatives o(rriultiple systems and groups to develop communil}t-based prevention plans based on assessed needs and resources and submit annual Community Prevention Plan reports to the Department. b. Participation in State Facility Planning Activities: Boards shall participate in collaborative planning activities with the Department to the greatest extent possible regarding the future role and structure of the state facilities that it operates. FY 2008 12. 05-31-2007 Community Services Performance Contract General Requirements Document 14. Interagency Relationships ;. a. Pursuant to the case management requirements of !l37.2-500 or !l37.2-601 of the Code of Virginia, Boards shall, to the extent practicable, develop and maintain linkages with other community and state agencies and facilities that are needed to assure that their consumers are able to access the treatment, training, . rehabilitative, and .habilitative mental health, mental retardation, and substance abuse services and supports identified in their individualized se'rvices plans. Boards shall comply with the provisions of !l37.2~504 or !l37.2-605 of the Code of Virginia regarding interagency agreements. b. Boards also shall develop and maintain, in conjunction with the courts having jurisdiction in the cities and counties served by the Boards, eooperative linkages that are needed to carry out the provisions of !l37.2-805 through !l37.2-821 and related sections of the Code of Virginia pertaining to the involuntary admission process. c. Boards shall develop and maintain the necessary linkages, protocols, and interagency agreements to effect the provisions of the Comprehensive Services Act for At-Risk Youth and Families (!l2.2-5200 through !l 2.2-5214 of the Code of Virginia) and Part Cof the Individuals with Disabilities Education Act (20 U.S.C. !l1431 et seq. and !l2.2-5300 through !l2.2-5308 of the Code of Virginia) that relate to services that they provide. Pursuant to !l2_2-5305 and !l 2.2-5306 of the Code of Virginia, a Board shall provide information to the Local Interagency Coordinating Council of which it is a member that is necessary to satisfy state and federal requirements about Part C services that it provides directly to Part C- eligible individuals. Nothing in this Document shall be construed as requiring Boards to provide services related to these acts in the absence of sufficient funds and interagency agreements.. 15. Providing Information: Boards shall provide any information requested by the Department that is related to performance of or compliance with the Performance Contract in a timely manner, considering the type, amount, and availability of the information requested. The provision of information shall comply with applicable laws and regulations governing the confidentiality, privacy, and security of information regarding individuals receiving services from Boards. 16. Forensic Services a. Upon receipt of a court order pursuant to !l19.2-169.2 of the Code of Virginia, a Board shall provide or arrange for the provision of services to restore the individual to competency to stand trial. These services shall be provided in the local or regional jail, juvenile detention center (when a juvenile is being tried as an adult), or other location in the eommunity where the individual is currently located. These services shall include treatment and restoration services, emergency services, assessment services, the provision of medications and medication management services, and other services that may be needed by the individual in order to restore him to competency and to prevent his admission to a state hospital for these services. b. Upon'written notification from a state facility that an individual hospitalized for treatment for restoration to competency pursuant to !l19.2-169.2 of the Code of Virginia has been restored to competency and is being discharged back to the community, a Board shall provide or arrange for the provision of services in the local or regional jail, juvenile detention center (when a juvenile is being tried as an adult), or other location in the community where the individual is located to that individual to ensure the maintenance of his psychiatric stability and FY 2008 13. 05-31-2007 Community Services Performance Contract General Requirements Document competency to stand trial. Services shall. include treatment and restoration services, emergency services, assessment services, the provision of medications and medication management services, and other services which may be needed by the individual in order prevent his readmission to a state hospital for these services. c. Upon receipt of a court order pursuant to !j16.1-356 of the Code of Virginia, a Board shall perform a juvenile competency evaluation. Upon receipt of a court order pursuant to !j16.1-357 of the Code of Virginia, a Board shall provide services to restore a juvenile to competency to stand trial through the Department's statewide contract. d. Upon receipt of a court order, a Board shall provide or arrange for the provision of forensic evaluations required by local courts in the community, in accordance with State Mental Health, Mental Retardation and Substance Abuse Services Board Policy 1041. e. Forensic evaluations and treatment shall be performed on an outpatient basis unless the results of an outpatient evaluation indicate that hospitalization is necessary. A Board shall consult with local courts in placement decisions for hospitalization of forensic consumers based upon evaluation of the individual's clinical condition, need for a secure environment, and other relevant factors. A Board's staff shall conduct an assessment of risk to provide information to the Commissioner for the determination of whether a forensic consumer in need of hospitalization requires placement in a civil facility or a secure facility. A Board's staff will contact and collaborate with the Forensic Coordinator of the state hospital that serves the Board in making this determination. A Board's assessment shall include those items required prior to admission to a state hospital, as provided in the Continuity of Care Procedures in Appendix A of this Document. f. Each Board shall designate a Forensic Admissions Coordinator, a Forensic Evaluation Coordinator, and an NGRI Coordinator to collaborate with the local courts, the forensic staff of state facilities, and the Department. Each Board shall notify the Department's Director of Forensic Services of the name, title, and contact information of these designees and shall inform the Director of any changes in these designations. Each Board shall ensure that designated staff complete the forensic training necessary to maintain forensic ce'rtification. g. Boards shall provide discharge planning for persons found not guilty by reason of insanity. Pursuant to !j19.2-182.2 through !j19.2 -182.7, and !j19.2-182.11 of the Code of Virginia, a Board shall provide discharge planning, collaborate with the state facility staff in preparing conditional release plans, implement the court's conditional release orders, and submit written reports to the court on the person's progress and adjustment inthe community no less frequently than every six months for acquittees who have been conditionally released to a locality served by the Board. A Board should provide to the Department's Director of Forensic Services written monthly reports on the person's progress and adjustment in the community for their first 12 continuous months in the community for acquittees who have been coriditionally released to a locality served by the Board and copies of court orders regarding acquittees on conditional release. h. If a forensic consumer does not meet the criteria for admission to a state hospital, his psychiatric needs should be addressed in the local jail, prison, detention center, or other correctional facility in collaboration with local treatment providers. FY 2008 14. 05-31-2007 . Community Services Performance Contract General Requirements Document 17. Access to Services for Individuals who are Deaf, Hard of Hearing, Late Deafened, or DeafbHnd: The Board should identify and develop'a working relationship with the Regional Deaf Services Program and the Regional Deaf Services Coordinator that serve the Board's service area and collaborate with them on the provision of appropriate, linguistically and culturally competent services, consultation, and referral for individuals who are deaf, hard of hearing, late deafened, or deafblind. 18. Subcontracting: A subcontract means a written agreement between a Board and another party under which the otherpar'ty performs any of the Board's obligations. Subcontracts, unless the context or situation supports a different interpretation or meaning, also may include agreements, memoranda of understanding, purchase orders, contracts, or other similar documents for the purchase of services or goods by a Board from another organization or agency or a person on behalf of an individual consumer. A subcontract does not include employment of staff by a Board through contractual means. a. Subcontracts: The written subcontract must, as applicable and at a minimum, state the activities to be performed, the time schedule and duration, the policies and requirements that are applicable to the subcontractor, the maximum amount of money for which a Board may become obligated, and the manner in which the . subcontnictorwill be compensated, induding paymerit time frames. Subcontracts shall notc9ntain provisions that require a subcontractor to make payments or contributions to a Board as a condition of doing business with the Board. A Board shall not include, assess, or otherwise allocate its own administrative expenses in its contracts with subcontractors. b. Subcontractor Compliance: A Board shall require that its subcontractors comply with the requirements of all applicable federal and state statutes, regulations, and policies that affect or are applicable to the services included in its Performance Contract. A Board shall require that any agency, organization, or individual with which it intends to subcontract services that are included in its Performance Contract is fully qualified and possesses and maintains current all necessary licenses or certifications from the Department and other applicable regulatory entities before it enters into the subcontract and places consumers in the subcontracted service. A Board shall require all subcontractors that provide services to consumers and are licensed by the Department tomaintain compliance with the Human Rights Regulations adopted by the State Board. A Board shall, to the greatest extent practicable, require all other subcontractors that provide services purchased by that Board for consumers and are not licensed by the Department to develop and implement pOlicies and procedures that comply with the Board's human rights policies and procedures or to allow the. Board to handle allegations. of human rights violations on behalf of the Board's consumers who are receiving services from such subcontractors. When a Board funds providers such as family members, neighbors, consumers, or other individuals t9 sef\ie. consumers, the $oard may comply with these requirements on behalf of those providers, if both parties agree. c. Subcontractor Dispute Resolution: Boards shall include contract dispute resolution procedures in their contracts with subcontractors. d. Quality Improvement ACtivities: Boards shall, to the extent practicable, incorporate specific language in their subcontracts regarding their quality improvement activities. Each vendor that subcontracts wilh a Board should have its own quality improvement system in place or should participate in the Board's quality improvement program. FY 2008 15. 05-31-2007 Community Services Performance Contract General Requirements Document B. Federal Requirements . . 1. General Federal Compliance Requirements: Boards shall comply with all applicable federal statutes, regulations, policies; and other requirements; including applicable provisions of thefederall'v1ental Health ~ervices Block Grant (CFDA 93.958) and the federal Substance A~use PreventiSln and Treatment Block Grant (CFDA 93.959) Requirements contained in Appendix C of this Document, and: a. the Federallmmi9ration Reform and Control Act of 1986; b. applicable provisions of Public Law 105-17, Part C of the Individuals with Disabilities Education Act, if a Board receives federal early intervention (Part C) funds; and c. Confidentiality of Alcohol and Substance Abuse Records, 42 C.F.R. Part 2. Boards shall prohibit the following acts by themselves, their employees, and agents performing services for them: . a. the unlawful or unauthorized manufacture, distribution, dispensation, possession, or use of alcohol or other drugs; and b. any impairment or incapacitation from the use of alcohol or other drugs (except the use of drugs for legitimate medical purposes). 2. Disaster Response and Emergency Service Preparedness Requirements: Boards agree to comply with section 416 of Public Law 93-288 and ~ 44-146.13 through ~ 44-146.28 of t~e Code of Virginia regarding disaster response and emergency service preparedness. Section 416 of P.L. 93-288 authorizes the State Office of Emergency SerVices to require the Department to comply with the Virginia Emergency Operations Plan, Volume 2, Appendix 12, Crisis Counseling and Emergency Mental Health Services. Appendix 12 requires Boards to comply with Department directives coordinating disaster responses to emergencies and to develop procedures for responding to major disasters. These procedures must address: a. conducting preparedness training activities; b. designating staff to provide counseling; c. coordinating with state facilities and local health departments or other responsible local agencies, departments, or units in preparing Board all hazards disaster plans; d. providing crisis counseling and support to local agencies, including volunteer agencies; e. negotiating disaster response agreements with local governments and state facilities; and f. identifying community resources. 3. Federal Certification Regarding Lobbying for the Mental Health and Substance Abuse Prevention and Treatment Block Grants: Boards certify, to the best of their knowledge and belief, that: a. No federal appropriated funds have been paid or will be paid, by or on behalf of the Board, to any person for influencing or attempting to influence an officer or employee of any agency, a Member of Congress, an officer or employee of Congress, or an employee of a Member of Congress in connection with the awarding of any federal contract, the making of any federal grant, the making of any federal loan, the entering into of any cooperative agreement, and the extension, continuation, renewal, amendment, or modification of any federal contract, grant, loan or cooperative agreement. b. 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 FY 2008 16. 05-31-2007 Community Services Performance Contract General Requirements Document any agency, a Member of Congress; an officer or employee of Cflngress, or an employee ,of a Member of Congress in connection with this federal contract, grant, loan, or cooperative' agreement; the Board shall complete and submit Standard Form-LLL, "Disclosure Form to Report Lobbying," in accordance with its instructions. c. The Board shall require 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. This certification is a material representation of fact upon which reliance was placed when this transaction was made or entered into. Submission of this certification is a prerequisite for making or entering 'into this transaction imposed by section 1352, Title 31, U.S. Code. Any person who fails to file the required certification shall be subject to a civil penalty of not less than $1 0,000 and not more than $100,000 for each such failure. C. State and Federal Requirements 1. Employment Anti-Discrimination: Boards certify that they will conform to the applicable provisions of Title VII of the Civil Rights Act of 1964 as amended, the Equal Pay Act of 1963, Sections 503 and 504 of the Rehabilitation Act of 1973, the Vietnam Era Veterans Readjustment Act of 1974, the Age Discrimination in Employment Act of 1967, the Americans With Disabilities Act of 1990, the Virginians With Disabilities Act, the Virginia Fair Employment Contracting Aet, the Civil Rights Act of 1991, regulations issued by Federal Granting Agencies, and other applicable statutes and regulations, including S 2.2-4310 of the Code of Virginia. Boards agree as followS. . a, Boards will not discriminate against any employee or applicanUor employment because of race, religion, color, sex, national origin, age, disability, or other basis prohibited by state law relating to discrimination in employment, except where there is a bona fide occupational qualification reasonably necessary to the normal operation of the Board. Boards agree to post in conspicuous places, available to employees and applicants for employment, notices setting forth the provisions of this nondiscrimination clause. . b. Boards, in all solicitations or advertisements for employees placed by or on behalf of themselves, will state that they are equal opportunity employers. c. Notices, advertisements, and solicitations placed in ac.cordance with federal law, rule, or regulation shall be deemed sufficient for the purpose of meeting these requirements. 2. Service Delivery Anti-Discrimination: Boards certify that they will conform to the applicable provisions of Title VI of the Civil Rights Act of 1964, Section 504 of the Rehabilitation Act of 1973, the Americans With Disabilities Act of 1990, the Virginians With Disabilities Act, the Civil Rights Act of 1991, regulations issued by the U.S. Department of Health and Human Services pursuant thereto, olher applicable statutes and regulations; and paragraphs a and b below. a. Services operated or funded by Boards have been and will continue to be operated in such a manner that no person will, be excluded from participation in, denied the benefits of, or otherwise subjected to discrimination under such services on the grounds of race, religion, color, national origin,age, gender, or disability, '. FY 2008 17. 05-31-2007 Community Services'. Performance ContractG.~neral Requirements Document b. Boards and their direct and contractual services will include these assurances in their services policie~ and practices and will post suitable noticJs of these assurances at each of their facilities in areas accessible to consumers. c. Boards will periodically review their operating procedures and practices to insure continued conformance with applicable statutes, regulations, and orders related to non-discrimination in service delivery. IV. Department Requirements A. State Requirements 1. Human Rights: The Departmerit shall operate the statewide human rights system described in the current Human Rights Regulations, monitor compliance with the human rights requirements in those regulations, and conduct reviews and investigations referenced in the Regulations. The Department's human rights staff shall be available on a daily basis, including weekends and holidays, to receive reports of allegations of violations of a consumer's human rights. 2. Licensing: The Department shall license programs and services that meet the requirements of the current Licensing Regulations and conduct licensing reviews in accordance with the provisions of those regulations. The Department shall respond in a timely manner to issues raised by a Board regarding its efforts to coordinate and monitor services provided by independent providers licensed by the Department. 3. Policies and Procedures: The Department shall revise, update, and provide to . Boards copies of the uniform cost report, financialmanagE:lment, procurement, and reimbursement manuals cited in sections 1I1.A.6, 7, and 8 of this Document. The Department shall provide or otherwise make available to Boards copies of relevant regulations and policies adopted by the State Mental Health, Mental Retardation and Substance Abuse Services Board. 4. Reviews: The Department shall review and take appropriate action on audits submitted by a Board in accordance with the provisions of this Document. The Department may conduct procurement, financial management, reimbursement, and human resource management reviews of a Board's operations, in accordance with provisions in section III of this Document. 5. Planning: The Department shall conduct long-range planning activities related to state facility and community services, including the preparation and dissemination of the Comprehensive State Plan required by ~ 37.2-315 of the Code of Virginia. 6. Information Technology: The Department shall operate and provide technical assistance and support, to the extent practicable, to Boards about the CARS- ACCESS information system and the Community Consumer Submission (CCS) software referenced in the Performance Contract and comply with State Board Policies 1030 and 1037. The Department shall operate the FIMS and the KIT Prevention System referenced in the Performance Contract. The Department shall develop and implement communication, compatibility, and network protocols in accordance with the provisions in section III of this Document. Pursuant to ~ 37.2- 504 and ~ 37.2-605 of the Code of Virginia, the Department shall implement procedures to protect the confidentiality of data accessed in accordance with the Performance Contract and this Document. The Department shall ensure that any software application that it issues to Boards for reporting purposes associated with the Performance Contract has been field tested by a reasonable number of Boards to assure compatibility and functionality with the major IT systems used by Boards, is operalional, and is provided to Boards sufficiently in advance of reporting deadlines to allow Boards to install and run the software application. FY 2008 18. 05-31-2007 Community Services Performam:e Contract General Requirements Document 7. Providing Information: The Department shall provide any inform<;ition requested by Boards that is related to performance of or compliance with the Performance Contract in a timely manner, considering the type, amount, and availability of the information requested. 8. Licensing Review Protocol for CARF-Accredited Board Outpatient and Day Support Services: The Department and Boards with directly operated programs that are accredited by the Commission on Accreditation of Rehabilitation Facilities (CARF) have agreed to. the following provisions, pursuant to the Partnership Agreement and in accordance with applicable requirements of the Code of Virginia and associated regulations. a. The Department's Office of Licensing shall accept CARF surveys as a review of regulation compliance for those licensing regulations or standards that are the same for outpatient and day support services at Boards that have triennial licenses for these services. These regulations or standards are identified in the crosswalk between the licensing regulations and CARF standards that follows this section (lV.A.8). b. The Office of Licensing shall accept the CARF review of compliance for the administrative, human resource, record management, and physical plant licensing regulations that also are covered by CARF regulations for outpatient and day support services. c. Boards that are accredited by the CARF shall provide the results of CARF surveys to the Office of Licensing. These results shall be public documents. d. The Office of Licensing shall conduct annual unannounced focused reviews as required by the Code ofYirginia on specific areas of risk and on areas not covered by CARF standards, which may inClude eri1ergel)cy services in outpatient services, case management services licensed under the outpatient license, medication administration, review of incidents, or areas cited for deficiencies as a result of complaints or in previous surveys. e. The Office of Licensing shall continue to access the same documents, records, staff, and consumers that it needs to access to conduct inspections and complaint investigations. f. When practicable, the. Office of Licensing shall issue triennial licenses to coincide with CARF accreditations. g. New services implemented by a Board shall not be SUbject to these provisions until they achieve triennial licensing status. h. The Office of Licensing shall conduct complaint investigations. Boards shall continue to report serious injuries to or deaths of consumers and allegations of abuse or neglect to the Department. The Offices of Licensing and Human Rights shall review these reports to ensure that reporting continues as required by applicable provisions of the Code of Virginia and associated human rights and licensing regulations. i. Should multiple or serious violations be identified as a result of an investigation or inspection or the Department reduces a license in one of these services, full inspections by the Office of Licensing of all licensing regulations shall resume. FY 2008 19. 05-31-2007 I Community Services Performance Contract General Requirements Document , ~"_,, C j ." !i:!jGe a "son ..,." .~o , _~ " 10, Authority and Applicability .' ' 20 Definitions Ch. 105, Part II. Licensing Process 30 Licenses 40 Application Requirements 50 Issuance of Licenses 60 Modification 70 Onsite Reviews , 80 Complaint Investigations 90 Compliance 100 Sanctions 110 Denial, Revocation or Suspension of a License 120 Variances 130 Confidentiality of Records Ch. 105, Part III. Administrative Services 140 License Availability 150 Compliance with Laws, Regulations, and Policies Sec.l. H3 160 Reviews by Department: Request for Information Sec. 1, Hl; Sec. 3,F1-2 170 Corrective Action Plan 180 Notification of Changes 190 Operating Authorily,'Goverr:'ling Body, and Organizational Structure Sec.l, Gl, G2, G 3 200 APpointment of Administrator , 210 Fiscal Accountability Sec. 1, 11, ;2-6. i9 220 Indemnity Coverage Sec. 1, il0-ll 230 Written Fee Schedule Sec. 1, 18 240 Policy/Funds of Individuals Receiving Services Sec. 1, i12 250 Deceptive or False Advertising Sec. 1, G4 260 Building Inspection and Classification 270 Building Modifications 280 Physical Environment Sec. 1, El; Sec. 2. C1 290 Food Service Inspections Sec.1.E.l. 300 Sewer and Water Inspections Sec.l.E.l. 310 Weapons Sec. 2, C8 320 Fire Inspections Sec.l.E.1. 330 Beds 340 Bedrooms 350 Condition of Beds 360 Privacy SecA. R.6. 370 Ratios of Toilets, Basins, Showers or Baths 380 Lighting 390 Confidentiality and Security Personnel Records 400 Criminal Registry Checks Sec. 1, F2 410 Job Description Sec. 1, F5 420 Qualifications of Employees or Contractors Sec. 1. F3 430 Employee ar Contractor Personnel Recards Sec. 1, F6 440 Orientation of New Employees, Contractors, Volunteers, and Students Sec. 1, F2 FY 2008 20. 05-31-2007 Community Services Performance Contract General Requirements Document 450 Employee Training & Development . Sec.;2, 04 460 Emergency Medical or First Aid Training Sec. 2, C4 470 Notification of Policy Cha~ges 480 Employee or Contractor Performance Evaluation See. 1, F5 490 Written Grievance Policy Sec. 1, 04, 05 500 Students and Volunteers See: 1, F6 510 Tuberculosis Screening Sec. 1, F2 520 Risk Management Sec. 1, 19 530 Emergency Preparedness and Response Plan Sec. 1, E3, E4 540 Access to Telephone in Emergencies; Emergency Telephone Numbers Sec. 1, E3, E4 550 First Aid Kit Accessible _.. Sec. 1, E9 560 Operable Flashlights or Battery Lanterns Ch.10S, Part IV. Services and Supports 570 Mission Statement Sec. 1, G2 580 Service Description Requirements Sec. 3, A1, A2 590 Provider Staffing Plan Sec.1,F1 600 Nutrition 610 Community Participation 620 Monitoring and Evaluating Service Quality Sec. 1, C6 630 Policies on Screening, Admission, and Referrals Sec. 3, 81, 82, 83 640 Screening and Referral Services Documentation and Retention Sec. 3, 81 650 Assessment Policy See. 3, 87-12 660 Individualized Services Plan (ISP) Sec. 3, C1-2 670 ISP Requirements Sec. 3, C1-2 680 Progress Notes or Other Documentation Sec. 3, C4 690 Orientation Sec. 3, 86 700 Written"PoJicies and Procedures for a Crisis or Clinical Emergency . 710 Documenting Crisis Intervention and Clinical Emergency SelVices Sec. 3, A10 720 Health Care Policy Sec. 3, E1,2, E3-6, E7-8, E9 730 Medical Information 740 Physical Examination 750 Emergency Medical Information Sec. 2, C10, Sec. 3, 87-12 760 Medical Equipment 770 Medication Management Sec. 3, E1-2, E3-6, E7-8, E9 780 Medication Errors and Drug Reactions 790 Medication Administration and Storage or Pharmacy Operation 800 Policies and Procedures on Behavior Management Techniques Sec. 3, F1-2, F3, F4-15 810 Behavioral Treatment Plan 820 Prohibited Actions 830 Seclusion, Restrain~ and Time Out Sec.3.F. 840 Requirements for Seclusion Room 850 Transition of Individuals Among Services Sec. 3, 01, 02-7 860 Discharge . Sec. 3, 01, 02-7 Ch. 105, Part V: Records Management 870 Written Records Management Policy Sec. 3, G1, G2-3, G4, G5-6 880 Documentation Policy Sec. 3.G. 890 Individual's Service Record Sec. 3.G, 900 Record Storage and Security Sec. 3.G. 910 Retention of Individual's Service Records Sec. 3,G. 920 Review Process for Records Sec. 3, G1-6, H1-5 FY 2008 21. 05-31-2007 Community Service,~ Performance Contract General Requirements Document Ch. 105, Part VI. Additional Requirements for Selected Services 930 Registration, Certification, or Accreditation 940 Criteria for Involuntary Termination from Treatment 950 Service Operation Schedule 960 Physical Examinations 970 Counseling Sessions 980 Drug Screens . 990 Take-Home Medication 1000 Preventing Duplication of Medication Services 1010 Guests 1020 Detoxification Prior to Involuntary Discharge 1030 Opioid Agonist Medication Renewal 1040 Emergency Preparedness Plan 1050 Security of Opioid Agonist Medication Supplies 1060 Cooperative Agreements with Community Agencies 1070 Observation Area 1080 Direct-Care Training for Providers of Detoxification Services 1090 Minimum Number of Employees Of Contractors on Duty 1100 Documentation 1110 Admission Assessments 1120 Vital Signs 1130 Light Snacks and Fluids 1140 Clinical and Security Coordination 1150 Other Requirements for Correctional Facilities 1160 Sponsored Residential Home Information 1170 Sponsored Residential Home Agreements 1180 Sponsor Qualification and Approval Process 1190 Sponsored Residential Home Service Policies 1200 Supervision 1210 Sponsored Residential Home Service Records 1220 Regulations Pertaining to Employees 1230 Maximum Number of Beds in Sponsored Residential Home 1240 Service Requirements for Providers of Case Management Services 1250 Qualifications of Case Management Employees or Contractors 1260 Admission Criteria 1270 Physical Environment Requirements of Community Gero-Psychiatric Residential Services 1280 Monitoring 1290 Service Requirements for Providers of Gem-Psychiatric Residential Services 1300 Staffing Requirements for Providers of Gero-Psychiatric Residential Services 1310 Interdisciplinary Services Planning Team 1320 Employee or Contract Qualifications and Training 1330 Medical Director 1340 Physician Services and Medical Care 1350 Pharmacy Services for Providers of Gero-Psychiatric Residential Services 1360 Admission and Discharge Criteria 1370 Treatment Team and Staffing Plan 1380 Contacts 1390 ICT and PACT Service Daily Operation and Progress Notes 1400 ICT and PACT Assessment 1410 Service Requirements FY 2008 22. 05-31-2007 Community Services Performance Contract General Requirements Document Appendix A:' Continuity of Care Procedures Overarching Responsibility: Sections 37.2-500 and 37.2-601 of the Code ofYirginia and State Board Policy 1035 state that community s.ervices boa~d~ (CSBs) are the single point of entry into publicly funded mental health, ment~l ~etardatiori, and substance abuse services. Related to this principle, it is the responsibility of Boards to assure ,that their consumers receive: · preadmission screening that confirms the appropriateness of admission to a state hospital or training center (stale facilities) and · discharge planning services, beginning at the time of admission to the state facility, that enable timely discharge from the state facility and appropriate post-discharge, community-based services. Throughout this Appendix, ttie term community services board (CSB) is used to refer to an operating CSB, an administrative policy CSB, a local government department with a policy- advisory CSB, or a behavioral health authority. State. hospital is defined in !l37.2-1 00 of the Code of Virginia as a hospital, psychiatrie institute, or other institution ope~ated by the Department that provides care and treatment for persons with mental illness. Training center,is defined in !l37.2- 100 as a facility operated by the Department for .the treatment, training, or habilitation of persons with mental retardation. These procedures must be read and implemented in conjunction with the current Discharge Planning Protocols, issued by the Department and incorporated by reference as part of this Document. Applicable provisions in the protocols have replaced most treatment team, discharge, and post-discharge activities that were described in these procedu~es; however a few remain in the procedures. In the event of a conflict between any Continuity of Care Procedures and the Discharge Planning Protocols, the provisions in the protocols shall apply I. State Facility Admission Criteria A State Hospitals . . 1. An individual.must meet the following criteria for admission to a state hospital. a. Adults: Due to a mental illness, the individual meets one or more of the criteria listed in section A and the criterion in section B: Section A: 1.) presents an imminent danger of harm to himself'; or 2.) presents an imminent danger to others '; or 3.) is substantially unable to care for himself' (a condition that may be manifested by the following: evidences a persistent inability or refusal to care for personal basic needs in a manner that is appropriate to his or her age or physical capacities and significantly threatens personal health and safety); or 1 . Criteria for involu~tary admission to a state hospital pursuant to !l 37.2-814 et seq. of the Code of Virginia. 4.) has a condition that requires intensive monitoring of newly prescribed drugs with'a high rate of complications or adverse reactions; or 5.) has a condition that requires intensive monitoring and intervention for toxic effects from therapeutic psychotropic medication and short term community stabilization is not deemed to be appropriate; and Section B: ' 4.) alternatives 10 admission have been investigated and there is no less restrictive alternative to admission (!l37.2-817 of the Code of Virginia). FY 2008 23. 05-31-2007 Community Services Performance Contract General.Requirements Document b. Children and Adolescents: Due to a mental illness, the child o( adolescent meets one or more of the criteria in section A and both criteria in sectiorl B: . Section A: 1.) presents a serious danger to self or others such that severe or irremediable injury is likely to result, as evidenced by recent acts o'r threats 2; or 2.) is experiencing a serious deterioration of his ability to care for himself in a developmentally age-appropriate manner, as evidenced by delusional thinking or significant impairment of functioning in hydration, nutrition, self-protection, or self control 2; or 2 Criteria for parental or involuntary admission to a state hospital. 3.) requires monitoring of newly prescribed drugs with a high rate of complications or adverse reactions or monitoring for toxic effects from therapeutic psychotropic medication; and Section B: 4.) is in need of inpatient treatment for a mental illness and is likely to benefit from the proposed treatment; and 5.) all treatment modalities have been reviewed and inpatient treatment at a state hospital is the least restrictive alternative that meets the minor's needs (!l16.1- 338, ~16.1-339, and ~ 16.1-344 of the Code of Virginia). The determination of least restrictive alternative should be a joint decision of the case management CSB and the receiving state hospital, with input from the consumer and family members. The eSB must document specific community alternatives considered or attempted and the specific reasons why state hospital placement is the least restrictive setting for the individual at this time. 2. Admission to state hospitals is not appropriate for: a. individuals who have behaviors that are due to medical disorders, neurological disorders (including head injury), or mental retardation and who do not have a qualifying psychiatric diagnosis or serious emotional disturbance; b. individuals with unstable medical conditions that require detoxification services or other extensive medical services; c. individuals with a diagnosis of dementia, as defined in the Diagnostic and Statistical Manual, unless they also have significant behavioral problems, as determined by qualified state hospital staff; d. individuals with primary. diagnoses of adjustment disorder, anti-social personality disorder, or conduct disorder; and e. individuals with a primary diagnosis of substance use disorder. 3. In most cases, individuals with severe or profound levels of mental retardation are not appropriate for admission to a state hospital. However, individuals with a mental illness who are also diagnosed with mild or moderate mental retardation but are exhibiting signs of acute mental illness may be admitted to a state hospital if they meet the preceding criteria for admission due to their mental illness and have a primary need for mental health services. Once these psychiatric symptoms subside, the person must be reassessed according to AAMR criteria and must be discharged to an appropriate setting. 4. Individuals with a mental illness who are also diagnosed with a co-occurring substance use disorder may be admitted to a state hospital if they meet the preceding criteria for admission. 5. For a forensic admission to a state hospital, an individual must meet the criteria for admission to a state hospital. FY 2008 24. 05-31-2007 . Community Services Performance Contract General Requirements Document B. Training Centers 1. Admission to a training center for a person with mental retardation will occur only when all of the following circumstances exist. . a. The training center isthe I~.ast restrictive and most appropriate available placement to meet the individuaJ's"'treatment and training needs. . b. Programs in the community cannot provide' the necessary adequate supports and services required by an individual as determined by the CSB, pursuant to 937.2- 505 or 937.2-606 of the Code of Virginia. c. It has been documented in the person's plan of care that the individual and his or her parents or authorized representative have selected ICF/MR services after being offered a choice between ICF/MR and community MR waiver services and that they agree with placement at a training center. d. The training center director approves the admission to the training center, with the decision of the director being in compliance with State Board regulations that establish the procedure and standards for issuance of such approval, pursuant to 937.2-806 of the Code of Virginia. e. Documentation is present that the individual meets the definition of mental retardation and level 6 or 7 of the ICF/MR Level of Care. f. The individual demonstrates a need for extensive or pervasive supports and training to perform activities of daily living (ICF/MR Level of Care 6 or 7). g. The individual demonstrates one or more ofthe following con'ditions: · exhibits challenging behaviors (e.g., behavior patterns that may be manifested in self"injurious behavior, aggression toward others, or behaviors that pose public safety risks), · does not have a mental health diagnosis without also having a mental retardation diagnosis, or . is medically fragile (e.g., has a chronic medical condition or requires specialized technological health care procedures or ongoing support to prevent adverse physical consequences ). 2. After the training center director approves the admission, the CSB shall initiate the judicial certification process, pursuant to 9 37.2-806 of the Code of Virginia. 3. Admission to a training center is not appropriate for obtaining: a.extensive medical services required to treat an unstable medical condition, b. evaluation and program development services, or c. treatment of medical or behavioral problems that can be addressed in the community system of care. 4. Special Circumstances for Short-Term Admissions a. Requests for respite care admissions to training centers must meet the criteria for . admission to a training center and the regulations adopted by the State Board. The admission must be based on the need for a temporary placement and 'will not exceed stat~tory time limits (21 consecuti\(e dayspra maximum of 75 days in a calendar year) set forth in 937.2-807 of the Code of Virginia. b. Emerg~ncy admissions to training centers must meet' the criteria for admission to a training center and must: . · be based ori specific, current circumstances that threaten the individual's health or safety (e.g., unexpected absence or loss of the person's caretaker), · require that alternate care arrangements be made immediately to protect the individual, and ' · not exceed statutory time limits (21 consecutive days or a maximum of 75 days in a calendar year) set forth in 937.2-807 of the Code of Virginia. FY 2008 25. 05-31-2007 Community Services Performance Contract General Requirements Document c. No person shall be admitted to a training center for a respite admjssion or an' emergency admission unless the CSB responsible fex the person's care, normally the case management CSB, has agreed in writing to begin serving the person on the day he or she is discharged from the training center; if that is less than 21 days after his or her admission, or no later than 21 days after his or her admission. II. Preadmission Screening Services and Assessments Required Prior to ~tate Facility Admission A. CSB Preadmission Screening Requirements 1. CSBs will perform preadmission screening assessments on all individuals for whom admission, or readmission if the person is already in ttie hospital, to a state hospital is sought. A qualified CSB employee or designee shall conduct a comprehensive face- to-face evaluation of each individual who is. being screened for admission to a state hospital. All CSB preadmission screeners for admission to state hospitals shall meet the qualifications for preadmission screeners as required in 9 37.2-809 of the Code of Virginia. 2. CSBs should ensure that employees or designees who perform preadmission screenings to a state hospital have expertise in the diagnosis and treatment of mental illnesses and co'nsult, as appropriate, with professionals who have expertise in working with and evaluating persons with mental retardation or substance use disorders or children and adolescents with serious emotional. disturbance. 3. CSBs should ensure that employees or designees who perform preadmission screenings to a training center have expertise in the diagnosis and treatment of mental retardation and consult, as appropriate, with professionals who have expertise in working with and evaluating individuals with mental illnesses or substance use disorders. 4. Results of the CSB's comprehensive face-to-face evaluation of each individual who is being screened for admission to a state facility should be forWarded to the receiving state facility for its review before the person's arrival at the facility, This evaluation should include the CSB assessments listed in the following section. 5. When an individual who has not been screened for admission by a CSB arrives at a state facility, he should be screened in accordance with procedures negotiated by the state facility and the CSBs that it serves. State facility staff will not perform preadmission screening assessments. 6. Preadmission screening CSBs must notify the state hospital immediately in cases in which the CSB preadmission screener did not recommend admission but the individual has been judicially admitted to the state hospital. 7. The case management CSB or its designee shall conduct preadmission screening assessments for the readmission of any of its consumers in a state hospital. B. Assessments Required Prior to Admission to a State Hospital 1. If there is reason to suspect the presence of a substance use disorder, to the extent practicable, a substance use disorder screening, including completion of: a. a comprehensive drug screen including blood alcohol concentration (BAC), with the consumer's consent, and b. the Substance Abuse Subtle Screening Inventory (SASSI) or Simple Screening Instrument (SSI) for adults or the adolescent version of SASSI for adolescents age 12 and older. The SASSI will not be required for youth under age 12. FY 2008 26. 05-31-2007 Community Services Performance Contract General Requirements Document 2. To the extent practicable, a medical assessment performed by an aVpilable medical professional (Le., an M.D. or a nurse practitioner) at, for example, the CSB or an emergency room. Elements of a medical assessment include a physical examination and a.medical screening of: - - .a. known-medical diseases or other disabilities; b. previous psychiatric and medical hospitalizations; c. medications; d. current use of alcohol and illicit drugs, using blood alcohol concentrations and the results of the comprehensive drug screen; and e. physical symptoms that may suggest a medical problem. 3. An assessment of the individual's mental status, including the presence of a mental illness and a differential diagnosis of mental retardation, that includes: a. a completed DMHMRSAS MH Preadmission Screening form, forwarded to the receiving state hospital before the individual's arrival;- b. a face-to-face interview, including arrangements for translation or interpreter services for individuals; c. clinical assessment information, as available, including documentation of: . a mental status examination, · current psychotropic and other medications, including dosing requirements, . medical and psychiatric history, · substance use, dependence, or abuse, · information and recommendations of other current service providers (e.g., treating physicians) and appropriate significant persons (e.g., spouse, parents), and . ability to care for self; d. a risk assessment, including: . evaluation of dangerousness to self or others and · initiation of dLJty to take precautions to protect third parties in accordance with S 54.1-2400.1 of the Code of Virginia, as appropriate; e. a medical. screening (see medical assessment section); f. an assessment of capacity to consent to treatment, including an evaluation of such processes as the ability to: · maintain and communicate choice, . understand relevant information, and · understand the situation and its consequences; and g. an assessment of alternatives to admission and determination that state hospital placement is the least restrictive intervention, with appropriate documentation. 4. If there is reason to suspect the presence of mental retardation, to the extent practicable, a psychological evaluation that reflects the person's current level of functioning based on the current AAMR criteria must be performed if a recent psychological evaluation is not already available to the prescreimer. 5. When a state hospital accepts a direct admission, the Medical Officer on Duty should be contacted prior to' admission to determine which of these assessments are needed. C. CSB Assessments Required Prior to Admission to a Training Center 1. When indicated (e.g., current or past substance dependence or addiction), a substance use disorder screening, including completion of: a. a comprehensive drug screen including blood alcohol concentration (BAC), with the consumer's consent, and E=Y 2008 27. 05-31-2007 Community Services Performance Contract General Requirements Document b. the Substance Abuse'Subtle Screening Inventory (SASSI) or Sim,ple Screening Instrument (SSI) for adults or the adolescent version of SASSI for adolescents age 12 and older. The SASSI will not be required for youth under age 12. 2. When indicated, an assessment of the individual's mental status to determine the presence of a co-occurring mental illness. This mental status assessment should include: a. a face-to-face interview, including arrangements for translation or interpreter services for individuals; c'., b. clinical assessment information, as available, including documentation of the following: . a mental status examination, . current psychotropic and other medications, including dosing requirements, . medical and psychiatric history, . substance use or abuse, . information and recommendations of other current service providers (e.g., treating physicians) and appropriate significant persons (e.g., spouse, parents), and . ability to care for self; c. a risk assessment, including: . evaluation of dangerousness to self or others and . initiation of duty to take precautions to protect third parties in accordance with !3 54.1-2400.1 of the Code of Virginia, as appropriate; and d. assessment of capacity to consent to treatment, including an evaluation of such processes as the ability to: . maintain and communicate choice, . understand relevant information, and . understand the situation and its consequences. 3. A completed application package, which includes the following for a certified admission: a. a completed DMHMRSAS MR Preadmission Screening form forwarded to the receiving training center before the individual's arrival; b. an ICF/MR Level of Care Assessment; c. an MR Social History form; d. a Medical History form and a Current Medical Information form, which contains a statement, signed by a physician within 30 days prior to the date of the admission application, indicating that the individual is free of communicable diseases; e. a psychological evaluation that reflects the person's current level of functioning based on the current AAMR criteria; f. release of information forms for pertinent consumer information to be transferred between the CSB and the training center; g. a plan for discharge, including tentative date of discharge, appropriate services and supports, and the name of the CSB case manager; and h. an assessment of alternatives to admission and a determination, with appropriate documentation, that training center placement is the least restrictive intervention. 4. For emergency admissions to a training center, information requirements for the admission package are limited, but must include: a. a completed DMHMRSAS MR Preadmission Screening form; b. an MR Social History form; FY 2008 28. 05-31-2007 Community Services Performance Contract General Requirements Document c. a Medical History form and Current Medical Information form, whic,h contains a . statement, signed by a physician within 30 days prior to the date of the admission application, as to whether the individual is free of communicable diseases; and d. a psychological evaluation, with level of mental retardation base.d on the MIV1R criteri~~ that reflects \he person's current level of functioning and ICF/MR level of care. D. CSB Disposition of Individuals with j\.cute or Unstable Medical Conditions 1. Individuals who are experiencing acute or unstable medical conditions wiUnot receive medical clearance for admission to a state hospi~alor training center. Examples of these conditions include: untreated acute medical conditions requiring surgery or other immediate treatment, acute pneumonia, respiratqry distress, acute renal failure or chronic renal failure requiring dialysis, unstable diabetes, symptoms of alcohol or drug toxicity, and erratic consciousness of unknown origin. . 2. CSBs should have procedures in place to divert individuals with acute medical conditions who do not meet state facility admission criteria to appropriate medical facilities. Individuals whose medical assessments indicate the presence of an acute or unstable medical condition must be referred by the CSB for immediate treatment in an appropriate medical facility. E. Procedures for Dealing with Inappropriate Judicial Admissions to State Facilities 1. The individual's case management CSB shall immediately formulate and implement a discharge plan, as required by 9 37.2-505 or 9 37.2-606 of the Code bf Virginia, if a state hospital determines that an individual who has been judicially'admitted to the hOspital is inapprop"riate for admission (e.g., the person does not mest the admission criteria listed in these procedures). 2. CSBs will be notified of the numbers of their admissions that state hospitals have determined do not meet the admission criteria in these procedures. State hospitals will report this information to the Department and the-affected CSBs at least quarterly in a format prescribed by the Department. This information will be discussed during the bi- monthly utilization review and utilization management process developed and implemented by CSBs and state hospitals, which is described in the next section. This will include inappropriate jail transfers for evaluation and treatment. III. CSB Participation on Interdisciplinary Treatment Teams and Coordination with State Facility in Service Planning . Refer to the current Discharge Planning Protocols, issued by the Department and incorporated by reference as part of this Document, for other CSB requirements related to participation in treatment planning while the consumer is in the state hospital or training center (state facility). A. Staff of the case management CSBs shall participate in readmission hearings at state hospitals by attending the hearings or participating in teleconferences or video conferences. State hospital staff will not represent CSBs at readmission hearings. B. CSBs and state facilities shall develop and implement a bi-monthly utilization review and utilization management process to discuss and address issues related to the CSB's utilization of state facility services. This includes reviewing the status and lengths of stay of the CSB's consumers and developing and implementing actions to address census management issues. . FY 2008 29. 05-31-2007 Community Services Performance Contract General Requirements Document IV. CSB Discharge Planning Responsibilities. '. Refer to the current Discharge Planning Protocols, issued by the Department and incorporated by reference as part of this Document, for other CSB requirements related to discharge planning responsibilities. A. State facilities shall provide or arrange transportation, to the extent practicable, for consumers for discharge-related activities. Transportation includes travel from state facilities to community settings for trial visits and back to state facilities after such visits. The case management CSB. shall provide or arrange transportation, to the extent practicable, for an individuaiwhose admission to a state facility has been determined to be inappropriate, resulting iri the person's discharge in accordance with 9 37.2-837, 937.2-505,937.2-606, or 9 16.1-346.B of the Code of Virginia, and shall provide or arrange transportation for consumers when they are discharged from state facilities. V. Discharge Criteria and Resolution of Disagreements about a Consumer's Readiness for Discharge A. Each state facility anGthe CSBs that it serves will use the following discharge criteria. 1. State Hospitals . a. Adults: An adult will be discharged from a state hospital when hospitalization is no longer clinically appropriate. The interdisciplinary treatment team will use all of the following criteria to determine an individual's readiness for discharge: 1.) the individual presents no persistent danger to self or others, and 2.) the individual is able to care for himself at an age-appropriate and disability- appropriate level with or without community-based supports; and, in addition, 3.) inpatient treatment goals, as documented in the person's individualized treatment plan, have been addressed sufficiently, and 4.) the individual is free from serious adverse reactions to or complications from medications and is medically stable. . b. Children and Adolescents: A child or an adolescent will be discharged from a state hospital when he or she no longer meets the eriteria for inpatient care. The interdisciplinary treatment team will use the following criteria to determine an individual's readiness for discharge: 1.) the minor no longer .presents a serious danger to self or others, and 2.) the minor is able to care for himself in a developmentally appropriate manner; and, in addition, 3.) the minor, if he is on psychotropic medication, is free from serious adverse effects or complications from the medications and is medically stable; OR when any of the following apply: 4.) the minor is unlikely to benefit from further acute inpatient psychiatric treatment; 5.) the minor has stabilized to the extent that inpatient psychiatric treatment in a state hospital is no longer the least restrictive treatment intervention; or 6.) if the minor is a voluntary admission, the legal guardian or the minor, if he is age 14 or older, has withdrawn consent to admission (916.1-338.0 of the Code of Virginia), unless continued hospitalization is authorized under 9 16.1-339, 9 16.1- 340, or S 16.1-345 of the Code of Virginia within 48 hours of the withdrawal of consent to admission. 2. Training Centers: An individual will be discharged from a training center when institutional care is no longer clinically appropriate. The interdisciplinary treatment team will use the following clinical criteria to determine an individual's readiness for discharge: FY 2008 30. 05-31-2007 Community Services Performance Contract General Requirements Document a. the individual no longer needs the level of behaVioral training or Il)edical treatment provided by the training center; , b_ the individual's unique psychosocial and medical needs can be met by an appropriate commu'nity provider; c. training and treatment goals, as documented in the person's Individual Habilitation Plan (IHP), have been addressed; and. d. the individual is free from serious adverse medication reactions and medical complications and is medically stable. B. The state facility shall provide assessment information that is equivalent to the information specified in sectionsll.B. or II.C. (~xceptfor items 8.3.a. and g. and C.3.a. and h.) of these procedures to the CSB when a consumer is being considered for discharge to the community. C. The CSB shall be notified when the state f<icility interdisciplinary treatment team deterrnines that an individual admitted to a state facility does not meet the admission criteria in these procedures and needs to be discharged in accordance with ~ 37.2-837 and ~ 37.2-505 or ~ 37.2-606 of the Code of Virginia. D. A disagreement as to whether a consumer is ready for disCharge from a state facility is solely a clinically-based disagreement between the state facility treatment team and the CSB that is responsible for the individual's care in the community. A dispute may occur when either: 1. the treatment team determines that the individual is clinically ready for discharge and the CSB disagrees; or 2. the CSB determines that an individual is clinically ready for discharge and the treatment team disagrees. VI. CSB Post-discharge Services Refer to the current Discharge Planning Protocols, issued by the Department and incorporated by refererice as part of this Document, for other CSB requirements related to post-discharge services responsibilities. ' A. Individuals discharged from a training ceriter who have missed their first appointment with a CSB case manager or in a day support program shall be contacted by the ease management CSB within 14 calendar days. B. To'reduce readmissioris to training centers, CSBs shall, to the extent practicable, establish an MR crisis stabilization/behavior management capability to work with individuals who have been discharged from a training center who are having difficulty adjusting to their new environments. FY 2008 31. 05-31-2007 Community ServicesJ~er;l'orm<!nce Contract General Requirements Document Appendix B: Discharge Assistance Project Procedures 1. Purpose The purpose of the Discharge Assistance Project (DAP) is to obtain and provide community resources to support the successful discharge and placement of state hospital consumers receiving long-term, extended rehabilitation services or other state hospital consumers whose special needs have prevented placement in the community and for whom specialized supports and targeted funding are needed for successful community placement. If a Board receives state general or federal funds from the Department ~pecifically identified for the DAP, the Board shall adhere to these procedures, which are subjeCt to all of the applicable provisions of this Document and the Board's Performance Contract with the Department. In the event of a conflict between any DAP Procedures and any other provisions of this Document or the Performance Contract, those other provisions of this Document or of the Contract shall apply. 2. Development and Approval of Individualized Services Plans (ISPs): Under the DAP, the Board agrees to develop and implement ISPs to serve identified consumers in the community by providing the services and supports necessary for their successful community placement. 2.1 The Board shall use state general and federal funds provided by the Department and other funds associated with DAP ISPs obtained by the Board, such as Medicaid-fee-for service payments, Targeted Case Management fees, Rehabilitation (State Plan Option) fees, and MR Waiver fees, other third party and direct consumer fees, and local government funds, solely for the discharge and community support of those consumers for whom the funds were requested and whose ISPs have been submitted to the Department. 2.1.1 Prior to the start of each state fiscal year, the Department will send a Letter of Notification to the Board with an enclosure that shows the tentative allocations of state general and federal funds for the DAP, based on the current ISPs for the consumers currently enrolled in the DAP. . 2.1.2 After receipt, the Board shall review its Letter of Notification, current ISPs, DAP utilization reports, feedback from the Department, performance contract reports, and other relevant data. Based on this review, the Board shall develop or revise ISPs for the contract period and submit them to the Department for information purposes. 2.1.3 The total DAP expenses for all of the ISPs submitted pursuant to 2.1.2, less other funds associated with DAP ISPs (described in section 2.1), shall not exceed the amount of state general and federal funds allocated to the Board for the DAP. If the total DAP expenses are less than the Board's total DAP allocation, a representative of the Department's Office of Mental Health Services will contact the Board regarding unallocated DAP funds. If the Board is not able to develop one or more ISPs to utilize these funds for consumers who meet DAP criteria, the Department may reallocate these available DAP funds according to procedures in section 3, and the Board's ongoing total annual DAP allocation shall be reduced accordingly. In the event that a Board's DAP allocation is reduced, the Department shall provide a written notification of the change in DAP funding to the affected Board. This notification shall identify the revised annualized amount allocated to the Board for this project, the effective date of the change, and the individual consumers to be served for the remainder of the state fiscal year. 2.1.4 Upon review of the ISPs submitted pursuant to section 2.1.2, the Department shall provide a written Confirmation of DAP Funding to the Board. The Confirmation of DAP Funding, effective on the first day of the term of this contract, shall identify the total amount allocated to the Board for the DAP, the particular consumers to be served, and the annualized expenses of each consumer's ISP. FY 2008 32. 05-31-2007 Community Services Performance Contract General Requirements Document 2.1.5 Following review of the ISPs pursuant to section 2.1.2, the Board [l1ay adjust services and associated expenses at any time during the state fiscal year without approval from the Department, as long as the adjusted DAP expenses of all DAP consumers served by the Board do not exceed the Board's total DAP state general and federal funds allocation and the funding is used for enrolled DAP consumers whose ISPs have been submitted to the Department. The Department may review utilization and financial reports to determine the extent to which such funds transfers are occurring and may subsequently require revisions of ISPs or adjustment to or reallocation of statEl general andOtederal funding amounts. Revisions resulting from discharges from theDAP shall follow the reallocation procedures described in section 3 of these procedures. 2.1.6 If the Board wishes to enroll new consumers in the DAP, it shall submit ISPs to the Department for information purposes. The Board shall include a copy of the Needs Upon Discharge form and the Discharge Plan with each new ISP submitted. The Board may submit ISPs to enroll new consumers at any time, provided that such requests are within the Board's total annual DAP allocation of state general and federal funds and the new consumers meet DAP criteria. 2.1.7 Upon review of new ISPs submitted pursuant to sections 2.1.5 or 2.1.6, the Department shall provide a written Confirmation of the DAP Revision to the Board. The Confirmation of the DAP Revision shall identify the amount allocated to the Board forthe DAP, the effective date of the revision, the individual consumers to be served for the remainder of the contract term, and the annualized cost of each consumer's ISP. 2.2 The Board shall immediately notify the Department's Office of Mental Health Services whenever an enrolled consumer is re-hospitalized at a state hospital, incarcerated, or otherwise no longer requires DAP funding. Funds that become available as a result of such changes in consumer status shall follow the reallocation procedures described in section 3 of these procedures, 3. Reallocation of DAP Funds 3.1 The Board shall immediately notify the Department's Office of Mental Health Services whenever an enrolled consumer is discharged from the project, that is, he no longer requires DAP funding. Consumers may be discharged from the DAP for a number of reasons, including reloeation to another state, alternative funding sources, re- hospitalization, incarceration, death, or other situations that would make DAP funding unneeessary. 3.1.1 In cases where an enrolled consumer is re-hospitalized at a state hospital or incarcerated, but is likely to return to the community within 90 days, the Board may continue to receive the funds allocated for that consumer during this period. The Board may continue to receive DAP funds for longer than 90 days for such a . consumer only with the Department's approval. 3.1.2 In cases where a state hospital consumer has been enrolled in the DAP but actual discharge from the state facility occurs more than 90 days after the date of enrollment, the procedures in section 3.1.1 shall apply. 3.1.3 DAP funds received for enrolled consume~s' during pe~iods of hospitalization or incarceration; up to 90 days or longer pursuant to sections 3.1.1 and 3.1.2, may be utilized in the following ways. - 3.1.3.1 The Board may use all or a portion of the funds to maintain housing and provide transitional services for the consumer prior to his discharge. Discharge planning expenses are not allowable. FY 2008 33. 05-31-2007 Community Services Performance Contract General Requirements Document 3.1.3.2 The Board may use all or a portion of the funds for non-r;ecurring (one-time) treatment or support expenses for existing DAP enrollees that were not budgeted in their ISPs or reimbursed from other sources. These include expenses associated with medications, mental health or substance abuse treatment (excluding inpatient treatment), health and dental care or medically-necessary diagnostic tests, one-time purchases of goods needed for community living, and security deposits on housing arrangements. 3.1.3.3 The Board may submit a request to the Department to use all or a portion of the funds for other (nori~DAP) state hospital consumers whose special needs have prevented placement in the community and for whom specialized supports and targeted funding are needed for successful community placement. If the Department approves the request, the Board may use the funds for non-recurring (one-time) purchases to provide discharge assistance for non-DAP consumers in state hospitals. These purchases may include transitional services provided prior to discharge (excluding discharge planning expenses), medications, health and dental care, medically necessary diagnostic tests, goods needed for community living, and security deposits on housing arrangements. 3.1.4 DAP consumers hospitalized at a state hospital or incarcerated for more than 90 days shall be considered discharged from the project, unless the Board obtained Departmental approval to continue funding beyond 90 days, and DAP state general and federal funds allocated for their ISPs shall be reallocated according to the procedures in section 3.2. 3.2 The Department may reallocate state general and federal funds for the DAP that become available as a result of discharges from the DAP in the following ways. 3.2.1 The Department may reallocate the funds to support the discharge of another state hospital consumer who meets DAP criteria. The Board serving the identified consumer shall submit an ISP to the Department for information purposes within 30 days of notification that funds are available. 3.2.2 If the Department does not utilize the funds, the Board serving the consumer who was discharged from the DAP shall have the opportunity to develop a discharge plan for another state hospital consumer who meets DAP criteria or to reallocate funds to existing DAP consumers in need of additional supports, as evidenced by utilization reports. New or revised ISPs shall be submitted to the Department for review within 30 days of notification that funds are available. 3.2.3 If the Board does not identify an appropriate DAP consumer and submit an ISP within 30 days, the state hospital serving that Board's service area may determine whether those state general and federal DAP funds could be used to support the discharge of another consumer in that area who meets DAP criteria. The Board serving such an identified consumer shall submit an ISP to the Department for review within 30 days of notification that funds are available. 3.3 Upon review of ISPs developed using reallocated funds, the Department shall provide a written notification of changes in DAP funding to the Boards affected by the reallocation of funds. This notification shali identify the revised amount of state general and federal DAP funds allocated to each Board, the effective date of the change, and the individual consumers to be served for the remainder of the contract term. 4. Reporting 4.1 The Board shall provide aggregate semi-annual reports, as part of its performance contract reports, on the number of consumers served, the total expenditures for all DAP FY 2008 34. 05-31-2007 Community Services Performance Contract General Requirements Document ISPs, and the total amount of DAP restricted revenues expended, Boar,ds shall not be required to submit more frequent standard reports or reports on individual consumers. The Board also shall identify all DAP consumers that it serves in its CCS 3 extract submissions using the Consumer Designation Code for the DAP. 5. Project Management 5.1 The Department shall be responsible for the allocation of DAP state general and federal funds and the overall management of the Discharge Assistance Project (DAp). 5.2 The Board shall be responsible for managing DAP funds in accordance with the reviewed ISPs and the procedures described in this app~ndix. . 5.3 The Department shall allocate state general and federal DAP funds provided to support ISPs on a state fiscal year basis. 5.4 Within the Board's overall DAP budget, funds may be expended for any combination of services that assure the needs of participating consumers are met in a community setting. The Board shall update and revise ISPs in response to tlie changing needs of participating Consumers. 5.5 Revenues generated from third party and other sources for any DAP participating consumer shall remain in the Board's overall DAP budget to offset the costs of care for those consumers. The Board shall collect and utilize all available revenues from other appropriate sources to pay for DAP ISPs before using state general and federal funds to pay for those ISPs to ensure the'most effective use of these state general and federal funds. These other sources include Medicare; Medicaid-fee-for service, Targeted Case Management fees, Rehabilitation (State Plan Option) fees, and MR Waiver payments; other third party payors; auxiliary grants; SSI, SSDI, and direct payments by consumers; payments or contributions of other resources from other agencies, such as social services or health departments; and other state, local, or Department funding sources. 5.6 The Department may eonduct on-going u.ti,lization review of ISP~ anqani'Ilyze utilization and financial information and consumer-related events, such as re:hospitalization, to ensure the continued appropriateness of services and to monitor compliance with ISPs. The utilization review process may result in revisions of ISPs or adjustment to or reallocation of state general and federal funding DAP alloeations. 6. Compensation and Payment: The Department shall disburse semi-monthly payments of state general and federal funds to .the Board that are based on the ISPs reviewed pursuant to section 2.1.2 plus the projected cost of any ISPs subsequently reviewed by the Department. 7. Special Conditions 7.1 The first priority of the DAP shall be to discharge and support in a' community settif)g state hospital consumers identified in section 1 whose case management Board is an interested and willing participant in the DAP. 7.2 The Board's staff, in conjunction with the consumer's state hospital treatment team and the consumer or his authorized representative, shall identify individualized placements in the commlmity in accordange with the PrOcfjdures for Cpntinuity of Care Betwe~n Community Services Boards and State Psychiatric Facilities, 'Continuity of Care' Procedures, the Discharge Planning Protocols, and the consumer's ISP. ' 7.3 Services maY-be regionalized when possible and where there is demonstrated cost' effectiveness (e.~., long-term assisted living facilities). 7.4 Any medications supplied through the Community Resource Pharmacy, including atypical anti-psychotic medications, shall continue, if appropriate, and shall not be funded as part of a consumer's DAP ISP. Other medications that are not available through the FY 2008 ' 35. 05-31-2007 Community Services Performance Contract General Requirements Document Community Resource Pharmacy may be purchased with DAP funds an,d shall be accounted for accordingly. . 7.5 In the event ttiat a consumer identified as a participant in the Discharge Assistance Project chooses to relocate to another Board, the Department shall reallocate state general and federal DAP funds to that Board to support that consumer's ISP. These funds will be reallocated as a project fund transfer at the approved fundjng level in that consumer's ISP. Should funds other than state general and federal funds provided through the DAP be required to support the individual in the changed setting, it is the responsibility of the new Board to provide or obtain those funds. . 7.6 A particular consumer who is placed outside of the service area of his case management Board may have specific conditions associated with his ISP that do not conform with the provisions in section 7.5. For such a consumer, the Board agrees that, as the consumer's case management-Board, it will remain responsible for his out-of-service area placement. If state hospital readmission is required, the consumer will return to the state hospital of origin or the case management Board's primary state hospital. Discharge Assistance Procedures ISP Definitions Projected Units/Month: The number of units of a particular type of service that are required during a month's time. Type of Unit: Units are defined in the current Core Services Taxonomy. Unit Cost: The cost of providing a specific service. For services that are Medicaid reimbursable (Clinic, Rehabilitation [State Plan Option], or Targeted Case Management) enter the reimbursed cost. For other services, enter the Board's current actual unit cost, based on its uniform cost report figures. Months Needed: Number of months during the contract term that the service will be required. Annual Cost: Projected units x unit cost x months needed. local Match: Additional local match available for services. Other State Funds: As above. Medicaid Revenue: Reimbursement rate paid by the DMAS. other Revenue: Federal funds, Medica're fees, direct payments by consumers, SSI or other income supplements, other private payments, and any other revenues. Net State Project Funds: The annual cost of each specific service less local match, other state funds, Medicaid revenue, and other revenue. This determines the amount of state general funds required. Other Service (specify): Attach brief descriptive narrative. In addition to the completed ISP form, please include a brief social history/narrative that describes the following: . the consurner's readiness and appropriateness for discharge from the state hospital; . the consumer's length of stay and. relevant admissions history; . the proposed services design, i.e. a narrative elaboration of services listed in the ISP; . the fiscal circumstances of the consumer, e.g., income, resources, third-party insurers, Medicaid/Medicare eligibility; and . the projected date of discharge and the state hospital treatment team's agreement to the submitted plan and date of discharge. Other (start-up): Attach detailed budget and brief descriptive narrative. FY 2008 36. 05-31-2007 Community Services Performance Contract General Requirements Document Appendix C: Federal Substance Abuse Prevention and Treatment Blpck Grant Requirements . Certification Regarcling Environmental Tobacc() l>1TI()ke: Substance Abuse Prevention and Treatment (SAPT) Block Grant and Community Mental Health Services Block Grant Public Law 103-227, also known as the Pro-Children Act of 1994 (Act), requires that smoking not be permitted in any portion of any indoor facility owned or leased or contracted for by an entity and used routinely or regularly for the provision of health, day care, early childhood development services, education or library s~rvices to children underthe age on8; if the sehtices 'are funded by federal programs either directly or through state or local governments, by federal grant, contract, loan, or loan guarantee. The law also applies to children's services that are construCted, operated, or maintained with such federal funds. The law does not apply to children's services provided in private residences; portions of facilities used for inpatient drug or alcohol treatment; Boards whose sole source of applicable federal funds is Medicare or Medicaid; or facilities where WlC coupons are redeemed. Failure to comply with the provisions of the law may result in the imposition of a civil monetary penalty of up to $1,000 for each violation and/or the imposition of an administrative compliance order on the responsible entity. By signing a performance contract, a Board certifies that it will comply with the requirements of the Act and will not allow smoking within any portion of any indoor facility used for the provision of services to children as defined by the Act. A Board agrees that it will require that the language of this certification be included in any subawards that contain provisions for children's services and that all subrecipients shall certify accordingly. Special Federal Substance Abuse Prevention and Treatment Block Grant (CFDA 93.959) Compliance Requirements Treatment services provided with federal Substance Abuse Prevention and Treatment Block Grant (SAPT) funds must satisfy federally mandated requirements. SAPT funds must be treated as the payer of last resort only for providing services to pregnant women and women with dependent children and TB and HIV services [Source: 45 CFR ~ 96.137]. Relevant requirements of the Substance Abuse Prevention and Treatment Block Grants; Interim Final Rule (45 CFR Part 96) are summarized below. As subgrantees of the Department, the Board and its subcontractors under this performance contract are responsible for compliance with these requirements. Failure to address these require'ments may jeopardize all SAPT block grant funds awarded to the Board. 1. Meet Set-Aside Requirements: Federal law requires that the state expend its allocation to address established minimum set-asides. In order to address these set-asides, the Department shall designate its awards 10 the Board in specified categories, which may include: a. primary prevention, b. services to pregnant women and women with dependent children, and c. services for persons at risk of HIV/AIDS. The Board must utilize these funds for the purposes for which they are indicated in the performance contract and the letter of notification. The Board must provide documentation in its semi-annual (2nd quarter) and annual (4th quarter) performance contract reports of expenditures of the set-asides to the Office of Substance Abuse Services and the Division of Finance and Administration in the Department to ensure that the state meets its set-aside requirements. [Sources: 45 CFR ~ 96.124 and 45 CFR ~ 96.128] FY 2008 37. 05-31-2007 Community Services Performance Contract General Requirements Document 2. Primary Prevention Services: Federal law requires that funds designated for primary prevention services be' directed at individuals not identified to be in need oflreatment and that a variety of strategies be utilized, to include the following strategies. a. Information Dissemination: This strategy provides awareness and knowledge of the nature and extent of alcohol, tobacco, and druguse,'abuse, and addiction and their effects on individuals, families, and communities. It also provides knowledge and awareness of available prevention programs and services. Information dissemination is characterized by one-way communication from the source to the audience, with limited contact between the two. Examples of activities conducted and methods used for this strategy include: 1) clearinghouse and information resource center( s), 2) resource directories, 3) media campaigns, 4) brochures, 5) radio and TV public service announcements, 6) speaking engagements, 7) health fairs and health promotion, and 8) information lines. b. Education: This strategy involves two-way communication and is distinguished from the information dissemination strategy by the fact that interaction between the educator or facilitator and the participants is the basis of its activities. Activities under this strategy aim to affect critical life and social skills, including decision-making, refusal skills, critical analysis (e.g. of media messages), and systematic judgment abilities. Examples of activities conducted and methods used for this strategy include: 1) classroom and small group sessions (all ages), 2) parenting and family management classes, 3) peer leader and helper programs, 4) education programs for youth groups, and 5) children of substance abusers groups. c. Alternatives: This strategy provides for the participation of target populations in activities that exclude alcohol, tobacco, and other drug use. The assumption is that constructive and healthy activities offset the attraction to, or otherwise meet the needs usually filled by, alcohol, tobacco, and other drugs and would, therefore, minimize or obviate resort to the latter. Examples of activities conducted and methods used for this strategy include: 1) drug free dances and parties, 2) youth and adult leadership activities, 3) community drop-in centers, and 4) community-service activities. d. Problem Identification and Referral: This strategy aims at identification of those who have indulged in illegal or age-inappropriate use of tobacco or alcohol and those persons who have indulged in the first use of illicit drugs in order to assess if their behavior can be reversed through education. It should be noted, however, that this strategy does not include any activity designed to determine if a person is in need of treatment. Examples of activities conducted and methods used for this strategy include: 1) employee assistance programs, 2) student assistance programs, and 3) driving while under the influence and driving while intoxicated programs. e. Community-Based Process: This strategy aims to enhance the ability of the community to provide prevention and treatment services for alcohol, tobacco, and drug abuse disorders more effectively. Activities in this strategy include organizing, planning, enhancing FY 2008 38. 05-31-2007 Community Services Performance Contract General Requirements Document efficiency and effectiveness of services implementation, inter-agency cOllllboration, coalition building, and networking. Examples of activities conducted and methods'used for this strategy include: 1) community and volunteer training, e.g., neighborhood action training, training of key people in the system, staff and officials training; 2) systemic planning; 3) multi-agency coordination and collaboration; 4) accessing services and funding; and 5) community team-building. f. Environmental: This strategy establishes or changes written and unwritten community standards, codes, and attitudes, thereby influencing the incidence and prevalence of the abuse of alcohol, tobacco, and other drugs used in the general population. This strategy is divided into two subcategories to permit distinction between activities that center on legal and regulatory initiatives. and those that relate to the service and action~oriented initiatives. Examples of activities conducted and methods used for this strategy include: 1) promoting the establishment and review of alcohol, tobacco, and drug use policies in schools; 2) technical assistance to communities to maximize local enforcement procedures affecting the availability and distribution of alcohol, tobacco, and other drugs; 3) modifying alcohol and tobacco advertising practices; and 3) product pricing strategies. . [Source: 45 CFR ~ 96.125] 3. Services to Pregnant Women and Women with Dependent Children: Federal law requires that funds allocated to the Board under this set-aside must support, at a minimum, the following services, either directly or by a written memorandum of understanding: a. primary medical care for women, including referral for prenatal care, and child care while such women are receiving this care; b. primary pediatric care, including immunization for their children; c. gender-specific substance abuse treatment and other therapeutic interventions for women that may address issues of relationships, sexual and physical abuse, and parenting and child care while the women are. receiving these services; d. therapeutic interventions for children in custody of women in treatment that may, among other things, address their developmental needs and their issues of sexual and physical abuse and neglect; and e. sufficient case management and transportation to ensure that women and their.children have access to services provided by paragraphs 2,a-d. In addition to complying with the requirements described above, the Board shall: a. treat the family as a unit and; therefore, admit both women and their children into treatment services, if appropriate [Source: 45 CFR ~ 96.124(e)]; . b. report io the Department when it has insufficient capacity to provide treatment to the woman and make available interim services, including a referral for prenatal care, within 48 hours of the time the woman initially seeks services [Source: 45 CFR ~ 96.131]; and c. publicize the availability and priority of treatment for pregnant women [Source: 45 CFR ~ 96.131]. FY 2008 39. 05-31-2007 Community Services Performance Contract General Requirements Document 4. Preference in Admission: The Board must give preference in admission \0 pregnant women who seek or are referred for and would benefit from SAPT Block Grant-funded treatment services. The Board must give admission preference to consumers in the following order: a. pregnant injecting drug users, b. other pregnant substance abusers, c. other injecting drug users, and d. all other individuals. [Source: 45 CFR 9 96.128] 5. Services for persons at risk of HIV/AIDS: Federal law (45 CFR 9 96.128) requires that funds allocated to the Board under the HIV Early Intervention Serviees set-aside must support, at the sites at which the individuals are undergoing treatment for substance use disorders, the following services, either directly or by a written memorandum of understanding: a. appropriate pre-test counseling for HlV and AIDS; b. testing individuals with respect to such disease, including tests to confirm the presence of the disease, tests to diagnose the extent of the deficiency in the immune system, and tests to provide information on appropriate therapeutic measures for preventing and treating the deterioration of the immune system and for preventing and treating conditions arising from the disease; c. appropriate post-test counseling; and d. providing the therapeutic measures described in b. [Source: 45 CFR 9 96.121] Additionally, if the Board receives HlV Early Intervention Services set-aside funding, it must establish linkages with a comprehensive community resource network of related health and social services organizations to ensur~ a wide-based knowledge of the availability of serviees for HlV disease. [Source: 45 CFR 9 96.128] Finally, if the Board receives HIV Early Intervention Services set-aside funding, it must ensure that early intervention services for HIV disease are undertaken voluntarily by, and with the informed consent of, the individual, and that undergoing such services will not be required as a condition of receiving treatment services for substance abuse or any other services. [Source: Section 1924(b )(6) of the Public Health Service Aet] 6. Interim Services: Federal law requires that the Board, if it receives any Federal Block Grant funds for operating a program of treatment for substance addiction or abuse, either directly or through arrangements with other public or private non-profit organizations, routinely make available services for persons who have sought admission to a substance abuse treatment program yet, due to lack of capacity in the program, have not been admitted to the program. While awaiting admission to the program, these individuals must be provided, at a minimum, with certain interim services, including counseling and education about HIV and tuberculosis (TB). Interim services means services that are provided until an individual is admitted to a substance abuse treatment program. The purposes of such interim services are to reduce the adverse health effects of substance abuse, promote the health of the individual, and reduce the risk of transmission of disease. a. For pregnant women, interim services also include counseling about the effects of alcohol and drug abuse on the fetus and referral for prenatal care. [Source: 45 CFR 9 96.121, Definitions] b. At a minimum, interim services must include the following: 1) counseling and education about HIV and tuberculosis (TB), FY 2008 40. 05-31-2007 Community Services Performance Contract General Requirements Document 2) the risks of needle sharing, the risks of transmission to sexual partner~ and infants, and 3) the steps that can be taken to ensure theHIV and TB transmission does not occur and include referral for HIV or TB treatment services; if necessary. [Source: 45 CFR SS 96.121 and 96.126] 7. Services for Indi~iduals with Intravenous Drug Use: If the Board offers a program that treats individuals for intravenous drug abuse, it must a. provide notice to the Department within seven days when the program reaches 90 percent of capacity; . b. admit each individual who requests and is in need of treatment for intravenous drug abuse not later than: . 1) 14 days after making the request, or 2) 120 days after making the request if the program . has no capacity to admit the person on the date of the request, and · within 48 hours of the request makes interim services as defined in 45 CFR S 96.126 available until the individual is admitted to the program; c. maintain an active waiting list that includes a unique consumer identifier for each injecting drug abuser seeking treatment, including consumers receiving interim services while awaiting admission; d. have a mechanism in place that enables the program to: 1) maintain contact with individuals awaiting admission, and 2) admit or transfer individuals on the waiting list at the earliest possible time to an appropriate treatment program within a reasonable geographic area; e. take individuals awaiting treatment off the waiting list only when one of the following conditions exists: 1) such persons cannot be located for admission, or 2) such persons refuse treatment; and f. encourage individuals in need of treatment for intravenous drug use to undergo such treatment, using outreach methods that are scientifically sound and that can reasonably be expected to be effective; such outreach methods include: 1) selecting, training, and supervising outreach workers; 2) contacting, communicating, and following-up with high risk substance abusers, their associates, and neighborhood residents, within the constraints of federal and state confidentiality requirements, including 42 CFR Part 2; 3) promoting awareness among injecting drug users about the relationship between injecting drug abuse and communicable diseases, such as HIV; 4) recommending steps that can be taken to ensure that HIV transmission does not occur; and . 5) encouraging entry into treatment. [Sources: 45 CFR SS 96.121 and 96.126] 8. Tuberculosis (TB) Services: a. Federal law requires that the Board, if it receives any Federal Block Grant funds for operating a program of treatment for substance addiction or abuse, either directly or through arrangements with other public or private non-profit organizations, roulinely make available the following tuberculosis services to each individual receiving treatment for substance abuse [45 CFR S 96.121 (Definitions)]: 1) counseling individuals with respect to tuberculosis, 2) testing to determine whether the individual has been infected with mycobacteria tuberculosis to identify the appropriate form of treatment for the person, and FY 2008 41. 05-31-2007 Community Services Perf()rm~nce Contract General Requirements Document 3) providing for or referring the individuals infected with mycobacteria tuberculosis for appropriate medical evaluation and treatment:' ' b. The Board must follow the protocols established by the Department and the Department of Health and distributed by the Department of Health for screening for, detecting, and providing access to treatment for tuberculosis. c. All individuals with active TB shall be reported to the appropriate state official (the Virginia Department of Health, Division of TB Control), as required by state law and in accordance with federal and state confidentiality requirements, including 42 CFR Part 2. d. The Board shall: 1) establish mechanisms to ensure that individuals receive such services, and 2) refer individuals who are denied admission due to lack of service capacity to other providers of TB services. [Source: 45 CFR ~ 96.127] 9. Other Requirements a. The Board shall make available continuing education about treatment services and prevention activities to employees in SAPT Block Grant-funded treatment and prevention programs. The Board shall provide support to the greatest extent possible for at least 20 hours annually of prevention-specific training for prevention directors, managers, and staff. If the Board hires a new prevention director or manager, it agrees to support his or her participation in the 12-month prevention director mentorship program as space is available. b. The Board shall implement and maintain a system to protect consumer records maintained by SAPT Block Grant-funded services from inappropriate disclosures. This system shall comply with applicable federal'and state laws and regulations, including 42 CFR, and provide for employee education about the confidentiality requirements and the fact that disciplinary action may be taken for inappropriate disclosures. [Source: 45 CFR ~ 96.132] Faith-Based Service Providers: In awarding contracts for substance abuse treatment, prevention, or support services, the Board shall consider bids from faith-based organizations on the same competitive basis as bids from other non-profit organizations. Any contract with a faith-based organization shall stipulate compliance with the provisions of 42 CFR Parts 54 and 54a and 45 CFR Parts 96, 260, and 1050. Funding awarded through such contracts shall not be used for inherently religious activities, such as worship, religious instruction, or proselytizing. Such organizations are exempt from the requirements of Title VII of the Civil Rights Act regarding employment discrimination based on religion. However, such organizations are not exempt from other provisions of Title VII or from other statutory or regulatory prohibitions against employment discrimination based on disability or age. These organizations are subjecl to the same licensing and human rights regulations as other providers of substance abuse services. The Board shall be responsible for assuring that the faith-based organization complies with the provisions described in these sections. The Board shall provide eonsumers referred to services provided by a faith-based organization with notice of their right to services from an alternative provider. The Board shall notify the Office of Substance Abuse Services in the Department each time such a referral is required. Prevention Services Addressing Youth Tobacco Use and Underage Drinking: The Board shall select and implement evidence-based programs and practices that target youth tobacco use and underage drinking, based on rates of youth tobacco and alcohol use and age of first use that exceed or fall below state rates in the Board's service area. The Board shall integrate underage drinking, youth access, and smoking prevention strategies and education into prevention services as appropriate and report this integration through the KIT Prevention System. [Sources: 10. 11. FY 2008 42 USC 300x-26 and 45 CFR ~ 96.130] 42. 05-31-2007 Community Services Performance Contract General Requirements Document 12. Evidence-Based Programs: The Board shall ensure that a minimum of 50,percent of all prevention programs and strategies entered in the KIT Prevention System and supported wholly or in part by the SAPT Block Grant prevention set-aside are evidence-based or are included in a federal list or registry of evidence-based interventions. If the Board's rate exceeds 50 percent in FY 2007, it shall maintain or increase its FY 2007 percentage of evidence-based programs in FY 2008. The Board shall increase the minimum percentage of evidence-based programs to 75 percent by FY 2010. The Board shall replicate any evidence- based program as directed by that program's guidelines or as adapted in collaboration with that program's developer. FY 2008 43. 05-31-2007 <,," h FY200B Comm~nitySenii~e!? p~rforma~c:eCpntra~t "\ ' . ;'\ BIU~Rid:g~ Consolidated Budget - Mental Mental Health Retardation ~____ Expense~for MH~MRISA . 1__ .17)84'~ 4,610,272 [=_ 5,552,19~__27,646:==~ Expenses for Services Available Outside ofa Program Area 1,573,391 . . L - _ ____ [____~~_~==_------ Total E~~~~S .. ~_~~==~=--=~~=____=~- , --=[_~=,~~~3~:J ~~-----~~cal Match Computation ---"-~. ~1 ~-. ~~,,-~';:~I~,:.::. "..n. '."'''":"~ [ ld Total Expe~~es____ _ d:~~:0,343 l L_ % Administration 1__...22.7~~. ~.. Em....'" R~poM. .,"", ~ Expenses i~ 0 Revenue 0 .------ , 1;1IhibitA" '-'j' -.'. Revenue Source_ State Funds 2,867,436 State Restricted Funds 4,411,293 . 586,104 Local Matching Funds Fee Revenues 9,853,945 518,954 820,149 o FederalFunds Other Funds State Retained Earnings Federal Retained Earnings Other Retained Earnings Subtotal Funds 19,057,881 State Funds One-Time State Restricted Funds One-Time Federal Funds One-Time Subtotal One -Time Funds . '0 TOTAL ALL FUNDS 19,057,881 Total State Restricted and State Funds 9,993,209 .. - --c' -_.~-- Total Local Matching Funds 979,811 Total State and Local Funds :1' . 10,973,020 Total Local Match % .' 8.93% , . Fees Transferred To From Net -514,338 514,338 0 Report Date 8/2/2007 AF-1 '-,,-' ..' , Substance Abuse 375,844 ' 1,986,023 0 352,613 24,112 369,595 4,210,316 724,521 0 2,119,438 0 0 0 0 0 0 , 5,552,190 o . 4,610,272 5,552,190 Quarter C TOTAL 5,229,303 4,763,906 979,811 14,788,782 2,638,392 820,149 o o o 29,220,343 o o o o o 29,220,343 . _'.. .- "-,,.'-'-'<;l< FY2008 Performance Contract Blue Ridge Financial Comments_. Commentl In-Kind match of $224K is the depr~ciatlon realized from a gift to the Board of , Comment2 a building valued at $5,6m using straight-line depreciation over 25 years as Comment3 advised by our auditors - . Comment4 MH Other Funds consist of the f<;>lIowing: CSA funds from Roanoke City, Roanoke - Comment5 County and Botetourt County - $594,487, projected PATH and NGRI funds- Comment6 $65,623, DCJS funds - $102,980, and Office of Comprehensive funds - 57,059 Comment7 Comment8 Comment9 CommentlO Commentll Comment12 Comment13 Commentl4 Commentl5 ---------------.---.--------. ---~------_._-- ... Commentl6 --------- ------~--~~~-~-------- ----------~~-------- --~- Commentl7 . ---_.._-_.._.__.~.._-----------------_._~---_._._-- ....-....--...---.-......--- Commentl8 ....--..---.-..--.--- -------..-- .--- .__._.~ - ...-.-.-.------.--..-.------... ...- ---------.--.. -.-- ---------- ------ Commentl9 un_ _____~._.._---c-_.____.__.__________.___ ------------.------------ .--..-...-----..~--.--- ----- Comment20 .. .__._.. _..___~.._.______".______._n______.___ ---.--....------..-- .---.------.---.. .. ------.--------.---..-- -.---.-.. -. - Comment21 ~....- --- ------- --------------~- I Comment22 "-l , l--..- ----. .-----. -..----..--- ----~_._._...__.~ Comment23 , ~-_.. I ..-------.---.. Comment24 ----~-~~ E~m~n;~ .--------.-- ----------------- .-.. 'Report Date 8/2/2007 AF-2 FY 2008 Per:form~nce cphtract F,inanciaLSummary Mental Health Blue Ridge -.,.C.,<"' Revenue Source Fees MH Medicaid Fees MH Fees: Other Total MH Fees MH Transfer Fees (To)/From MH Net Fees Restricted Funds Federal MH FBG SED C & A MH FBG SMI MH FBG PACT MH FBG Geriatrics MH Fed PATH MH Other Federal - DMHMRSAS MH Other Federal - CSB MH Fed JABG Total Federal Restricted MH Funds State MH Acute Care (Fiscal Agent) MH Transfer In/(Out) Acute Care MH Net Acute Care MH Regional DAP (Fiscal Agent) MH Transfer In/(Out) Regional DAP MH Net Regional.DAP MH Facility Reinvestment (Fiscal Agent) MH Transfer In/(Out) Facility Reinvestment' MH Net Facility Reinvestment MH Regional DADlWlntex (Fiscal Agent) MH Transfer In/(Out) Regional DADlWintex MH Net Regional DADlWintex MH Crisis Stabilization (Fiscal Agent) MH Transfer In/(Out) Crisis Stabilization MH Net Crisis Stabilization MH Recovery (Fiscal Agent) MH Transfer In/(Out) Recovery MH Net Recovery MH Transformation (Fiscal Agent) MH Transfer In/(Out) Transformation MH Net Transformation Report Date 81212007 Revenue 8,804,235 535,372 9,339,607 514,338 AF-3 9,853,945 148,042 262,988 o o 12,487 o 95.437 o 518,954 404,771 o 404,771 549,604 o 549,604 o o o o o o 1,048,714 o 1,048,714 159,606 o 159,606 o o o FY 2008'Performance Contract Financial Summary Mental Health Blue Ridge Revenue Source MH DADlWintex MH PACT MH Discharge Assistance (DAP) MH CSA Non-Mandated MH Pharmacy (Blue Ridge) MH Demo Proj-System of Care (Child) . MH Juvenile Detention MH Jail Diversion/Service Total State Restricted MH Funds Other Funds MH Other Funds MH Federal Retained Earnings MH State Retained Earnings MH State Retained Earnings - Regional prog MH Other Retained Earnings Total Other MH Funds State Funds MH State General Funds MH State Regional Deaf Services MH State NGRI MH State Children's Services Total State MH Funds Local Matchino Funds MH In-Kind MH Contributions MH Local Other MH Local Government Total Local MH Funds Total MH Revenue MH One Time Funds MH FBG SWVMH Board MH FBG SMI MH FBG SED C & A MH State General Funds Total One Time MH Funds Total All MH Revenue Report Date 8/212007 Revenue o 700,000 282,764 238,146 917,688 o 110,000 o 4,411,293 820,149 o o o o 820,149 2,792,436 50,000 o 25,000 . 2,867,436 109,604 o o 476,500 586,104 19,057,881 o o o o o 19,057,881 AF-4 yo FY 2008 Performance Contract Financial Summary Mental Retardation "-'JB1ue- Ridge~ Revenue Sources Revenue Fees MR Medicaid Fees MR Medicaid ICF/MR MR Fees: Other 4,230,362 o 131,290 Total MR Fees MR Transfer Fees (To)/From MR Net Fees. Restricted Funds Federal MR Child Day Care MR Other Federal - DMHMRSAS MR Other Federal - CSB 4,361,652 ,151,336 4,210,316 o o o Total Federal Restricted MR Funds State MR Facility Reinvestment (Fiscal Agent) MR Transfer In/(Out) Facility Reinvestment MR Net Facility Reinvestment MR Transformation o o o o o Total State Restricted MR Funds o Other Funds MR Workshop Sales MR Other Funds MR State Retai~ed Earnings MR Other Retained Earnings Total Other MR Funds o o o o o State Funds MR State General Funds MR OBRA MR Family Support MR Children's Family Support 175,556 65,903 109,983 24,400 Total State MR Funds 375,844 Report Dllte 8/2/2007 AF-5 FY 2008 Performance Contract Financial Summary Mental Retardation Revenue Sources Local MatchlnQ Funds MR In-Kind MR Contributions MR Local Other MR Local Government Total Local MR Funds Total MR Revenue MR One Time Funds MR Waiver-Start Up Total One Time MR Funds Total ALL MR Revenue Report Date 8/2/2007 '.,:,,~ - Blue Ridg-e Revenue 24,112 o o o 24,112 4,610,272 o o 4,610,272 AF-6 " l' _' _ "'" . FY 2008 PerformanceCCpntract Financial Summary " -. -: Substance Abu.!;.e Revenue Sources Fees SA Medicaid Fees SA Fees: Other Total SA Fees SA Transfer Fees (To)/From SA Net Fees Restricted Funds Federal SA FBG Alcohol/Drug Trmt SA FBG Women SA FBG Prevention-Women SA FBG SARPOS SA FBG HIV/AIDS SA FBG Facility Diversion SA FBG Jail Services SA FBG Crisis Intervention SA FBG Prevention SA FBG Co-Occurring SA FBG Prev-Strengthenlng Families SA Other Federal - DMHMRSAS SA Other Federal - CSB SA Fed VASIP/COSIG SA Fed "Project Remote" SA FBG New Directions Total Federal Restricted SA Funds State SA Facility Reinvestment (Fiscal Agent) SA Transfer In/(Out) Facility Reinvestment SA Net Facility Reinvestment SA Facility Diversion SA Women SA Crisis Stabilization SA MAT SA Transformation SA SARPOS SA Recovery Total State Restricted SA Funds Report Date 8/2/2007 Blue Ridge Revenue 152,806 934,717 1,087,523 -363,002 724,521 1,159,941 80,000 20,000 240,677 105,972 46,436 o o 209,706 o o o 250,931 5,775 o o 2,119,438 o o o 202,800 102,224 o o o 47,589 o 352,613 AF-7 FY 2008 Performance Contract Financial Summary Substance Abuse Revenue Sources Other Funds SA other Funds SA Federal Retained Earnings SA State Retained Earnings SA State Retained Earnings-Regional Prog SA Other Retained Earnings Total Other SA Funds State Funds SA State General Funds SA Region V Residential SA Postpartum - Women SA Jail Services/Juv Detention Total State SA Funds Local Matchino Funds SA In-Kind SA Contributions SA Local Other SA Local Government Total Local SA Funds Total SA Revenue SA One Time Funds SA FBG Alcohol/Drug Trmt SA FBG Women SA FBG Prevention Total One Time SA Funds Total ALL SA Revenue Report Date 8/2/2007 Blue Ridge Revenue o o o o o o 1,800,093. o 7,530 178,400 1,986,023 90,284 o o 279,311 369,595 5,552,190 o o o o 5,552,190 AF-8 FY 2008 Performance Contract Local Governm~nt Tax Appropriations Blue Ridge City/County Tax Appropriation II 0,000 446,934 157,000 5,000 36,877 755,8 II Salem City Roanoke City Roanoke County Craig County Botetourt County Total Local Government Tax Funds: Report Date 8/2/2007 AF-10 Supplemental Information , FY 2008 Quarter: C Reconciliation of Financial Report and Utilization Data (Core Services) Expenses Blue Ridge Services Outside MH MR SA Prog. Area Total Financial Report Revenue 19,057,881 4,610,272 5,552,190 0 29,220,343 Utilization Data Expenses 17 ,484,490 4,610,272 5,552,190 1,573,391 29,220,343 , Difference 1,573,391 0 0 -1,573,391 0 Difference results from Other o Explanation of Other: Report Date 8/2/2007 AF-11 FY2008 CSB 100 Mental Health Services Quarter: C Blue Ridge leport for Form 11 ::ore Services ~ode I or Consumer Designation Service Total Units Contract Units Per Consumers Code Capacity Units Capacity Served Expenses ~50 Acute Psychiatric or SA Inpatient Services 1.44 Beds 525.6 526 365" lOB $419,770 310 Outpatient Services 34.57 FTEs 71905.6 53562 1,549 2436 $5,199,25B 350 Assertive Community Treatment 9.5 FTEs 19760 13B64 1,459 B2 $991,446 320 Case Management Services 46.0B FTEs 95B46.41 67644 1,46B 1596 $3,B90,149 410 Day Treatment/Partial Hospitalization 173.7 Slots 1 B23B5 151995 B75 337 $2,B40.170 425 Rehabilitation/Habilitation 65 Slots 111540 34229 527 BO $530,232 5011-tlghly Intensive Residential Services 4 Beds 1460 1460 365 4 $329,475 510 Residential Crisis Stabilization Services 14 Beds 5110 3461 247 303 $1,342,020 521 Intensive Residential Services 1 Beds 365 365 365 1 $B4,360 551 Supervised Residential Services 6 Beds 2190 2190 365 41 $156,300 581 Supportive Residential Services 15 FTEs . 31200 224B7 119 $1,4B7,967 610 Prevention Services $213,343 910 Discharge Assistance Project (DAP). 915 MH Child and Adolescent Services Initiative 916 MH Services for C&A in Juvenile Detention Centers 918 Program of Assertive Community Treatment (PACT) 919 Prog for Assist in Trans fm Homelessness (PATH) Total Expenses $17,484,490 Report Date 8/2/2007 AP-1 FY2008 CSB 200 Mental Retardation Services Quarter: C teport for Form 21 :ore Services Code / or Consumer Designation :ode ~20 Case Management Services 125 Rehabilitation/Habilitation 130 Sheltered Employment 460 Individual Supported Employment 521 Intensive Residential Services 551 S...upervised Residential Services 581 Supportive Residential Services 920 Medicaid Mental Retardation HCB Waiver Services Report Date 8/2/2007 Blue Ridge Service Total Units Contract Units Per Consumers Capacity Units Capacity Served Expenses 19.97 FTEs 41537.6 29145 1,459 633 $1,870,921 78.64 Slots 981427.2 46097 586 170 $627,743 2.06 Slots 751.9 752 365 6 $19,400 OFTEs 0 958 28 $44,368 20 Beds 7300 7170 359 23 $1,480,616 8 Beds 2920 2885 361 9 $558,530 0.3 FTEs 624 435 1,450 4 $8,694 -~.l~.1i;~~i 106 Total Expenses $4,610,272 AP-2 FY2008 CSB 300 Substance Abuse Services Quarter: C Blue Ridge teport for Form 31 :ore Services Code / or Consumer Designation ~ervice Total Units Contract Units Per Consumers :ode Capacity Units Capacity Served Expenses !60 Community-Based SA Medical Detox Inpatient Service 0.3 Beds 109.5 110 367 39 $60,000 110 Outpatient Services 16.97 FTEs 35297.6 24746 1,458 891 $1,856,202 ~20 Case Mal1agement Services 4.8 FTEs 9984 .7005 1,459 494 $689,755 ~ 10 Day Treatment/Partial Hospitalization 10,7 Slota 8346 10343 967 117 $289,725 i01-Highly Intensive Residential Services 10 Beds 3650 2611 261 429 $778,032 521 Intensive Residential Services 19.1 Beds 6971.5 5582 292 182 $785.493 531 Jail~Based Habilitation Services 43 Beds 15695 15695 365 '196 $389,299 :> 1 0 Prevention Services 5.5 FTEs 11440 8002 1,455 $703,684 Total Expenses $5,552,190 Report Date 8/2/2007 AP-3 FY2008 CSB 400 Services Available Outside of a Program Area Blue Ridge leport for Form 01 :ore Services Code Service Capacity 12.78 FTEs 100 Emergency Services 390 Consumer Monitoring Services 120 Assessment and Evaluation Services 1 FTEs 1 FTEs Report Date 8/2/2007 Total Units Contract Units Per Units Capacity 18451 1.444 1459 1,459 1459 1.459 Total Expenses 26582.4 2080 2080 AP-4 Consumers Served 2013 51 1134 Qnarter: C Expenses $1,322,817 $93,813 $156,961 $1,573,391 FY 2008 CSB Performance Contract Supplement Table 1: Board of Directors Member~hip Characteristics Name of CSB: [Blue Ridge Total Appointments: ~ Vacancies: L Number of Consumers: 1 2 1 o 1 Filled Appointments: 1 Number of Family Members: 161 41 Age of Board Members Age18-35: ~ Age 36 - 64: I Age 65+: I Total: C ---zl 131 1J J1J Gender of Board Members Female: C------=.iQJ Male: I "(;1 Total: [_=-_=-__ I~J Race and Ethnicitv of Board MemheTS 'African-American: r- I r Asian/Pacific Islander: 41 Qj 121 I ~ [__-1~ Caucasian: Other: Total: Hispanic Origin: c":---Oll Board Member Occupations Busillessmen/Businesswomen: ---... ~-, ..____~___~.J 3! Educators: Humau Service Professionals: ! __4; Homemakers: !. :-=~:-:OJ Medical Professionals: I . ____.)..! Lawyers: Sheriffs: --01 __J 0, Elected Gov't Officials: r....---~QI Appointed Gov't Officials: Lu~____il Clergy: l::--_~JJ ClericallBlue Collar Workers: 0 ! Retired Individuals: _...._.?.J Non-Gov. Servo Providers: ...._. ..___U No Response: ..:_-~Q.1 Total: : .I8! Elected and appointed 20vernment officials mi2ht also be identified in other occttpatioual categories; duplication is acceptable in this table and it is important to identify all of the government officials serving as Board members. Report Date 8/2/2007 AP-5 .; z e " " f-< " <;i ~ '" " r.:I " ~ " .... ~ '" ~ .... " ...:l " ~ .... Cl. 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'" '" '0 '" '" - '" " " " ;i '" 0 0 ~ !'l " ~ S " e " " ~ "0 ." ~ ~ ,s " :.!l " '" a ~ ~ {l " -0 ! " ~ " @ '"il S 'il E OJ) u " ~ g fii 0 Q 'OJ " " ""8 0 " 0 ~ ~ tJ ] ~ ... ~ 0 p:: ... ~ " ~ " ;.::1 ::E "0 bl .~ f-< ~ ... " ....1 Z 10 " :.0 ... ... tJ " "0 .a 0 u ... 'd .t:: u "2 " .~ " ;i ;i 0.5 u ... .0 1S " " " .0 " ... ~ " " i:ill~ ClI,!S " C5 I~ ~ :'i ... :> :::i 0 ci': m U Q .., 1: ~ ~ ~ <D . n. <( ..... "" "" !:::' !:::' co ~ " ~ FY2008 CSB Performance Contract Supplement Name of CSB: Table 2: Board Management Salary Costs Blue Ridge .. FY 2008 Table 2a: FY 2008 Salary Range Budgeted Tot. Ending Salary Cost Tenure Management Position Title Beginning (yrs) , AdministrativeIF inance Director $77,968.00 $106,994.00 $78,748.00 4.25 Children and Y Guth SerVices Director $73,112.00 $101,899.00 $74,331.00 4.42 Clinical Services Director. $88,691.00 $106,994.00 $89,874.00 12.17 iExecutive Director $120,660.00 $137,729.00 $142,286.00 7.58 Human Resource Manager $74,235.00 $101,899.00 $75,225.00 4.29 Mental Retardation Services Dir~ctor $73,590.00 $88,024.00 $74,326.00 0.33 Prevention Services Director $63,856.00 $72,418.00 $64,069.00 8.83 Report Date 8/2/2007 AP-7 . Fiscal Year 2008 CSB Performance Contract Supplement Table 2: Fiscal Year 2008 Board Management Salary Costs Explanations for Table 2a . Table 2b: Community Service Board Employees 1. 2. 3. 4. 5. 6. No. ofFTE CSB Employees MH MR ADMIN TOTAL Consumer Service FTEs 177.67 52.20 296.03 Peer Staff Service FTEs 2.00 0.00 2.00 Support StaffFTEs 43.34 8.50 10.33 50.70 112.87 TOTAL FTE CSB Employees 223.01 60.70 76.49 50.70 410.90 Report Date 8/2/2007 AP.8 FY 2008 Community Services Performance Contract Table of Contents 1. Contract Purpose. . . '. . . . . . . . . . . . . .. . . . . . . . . . . . " . . . . . . . . . . . . . . . .2 2. Relationship..... . 2 3. Contract Term. ... .............................. ...............2 4. Scope of Services. . . . .. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 3 a. Services..... . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 3 b. Expenses for Services. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .'. . . . . . . . . 3 c. Continuity olCare. . . . . . . . '.' . . . . . . . . . . . . . . . .'. . . . . . . . . . . . . . . . . 3 d. Populationsgerved....... . . . . . . . . . . . 4 5. Resources................................................. 4 a. Allocations of State General and Federal Funds. . . . . . . . . . . . . . . . . . . . . . . . . . . 4 b. Conditions of the Use of Resources. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 5 6. Board Responsibilities. : . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 5 a. State Hospital Bed Utilization. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 5 b. Quality of Care. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 5 c. Reporting Requirements. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 6 d. Discharge Assistance Project. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 8 e. Individualized Services. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 8 f. Compliance Requirements. . . . . . . . . . . . . .'. . . . . . . . . . . . . . . . . . . . . . . . 8 g. Regional Programs. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 9 h. Joint Agreements. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 9 7. Department Responsibilities. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .9 a. Funding. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 9 b. State Facility Services. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .9 c. Quality of Care.. . . , . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 10 d. Reporting Requirements. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 10 e. Discharge Assistance Project. . . . . . . . . . . . . . . . .' . . . . . . . . . . . . . . . . . . . 11 f. Individualized Services. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .11 g. Compliance Requirements. . . . . . . . . . . . . . . . . . . . . . . . . . . . . .. ..... .11 h. Communication. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .12 i. Region<;ll Programs. . . . . . . . . . . . . .. . . . . . . . . . . . . . . . . . . . . . . . . . . . .12 8. Subcontracting.'............................................ 12 9. Terms and Conditions. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .12 a. Availability of Funds. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 12 b. Compliance. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .12 c. Disputes................................................ 13 d. Termination. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .13 e. Remediation Process. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .13 f. Dispute Resolution Process. . . : . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 13 g. Contract Amendment. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .14 h. Liability.. ............................................. 15 i. Severability............................................. .15 10. Areas for Future Resolution. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .15 11. Signatures. . . . .. ............ . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 16 Exhibits Resources and Services. . . . . . . . . .. ........... . . . . . . . . .17 Reserved. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .32 Statewide Consumer Outcome and Board Performance Measures. . . . . . . . . . .33 Individual Board Performance Measures. . . . . . . . . . . . . . . . . . . . . . . . . . . . 34 Performance Contract Process and Contract Revision Instructions. . . . . . . . . . . . . . .35 Federal Compliances. . . . '. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 41 Local Government Approval of the Contract. . . . . . . . . . . . . . . . . . . . . . . . . . .43 Board Membership. . . . . . . . . . . . .'. . . . . . . . . . . . . . . . . . . . . . . . . . .45 Administrative Performance Standards. . . . . . . . . . . . . . . . . . . . . . . . . . . . . 48 Regional Program Procedures. . . . . . . . . . . . . . . . . . .'. . . . . . . . . . . . . . .50 Joint Agreements. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 59 Exhibit A: Exhibit B: Exhibit C: Exhibit D: Exhibit E: Exhibit F: Exhibit G: Exhibit H: Exhibit I: Exhibit J: Exhibit K: 1. 05-31-2007 FY 2008 Community Services Performance Contract 1. Contract Purpose a. Title 37.2 of the Code of Virginia establishes the Virginia Department of Mental Health, Mental Retardation and Substance Abuse Services (the Department) to ensure delivery of publicly funded services and supports to individuals with mental illnesses, mental retardation, or substance use disorders and authorizes the Department to fund community mental health, mental retardation, and substance abuse services. b. Sections 37,2-500 through 37.2-511 ofthe Code of Virginia require cities and counties to establish community services boards for the purpose of providing local public mental health, mental retardation, and substance abuse services; ~ 37.2-600 through ~ 37.2-614authorize certain cities or counties to establish behavioral health authorities that plan and provide those same local public services. In this contract, the community services board, local , government department with a policy-advisory community services board, or behavioral health authority named on page 16 of this contract will be referred to as the Board. c. Section 37.2-500 or 37.2-601 of the Code of Virginia states that, in order to provide comprehensive mental health, mental retardation, and substance abuse services within a continuum of care, the Board shall function as the single point of entry into publicly funded mental health, mental retardation, and substance abuse services. The Board fulfills this function in accordance with State Board Policy 1035 for any person who is located in the Board's service area and needs mental health, mental retardation, or substance abuse services. d. Sections 37.2-508 and 37.2-608 of the Code of Virginia establish this contract as the primary accountability and funding mechanism between the Department and the Board. e. The Board is applying for the assistance provided under Chapter 5 or 6 of Title 37.2 of the Code of Virginia by submitting this performance contract to the Department in accordance with ~ 37.2-508 or ~ 37.2-608 of the Code of Virginia. f. This contract establishes requirements and responsibilities for the Board and the Department that are not established through other means, such as statute or regulation. The General Requirements Document. which, by agreement of the parties, is hereby incorporated into and made a part of this contract by reference, includes or incorporates by reference ongoing statutory, regulatory, policy, and other requirements that are not expected to change frequently and accordingly are not included in this contract. g. The Department and the Board enter into this performance contract for the purpose of funding services provided directly or contractually by the Board in a manner that ensures accountability to the Department and quality of care for consumers and implements the vision, articulated in State Board Policy 1036, of a consumer-driven system of services and supports that promotes self-determination, empowerment, recovery, resilience, health, and the highest possible level of consumer participation in all aspects of community life, including work, school, family, and other meaningful relationships; and the Board and the Department agree as follows. 2. Relationship: The Department functions as the state authority for the public mental health, mental retardation, and substance abuse services system; and the Board functions as the local authority for that system. The relationship between and the roles and responsibilities of the Department and the Board are described more specifically in the current Partnership Agreement between the parties, which, by agreement of the parties, is hereby incorporated into and made a part of this contract by reference. This contract shall not be construed to establish any employer-employee or principal-agent relationship between employees of the Board or its board of directors and the Department. 3. Contract Term: This contract shall be in effect for a term of one year, commencing on July 1, 2007 and ending on June 30, 2008. 2. 05-31-2007 FY 2008 Community Services Performance Contract 4. Scope of Services , a. Services: Exhibit A of this contract includes all me'ntal health, mental retardation, and substance abuse services provided or contracted by the Board that are supported by the resources described in section 5 of this contract. Services and certain terms used in this contract are defined in the current Core Services Taxonomy, which, by agreement of the. parties, is hereby incorporated into and made a part of this contract by reference. b. Expenses for Services: The Board shall provide to the extent practicable those services that are funded within the revenues and expenses set forth in Exhibit A and documented in the Board's financial management system. The Board shall distribute its administrative and management expenses across some or all of the three program areas on a basis that is in accordance with Uniform Cost Report principles, isauditable, 'and satisfies Generally Accepted Accounting PrinCiples. c. Continuity of Care: In order to partially fulfill its responsibility in ~ 37.2-500 or 37.2-601 of the Code of Virginia and State Board Policy 1035 to function as the single point of entry into publicly funded services in its service area, the Board shall follow the Continuity of Care Procedures that are included in the current General Requirements Document. 1.) Coordination of Mental Retardation Waiver Services: The Board shall provide case management services to consumers who are receiving services under the Medicaid Mental Retardation Home and Community-Based Waiver (MR Waiver). In its capacity as the ci;ise manager for these consume'rs and in order to receive payment for services from the Department of Medical Assistance Services (DMAS), the Board shall develop individual service authorization requests (ISARs) for Waiver services and submit them to the Qepartment for preauthorization, pursuant to section 3.2.7 of the DMASI DMHMRSAS Interagency Agreement (10-17 c2000), under which the Department preauthorizes ISARs as a delegated function from the DMAS. As part of its specific case management responsibilities for individuals receiving MR Waiver services, the Board shall coordinate and monitor the delivery of all services to its consumers, including monitoring the receipt of services in a consumer's ISAR that are provided by independent vendors, who are reimbursed directly by the DMAS, to the extent that the Board is not prohibited from doing so by such vendors (reference the DMAS Mental Retardation Community Services Manual, Chapters II and IV). The Board may raise issues regarding its efforts to coordinate and monitor services provided by independent vendors to the applicable fUnding or licensing authority, for example the Department, the DMAS, 'or the Virginia Department of Social Services. In fulfilling this service coordination responsibility, the Board shall not restrict or seek to influence the consumer's choice among qualified service providers. This prohibition is not intended to restrict the ability of Board case managers to make recommendations, based on their professional judgment, to consumers regarding those available service options that best meet the terms of the consumers' ISPs and allow for the most effective coordination of services. This section does not, nor shall it be construed to, make the Board legally liable for the actions of independent vendors of MR Waiver services who are reimbursed directly by the DMAS. 2.) Linkages with Primary Care: When it arranges for the care and treatment of its consumers in hospitals, the Board shall assure its staff's cooperation with those hospitals, especially emergency rooms and emergency room physicians, in order to promote continuity of care for those consumers. 3.) Coor~ination with Local Psychiatric Hospitals: In the case of voluntary admissions, the Board, with the consumer's consent, shall coordinate a consumer's admission to and discharge from local psychiatric units and hospitals to, ensure appropriate use of these services in the least restrictive setting arid to prevent inappropriate use of those hospitals. 3. 05-31-2007 . FY 2008 Community Services Performance Contract 4.) Access to Services: The Board shall not require a consumer to receive case management services in order to receive other services that it provid1s, directly or contractually, unless it is permitted tb90 so by applicable regulations and the person is an adult with a serious mental illness, a child with or at risk of serious emotional disturbance, or an individual with mental retardation or a substance use disorder, the person is receiving more than one other service from the Board, or a licensed clinician employed or contracted by the Board determines that case management services are clinically necessary for the consumer. 5.) PACT Criteria: If the Board receives state general or federal funds for a Program of Assertive Community Treatment (PACT), it shall satisfy the following criteria: a.) Meet PACT state hospit~1 bed use targets. b.) Prioritize providing services to consumers with serious mental illnesses who are frequent recipients of inpatient services or are homeless. c.) Achieve and maintain a case load of 80 consumers after two years from the date of initial funding by the Department. d.) Participate in technical assistance provided by the Department. If the Board receives state general or federal funds for a new PACT during the term of this contract or in the fiscal year immediately preceding that term, it also shall satisfy the following conditions: a.) Procure individual team training and technical assistance quarterly. b.) Meet bimonthly with other PACT programs (the network of CSB PACTs). d. Populations Served: The Board shall provide needed services to adults with serious mental illnesses, children with or at risk of serious emotional disturbance, and individuals with mental retardation, substance dependence, or substance abuse to the greatest extent possible within the resources available to it for this purpose. In accordance with ~ 37.2-508 or ~ 37.2-608 of the Code of Virginia, the Board shall report the unduplicated numbers of consumers with serious mental illnesses, serious emotional disturbance, at risk of serious emotional disturbance, mental retardation, substance dependence, or substance abuse that it serves during the term of this contract. These populations are defined in the current Core Services Taxonomy. 5. Resources: Exhibit A of this contract includes the following resources: state general funds and federal funds appropriated by.the General Assembly and allocated by the Department to the Board; balances of unexpended or unencumbered state general and federal funds retained by the Board and used in this contract to support services; local matching funds required by ~ 37.2-509 or ~ 37.2-611 of the Code of Virginia to receive allocations of state general funds; Medicaid Targeted Case Management, State Plan Option, and Mental Retardation Home and Community-Based Waiver fees and any other fees, as required by ~ 37.2"504 or ~ 37.2-605 of the Code of Virginia; and any other revenues associated with or generated by the services shown in Exhibit A. The Board may choose to include only the minimum 10 percent local matching funds in the contract, rather than all local matching funds. a. Allocations of State General and Federal Funds: The Department shall inform the Board of its allocations of state general and federal funds in a letter of notification: The Department may adjust allocation amounts during the term of this contract. The .Commissioner or his designee shall communicate all adjustments to the Board in writing. Allocations of state general and federal funds shall be based on state and federal statutory and regulatory requirements, pr()visions of the current Appropriation Act,. State Board policies, and previous allocation amounts. Allocations shall not be based on numbers of adults with serious mental illnesses, children with or at risk of serious emotional . disturbance, or individuals with mental retardation, substance dependence, or substance abuse who receive services from the Board. 4. 05-31-2007 FY 2008 Community Services Performance Contract b. Conditions on the Use of Resources: The Department can attach service requirements or specific conditions that it establishes for the use of funds, separate from those established by other authorities, for example, applicable statutory or regulatory requirements such as licensing or human rights regulations or federal anti-discrimination requirements, only to the state general and federal funds that it allocates to the Board and to the 1 b percent local matching funds that are required to obtain the Board's state general fund allocations. . 6. Board Responsibilities a. State Hospital Bed Utilization: .In accordance with !l37.2-508 or !l37.2-608 of the Code of Virginia, the.Board shall identify or develop jointly with the Department mechanisms, such as the Discharge Protocols, Extraordinary Barriers to Discharge lists, and reinvestment and restructuring projects and activities, and employ these mechanisms collaboratively with state hospitals that serve it to manage the utilization of state hospital beds. Utilization will be measured by bed days received by consumers for whom the Board is the case management board. b. Qualityof Care 1.) Clinical Consultation: The Board may request the Department to provide professional consultations for clinically complex or difficult or medically complicated cases within the resources available for this purpose in the Department or its facilities and as permitted unger45 CFR !l164.506 (c) (1) when consumers or their authorized representatives have requested second opinions and with valid authorizations that comply with the Human Rights Regulations and the HIPAA Privacy Rule or when staff of the Board request such consultations for its consumers in the community, if the B.oard is not able to provide those second opinions or obtain this consultation within its resources. 2.) Quality Improvement and Risk Management: The Board shall, to the extent possible, develop and implement quality improvement processes that utilize consumer outcome measures, provider performance measures, and other data or participate in its local government's quality improvement processes to improve services, ensure that services are provided in accordance with current acceptable professional practice, and enable the ongoing review of all major areas of the Board's responsibilities under this contract. The Board shall, to the extent practicable, develop, implement, and maintain, itself or in affiliation with other Boards; a quality improvement plan incorporating provider performance measures, consumer outcome measures, and human rights information. The Board shall, to the extent practicable, develop, implement, and maintain, itself or in affiliation with other Boards, a risk management plan or the Board shall participate in a local government's risk management plan. The Board shall work with the Department through the System Leadership Council to identify how the Board will address quality improvement activities. The Board shall implement, in collaboration with other Boards in its region and the state hospitals and training centers serving its region, the RegionaiUtilization Management Guidance document, adopted by the System Leadership Council on January 10, 2007. 3.) Consumer Outcome and Provider Performance Measures a.) Measures: Pursuant to !l37.2-508 or !l37.2-608 of the Code of Virginia, the Board shall report the consumer outcome, provider performance, consumer satisfaction, and consumer and family member participation and involvement measures in Exhibit C of this contract to the Department. These reporting requirements are contingent on the Department supplying any necessary specifications and software to the Board in time for the Board to make needed changes in its information systems. 5. 05-31-2007 FY 2008 Community Services Performance Contract b.) Individual Board Performance Measures: The Department m~y negotiate specific, time-limited measures with the Board to address identified performance concerns or issues. When negotiated, such measures will be included as Exhibit 0 of this contract. c.) Consumer Satisfaction Survey: Pursuant to 9 37.2-508 or 9 37.2-608 of the Code of Virginia, the Board shall participate in an assessment of consumer satisfaction in accordance with Exhibit C of this contract. . d.) Substance Abuse Youth Surveys: The Board shall work closely with comrnunity- based prevention planning groups, schools, and local governments to support and enable the administration of the Virginia Community Youth Survey and the Virginia Youth Tobacco Survey, which are mandated by federal funding sources and are necessary for continuation of federal block grant funding. e.) Prevention Services Participants and Program Evaluations: The Board shall evaluate a minimum of 20 percent of participants in evidence-based prevention programs using program-specific instruments, which are evaluation instruments and processes developed by the program developer for that program. The Board shall conduct program-specific evaluations of!311 federal Substance Abuse Prevention and Treatment grant-supported prevention programs as agreed in the grant contract with the Department. The Board shall use community-level abstinence data from regional community youth survey data for alcohol, tobacco, and other drug use, perceptions of harm and disapproval, and other indicator data, including archival data listed in the National Outcome Measures, for outcome evaluation of environmental strategies and community-based processes. 4.) Program and.Service Reviews: The Department reserves the right to conduct or contract for reviews of programs or services provided or contracted by the Board under this contract to examine their quality or performance at any time as part of its monitoring and review responsibilities or in response to concerns or issues that come to its attention, as permitted under 45 CFR 9164.512 (a), (d), and (k) (6) (ii) and as part of its health oversight functions under 932.1-127.1 :03 (D) (6) and 9 37.2-508 or 937.2-608 of the Code of Virginia or with a valid authorization by the consumer or his authorized representative that complies with the Human Rights Regulations and the HIPAA Privacy Rule. c. Reporting Requirements 1.) Board Responsibilities: For purposes of reporting to the Department, the Board shall comply with State Board Policy 1037 and: a.) provide monthly Community Consumer Submission 3 (CCS 3) extracts that report individual consumer characteristic and service data to the Department, as required by 9 37.2-508 or 9 37.2-608 of the Code of Virginia, the federal Substance Abuse and Mental Health Services Administration, and Part C of Title XIX of the Public Health Services Act - Block Grants, 9 1943 (a) (3) and 9 1971 and 9 1949, as amended by Public Law 106-310, and as permitted under 45 CFR 99164.506 (c) (1) and (3) and 164.512 (a) (1) and (d) and under 932.1-127.1 :03.0 (6) of the Code of Virginia, and as defined in the CCS 3 Extract Specifications, which, by agreement of the parties, is hereby incorporated into and made a part of this contract by reference; b.) follow the current Core Services Taxonomy and the CCS 3 Extract Specifications when responding to reporting requirements established by the Department; c.) complete the National Survey of Substance Abuse Treatment Services (N-SSATS), formerly the Uniform Facility Data Set (UFOS), annually that is used to compile and 6. 05-31-2007 FY 2008 Community Services Performance Contract update the National Directory of Drug and Alcohol Abuse Treatm~nt Programs and the on-line Substance Abuse Treatment Facility Locator; d.) report Inventory of Mental Health Organizations information and data in accordance with federal requests to the greatest extent possible; e.) report KIT Prevention System data on all substance abuse prevention services provided by the Board, including services that are supported by the Substance Abuse Prevention and Treatment (SAPT) Block Grant allocation, LINK prevention and education services funded with the 20 percent SAPT set aside, and prevention serVices funded by other grants KIT Prevention System and reported under substance abuse in. CARS-ACCESS, and enter KIT Prevention System data on goals, objectives, and programs approved by the community prevention planning coalition by June 15; f.) supply information to the Department's Forensics InformatiOn Management System for consumers adjudicated not guiltY,by reason of insanity (NGRI), as required under 937.2-508 or 9 37.2-608 of the Code of Virginia and as permitted under 45 CFR 99 164.506 (c) (1) and (3),164.512 (d), and 164.512 (k) (6) (ii); and g.) report data and information required by the current Appropriation Act. 2.) Routine Reporting Requirements:' The Board shall account for all services, revenues, and expenses accurately and submit reports to the Department in a timely manner using CARS-ACCESS, CCS 3,'or other software provided by the Department. All reports shall be provided in the form and format prescribed by the Department. The Board. shall provide the following information and meet the following reporting requirements: a.) types, amounts, and static capacities of services provided; expenses for services provided; arid numbers of consumers served by core service and revenues received by source and amount by program area, reported mid-year and at the end of the fiscal year through CARS-ACCESS, and types and amounts of services provided to each consumer, reported monthly through the CCS 3; b.) demographic characteristics of individual consumers in each program area through the CCS 3; c.) numbers of adults with serious mental illnesses, children with serious emotional disturbance,children afrisk of serious emotional disturbance, and individuals with mental retardation, substance dependence, or substance abuse through the CCS 3; d.) consumer outcome and provider performance measures specified in Exhibit C; e.) community waiting list information for the Comprehensive Stat~ Plan that is required by 937.2-315 of the Code of Virginia, as permitted under 932.1-127.1 :03 (D) (6) of the Code of Virginia and 45 CFR 9164.512 (d) and (k) (6) (ii) (when required); f.) State Facility Discharge Waiting List Data Base reports using ACCES.S software supplied by the Department; . g.) Federal Balance Report (October 31); h.) Total numbers of consumers served and expenses for the Discharge Assistance Project, Mental Health Child and Adolescent Ser:vices Initiative, and MR Waiver Services through CARS-ACCESS (mid-year and at the end of the fiscal year); i.) PATH reports (mid-year and at the end of the fiscal year); j.) Uniform Cost Report information through CARS-ACCESS (annually) and . k.) other reporting requirements in the CCS 3 Extract Specifications. 7. 05-31-2007 FY 2008 Community Services Performance Contract 3.) Subsequent Reporting Requirements: In accordance with State Board Policy 1037, the Board shall work with the Department to ensure that current data'and reporting requirements are consistent with each other and the current Core Services Taxonomy, the CCS 3, and the Treatment Episode Data Set (TEDS) and other federal reporting requirements. The Board also shall work with the Department in planning and developing any additional reporting or documentation requirements beyond those identified in this contract, such as the federal mental health and substance abuse National Outcomes Measures (NOMS) when they become effective, to ensure that such requirements are consistent with the current Core Services Taxonomy, the CCS 3, and TEDS and other federal reporting requirements. d. Discharge Assistance Project (DAP) 1.) Board Responsibilities: If it participates in any DAP funded by the Department, the Board shall manage, account for, ancj report DAP funds allocated to it as a restricted fund. The Board shall be responsible for ensuring the effective utilization of those funds, without submitting individualized services plans (ISPs) to the Department for approval or preauthorization. The Board shall submit all DAP ISPs to the Department for information purposes and shall inform the Department whenever a consumer is admitted to or discharged from a DAP-funded placement. 2.) Department Review: The Board agrees to participate in any utilization review or utilization management activities conducted by the Department involving services provided under the DAP. Protected health information may be disclosed as permitted under 45 CFR ~~ 164.506 (c) (1), (3), and (4) and 164.512 (k) (6) (ii). 3.) Procedures: The Board shall adhere to the DAP Procedures in the General Requirements Document if it participates in any DAP funded by the Department. If the Board's participation in the DAP causes it to be out of compliance with the 10 percent local matching funds requirement in ~ 37.2-509 of the Code of Virginia, the Department shall grant an automatic waiver of that requirement, related to the DAP funds, as authorized by that Code section and State Board Policy ,4010. e. Individualized Services 1.) Board Responsibilities: If it participates in any individualized services, except the DAP, funded by the Department (e.g., the MH Child and Adolescent Services Initiative), the Board shall manage, account for, and report such individualized services funds allocated to it as a restricted fund. The Board shall be responsible for ensuring the effective utilization of those funds, without submitting individualized services plans to the Department for preauthorization or approval. 2.) Department Review: The Board agrees to participate in any utilization review or utilization management activities conducted by the Department involving services provided as individualized services. Protected health information may be disclosed as permitted under 45 CFR ~~ 164.506 (c) (1) and (3) and 164.512 (k) (6) (ii). 3.) Procedures: The Board shall develop and maintain individualized services plans (ISPs), which shall be subject to review by the Department, for such individualized services; but the Board shall not be required to submit these ISPs to the Department for information purposes or for prior review or approval. f. Compliance Requirements: The Board shall comply with all applicable federal, state, and local laws and regulations, including those contained or referenced in the General Requirements Document and in Exhibit F of this contract, as they affect the operation of this contract. Any substantive change in the General Requirements Document, except changes in statutory, regulatory, policy, or other requirements or in other documents incorporated by reference in it, which changes are made in accordance with processes or procedures 8. 05-31-2007 FY 2008 CornmunitySetvices Performance Contract associated with those statutes, regulations, policies, or other requirements or documents, shall constitute an amendment of this contract, made in accordance with applicable provisions of the Partnership Agreement, that requires a new contract signature page, signed by both parties. If any laws or regulations that become effective after the execution date of this contract substantially change the nature and conditions of this contract, they shail be binding upon the parties, but the parties retain the right to exercise any remedies available to them by law or other provisions of this contract. The Board shall comply with the Health Insurance Portability and Accountability Act of 1996 and the regulations promulgated thereunder by their compliance dates, except where the HIPAA requirements and applicable state law or regulations are contrary, and state statutes or regulations are more stringent, as defined in 45 CFR S 160.202,"than the related HIPAA requirements. The Board shall follow the procedures and satisfy the requirements in the Performance Contract Process and the Administrative Performance Standards, contained in Exhibits E and I respectively of this contract. The Board shall document its compliance with SS 37.2-501,37.2-504, and 37.2- 508 or SS 37.2-602, 37.2-605, and 37.2-608 of the Code of Virginia in Exhibits G and H of this contract. If the Board's receipt of state facility reinvestment project state funds causes it to be out of compliance with the 10 percent local matching funds requirement in S 37.2- 509 of the Code of Virginia, the Department shall grant an automatic waiver of that requirement, related to the state facility reinvestment project funds, as authorized by that Code section and State Board Policy 4010. g. Regional Programs: The Board shall manage or participate in the management of and account for and repOrt on regional programs in accordance with the Regional Program Procedures in Exhibit J of this contract. The Board shall provide the Department with a copy of Ciny regional program memorandum of agreement required by the Commissioner's AugLJst 16,2006 memo. If the Board's participation in a regional program, as defined in the Procedwes, causes it to be .out of compliance with the 10 percent local matching funds requirement in S 37.2-509 of the Code of Virginia, the Department shall grant an automatic waiver of that requirement, related to the funds for that regional program, as authorized by that Code section and State Board Policy 4010. The Board agrees to participate in any utilization review or utilization management activities conducted by the Department involving services provided through a regional program. Protected health information may be disclosed as permitted under 45 CFR SS 164.506 (c) (1) and (3) and 164.512 (k) (6) (ii). h. Joint Agreements: If the Board enters into a joint agreement pursuant to S 37.2-512 or S 37.2-615 of the Code of Virginia, the Board shall describe the agreement in Exhibit K of this contract and shall attach a copy of the joint agreement to that Exhibit. 7. Department Responsibilities a. Funding: The Department shall disburse the state general funds displayed in Exhibit A, subject to the Board's compliance with the provisions of this contract, prospectively on a semi-monthly basis to the Board. Payments may be revised'to reflect funding adjustments. The Departmentshall disburse federal grant funds that it recei~es to the Board in accordance with the requirements of the applicable federal grant and, wherever possible, pros'pectively on a semi-monthly basis. The Department shall make these payments in . accordance with Exhibit E of tliis contract. . . b. State Facility Services 1.) The Department shall make state facility inpatient services available, if appropriate, through its state hospitals and training centers, when individuals located in the Board's service area meet the admission criteria for these services. 9. 05-31-2007 . F'l2008. Community Services Performance Contract 2.) The Department shall track, monitor, and report on the Board's utiliz~tion of state hospital beds and provide data to the Board about consumers from its service area who ~re served in state hospitals as permitted under 45 CFR gg 164.506 (c) (1), (2), and (4) and 164.512 (k) (6) (ii). The Department shall post state hospital bed utilization by the Board for all types of beds (adult, geriatric, child and adolescent, and forensic) on its Internet web site for information purposes. 3.) The Department shall manage its state hospitals and training centers in accordance with State Board Policy 1035 to support service linkages with the E3oard, including adherence to the applicable provisions of the Continuity of Care Procedures and the Discharge Planning Protocols. The Department shall, assure that its state hospitals and training centers use teleconferencing technology to the extent practicable and whenever possible to facilitate the Board's participation in treatment planning activities and the Board's fulfillment of its discharge planning responsibilities for its consumers in state hospitals and training centers. . 4.) The Department shall involve the Board, as.applicable and to the greatest extent possible, in collaborative planning activities regarding the future role and structure of state hospitals and training centers. c. Quality of Care 1.) The Department with participation from the Board shall identify consumer outcome, provider performance, consumer satisfaction, and consumer and family member participation and involvement measures for inclusion in this contract, pursuant to !'l 37.2- 508 or g 37.2-608 of the Code of Virginia, and shall collect information about these measures. 2.) The Department may provide professional consultations to the Board upon request for clinically complex or difficult or medically complicated cases within the resources available for this purpose in the Department or its facilities and as permitted under 45 CFR !'l164.506 (c) (1) when consumers or their authorized representatives have requested second opinions and with valid authorizations that comply with the Human Rights Regulations and the HIPAA Privacy Rule or when staff of the Board request such consultations for its consumers in the community, if the Board is not able to provide those second opinions or obtain this consultation within its resources. 3.) The Department shall implement, in collaboration with the Board and the state hospitals and training centers serving it, the Regional Utilization Management Guidance document, adopted by the System Leadership Council on January 10, 2007. d. Reporting Requirements 1.) In accordance with State Board Policy 1037, the Department shall work with representatives of Boards, including the Virginia Association of Community Services Boards' Data Management Committee (DMC), to ensure that current data and reporting requirements are consistent with each other and with the current Core Services Taxonomy, the Community Consumer Submission 3 (CCS 3), and TEpSand other federal reporting requirements. The Department also shall work with reprEl~entatives of Boards, including the DMC, in planning and developing any additional rePl?rting or documentation requirements beyond those identified in this contract, such as the federal mental health and substance abuse National Outcomes Measures (NOMS) when they become effective, to ensure that such requirements are consistent with the current Core Services Taxonomy, the CCS 3, and TEDS and other federal reporting requirements. 2.) The Department shall collaborate with representatives of the Boards, including the DMC, in the implementation and modification of the Community Consumer Submission 10. 05-31-2007 FY 2008 Community Services Performance Contract 3 (CCS 3), which reports individual consumer characteristic and servige data that is required under !l37.2-508 or !l37.2-608 of the Code of Virginia, the federal Substance Abuse and Mental Health Services Administration, and Part C of Title XIX of the Public Health Services Act - Block Grants, !l1943 (a) (3) and !l1971 and !l1949, as amended by Public Law 106-310, to the Department and is defined in the CCS 3 Extract Specifications. The Department will receive and use individual consUmer characteristic . and service data disclosed by the Board through the CCS 3 as permitted under 45 CFR !l!l164.506 (c) (1) and (3) and 164.512 (a)(1) and under !l32.1-127.1 :03.0 (6) of the Code of Virginia and shall implement procedures to protect the confidentiality of this information pursuant to !l37.2-504 or !l37.2-605 of the Code of Virginia and HIPAA. 3.) The Department shall work with representatives of the Boards, including the DMC, to reduce the number of data elements required whenever this is possible. 4.) The Department shall ensure that all surveys and requests for data have been reviewed for cost effectiveness and developed through a joint Department and Board process. e. Discharge Assistance Project 1.) Department Responsibilities: If the Board participates in any DAP funded by the Department, the Department shall fund and monitor the DAP as a restricted fund. The Department agrees that the Board shall be responsible for ensuring the effective utilization of those funds, without submitting individualized ~ervices plans to the Department for preauthorization or approval. 2.) Department Review: The Department may conduct utilization review or utilization management activities involving services provided by the Board under the DAP. If such activities involve the disclosure of protected health information, the information may be used and disclosed as permitted under 45 CFR !l!l164.506 (c)(1), (3), and (4) and 164.512 (k) (6) (ii). 3.) Procedures: The Department shall adhere to the DAP Procedures in the General Requirements Document. If the Board's participation in the DAP causes it to be out of compliance with the 10 percent local matching funds requirement in !l37.2-509 of the Codeof Virginia, the Department shall grant an automatic waiver of that requirement, related to the DAP funds, as authorized by that Code section and State Board Policy 4010. f. Individualized Services 1.) Department Responsibilities: If the Board participates in any individualized services, except DAP, funded by the Department-{e.g., the MH Child and Adolescent Services Initiative), the Department shall fund and monitor those services as a restricted fund. The Department agrees that the Board shall be responsible for ensuring the effective utilization of those funds, without submitting individualized services plans to the DepartmentJor preauthorization, approval, or information. 2.) Department Review: The Department may conduct utilization review or utilization management activities involving services provided by the Board as individualized services. If such activities involve the disclosure of protected health information, the information may be used al1d disclosed as permitted under 45 CFR !l!l164.506 (c)(1) and (3) and 164.512 (k)(6) (ii). g. Compliance Requirements: The Department shall comply with all applicable state and federal statutes and regulations, including those contained or referenced in the General Requirements Document and in Exhibit F of this contract"as they affect the operation of this contract. Any substantive change in the General Requirements Document, except changes in statutory, regulatory, policy, or other requirements or in other documents incorporated by reference in it, which changes are made in accordance with processes or procedures 11. 05-31-2007 FY 2008 Community Services Performance Contract . . . . - . . . associated with those statutes, regulations, policies, or other requiremel)ts or documents, shall constitute an amendment of this contract, made in accordance witK applicable provisions of the Partnership Agreement, that requires a new contract signature page, signed by both parties. If any laws or regulations that become effective after the execution date of this contract substantially change the nature and conditions of this contract, they shall be binding upon the parties, but the parties retain the right to exercise any remedies available to them by law or other provisions of this contract. The Department and its state hospitals and training centers shall comply with the Health Insurance Portability and Accountability Act of 1996 and the regulations promulgated thereunder by their compliance dates, except where the HIPAA requirements and applicable state law or regulations are contrary, and state statutes or regulations are more stringent, as defined in 45 CFR 9160.202, than the related HIPAA requirements. If the Board's receipt of state facility reinvestment project funds causes it to be out of compliance with the 10 percent local matching funds requirement in 9 37.2-509 of the Code of Virginia, the Department shall grant an automatic waiver of that requirement, related to the state facility reinvestment project funds, as authorized by that Code section and State Board Policy 4010. h. Communication: The Department shall provide technical assistance and written notification regarding changes in funding source requirements, such as regulations, policies, procedures, and interpretations, to the extent that those changes are known to the Department. The Department shall resolve, to the extent practicable, inconsistencies in state agency requirements that affect requirements in this contract. The Department shall respond in a timely manner to written correspondence from the Board that requests information or a response. i. Regional Programs: The Department may conduct utilization review or utilization manage- ment activities involving services provided by the Board through a regional program. If such activities involve the disclosure of protected health information, the information may be used and disclosed as permitted under 45 CFR 99164.506 (c) (1) and (3) and 164.512 (k) (6) (ii): If the Board's participation in a regional program, as defined in the Regional Program Procedures in Exhibit J of this contract, causes it to be out of compliance with the 10 percent local matching funds requirement in 9 37.2-509 of the Code of Virginia, the Department shall grant an automatic waiver of that requirement, related to the funds for that regional program, as authorized by that Code section and State Board Policy 4010. 8. Subcontracting: The Board may subcontract any of the requirements in this contract. The Board shall remain fully and solely responsible and accountable for meeting all of its obligations and duties under this contract, including all services, terms, and conditions, without regard to its subcontracting arrangements. Subcontracting must comply with applicable statutes, regulations, and guidelines, including the Virginia Public Procurement Act. AlI"subcontracted activities shall be formalized in written contracts between the Board and subcontractors. The Board agrees to provide copies of such contracts or other documents to the Department upon request. The Board shall satisfy the subcontracting provisions in the General Requirements Document. 9.' Terms and Conditions a. Availability of Funds: The Department and the Board shall be bound by the provisions of this contract only to the extent of the funds available or that may hereafter become available for the purposes of the contract. b. Compliance: The Department may utilize a variety of remedies, including requiring a corrective action plan, delaying payments, and terminating the contract, to assure Board compliance with this contract. Specific remedies, described in Exhibit I of this contract, may be taken if the Board fails to satisfy the reporting requirements in this contract. 12. 05-31-2007 FY 2008 Community Services Performance Contract c. Disputes: Resolution of disputes arising from Department contract comp,liance review and performance management efforts or from actions by the Board related to this contract may be pursued through the dispute resolution process in section 9.f, which may be used to appeal only the following conditions: 1.) reduction or withdrawal of state general or federal funds, unless funds for this activity are withdrawn by action of the General Assembly or federal government, or adjustment of allocations or payments pursuant to section 5 of this contract; 2.) termination or suspension of the performance contract, unless funding is no longer available; 3.) refusal to negotiate or execute a contract modification; 4.) disputes arising over interpretation or precedence of terms, conditions, or scope of the performance contract; 5.) determination that an expenditure is not allowable under this contract; and 6.) determination that the performance contract is void. d. Termination 1.) The Department may terminate this contract immediately, in whole or in part, at any time during the contract period if funds for this activity are withdrawn or not appropriated by the General Assembly or are not provided by the federal government. In this situation, the obligations of the Department and the Board under this contract shall cease immediately. The Board and the Department shall make all reasonable efforts to . ameliorate'any negative consequences or effects of contract termination on consumers. 2.) In accordance with.~ 37.2-508 or ~ 37.2-608 of the Code of Virginia, the Department may terminate all or a portion of this contract, after unsuccessful use of the remediation process described in section 9.e and after affording the Board an adequate opportunity to use the dispute resolution process described in section 9.f of this contract. A written notice specifying the cause must be delivered to the Board's board chairman and executive director at least 75 days prior to the date of actual termination of the contract. In the event of contract termination under these circumstances, only payment for allowable services rendered by the Board shall be made by the Department. e. Remediation Process: The remediation process mentioned in ~ 37.2-508 or ~ 37.2-608 of the' Code of Virginia is an informal procedure that shall be used by the Department and the Board to address a particular situation or condition identified by the Department or the Board that may, if unresolved, result in termination of the contract, in accordance with the provisions of section 9.d of this contract. The details of this remediation process shall be developed by the parties and added as an .exhibit of this contract. This exhibit shall describe the situation or condition and include the performance measures that shall document a satisfactory resolution of the situation or condition. f. Dispute Resolution Process: Disputes arising from any of the conditions in section 9.c of this contract shall be resolved using the following process. 1.) Within 15 days of the Board's identification or receipt of a disputable action taken by the . Department or of the Department's identification or receipt of a disputable action taken by the Board, the party seeking resolution of the dispute shall submit a written notice to the Department's Director of Community Contracting, stating its desire to use the dispute resolution process. The written notice must describe the condition, nature, and details of the dispute and the relief sought by the party. 2.) The Director of Community Contracting shall review the written notice and determine if the dispute falls within the conditions listed in section 9.c. If it does not, the Director of Community Contracting shall notify the party in writing within seven days of receipt of 13. 05-31-2007 FY 2008 Community Services Performance Contract the written notice that the dispute is not subject to this dispute resolution process. The party may appeal this determination to the Commissioner in writing within seven days of its receipt of the Director's written notification. 3.) If the dispute falls within the conditions listed in section 9.c, the Director of Community Contracting shall notify the party within seven days of receipt of the written notice that a panel will be appointed within 15 days to conduct an administrative hl'laring. 4.) Within 15 days of notification to the party, a panel of three or five disinterested individuals shall be appointed to hear the dispute. The Board shall appoint one or two members; the Commissioner shall appoint one or two members; and the appointed members shall appoint the third or fifth member. Each panel member will be informed of the nature of the dispute and be required to sign a statement indicating that he has no interest in the dispute. Any person with an interest in the dispute shall be relieved of panel responsibilities and another person shall be selected as a panel member. 5.) The Director of Community Contracting will contact the parties by telephone and arrange for a panel hearing at a mutually convenient time, date, and place. The panel hearing shall be scheduled not more than 15 days after the appointment of panel members. Confirmation of the time, date, and place of the hearing will be communicated to all parties at least seven days in advance of the hearing. 6.) The panel members shall elect a chairman and the chairman shall convene the panel. The party requesting the panel hearing shall present evidence first, followed by the presentation of the other party. The burden shall be on the party requesting the panel hearing to establish that the disputed decision or action was incorrect and to present the basis in law, regulation, or policy for its assertion. The panel may hear rebuttal evidence after the initial presentations by the Board and the Department. The panel may question either party in order to obtain a clear understanding of the facts. 7.) Subject to provisions of the Freedom of Information Act, the panel shall convene in closed session at the end of the hearing and shall issue written recommended findings of fact within seven days of the hearing. The recommended findings of fact shall be submitted to the Commissioner for a final decision. 8.) The findings of fact shall be final and conclusive and shall not be set aside by the Commissioner unless they are (1) fraudulent, arbitrary, or capricious; (2) so grossly erroneous as to imply bad faith; (3) in the case of termination of the contract due to failure to perform, the criteria for performance measurement are found to be erroneous, arbitrary, or capricious; or (4) not within the Board's purview. 9.) The final decision shall be sent by certified mail to both parties no later than 60 days after receipt of the written notice from the party invoking the dispute resolution process. 10.) Multiple appeal notices shall be handled independently and sequentially so that an initial appeal will not be delayed by a second appeal. 11.) The Board or the Department may seek judicial review of the final decision as provided in ~ 2.2-4365 of the Code of Virginia in the Circuit Court for the City of Richmond within 30 days of receipt of the final decision. g. Contract Amendment: This'contract, including all exhibits and incorporated documents, constitutes the entire agreement between the Department and the Board. The services identified in Exhibit A of this contract may be revised in accordance with the performance contract revision instructions, contained in Exhibit E of this contract. Other provisions of this contract may be amended only by mutual agreement of the parties, in writing and signed by the parties hereto. 14. 05-31-2007 FY 2008 Community Services Performance Contract h. Liability: The Board shall defend or compromise, as appropriate, all clai(Tls, suits, actions, or proceedings arising from its performance of this contract. The Board shall obtain and maintain sufficient liability insurance to cover claims for bodily injury and property damage and suitable administrative or directors and officers liability insurance. These responsibilities may be discharged by means of a properqnd suffiCient self-insurance program operated by the state or a city or county government. The Board shall provide a copy of any such policy or program to the Department upon request. This contract is not intended to, and does not, create by implication or otherwise any basis for any claim or cause of action by a person or entity not a party to this contract, arising out of any claimed violation of any provision of this contract, nor does it create any claim or right on behalf of any individual to services or benefits from the Board or the Department. i. Severability: Each paragraph and provision of this contract is severable from the entire contract, and the remaining provisions shall nevertheless remain in full force and effect if any provision is declared invalid or unenforceable. 10. Areas for Future Resolution: On an ongoing basis, the Board and the Department agree to work together to identify and resolve barriers and policy and procedural issues that interfere with the most effective and efficient delivery of public services. This section identifies issues and topics that the Board and the Department agree to work on collaboratively during the term of this contract in order to resolve them during that period or later, if necessary. Issues and topics may be added at any time by mutual agreement through amendment of this contract. The Board or representatives of the Board and the Department will establish work groups where appropriate to address these issues arid topics. The Department and the Board also may address issues and topics through the System Leadership Council, which is described in the Partnership Agreement, and the System Operations Team. a. Evidence-Based or Best Clinical Practices: Identify evidence-based practices or best clinical practices that will improve the quality of mental health, mental retardation, or substance abuse services and address the service needs of individuals with co-occurring disorders and develop strategies for the implementation of these practices to the extent practicable. b. Mental Health Services for Children and Adolescents At-Risk of Custody Relinquishment: Work collaboratively with other state and local human services agencies to implement policy changes to the extent practicable in the Comprehensive Services Act for Trouble Youth and Families.related to providing mental health services for children and adolescents at-risk of custody relinquishment. c. Data Quality and Use: Through the Moving Forward Work Group and similar mechanisms, work collaboratively to (i) monitor and increase the timeliness and quality of data submitted through the Community Consumer Submission 3 in accordance with the CCS 3 Extract Specifications; (ii) address current and future data and information needs, including communicating more effectively about the volume of services provided and how these services affect the lives of individual consumers; and (iii) achieve the values and benefits of interoperability or the ability to reliably exchange information without error, in a secure fashion, with different information technology systems, software applications, and networks in various settings; to exchange this information with its clinical or operational meaning preserved and unaltered; and to do so in the course of the process of service delivery to promote the continuity of that process. 15. 05-31-2007 FY 2008 Community Services Performance Contract 11. Signatures: In witness thereof, the Department and the Board have caused this. performance contract to be executed by the following duly authorized officials. Virginia Department of Mental Health, Mental Retardation and Substance Abuse Services Board By: By: , Name: James S. Reinhard, M.D. Title: Commissioner Name: Title: Chairman of the Board Date: Date: By: Name': Title: Executive Director Date: 16. 05-31-2007 . FY 2008 Community Services Performance Contract Exhibit A CSB: Consolidated Budget Revenue Source Mental Mental Substance Health Retardation Abuse TOTAL State Funds State Restricted Funds Local Matching Funds Fee Revenues Federal Funds Other Funds State Retained Earnings Federal Retained Earnings Other Retained Earnings Subtotal: Ongoing Funds State Funds One -Time State Restricted Funds One-Time Federal Funds One-Time Subtotal: One-Time Funds Total: All Funds Expenses for MH, MR, SA I I I Expenses for Services Available Outside of a Program Area (AP-4) Total Expenses Local Match Computation Total State and State Restricted Funds Total Local Matching Funds Total State and Local Funds Total Local Match Percent (LocalfTotal State + Local) Administrative Expenses Administrative Expenses Total Expenses Administrative Percent To Fees Transferred From 'Net Amount Emergency Response Budget Revenue Expenses AF.1 17. 05-31-2007 FY 2008 Community Services Performance Contract Exhibit A CSB: Financial Comments Comment 1 Comment 2 Comment 3 Comment 4 Comment 5 Comment 6 Comment 7 Comment 8 Comment 9 Comment 10 Comment 11 Comment 12 Comment 13 Comment 14 Comment 15 . Comment 16 Comment 17 Comment 18 Comment 19 Comment 20 Comment 21 Comment 22 Comment 23 Comment 24 Comment 25 AF-2 18. 05-31-2007 FY 2008 Community Services Performance Contract Exhibit A CSB: Mental Health Revenue Sources Fees MH Medicaid Fees MH Fees: Other Total MH Fees MH Transfer Fees (To)/From Net MH Fees Restricted Funds Federal MH FBG SED C&A MH FBG SM! MH FBG PACT MH FBG Geriatrics MH FBG PATH MH Other Federal- DMHMRSAS MH Other Federal - CSB MH Fed JABG Total Restricted Federal MH Funds State MH Acute Care (Fiscal Agent) MH Transfer In/(Out) Acute Care MH Net Acute Care MH Regional DAP (Fiscal Agent) MH Transfer In/(Out) Regional DAP MH Net Regional DAP MH Facility Reinvestment (Fiscal Agent) MH Transfer In/(Out) Facility Reinvestment MH Net Facility Reinvestment MH Regional DADlWintext (Fiscal Agent) MH Transfer In/(Out) DADlWintex MH Net Regional DADlWintex MH Crisis Stabilization (Fiscal Agent) MH Transfer In/(Out) Crisis Stabilization MH Net Crisis Stabilization MH Recovery (Fiscal Agent) MH Transfer In/(Out) Recovery MH Net Recovery MH Transformation (Fiscal Agent) MH Transfer In/(Out) Transformation . MH Net Transformation Revenue AF-3 19. 05-31-2007 FY 2008 Community Services Performance Contract Exhibit A Mental Health CSB: Revenue Sources MH DADlWintex MH PACT MH Discharge Assistance Project (DAP) MH Child & Adolescent Services Initiative MH Pharmacy (Blue Ridge) MH Demo Proj-System of Care (Child) MH Juvenile Detention MH Jail Diversion/Service Total Restricted State MH Funds Other Funds MH Other Funds MH Federal Retained Earnings MH State Retained Earnings MH State Retained Earnings - Regional Prog MH Other Retained Earnings Total Other MH Funds State Funds MH State General Funds MH State Regional Deaf Services MH State NGRI Funds MH State Children's Services Total State MH Funds Local Matchinq Funds MH In-Kind MH Contributions MH Local Other MH Local Government Total Local MH Funds Total MH Revenue One-Time MH Funds MH FBG SWVMH Board MH FBG SMI MH FBG SED C&A MH State General Funds Total One-Time MH Funds Total All MH Revenue Revenue AF-4 20. (Non-CSA Mandated) 05-31-2007 FY 2008 Community Services Performance Contract Exhibit A Mental Retardation ;. CSB: Revenue Sources Fees MR Medicaid Fees MR Medicaid ICF/MR MR Fees: Other Total MR Fees MR Transfer Fees (To)/From. MR Net Fees Revenue Restricted Funds Federal MR Child Day Care MR Other Federal - DMHMRSAS MR Other Federal - CSB Total Restricted Federal MR Funds State MR Facility Reinvestment (Fiscal Agent) MR Transfer In/(Out) Facility Reinvestment MR Net Facility Reinvestment MR Transformation Total Restricted State MR Funds Other Funds MR Workshop Sales MR Other Funds MR State Retained Earnings MR Other Retained Earnings Total Other MR Funds State Funds MR State General Funds MR OBRA MR Family Support MR Children's Family Support Total State MR Funds AF-5 21. 05-31-2007 FY 2008 Community Services Performance Contract Exhibit A Mental Retardation CSB: Revenue Sources Local Matchinq Funds MR In-!-Sind MR Contributions MR Local Other MR Local Government Total Local MR Funds Revenue Total MR Revenue One-Time MR Funds .. MR Waiver Start Up Total One-Time MR Funds Total All MR Revenue AF-6 22. 05-31-2007 FY 2008 Community Services Performance Contract Exhibit A Substance Abuse CSB: Revenue Sources Fees SA Medicaid Fees SA Fees: Other Total SA Fees SA Transfer Fees (To)/From SA Net Fees Restricted Funds Federal SA FBG Alcohol/Drug Treatment SA FBG Women SA FBG Prevention-Women SA FBG SARPOS SA FBG HIV/AIDS SA FBG Facility Diversion SA FBG Jail Services SA FBG Crisis Intervention SA FBG Prevention SA FBG Co-Occurring SA FBG Prev-Strengthening Families SA Other Federal - DMHMRSAS SA Other Federal - CSB SA Fed VASIP/COSIG SA Fed Project Remote SA FBG New Directions Total Restricted Federal SA Funds State SA Facility Reinvestment (Fiscal Agent) SA Transfer In/(Out) Facility Reinvestment SA Net Facility Reinvestment SA Facility Diversion SA Women SA Crisis Stabilization SA MAT SA Transformation SA SARPOS SA Recovery Total Restricted State SA Funds Revenue AF-7 23. 05-31-2007 FY 2008 Community Services Performance Contract . Exhibit A Substance Abuse CSB: Revenue Sources Revenue Other Funds SA Other Funds SA Federal Retained Earnings SA State Retained Earnings SA State Retained Earnings - Regional prog SA Other Retained Earnings Total Other SA Funds State Funds SA State General Funds SA Region V Residential SA Postpartum - Women SA Jail Services/Juv Detention Total State SA Funds Local MatchinCl Funds SA In-Kind SA Contributions SA Local Other SA Local Government Total Local SA Funds Total SA Revenue One-Time SA Funds SA FBG Alcohol/Drug Treatment SA FBG Women SA FBG Prevention Total One-Time SA Funds Total All SA Revenue AF-8 24. 05-31-2007 FY 2008 Community Services Performance Contract Emergency Response Form CsB: FEDERAL FUNDS Fund Revenue Expenses MH Fed Emergency Preparedness & Response TOTAL FEDERAL FUNDS AF-9 25. 05-31-2007 CSB: FY 2008 Community Services Performance Contract Exhibit A Local Government Tax Appropriations City or County Tax Appropriation . Total Local Government Tax Funds AF-10 26. 05-31-2007 FY 2008 Community Services Performance Contract Exhibit A Supplemental Information Reconciliation of Financial Report and Utilization Data (Core Services) Expenses CSB: Services Outside MH MR SA of a Prog. Area Total Financial Report Revenue Utilization Data Expenses Difference Difference results from Other Explanation of Other: AP-11 27. 05-31-2007 FY 2008 Community Services Performance Contract Exhibit A CSB: Form 11: Mental Health Services Program Area (100) Core Services or Service Total Contract Units Per Consumers Consumer Des/anatIon Codes Capacity Units Units Capacity Served Expenses 250 Acute Psychiatric Inpatient Services 310 Outpatient Services 350 Assertive Community Treatment 320 Case Management Services 410 Day Treatment/Partial Hospitalization 420 Ambulatory Crisis Stabilization Services 425 Rehabilitation 430 Sheltered Employment 465 Group Supported Employment 460 Individual Supported Emolovment 501 Highly Intensive Residential Services 510 Residential Crisis Stabilization Services 521 Intensive Residential Services 551 Supervised Residential Services 581 Supportive Residential Services 610 Prevention Services . 910 Discharge Assistance Project (DAP) 915 Mental Health Child and Adolescent Services Initiative 916 Menta/ Health Services for Children & Ado/escents in Juvenile Detention Centers 918 Program of Assertive Community Treatment (PACT) 919 Project for Assistance in Transition from Homelessness (PATH) Total Expenses AP-1 28. 05-31-2007 FY 2008 Community Services Performance Contract Exhibit A .,". css: Form 21: Mental Retardation Services Program Area (200) Core Services or Service Total Contract Units Per Consumers Consumer Des; nation Code Capacit Units Units Ca acit Served Expenses 310 Outpatient Services 320 Case Management Services 425 Habilitation 430 Sheltered Employment 465 Group Supported Employment 460 Individual Supported Em 10 ment 501 Highly Intensive Residential (Community-Based ICF/MR) Services 521 Intensive Residential Services 551 Supervised Residential Services 581 Supportive Residential Services 610 Prevention Services 625 Infant and Toddler Intervention Services 920 Medicaid Mental Retardation Home and Community-Based Waiver Services Total Expenses AP-2 29. 05-31-2007 FY 2008 Community Services Performance Contract Exhibit A CSB: Form 31: Substance Abuse Services Program Area (300) Core Services or Service Total Contract Units Per Consumers Consumer Desianation Codes Capacity Units Units Capacity Served Expenses 250 Acute Substance Abuse Inoatient Services 260 Community-Based SA Medical Detoxification Inpatient (HosDital\ Services 310 Outpatient Services 330 Opioid Detoxification Services 340 Opioid Treatment Services 320 Case Management Services 410 Day Treatment/Partial Hosoitalization 420 Ambulatory Crisis Stabilization Setvices 425 Rehabilitation 430 Sheltered Employment 465 Group Supported Empioyment 460 Individual Supported EmDlovment 501 Highly Intensive Residential (Community-Based SA Detoxification) Services 510 Residential Crisis Stabilization Services 521 Intensive Residential Services 531 Jail-Based Habilitation Services 551 Supervised Residential Services 581 Supportive Residential Services 610 Prevention Services TO"'E'''",.~ 933 Substance Abuse Medically Assisted Treatment (SA/MA T) 934 Project Remote AP-3 30. 05-31-2007 FY 2008 Community Services Performance Contract Exhibit A CSB: Form 01: Services Available Outside of a Program Area (400) Service Total Contract Units Per Consumers Capacit Units Units Ca acit Served Expenses Core Services 100 Emergency Services 318 Motivational Treatment Services 390 Consumer Monitoring Services 720 Assessment and Evaluation Services 620 Early Intervention Services 730 Consumer-Run Services '(~ .~ ~- -." _,' -.,-v -e ". - - - - '-::-.->-'. . . . '. . '.- >, <' . -. ._-----~~------ Total Expenses AP-4 31. 05-31-2007 FY 2008 Community Services Performance Contract Exhibit B: Reserved 32. 05-31-2007 ... U l'CI ... ... c o o (I) u C l'CI E ... .g (I) a. III (I) U .~ (I) (/) >- ... '2 ::J .E E o o co o o N 1t III l!! ::J III l'CI (I) :!iE (I) u C l'CI E ... .g (I) a. "E l'CI o In ~ C l'CI (I) E o u ... ::J o ... (I) E ::J III C o o (I) ~ '3: (I) ... l'CI ... (/) o 't- Q) 2 0:; co (I) III Ol c... Q) >, Q) ~ I- ~ g 4: ... ..... <: o Q) Q) E o Q) ... ... :J'- o :J lIJg' a:: ... :0 :c: >< w E >, ~ rt'I 1:: 01 ~ 0 !:?<l:4: a. lIJ OlE <: .!!! .- <: t: .. oJ: C.o Q) Q) a::~ Q) u c: "'- Euen ~"'t:: o.l= 0 'l::c:e. Q)OQ) Il.ua:: 01>- <: 0 .- <: t:Q)~ 0:J m c. l:T :J cu! c a:: u. c: 4: <Xl "<;j" c: :c ~ Q) en u Q) Q) .~ .~ ... lIJ Q) ~ Ol lIJ .. c: 01 Q) ., c ~ gj 'S: '- :J "ii5 .....0 0- u Q) Q) -c a:: a:: Q) c: c: -C Q) Q) Q) E E Q) 0 0 ~ ~~. ... - - .. c: c: C '" '" c: c: Ol Ol ~ ~ 11. 11. - - o 0 ~ ~ Q) Q) .0 .0 en E E 5 :J :J 0 Z ZI "" u o iD 1-- 11. c: 4: ~ lIJC> ~ .2 +"" :J c: c: Ul ~g?Q) III Q) Ol E :E8~g 4:11.> ~ (/)Q) (/)~ w'" u~ Uo 4:(/) >> ..c: - c: o ::2; - c: Q) "" '" e. - :J o Q) U '" U. , en .s :J , - Q) '" u U5 '" Q) u. u - '" ~ L.I; u:: o _ ";' 0 Q) Q) u ro If 0 m :J "0 'S: :0 c: - c: g? Q) ""E :J Q) u Q) Q) ~ XOl W4: ~ c: o I ::2; >> - "5 Q) c: ... :+:ice C:U 0..... 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Ol e: "" Q) Q) E "OOl e: e: CO"c - e: R~.!Q enQ)e. 0i2:- E :J ~ :J en e: enIe: C:::2; '" 8 "0 _en _==Ci3 e:..c: E .!!! U :J - 'en co Q) C .8-.-= 0 :J~U oenQ) <( :~ :5 (/)E'Q ""'Q) e:l1.E '" ... IS"" ::2; >>Q) _w:5 02:- >>:J'" Q) (/) Q) 2: en e: :J Q) 0 (j).~~ ~2:>> Q) Q) Q) E(/) 2: :J..c: :J en_(/) e::J>, 00_ U >-.- __E '" '" '" :J:Jl1. e:c:o:: ~~~ M C') "";NM FY 2008 Community Services Performance Contract Exhibit D: Individual Board Performance Measures , Signatures: In witness thereof, the Department and the Board have caused this performance contract amendment to be executed by the following duly authorized officials: Virginia Department of Mental Health, Mental Retardation and Substance Abuse Services Board By: By: Name: James S. Reinhard, M.D. Title: Commissioner Name: Title: Chairman of the Board Date: Date: By: Name: Title: Executive Director Date: 34. 05-31-2007 FY 2008 Community Services Performance Contract Exhibit E: Performance Contract Process and Contract Revision Instructions 05-11.07: The Department distributes the FY 2008 Performance Contract to Boards electronically on May 11., 05-11.07: The Department distributes the FY 2008 Letters of Notification to Boards on May 11, with enclosures that show tentative allocations of state. and federal block grant funds. Another enclosure may list performance measures that have been negotiated with a Board to. be included in Exhibit D of the contract. The Office of Information Technology Services (OITS) completes distribution of the FY 2008 Community Services Performance Contract package software (CARS-ACCESS) to CSBs by May 4. Department staff completes training Boards on the software by May 23. 06-22-07: Exhibit A and other parts of the FY 2008 Community Services Performance Contract, submitted electronically in CARS-ACCESS, are due in the OITS in time to be received by June 22. Tables 1 and 2 of the Performance Contract Supplement (also in CARS- ACCESS) must be submitted with the contract. While a paper copy of the complete contract is not submitted, paper copies of the following completed pages with signatures where required are due in the Office of Community Contracting (OCG) by June 22: the signature page of the contract body; the Board's current organization chart (page 3 of Exhibit H), Exhibit D, if applicable, Exhibit F (two pages), page 1 of Exhibit G, Exhibit K (if applicable), and the signature page of the Partnership Agreement (page 10). Page 2 of Exhibit G must be submitted as soon as possible and no later than September 28. Contracts must conform to Letter of Notification allocations of state and federal funds, or amounts subsequently revised by or negotiated with the OCC and confirmed in writing, and must contain actual appropriated amounts of local matching funds. If the Board cannot include the minimum 10 percent local matching funds in the contract, it must submit a written request for a waiver of the matchirig funds requirement, pursuant to S 37:2-509 of the Code of Virginia and State Board Policy 4010, to the OCC with its contract. This requirement also applies to performance contract reports, .submitted after the ends of the 2nd and 4th quarters, arid contract revisions, if either' report or the contract revision reflects less than the minimum.1 0 percent local matching funds. 06-29-07: The OITS.distributes the FY 2007 end of the fiscal year performance contract report package by June 29. Program Accountants in the Department's Office of Grants Management (OGM) prepare Electronic Data Interchange (EDI) transfers for the first two semi-monthly payments (both July payments) of state and federal funds for all Boards and send the requests to the Department of-Accounts, starting with the transmission on June 29. 07-13-07: Program Accountants receive authorizations to prepare EDI transfers for payments 3 through 6 (both August and September) of state and federal funds for Boards whose contracts were received and determined to be complete by July 13 and, after OCC Administrators authorize their release, prepare and send the transfers to the Department of Accounts, starting with the transmission on August 1. Payments will not be released without complete contracts, as defined in item 1 of Exhibit I. For a Board whose 'contract is received after July 13, EDI transfers for these four semi-monthly payments will be processed within two weeks of receipt of the contract, if the contract is complete. .. 07-31-07: Department staff complete reviews by July 31 of FY 2008 contracts received by June 22. Contracts received after June 22 will be processed in the order in which they are received. 35. 05-31-2007 FY 2008 Community Services Performance Contract 1. The Office of Grants Management (OGM) analyzes the revenue)nformation in the contract for conformity to Letter of Notification allocations and makes corrections and changes on the financial forms in Exhibit A of the contract. 2. The Offices of Mental Health, Child and Family, Mental Retardation, and Substance Abuse Services review and approve new service proposals and consider program issues related to existing services, based on Exhibit A and the service level analyses provided by the OCC Administrator negotiating the contract. 3. The Office of Community Contracting (OCC) assesses contract completeness, examines maintenance of local matching funds, analyzes existing service levels, integrates new service information, makes corrections and changes on the service forms in Exhibit A, negotiates changes in Exhibit A, and finalizes the contract for signature by the Commissioner. The OCC Administrator notifies the Board when its contract is not complete or has not been approved and advises the Board to revise and resubmit its contract. 4. The Office of Information Technology Services (OITS) receives CARS-ACCESS and Community Consumer Submission 3 (CCS 3) submissions from the Boards, maintains the community database, and processes signed contracts into that database as they are received from the OCC. 08-29-07: Boards submit their final CCS 2 year end (year-to-date) consumer, admission, program, and service extract files for all of FY 2007 to the OITS in time to be received by August 29. This later date for final FY 2007 CCS 2 data, as opposed to July 31, 2007, allows for the inclusion of all units of services delivered in FY 2007, which might not be in local information systems in July. Since all services provided by Boards directly and contractually should be in their local information systems, service unit information in final CCS 2 FY 2007 submissions should match service unit information in FY 2007 CARS performance contract reports. Any corrections of service information needed as a result of Departmental review of t~~ August 29 submissions must be completed by October 1. 09-14-07: Program Accountants receive authorization to prepare EDI transfers for payments 7 and 8 (October) and, after OCC Administrators authorize their release, prepare and send the transfers to the Department of Accounts, for transmission starting on September 28 for payment 7 for Boards with signed contracts. Payments 7 and 8 will not be released without a contract signed by the Commissioner. After the Commissioner sighs it, the OCC sends a copy of the approved contract Exhibit A to the Board, with the signature page containing only the Commissioner's signature. The Board must review this contract, which reflects all of the changes negotiated by Department staff (see 7-31-07); complete the signature page, which documents its acceptance of these changes; and return the completed signature page to the OCC. 10-01-07: Boards send complete FY 2007 end of the fiscal year performance contract reports that include Uniform Cost Report information electronically in CARS-ACCESS to the OITS in time to be received by October 1. Reports must be accompanied by the Executive Director's certification that the software error check was performed, the report contains no errors identified by the error checking software, and the data submitted in the reports is accurate. Boards must insure that substance abuse prevention units of service data in their CARS- ACCESS end of the fiscal year reports are identical to the units of service data that they submitted through the KIT Prevention System, OITS staff places the reports in a temporary data base for OCC and OGM staff to access them and print paper copies of the reports. OCC Administrators review services sections of reports for correctness, completeness, consistency, and acceptability; 36. 05-31-2007 FY 2008 Community Services Performance Contract resolve discrepancies with Boards; communicate necessary changes to Boards; and make the changes on the paper copies of the reports. Program Accountants review the financial portions of reports for arithmetic accuracy, completeness, consistency, and conformity with state funding actions; resolve discrepancies with Boards; communicate necessary changes to Boards; and make the changes on the paper copies of the . reports. 'Once OCC and OGM staff complete their reviews and corrections of a Board's reports, the OCC administrator notifies the Board to submit new reports, reflecting only those approved changes, to OITS. Upon receipt, the process described above is repeated to ensure that the new reports contain only those changes identified byOGM and OCC staff. If the reviews document this, OCC and OGM staffs approve the reports. OITS staff then processes final report data into the Department's community database. Late report submission, if an extension of the October 1 due date has not been obtained through the process in Exhibit I of this contract," or submitting a report without correcting errors identified by the CARS-ACCESS error checking program will result in a letter from the Commissioner to the Board Chairman and local government officials. See Exhibit I for additional information. 10-05-07: The Department distributes the CCS 3 extract software to Boards for them to install and begin using. 10-12-07: Program Accountants receive authorization to prepare EDI transfers for payments 9 through 12 (November and December), and, after OCC Administrators authorize their release, prepare and send these transfers to the Department of Accounts, beginning with the transmission on October 31 for Boards whose complete FY 2007 end of the fiscal year performance contract reports were received by October 1. Fynds will not be released without (1) complete reports, as defined in item 2.a. of Exhibit I of this contract, (2) complete ees 2 s.ubmissions (see 8-29-07), and (3) the !=ompleted signature page received from the Board (see 9-14.07). 11-01-07: If necessary, Boards submit new FY 2007 end of the fiscal year perforniance contract reports that correct errors or inaccuracies not later than November 1. The Department will not accept CARS-ACCESS report revisions. after November 1. 11-01-07: Boards submit their CCS 3 test data to the Department in time to be received by November 1 to verify that their information systems can produce acceptable CCS 3 data and that the Department's CCS 3 extract software works. . Boards submit their System Transformation Initiative Quarterly Status Reports for the first quarter of FY 2008 to the 'occ in time to be received by November 1. 11-28-07: Boards submit their first.CCS 3 FY 2008 monthly consumer, type of care, and service extract files to the Department by November 28 for the July 1 through October 31 period. 12-03-07: Boards that are not local government departments or included in local government audits send one copy of the audit report for the preceding fiscal year on all board- operated programs to the Department's Office of Financial Reporting-and Compliance. While the Code requires reports within 90 calendar days after the end of the fiscal year, the Auditor of Public Accounts will not penalize late submissions up to December 3. A management letter and plan of correction for deficiencies must be sent with this report. Boards submit a copy of C.P.A. audit reports for all contract programs for their last full fiscal year, ending on June 30, to the Office of Financial Reporting and Compliance by December 3. For programs with different fiscal years, reports are due five months after the end of the year. Management letters and plans of correction for deficiencies must be included with these reports. 37. 05-31-2007 FY 2008 Community Services Performance Contract Audit reports for Boards that are local government departments or ar~ included in local government audits are submitted to the Auditor of Public Accounts by'the local government. Under a separate cover, the Board must forward a plan of correction for any audit deficiencies that are related to or affect the Board to the Office of Financial Reporting and Compliance by December 3. 12-13-07: Program Accountants receive authorization to prepare EDI transfers fpr payments 13 through 17 (January, February, 1" March), and, after OCC Administrators authorize their release, prepare and send these transfers to the Department of Accounts, beginning with the transmission on January 2 for Boards whose FY 2007 end of the fiscal year performance contract reports have been verified as accurate and internally consistent, per items 2.b. through d. of Exhibit I, whose CCS 2 submissions for FY 2007 are complete, and whose CCS 3 monthly extract for the period July 1 through October 31 has been received (see 11-28-07). Funds will not be released without verified reports, complete CCS 2 submissions, and initial CCS 3 submissions. 01-02-08: The Department distributes the exposure draft of the FY 2009 performance contract for a 60-day public comment period pursuant to 9 37.2-508 of the Code of Virginia. 01-07-08: The OITS distributes FY 2008 mid-year performance contract (second quarter) report software by January 7. 01-31-08: Boards submit their System Transformation Initiative Quarterly Status Reports for the second quarter of FY 2008 to the OCC in time to be received by January 31. 02-15-08: Boards send complete mid-year performance contract (second quarter) reports to the OITS electronically in CARS-ACCESS within 45 calendar days after the end of the second quarter, in time to be received by February 15. OITS staff places the reports on a shared drive for OCC and OGM staff to access them. The offices review and act on the reports using the process described at 10-01-07. When reports are acceptable, OITS staff processes the data into the Department's community data base. 02-29-08: Program Accountants receive authorization to prepare EDI transfers for payments 18 and 19 (2nd March, 1st April) and, after OCC Administrators authorize their release, prepare and send these transfers to the Department of Accounts, starting with the transmission on March 14 for Boards whose complete FY 2008 mid-year performance contract (second quarter) reports were received by February 15 and whose monthly ees 3 consumer, type of care, and service extract file submissions for November and December were received by the end of the month following the month of the extract. Funds will not be released without complete reports, as defined in item 2.a. of Exhibit I, and without these monthly CCS 3 submissions. 04-04-08: Program Accountants receive authorization to prepare EDI transfers for payments 20 through 23 (2nd April, May, and 1st June) and, after OCC Administrators authorize their release, prepare and send these transfers to the Department of Accounts, starting with the transmission on April 18 for Boards whose FY 2008 mid-year performance contract (second quarter) reports have been verified as accurate and internally consistent, per items 2.b. through d. of Exhibit I and whose monthly CCS 3 consumer, type of care, and service extract file submissions for January and February were received by the end of the month following the mqnth of the extract. Funds will not be released without verified reports and without these monthly CCS 3 submissions. 04-18-08: The Department distributes final revised FY 2008 Letters of Notification to Boards by April 18, with enclosures reflecting any changes in allocations of state and federal block grant funds since the original Letters of Notification (issued May 11, 2007) for Boards to use in preparing their final FY 2008 contract revisions. 38. 05-31-2007 FY 2008 Community Services Performance Contract 04-30-08: Boards submit their System Transformation Initiative.QuarterlyStatus,R.eports for the third quarter of FY 2008 to the OCC in time to be received by April 30. 05-02-08: The Department distributes the FY 2009 Community Services Performance Contract and Letters of Notification to Boards on May 2, with enclosures that show the tentative allocations of state and federal funds. The Department also distributes the CARS- ACCESS Performance Contract software update for the FY 2008 Community Services Performance Contract to CSBs by May 9. The final revised FY 2008'P~rformanc~ Contract Exhibit A, prepared i~ accordance with instructions inthisExh!bit,is du~ in the OITSby May 2. Final qontract revisions must conform to final revised Letter of Notification allocations, or amounts subsequently revised by or negotiated with the Department and confirmed in writing, and must contain actual amounts of local matching funds. Revised contracts are reviewed and acted on using the process at 7-31-07. If the Board cannot include the minimum 10 percent local matching funds in its revised contract, it must submit a written request for a waiver of the matching funds requirement, pursuant to !'j37.2-509 of the Code of Virginia and State Board Policy 4010, to the OCC with its revised contract. 06-02-08: Program Accountants receive authorization to prepare EDI transfers for payment 24 and, after OCC Adminislrators authorize their release, prepare and send these transfers to the Department of Accounts for transmission on June 16, after the Department has made any final adjustments in the Board's state and federal funds allocations, for Boards whose monthly CCS 3 consumer, type of care, and service extract file submissions for March and April were received by the end of the month following the month of the extract. Funds will not be released without these monthly ecs 3 submissions. 06-20-08: The FY 2009 Community Services Performance Contract, submitted electronically in CARS-ACCESS, is due in the OITS by June 20. 07-18-08: The:OITS distributes FY 2008 end of the fiscal year performance contract report software to Boards. 08-31-08: Boards submit their System Transformation Initiative Quarterly Status Reports for the fourth quarter of FY 2008 to the OCC in time to be received by August 31. 09-05-08: Boards submit their complete Community Consumer Submission 3 (CCS 3) reports for total (annual) FY 2008 service units to the OITS in time to be received by September 5. 10-01-08: Boards send complete FY 2008 end of the fiscal year performance contract reports electronically in CARS-ACCESS to the OITS in time to be received by October 1. 39. 05-31-2007 FY 2008 Community Services Performance Contract Exhibit E: Performance Contract Process and Contract Revision Instructions The Board may revise Exhibit A of its signed performance contract only in the following circumstances: 1. a new, previously unavailable category or subcategory of core services is implemented; 2. an existing category or subcategory of core services is totally eliminated; 3. a new program offering an existing category or subcategory of core services is implemented; 4. a program offering an existing category or subcategory of core services is eliminated; 5. new earmarked state general or federal funds are received to expand an existing service or establish a new one; 6. state general or federal block grant funds are moved between program (MH, MR, SA) areas (an exceptional situation); 7. allocations of state general, federal, or local funds change; or 8. a major error is discovered in the original contract. Contract revisions should not be made to reflect minor deviations from the contract level in numbers of consumers to be served or units of service to be provided within existing programs and services. To avoid frequent submissions of revisions, these circumstances should be consolidated and reflected in revisions that are periodically sent to the Department. A final revision must be submitted before the end of the term of this contract, as specified in this Exhibit, so that any discrepancies in state general or federal fund disbursements can be resolved and any other changes can be reflected in the final revision. Revisions of Exhibit A must be submitted using the CARS-ACCESS software and the same procedures used for the original performance contract. 40. 05-31-2007 FY 2008 Community Services Performance Contract Exhibit F: Federal Compliances Certification Regarding Salary: Federal Mental Health arid Substance Abuse Prevention and Treatment Block Grants Check One 1. The Board has no employees being paid totally with Federal Mental Health Block Grant funds or Federal Substance Abuse Prevention and Treatment (SAPT) Block Grant funds at a direct salary (not including fringe benefits and operating costs) in excess of $183,500 per year. 2. The following employees are being paid totally with Federal Mental Health or SAPT Block Grant funds at a direct salary (not including fringe benefits and operating costs) in excess of $183,500 per year. Name Title 1. 2. 3. 4. 5. 6. AssurancesRegarding Equal Treatment for Faith-Based Organizations The Board assures that it is and will continue to be in full compliance with the applicable provisions of 45 CFR Part 54, Charitable Choice Regulations, and 45 CFR Part 87, Equal Treatment for Faith- Based Organizations Regulations, in its receipt and use of federal Mental Health Services and Substance Abuse Prevention and Treatment Block Grants and federal funds for Projects for Assistance in Transitions from Homelessness progra'ms. Both sets of regulations prohibit discrimination against religious organizations, provide for the ability of religious organizations to maintain their religious character, and. prohibit religious organizations from using federal funds to finance inherently religious activities. 41. 05-31-2007 FY 2008 Community Services Performance Contract Exhibit F: Federal Compliances < Assurances Regarding Restrictions on the Use of Federal Block Grant Funds The Board assures that it is and will continue to be in full compliance with the applicable provisions of the federal Mental Health Services Block Grant (CFDA 93.958) and the federal Substance Abuse Prevention and Treatment Block Grant (CFDA 93.959), including those contained in the General Requirements Document and the following requirements. Under no circumstances shall Federal Mental Health Services and Substance Abuse Prevention and Treatment Block Grant funds be used to: 1. provide mental health or substance abuse inpatient services 1; 2. make cash payments to intended or actual recipients of services; 3. purchase or improve land, purchase, construct, or permanently improve (other than minor remodeling) any building or other facility, or purchase major medical equipment; 4. satisfy any requirement for the expenditure of non-federal finds as a condition for the receipt of federal funds; 5. provide individuals with hypodermic needles or syringes so that such individuals may use illegal drugs; 6. provide financial assistance to any entity other than a public or nonprofit private entity; or 7. provide treatment services in penal or correctional institutions of the state. [Source: 45 CFR (l96.135] Signature of Executive Director Date 1 However, the Board may expend SAPT Block Grant funds for inpatient hospital substance abuse services only when all of the following conditions are met: . a. the individual cannot be effectively treated in a community-based, non-hospital residential program; b. the daily rate of payment provided to the hospital for providing services does not exceed the comparable daily rate provided by a community-based, non-hospital residential program; c. a physician determines that the following conditions have been met: (1) the physician certifies that the person's primary diagnosis is substance abuse, (2) the person cannot be treated safely in a community-based, non-hospital residential program, (3) the service can reasonably be expected to improve the person's condition or level of functioning, and (4) the hospital-based substance abuse program follows national standards of substance abuse professional practice; and d. the service is provided only to the extent that it is medically necessary (e.g., only for those days that the person cannot be safely treated in a community-based residential program). [Source: 45 CFR !l 96.135] 42. 05-31-2007 FY 2008 Community Services Performance Contract Exhibit G: Local Government Approval of the Community Services I?erformance Contract - Page 1 1. Name of the Board: 2. City or County designated as the Board's Fiscal Agent: 3. Name of the Fiscal Agent's City Manager or County Administrator or Executive: Name: Title: 4. Name of the Fiscal Agent's County or City Treasurer or Director of Finance: Name: Title: 5. Name of the Fiscal Agent official to whom checks should be electronically transmitted: Name: Title: Address: Note: Subsection A.18 of 937.2-504 of the Code of Virginia authorizes an operating community services board to receive state and federal funds directly from the Department and act as its own fiscal agent when authorized to do so by the governing body of each city or county that established it. 43. 05-31-2007 . FY 2008 Community Services Performance Contract Exhibit G: Local Government Approvalof the Community Services,Perform.ance Contract - Page 2 ' Date Contract Date and Type of Submitted to Name of City or County 1 Local Government 2 Approval 3 . 1. Enter the name of each city or county that established the Board in the left column. 2. Enter the date on which the Board submitted its contract to each local government. 3. Enter the date on which that city or county approved the Board's performance contract by formal vote and the type of action taken (e.g., passage of an ordinance or resolution or a motion and voice vote). The first page of Exhibit G must be submitted with the performance contract. The second page must be submitted to the Office of Community Contracting in the Department as soon as possible and no later than the last business day in September. If a local government has not acted upon the Board's contract by September 28, enter No Action Taken in this column. 44. 05-31-2007 FY 2008 Community Services Performance Contract Exhibit H: Board Membership Table 1: Board Membership Characteristics Name of Board Total Appointments: Vacancies: I * Filled Appointments: Number of Consumers and Family Members (Ref. 9 37.2-100 for Definitions) Number of Consumers or Number of Family Members of . Former Consumers Consumers or Former Consumers 937.2-501 and 9 37.2-602 of the Code of Virginia require appointments to the Board to be broadly representative of the community, One-third of the appointments to the Board shall be identified consumers or former consumers or family members of consumers or former consumers, at least one of whom shall be a consumer receiving services. . Age of Members Age 18 -35: Age 36 - 64: Age 65 +: * Total: Gender of Members Female: Male: * Total: * Asterisked total numbers should be the same. . . African-American: Asian/Pacific Islander: Caucasian: Race and Ethnicity of Board Members Other: * Total: Hispanic Origin: Board Member Occupations Businessmen/Businesswomen ~ Elected Local Gov't Officials Educators ~ App'ted Local Gov't Officials Human Service Professionals Clergy Homemakers Clerical/Blue Collar Workers Medical Professionals Retired Individuals Lawyers Non-Gov'tal Service Boards ~ Sheriffs No Response ~ Total: ~ Elected and appointed local government officials (including sheriffs) might also be identified in other occupational categories; duplication is acceptable in the Board Member Occupations table and it is important to identify all of the government officials serving as Board members. Use Table 1 in the Performance Contract Supplement (CARS/ACCESS) to complete this table. AP-5 45. 05-31-2007 - u Ol .. - C o () Q) U C Ol E .. .g Q) Q. l/l Q) U .~ Q) (J) ~ C ::J E E o () IlO o o N >- LI. Q. :E l!! Q) .c E Q) ~ 'E Ol o al J: - :s :E >< w ." o'(w, Z - ." E~ .. - Q).... I-l/l ~ , .l!lE Ol .. OQ) -el- C.... WO Q) 1iiE olii ~I- Ol.... ....0 11l ai ::c m .... III :E .... OJ .... OJ 0. E o u o .... ~ m ~ o III .00 00 W t) t) <( U5 0:: <( t) OJ .s:: .... - l/l :::i .e- .c l!! Q) .c E Q) ~ 'E Ol o al .. Q) ..Q E :I Z Q) C o .c Q. Qi .. -0 III 0 l/l U f.Q. -eN -e.s:: <(.: ~ .!; en OJ E m z .... III :::i c. :E III ~ OJ ..Q E OJ ~ III ~ o 1:5 OJ ~ i5 ~ .. OJ Q)<!:' E<( III ~ ZOJ U tE o - o -0 ~ m o al OJ III ::> .... III 2- ..... o o N , ~ C') , 1O o <0 d.. <( <0 '<t FY 2008 Community Services Performance Contract Exhibit H: Board Organization Chart Attach the Board's organization chart here. 47. 05-31-2007 FY 2008 Community Services Performance Contract Exhibit I: Administrative Performance Standards Standards The Board shall meet these administrative performance standards in submitting its performance contract, contract revisions, mid-year and end of fiscal year performance contract reports, and monthly Community Consumer Submission 3 (CCS 3) extracts to the Department. 1. The performance contract and any revisions submitted by the Board shall be: a. complete, that is all required information is displayed in the correct places and all required Exhibits and Forms, including applicable signature pages, are included; b. consistent with Letter of Notification allocations or figures subsequently revised by or negotiated with the Department; c. prepared in accordance with instructions in the Department-provided CARS-ACCESS software and any subsequent instructional memoranda; and d. received by the due dates listed in Exhibit E of this contract. If these performance contract standards are not met, the Department may delay future semi- monthly payments until satisfactory performance is achieved. 2. The current contract term mid-year and the previous contract term end of fiscal year performance contract reports submitted by the Board shall be: a. complete, that is all required information is displayed in the correct places, all required data are included in the electronic CARS-ACCESS application reports, and any required paper forms that gather information not included in CARS-ACCESS are submitted; b. consistent with the state general and federal block grant funds allocations in the most recent Letter of Notification or figures subsequently revised by or negotiated with the Department; c. prepared in accordance with instructions; d. (i) internally consistent and arithmetically accurate: all related expenses, revenues, and service and consumer data are consistent, congruent, and correct within a report, and (ii) submitted only after errors identified by the CARS-ACCESS error checking programs are corrected; and e. received by the due dates listed in Exhibit E of this contract, unless, pursuant to the process on the next page, an extension of the due date for the end of the fiscal year report has been obtained from the Department. If these standards are not met for mid-year reports, the Department may delay future semi- monthly payments until satisfactory performance is achieved. If the Board does not meet these standards for its end of the fiscal year reports, the Department may delay future semi- monthly payments until satisfactory performance is achieved, and the Commissioner may contact the Board and local government officials about failure to comply with both aspects of standard 2.d or failure to satisfy standard 2.e. 3. Monthly consumer, type of care, .and service extract files must be submitted by the end of the month following the month of the extract in accordance with the CCS 3 Extract Specifications. If the Board fails to meet the extract submission requirements in Exhibit E of this contract, the Department may delay future semi-monthly payments until satisfactory performance is achieved. 4. Substance abuse prevention units of service data in the Board's CARS-ACCESS end of fiscal year report must be identical to the service unit data that the Board submitted to the Department through the KIT Prevention System. 48. 05-31-2007 FY 2008 Community Services Performance Contract Exhibit I: Administrative Performance Standards Process for Obtaining an Extension of the End of the Fiscal Year Report Due Date . Extensions will be granted only in very exceptional situations, for example, unanlicipated staff, hardware, or software problems such as an ITS failure, a key staff person's'iIIness or accident, or an emergency that makes it impossible to meet the due date. . 1. It is the responsibility of the Board to seek, negotiate, obtain, and confirm the Department's approval of an extension of the due date within the time frames specified below. 2. As soon as the Board becomes aware that its end of the fiscal year report cannot be submitted in time to be received in the Department by 5:00 p.m. on the first business day of October in the current contract term, its executive director must inform the Office of Community Contracting Director or its Community Contracting Administrator that it is requesting an extension of this due date. This request should be submitted as soon as possible and it must be in writing, describe completely the reason(s) and need for the extension, and state the date on which the Department will receive the report. . '. 3. The written request for an extension must be received in the Office of Community Contracting no later than 5:00 p.m. on the fourth business day before the date in the second step. A facsimile transmission of the request to the number used by the Office of Community Contracting (804-371-0092), received by that time and date, is acceptable if receipt of the transmission is confirmed with a return facsimile memo from the Office no later than 5:00 p.m. on the third business day before the date in the second step. Telephone extension requests are not acceptable and will not be processed. 4. The Office of Community Contracting will act on all requests for due date extensions that are received in accordance with this process and will notify the requesting Boards by facsimile transmission of the status of their requests by 5:00 p.m. on the second business day before the date in the second step. 5. If an extension of the end of the fiscal year report due date is granted, this will not result in automatic continuation of semi-monthly payments. All of the requirements for these payments, contained in Exhibit E, must be sa.tisfied for semi-monthly payments to continue. 49. 05-31-2007 - FY 2008 Community Services Performance Contract Exhibit J: Regional Program Procedures Regional Program Definition A regional program provides services to individuals who are consumers of a group of Boards, and it may be managed by the group of Boards, have multiple service sites, and provide more than one type of service. Regional programs also include self-contained, single purpose programs (e.g., providing one type of core service, usually residential) operated by one Board for the benefit of other Boards or programs contracted by one Board that serve consumers from other Boards. Finally, some programs (e.g., substance abuse residential or mental health day support programs) that are operated by individual Boards also may serve consumers from other Boards through contractual or purchase of service arrangements. These individual Board programs are not regional programs, but some of these principles, concepts, and models could be applied to them. Purposes of Regional Program Principles, Operational Concepts, and Models The regional program principles, operational concepts, and models enable Boards to implement, manage, and account for and the Department to monitor regional programs on a more consistent basis and help ensure that performance contracts and reports, including the CARS and the Community Consumer Submission 3 (CCS 3), contain all needed information, completely and accurately, about consumers and services. Regional Program Principles The following principles should guide the development and operation of regional programs. 1. All revenues, expenses, and costs for a regional program should be reported only once. ,2. Each consumer who is served should be reported only once for a particular service. However, a consumer receiving services from more than one Board 'should be reported by each Board for the service(s) that it provides. 3. Each service provided by a regional program should be reported only once. 4. Double counting a service or a consumer receiving a service must be avoided. 5. For certain regional programs, where a Board (the case management Board) refers its consumer to a regional program that is operated by a contract agency and paid for by the region's fiscal agent Board, the case management Board should report the service, even though it did not provide or pay for it, since there would be no other way for information about it to be extracted through the CCS 3. 6. Avoiding duplicate reporting of consumers, services, revenues, expenses, and costs should be addressed, preferably in an Exhibit D or less preferably in a regional memorandum of agreement (MOA). 7. Boards should be able to transfer state, local, and federal funds to each other to pay for services that they purchase from each other. 8. Because the CCS 3 is the basis for all statewide individual consumer information, all individuals served by a Board in any manner must be included in the Board's information system, so that the necessary consumer and service information can be extracted by the CCS 3 and provided to the Department. 9. Existing reporting systems (the CCS 3 and the CARS) should be used wherever possible, rather than developing new reporting systems, to avoid unnecessary or duplicative data collection and entry. For example, the special project function in the CCS 3 could be used to report additional data elements that are not in the CCS 3 for special projects, instead of establishing new, stand-alone reporting mechanisms. This would reduce Board workload. 10. Any new service or program should be implemented as simply as possible regarding reporting requirements. For example, allocating all of the Regional Discharge Assistance Project funding 50. 05-31-2007 FY 2008 Community Services Performance Contract to one (fiscal agent) Board rather than to each Board based on approved DAP ISPs may create significant extra work for Boards with little appreciable gain in accountability. . 11. Boards and the Department have provider and local or state authority roles that involve non- direct services tasks, such as utilization management and regional authorization committees. These roles cause additional administrative and Il)<)nagement expenses for region91 programs. Boards should report these expenses as part of iheir'costs of delivering regional services. 12. The Department should factor in and accept these administrative and management expenses as allowable costs of regional programs. 13. Board and state costs for a service should be the same: the true cost, riot the subsidized (re'duced) cost that may be identified and reported now for some regional programs,' True costs'should be reported to the General Assembly and used for other accountability purposes. 14. If a Board participating in a rl3gionai' program supplements the allocation ot"state or federal funds received by the Board operating that program by transferring resources to the operating Board, the participating I?oard should show the transfer as an expense on financial forms but not as a cost on service forms in its performance contract and reports. Then, the participating Board will avoid displaying an unrealistically low service cost in its contract and reports for the regional program and d~.ut;>le counting consumers served by and service units delivered in the regional program, since.the operating Board already reports this information. 15. Regional programs should receive the same state funding increases as regular Board grant- funded activities, such as the salary increases for community services provided from time to time by the General Assembly in the Appropriation Act. 16. Unexpended balances of regional program funds should not be retained by the participating Boards to which the regional fiscal agent Board or the Department has disbursed the funds. Those balances should be available for redistribution during the fiscal year among the" participating Boards to ensure maximum utilization of these funds.' Each regional program should establish procedures for monitoring expenditures of regional program funds and redistributirig those balances. These procedures should be stated , preferably in an Exhibit D or less preferably in a regional MOA. 17. Regional program funding issues, such as the amount, sources, or adequacy of funding for a regional program, the distribution of state allocations for it among participating Boards, and the financial participation of each Board whose consumers receive services from the regional program, should be resolved at the regional level among the Boards participating in the program, with the Department providing information or assistance upon request. 18. If possible, regional funding and reporting approaches should be developed that encourage or provide incentives for the contribution of local dollars to regional activities. 19. If a Board that operates or serves as the fiscal agent for a regional program cannot satisfy the statuklry minimum 10 percent local matching funds requirement due to the state funds that it receives for that regional program, the Depar!ment, in accordance with provisions in the Community Services Performance Contract, State Board Policy 4010, and S 37.2-509 of the Code of Virginia, shall grant an automatic waiver of that matching funds requirement. Regional Program Operational Con.cepts The foll~\Ning concepts provide a framework for the development, implementation, and operation of regional programs. .. 1. Management APwoach: The regional approach is aninvaluable tool for maximizing the use of resources and for increasing the effectiveness of tlie services system. The regional approach is a highly .effective tool for allocating and managing resources and for coordinating the delivery and managing the utilization of services. However, individual consumers generally will continue to be served by particular Boards; services will continue to be provided by 51. 05-31-2007 FY 2008 Community Services Performance Contract individual Boards directly or through contracts with other providers; each Bo\!rd will continue to contract for and report on the consumers that it serves and the services that'it provides; and each consumer will access services through and have his or her individualized services plan managed by a particular Board. Boards are the only organizations identified in the Code of Virginia and the Appropriation Act that the Department can fund for the delivery of community mental health, mental retardation, or substance abuse services. This is consistent with the statutory identity of Boards as the single points of entry into publicly funded mental health, mental retardation, and substance abuse services, and Boards are the local points of accountability for the coordination of those services. 2. Individual Board Reporting: Implementation of the CCS 3, a secure and HIPAA-compliant individual consumer data reporting system, makes it even more important that a Board reports all of the services that it provides directly or contractually to consumers, Because the CCS 3 is the basis for all statewide individual consumer information, all individuals served by Boards in any manner must be included in individual Board information systems, so that necessary consumer and service information can be extracted by Boards and provided to the Department using the CCS 3. The Department will be extracting performance contract report information about consumers and services from the CCS 3, rather than continuing to receive some separate CARS contract reports containing this information. If a Board does not collect information about all of its consumers and services, including thcise in regional programs, in its information system, it will not be able to extract and report complete information about its operations to the Department, and the CCS 3 will not be complete. Therefore, each Board participating in a regional program will admit the consumers that it serves through the regional program to the applicable program area(s) and will maintain CCS 3 data about those consumers in its information system. For performance contract and report (CARS and CCS 3) purposes, each participating Board will maintain and report revenue, expense, cost, consumer, and service information associated with the regional program for each consumer that it serves through that program. If one Board operates a regional program on behalf of other Boards in a region, it admits all consumers for services provided by that regional program, maintains CCS 3 data about these consumers in its information system, and maintains and reports revenue, expense, cost, consumer, and service information for all consumers that it serves through that program. 3. Regional Program Funding, Contracting, and Reporting: Depending on the design of a regional program, the Department may disburse the state or federal funds for a regional program to each participating Board or to one Board that operates a regional program or agrees to serve as the fiscal agent for a regional program. Sections 37.2-100,37.2 -504, and 37.2-508 of the Code of Virginia define and establish the community services performance contract as the mechanism through which the Department provides state general and federal funds to Boards for community mental health, mental retardation, and substance abuse services and through which Boards report on.the use of those funds. a. If the Department disburses regional program funds to each participating Board, each participating Board will follow existing performance contract and report requirements and procedures for that portion of the regional program funded by that participating Board. 'b. If the Department disburses regional program funds to the Board that operates a regional program on behalf of the other Boards in a region whose consumers receive services from that regional program, the operating Board will follow existing performance contract and report requirements and procedures, as if the regional program were its own program. c. If the Department disburses regional program funds to a Board that has agreed to serve as the fiscal agent (fiscal agent Board) for the regional program, disbursements will be based on, accomplished through, and documented by appropriate procedures contained preferably in an Exhibit D or less preferably in a regional MOA and in electronic data interchange (EDI) transfer records. 52. 05-31-2007 , FY 2008 Community Services Performance Contract d. When funds are disbursed to a fiscal agent Board, each participating Board will identify, track, and report regional program funds that it receives and spends as funds for that regional program. Each participating Board, including the fiscal agent Board, will reflect in its CARS reports and CCS 3 extracts only its share of the regional program, in terms of consumers served, services provided, revenues received, expenses made, and costs of the services. Any monitoring, reporting, and accountability related to the fiscal agent Board's handling of the state or federal funds will be accomplished through the performance contract and reports. e. The Department and participating Boards may decide to establish parallel but separate, more detailed reporting, contracting, and management processes for some regional programs, when more information beyOnd that contained in the performance contract and reports and the CCS 3 is needed to monitor or manage the program. These processes should be documented in procedures contained preferably in an Exhibit D or less preferably . in a regional MOA. f. Even when there are separate reporting and monitoring procedures in place, each Board participating in a regional program still must include the relevant consumer, service, revenue, and expense information in its CARS reports and CCS 3 extracts. This will ensure that a Board's information, accumulated through automated processes such as the CARS and the CCS 3, reflects all of its consumer, service, revenue, expense, and cost information, including the regional programs in which it participates. 4. Regional Program Monitoring and Management: Monitoring and management activities , may be carried out differently, depending on how a particular regional program is structured and operated. Generally, it is desirable for the participating Boards to establish an organization or use an existing one to manage and monitor the operation of a regional program. Procedures for and operations of these monitoring and management activities, such as regional authorization or utilization management committees, should be described preferably in an Exhibit D or in a regional MOA. Four Regional Program Models The following models have been developed for Boards and the Department to use in designing, implementing, operating, monitoring, and evaluating regional programs. These models are paradigms that could be altered by mutual agreement among the Boards and the Department as regional circumstances warrant. However, to the greatest extent possible, Boards and the Department should adhere to these models to support and reinforce more consistent approaches to the operation, management, monitoring, and evaluation of regional programs. Boards should review these models and, in consultation with the Department, implement the applicable provisions of the model or models best suited to their particular circumstances, so that the operations of any regional program will be congruent with one of these models. 53. 05-31-2007 FY 2008 Community Services Perform;m<;e Contract 1. Operating Board-Funded Regional Program Model , 1. The Board that operates a regional program receives state and sometimes other funds from the Department for the program. This operating Board provides the services, projects the total consumers served, units of service, static capacity, revenues, expenses, and cost for the regional program in its performance contract and contract revision( s), and reports total actual consumers served, units of service(s) delivered, revenues, expenses, and cqst(s) in its performance contract reports (CARS) and Community Consumer Submission 3 (CCS 3) extracts. Other Boards, which refer consumers to the regional program for services, project and report nothing for the regional program in their contracts, CARS reports, or CCS 3 extracts. 2. The operating Board admits consumers receiving services from the regional program to the applicable program area (all MH, MR, or SA services) and develops individualized services plans (ISPs) for them for service(s) provided by the regional program. When consumers complete receiving all services from the regional program, they are discharged from the applicable program area by the operating Board, unless they are consumers of and are receiving other services in that program area from that operating Board. If consumers also are receiving services from the operating Board in another program area, the Board admits them to that program area. The operating Board provides appropriate information about the services provided and other clinical information to the Board that referred the consumer to the regional program for clinical record keeping purposes at the referring Board. 3. The operating Board ensures that the appropriate information about consumers and services in the regional program is entered into its information system, so that the information can be extracted by the CCS 3 and reported in the CCS 3 and applicable CARS reports. Thus, for performance contract and reporting purposes, individuals receiving services from a regional program operated by that Board are consumers of that operating Board. 4. Each of the other Boards whose consumers receive services from this regional program admits those consumers to the applicable program area and provides a service, such as case management, consumer monitoring, or another appropriate service, but not in the service(s) provided by the regional program. Thus, consumers receiving services from a regional program will appear in the CCS 3 extracts for two Boards and will be reflected in the CARS reports for two Boards (unless they are consumers only of the operating Board), but not for the same service(s). 5. If the other Boards whose consumers receive services from this regional program provide additional funds to the operating Board to supplement the funds that the operating Board receives from the Department for the regional program, these other Boards show the revenues and expenses for this supplement on the financial forms in their performance contracts, contract revisions, and reports. However, these other Boards do not show any services provided, consumers served, or costs for the regional program's services on the service forms in their contracts, revisions, or reports. These other Boards include an explanation on the Financial Comments page of the difference between the expenses on the financial forms and the costs on the service forms. The operating Board shows the services provided, consumers served, and total costs (including costs supported by supplements from the other Boards) for the regional program's services on its service forms, but it does not show any revenues or expenses associated with the supplements on the financial pages in its contract, contract revision(s), and reports. The operating Board includes an explanation of the difference between the expenses on the financial forms and the costs on the service forms on the Financial Comments page. 6. All of the Boards, to the extent practicable, determine individual Board allocations of the state and sometimes other funds received from the Department, based on service utilization or an agreed-upon formula. 54. 05-31-2007 FY 2008 Community Services Performance Contract 7. Regional programs should receive the same state funding increases as regulflr Board grant- funded activities, such as the salary increases for community services provided from time to time by the General Assembly in the Appropriation Act. Boxwood (Rappahannock-Rapidan CSB) and New Hope (Valley CSB) are examples of this model. This model also could be adapted by a region to handle its L1POS services, if one Board receives all of the L1POS funds, admits all of the consumers receiving L1POS services, and pays all of the L1POS providers. This adaptation should be negotiated with the Department by the participating Boards and must refl.ected in a description of the modified model attached to each Board's contract. 2. All Participating Boards-Funded Regional Program Model 1. Each Board that participates in, meaning whose consumers receive services from, a regional program that is operated by one of those Boards receives state and somelimes other funds from the Department for that program. Each participating Board may supplement this amount with other funds available to it if the funds received from the Department are not sufficient to cover the regional program's expenses. Each participating Board uses those funds to purchase services from the regional program for its consumers, projects the consumers served, units of service(s), static capacity, revenues, expenses, and cost for the regional program in its performance contract and contract revision(s) and reports actual consumers served, unit~ of service(s) delivered, revenues, expenses, and costs in its performance contract reports (CARS) and Community Consumer Submission 3 (CGS 3) extracts only for its consumers. 2. The regional program operated by one of the participating Boards functions like a contrac,t agency provider. All of the consumer, service, static capacity, revenue, eXp'ense, and cost information for the whole program is maintained separately and is not included in the contract, contract revision(s), reports (CARS), and CCS 3 extracts of the Board operating the program. The partiCipating Boards, including the Board operating the regional program, include only the parts of this information that apply to their consumers in their contracts, contract revisioris, reports, and extracts. The regional program is licensed by the Department, when applicable, and develops and maintains individualized services plans (ISPs) for consumers that it serves. 3. Each participating Board admits consumers receiving services from the regional program to the applicable program area (all MH, MR, or SA services) for the services provided by the regional program. The services provided by the regional program are listed in the ISPs maintained by the participating Boards for these consumers. When consumers complete receiving all services from the regional program, they are discharged from the applicable program area by the participating Board, unless they continue to receive other services in that program area from that participating Board. The regional program provides appropriate information about the services provided and other clinical information to the Board who referred the consumer to the regional program, just as any contract agency provider would provide such information to the contracting Board. 4. Each participating Board, including the Board operating the regional program, ensures that the appropriate information about its consumers and their services is entered into its information system, so that the information can be extracted by the CCS 3 and reported iri the CCS 3 submissions and applicable CARS reports for that participating ~oard. 5. Regional programs should receive the same state funding increases as regular Board grant- funded activities, such as the salary increases for community services provided from time to time by the General Assembly in the Appropriation Act. The Laurels, operated by Cumberland Mountain Community Services, is an example of this model. 55. 05-31-2007 FY 2008 Community Services Performance Contract 3. Fiscal Agent Board-Funded Regional Program Model, 1. One Board receives state and sometimes other funds from the Department and acts as the fiscal agent for a regional program, such as a reinvestment or restructuring project. The Department disburses the regional allocation to the fiscal agent Board on behalf of all Boards participating in the regional program. 2. The fiscal agent Board, in collaboration with the other participating Boards, develops agreed- upon procedures that describe how the Boards implement the regional program and jointly manage the use of these funds on a regional basis. the procedures also establish and describe how unused funds can be reallocated among the participating Boards to ensure the greatest possible utilization of the funds. These procedures should be documented, preferably in an Exhibit D or less preferably in a regional memorandum of agreement (MOA). 3. The fiscal agent Board receives the semi-monthly payments of funds from the Department for the regional program. The fiscal agent Board disburses the regional program funds to individual Boards, including itself when applicable, in accordance with the procedures in paragraph 2. The fiscal agent Board displays such disbursements on a Transfer In/Out line of the applicable revenue page in its final performance contract revision and its reports. The other Boards receiving the transferred funds show the receipt of these funds on the same line. Boards provide more detailed information about these transfers on the Financial Comments pages of contract revisions and reports. 4. Each Board implementing a regional program accounts for and reports the revenues and expenses associated with that program in its final performance contract revision and CARS reports. The fiscal agent Board displays the total amount of the allocation as a revenue and all Transfers Out in its CARS reports, but it only displays in its reports the expenses for any regional program that it implements. 5. As an alternative. to paragraphs 1 through 4 for some kinds of programs, such as a Regional Discharge Assistance Project, and with the concurrence of the Department, instead of one Board acting as a fiscal agent, all BQards participating in that program establish a regional mechanism for managing the use of the regional program funds. The Boards decide through this regional management mechanism how the total amount of funds for the program should be allocated among them on some logical basis (e.g., approved regional discharge assistance project ISPs). The region informs the Department of the allocations, and the Department adjusts the allocation of each participating Board and disburses these allocations directly to the participating Boards. Those Boards agree to monitor and adjust allocations among themselves during the fiscal year through this regional management mechanism to ensure the complete utilization of these regional program funds, in accordance with procedures in paragraph 2. 6. Each Board implementing a regional program ensures that appropriate information about its consumers and their services is entered into its information system, so that the CCS 3 can extract the information and' report it in the CCS 3 submissions and applicable CARS reports. 7. Regional programs should receive the same state funding increases as regular Board grant- funded activities, such as the salary increases for community services provided from time to time by the General Assembly in the Appropriation Act. Most reinvestment and restructuring projects and programs are examples of this model. A variation of this model, the Fiscal Agent Board-Funded Regional Local Inpatient pas Program Model, can be used to implement and manage regional local acute psychiatric inpatient bed purchases. 56. 05-31-2007 , FY 2008 Community Services Performance Contract 3.a. Fiscal Agent Board-Funded Regional Local'lnpatiimt POS Program Model 1. One Board agrees to act as the fiscal agent for the regional Local Inpatient Purchase of Services (L1POS) program. The Department disburses the regional L1POS allocation to the fiscal agent Board on behalf of all of the Boards participating in theregional L1POS program. 2. The fiscal agent Board, in collaboration with all of the participating Boards and with consultation from the Department, develops procedures that describe how the Boards will implement the regional L1POS program and jointly' manage the use of these funds on a regional basis. The procedures include regional utilization management mechanisms, such as regional authorization committees (RACs) and regional procurements of beds through contracts with private providers, Such contracts may reserve blocks of beds for use by the region or purchase beds or bed days on an as available basis. The procedures also establish and describe how unused funds can be reallocated among the participating Boards to ensure the greatest possible utilization of the funds. These procedures should be documented, preferably in an Exhibit D or less preferably in a regional memorandum of agreement (MOA). 3. The fiscal agent Board receives the semi-monthly payments of funds from the Department for the regional L1POS program. The fiscal agent Board disburses regional L1POS funds to individual Boards or uses such funds itself to pay for the costs of local inpatient hospitalizations that have been approved by a regional ,review and authorization body established by and described in the procedures in paragraph 2. The fiscal agent Board displays such disbursementson'a Transfer In/Out line of the Mental Health Revenue page in its final performance contract revision and reports, and the Board receiving the transferred funds shows the receipt of these funds on the same line. Boards provide more detailed information about these transfers on the Financial Comments page of contract revisions and reports. 4. The Board that purchases local inpatient services accounts for and reports the revenues and expenses associated with its L1POS in its final performance contraCt revision and CARS reports. The fiscal agent Board displays the total amount of the allocation as a revenue and all Transfers Out in its CARS reports, but it displays in its reports only the expenses for its own L1POS. 5. The Board that purchases the local inpatient services ensures that appropriate information about consumers, services, and cO.sts is entered into its management information system, so that the CCS 3 can extract the information and report it in the CCS 3 submissions and applicable CARS reports. 6. Regional programs should receive the same state funding increases as regular Board grant- funded activities, such as the salary increases for community services provided from time to time by the General Assembly in the Appropriation Act. The Region 4'Acute Care Project and the Local Inpatient Purchases of Services programs are examples of this model. ,. 57. 05-31-2007 FY 2008 Community Services Performance Contract 4. Fiscal Agent Board-Funded Contract Agency Regional Progra~m Model 1. One Board receives state and sometimes other funds from the Department and acts as the fiscal agent for a regional program that is contracted by this fiscal agent Board to a public or private agency. The Department disburses the regional allocation to the fiscal agent Board on behalf of all Boards participating in the contracted regional program. 2. The fiscal agent Board contracts with and provides set monthly payments to a regional program provided by a public or private contract agency on behalf of all of the Boards participating in this regional program. The contract may purchase a pre-set amount of specified services from the contract agency and pay the agency a predetermined cost, whether or not the participating Boards use the services. 3. Each participating Board referring one of its consumers to this contracted regional program admits the consumer, enrolls him in the regional program service, and refers him to the contract agency. The contract agency provides information to the referring (case management) Board, and that Board maintains information about the consumer and the service units in its information system, where the CCS 3 can extract the information. 4. The fiscal agent Board provides program cost information to each referring Board, based on its use of the regional program, and the referring Board enters this information in the cost column of the program services form (pages AP-1 through AP-3) but does not ~nter any revenue or expenditure information in its performance contract report (CARS). The fiscal agent Board enters the revenue and expenditure information associated with the regional program on the financial forms in its performance contract report, but it enters consumer, service, and cost information on the program services form only for the consumers that it referred to the regional program. Each Board will explain the differences between the financial and program service forms in its performance contract report on the Financial Comments page. The Department will reconcile the differences among the participating Boards' reports using these comments. Because of the difficulty in calculating the program cost information for each participating Board, program cost information would only need to be included in end of the fiscal year performance contract (CARS) reports. 5. All of the participating Boards, to the extent practicable, determine individual Board allocations of the state and sometimes other funds received from the Department, based on service utilization or an agreed-upon formula. 6. Regional programs should receive the same state funding increases as regular Board grant- funded activities, such as the salary increases for community services provided from time to time by the General Assembly in the Appropriation Act. The crisis stabilization program operated by Rubicon in Region 4 is an example of this model. The main features of this model could be used to reflect services that one Board purchases from another Board. However, as the Regional Program Definition at the beginning of this exhibit notes, this individual Board program would not be a regional program. Unlike the model described above, both Boards would input the applicable consumer, service, and financial information, which would then be extracted by the CCS 3. This model also could be adapted by a region to handle its L1POS services, if one Board acts as the fiscal agent and pays all of the L1POS providers. This adaptation should be negotiated with the Department by the participating Boards and must reflected in a description of the modified model attached to each Board's contract. 58. 05-31-2007 FY 2008 Community Services Performance Contract Exhibit K: Joint Agreements If the Board enters into a joint agreement pursuant to S 37.2-512 or S 37.2-615 of the Code of Virginia, the Board shall describe the agreement in this exhibit and shall attach a copy of the joint agreement to this Exhibit. 59. 05-31-2007 <P~ It; CITY OF ROANOKE OFFICE OF THE CITY CLERK 215 Church Avenue. S. W., Room 456 Roanoke, Virginia 24011-1536 Telephone: (540) 853-2541 Fax: (540) 853-1145 E-mail: c1erk@roanokeva.gov SHEILA N. HARTMAN Deputy City Clerk STEPHANIE M. MOON, CMC City Clerk CECELlA R. lYREE Assistant Deputy City Clerk September 18, 2007 Darlene L. Burcham City Manager Roanoke, Virginia Dear Ms. Burcham: I am attaching copy of Ordinance No. 37905-091707 authorizing the City' Manager to execute a Second Amendment to the November 10, 2005, Operating Agreement between the City of Roanoke and Meadowbrook Golf Group, Inc.; and authorizing the City Manager to take such further action and execute additional documents to implement and administer such Amendment to Operating Agreement, and dispensing with the second reading by title of this ordinance. The abovereferenced measure was adopted by the Council of the City of Roanoke at a regular meeting held on Monday, September 17, 2007, and is in full force and effect upon its passage. Sincerely, ~~m\~ Stephanie M. Moon, CMC City Clerk' SMM:ew Attachment pc: Jesse A. Hall, Director of Finance R. Brian Townsend, Assistant City Manager for Community Development Sherman M. Stovall, Director, Management and Budget Brian K. Brown, Economic Development Administrator Cassandra L. Turner, Economic Development Specialist p~ IN THE COUNCIL OF THE CITY OF ROANOKE, VIRGINIA The 17th day of September, 2007. No. 37905-091707. AN ORDINANCE authorizing the City Manager to execute a Second Amendment to the November 10, 2005, Operating Agreement between the City of Roanoke (City) and Meadowbrook Golf Group, Inc. (Meadowbrook); authorizing the City Manager to take such further action and execute additional documents to implement and administer such Amendment to Operating Agreement; and dispensing with the second reading by title of this ordinance. WHEREAS, the City and Meadowbrook entered into an Operating Agreement dated November 10,2005, for Meadowbrook to operate, manage and conduct the business and services of the Countryside Golf Club for one year, which was extended by a First Amendment dated September 21, 2006, for an additional one year period; WHEREAS, Section 4 of the Operating Agreement established the term of such Operating Agreement to be from November I, 2005, through October 31,2006, but was subject to being renewed for additional terms of one year; and WHEREAS, the City and Meadowbrook wish to extend the term of the Operating Agreement for one additional year, until October 31, 2008, upon certain terms and conditions as set forth in the Second Amendment, the First Amendment, and in the Operating Agreement; and THEREFORE, BE IT ORDAINED by the Council of the City of Roanoke as follows: I. The City Manager and the City Clerk are hereby authorized on behalf of the City to execute and attest, respectively, a Second '~Amendment to the Operating Agreement with Meadowbrook dated November 10, 2005, for a term of one additional year, from November I, 2007, through October 31, 2008, and such other terms and conditions as the City Manager deems K:\Susan's Documents\Tegenkamp\Measures\2007\Second Amendment to Operating Agreement. Meadowbrook.doc 1 appropriate, for Meadowbrook to operate, manage and conduct the business and services of the Countryside Golf Club, all as more particularly set forth in the City Manager's letter to Council dated September 17, 2007; such amendment to be approved as to form by the City Attorney. 2. The City Manager is further authorized to take such action and execute such additional documents as may be necessary to provide for the implementation, administration, and enforcement of such Amendment, as well as the Operating Agreement and any other Amendments. 3. Pursuant to the provisions. of Section 12 of the City Charter, the second reading of this ordinance by title is hereby dispensed with. ATTEST: "~'~ City Clerk. K:\Susan's Documents\Tegenkamp\Measures\1007\Second Amendment to Operating Agreement- Meadowbrookdoc 2 CITY OF ROANOKE OFFICE OF THE CITY MANAGER Noel C. Taylor Municipal Building 215 Church Avenue, S.W., Room 364 Roanoke, Virginia 24011-1591 Telephone: (540) 853-2333 Fax: (540) 853-1138 City Web: www.roanokeva.gov September 17, 2007 Honorable C Nelson Harris, Mayor Honorable David B. Trinkle, Vice-Mayor Honorable Alfred T. Dowe, Jr., Council Member Honorable Beverly T. Fitzpatrick, Jr., Council Member Honorable Sherman p, Lea, Council Member Honorable Gwendolyn W. Mason, Council Member Honorable Brian j. Wish neff, Council Member Dear Mayor Harris and Members of City Council: Subject: Extension of Operating Agreement for Countryside Golf Course Background: On November 10, 200S, the City executed an agreement with Meadowbrook Golf Group, Inc., to operate the Countryside Golf Course for a period of one year. The agreement was extended in October 2006 and is due to expire October 31, 2007. The agreement provides that it may be extended for an additional year on terms and conditions agreed upon by the parties. City staff and Meadowbrook have agreed to an additional one year extension period. Considerations: Meadowbrook will continue to pay the City $17,500 for the additional one year term, from November 1, 2007, through October 31, 2008. In response to neighborhood concerns regarding maintenance of the facility, staff if finalizing with Meadowbrook their commitment to adhering to their Standard Operating Procedures (SOP) used at their other facilities. Recommended Action: Authorize the City Manager to execute an amendment to the Operating Agreement with the Meadowbrook Golf Group, Inc., on behalf of the City of Roanoke, providing for an extension for the term November 1, 2007, through Honorable Mayor and Members of City Council September 17, 2007 Page 2 October 31, 2008, and incorporating certain maintenance requirements in such form as approved by the City Attorney. Authorize the City Manager to take such further action and execute such additional documents as may be necessary to provide for the implementation, administration, and enforcement of such Amendment, as well as the Operating Agreement and any other Amendments. Darlene L. Bu City Manager DLB:c1t c: Stephanie M. Moon, City Clerk William M. Hackworth, City Attorney Jesse A. Hall, Director of Finance Brian Brown, Economic Development Administrator Cassandra L. Turner, Economic Development Specialist CM07 - 00137 CITY OF ROANOKE OFFICE OF THE CITY CLERK 215 Church Avenue, S. W.. Room 456 Roanoke. Virginia 24011- I 536 Telephone: (540) 853-2541 Fax: (540) 853-1145 E-mail: c1erk@roanokeva.gov SHEILA N. HARTMAN Deputy City Clerk STEPHANIE M. MOON, CMC City Clerk CECEUA R. lYREE Assistant Deputy City Clerk September 18, 2007 Darlene L. Burcham City Manager Roanoke, Virginia Dear Ms. Burcham: I am attaching copy of Resolution No. 37906-091707 authorizing the City Manager to enter into the 2007-2008 Community Development Block Grant and HOME Investment Partnerships Program subgrant Agreement with Blue Ridge Housing Development Corporation, Inc., upon certain terms and conditions. The abovereferenced measure was adopted by the Council of the City of Roanoke at a regular meeting held on Monday, September 17, 2007. Sincerely, M~ 'n. ~~ Stephanie M. Moon, CMC City Clerk SMM:ew Attachment pc: Jesse A. Hall, Director of Finance R. Brian Townsend, Assistant City Manager for Community Development Sherman M. Stovall, Director, Management and Budget Dan Webb, Acting Director of Neighborhood Services Frank E. Baratta, Budget Team Leader " . /' t.. \,. \ ',,-:/ \1.. (, ~v')\ IN THE COUNCIL OF THE CITY OF ROANOKE, VIRGINIA The 17th day of September, 2007. No. 37906-091707. A RESOLUTION authorizing the City Manager to enter into the 2007-2008 Community Development Block Grant and HOME Investment Partnerships Program subgrant Agreement with Blue Ridge Housing Development Corporation, Inc., upon certain terms and conditions. BE IT RESOLVED by the Council of the City of Roanoke that the City Manager and the City Clerk are hereby authorized, for and on behalf of the City, to execute and attest, respectively, the 2007-2008 Community Development Block Grant and HOME Investment Partnerships Program sub grant Agreement with Blue Ridge Housing Development Corporation, Inc., approved as to form by the City Attorney, as is more particularly set forth in the City Manager's letter dated September 17,2007, to City Council. ATTEST: 1;J;j)tJ.,-.~ '6 J'Y), ~~ City Cleric. K:\RESOLUTION\R- CDBG-HOME AND BRHDC 9-17-07.DOC 9-17-07 CITY OF ROANOKE OFFICE OF THE CITY MANAGER Noel C. Taylor Municipal Building 215 Church Avenue, S.W., Room 364 Roanoke, Virginia 24011-1591 Telephone: (540) 853-2333 Fax: (540) 853-1138 City Web: www.roanokcva.gov September 17, 2007 Honorable C. Nelson Harris, Mayor Honorable David B. Trinkle, Vice Mayor Honorable Alfred T. Dowe, Jr., Council Member Honorable Beverly T. Fitzpatrick, Jr., Council Member Honorable Sherman P. Lea, Council Member Honorable Gwendolyn W. Mason, Council Member Honorable Brian J. Wishneff, Council Member Dear Mayor Harris and Members of City Council: Subject: 2007-08 CDBG/HOME "New Gilmer" Agreement with Blue Ridge Housing Development Corp. (BRHDC) Background: Since 1996, BRHDC has conducted numerous housing programs for the City using Community Development Block Grant (CDBG) and HOME Investment Partnerships Program (HOME) funds. As part of the City's revitalization efforts in Gainsboro, BRHDC has been the agency primarily tasked with undertaking rehabilitation and new construction of housing for homeownership. The initial goal was to develop up to twelve single-family homes. However, BRHDC was able to acquire several parcels on Gilmer Avenue that were not initially available, providing an opportunity to develop at least five additional homes, all on this key street. Council authorized funding for this additional housing development by Resolution No. 37777-051407, which approved the City's 2007-2008 Consolidated Plan Annual Update, and by Resolution No. 37803-061807 and Ordinance No. 37804-061807, which accepted and appropriated the annual CDBG and HOME funding. Considerations: A subgrant agreement, similar in form and content to the attachment to this Council Letter, outlines the activities to be undertaken by BRHDC. In order to undertake the project, City Council's authorization is needed for the City Manager Honorable Mayor and Members of City Council September 17, 2007 Page 2 to execute the subgrant agreement with BRHDC. Recommended Action: Authorize the City Manager to execute the 2007-2008 CDBG/HOME subgrant Agreement with BRHDC, similar in form and content to the draft attached to this report, and approved as to form by the City Attorney. Respectfully submitted, Darlene L. Bur ham City Manager Attachments: 1 c: Stephanie M. Moon, City Clerk William M. Hackworth, City Attorney Jesse A. Hall, Director of Finance R. Brian Townsend, Assistant City Manager for Community Development Dan Webb, Acting Director of Neighborhood Services Frank E. Baratta, Budget Team Leader CM07-00138 AGREEMENT This Agreement is made and entered into this _ day of ,2007, by and between the following parties: The Grantee: City of Roanoke, Virginia 215 Church Avenue, S.W. Roanoke, Virginia 24011 The Subgrantee: Blue Ridge Housing Development Corporation, Inc. 510 11th Street, N.W. Roanoke, Virginia 24017 WITNESSETH: WHEREAS, by Resolution No. 37777-051407, the Council of the City of Roanoke, Virginia, ("Council") approved the 2007/2008 Annual Update to the Consolidated Plan for submission to the U.S. Department of Housing and Urban Development ("HUD"), including the Subgrantec's 200712008 activities to be assisted with Community Development Block Grant ("CDBG") and HOME Investment Partnerships Program ("HOME") funds; and WHEREAS, by Resolution No. 37803-061807 and by Ordinance No. 37804-061807, Council accepted and appropriated the 200412005 CDBG and HOME funds; and WHEREAS, by Resolution No. _-091707, Council approved the execution of a subgrant agreement ("Agreement") between the Grantee and the Subgrantee; NOW, THEREFORE, the parties hereto mutually agree as follows: 1. SCOPE OF SERVICES: a. General h The services to be performed by the Subgrantee under this Agreement shall be known as the "Project GOLD - New Gilmer Program" and shall have as their purpose the construction or rehabilitation of housing to benefit eligible homebuyers, as described below. This general scope of services shall be accomplished through a combination of CDBG and HOME funding provided by the Grantee and other funds secured by the Sub grantee. General responsibilities of the Subgrantee shall include: marketing and outreach; receiving and processing applications, including packaging loan applications for supplemental funding sources; overseeing construction/rehabilitation work; holding deeds of trust, covenants and/or homeowner grant agreements (specific to this Agreement); monitoring completed projects; and such other services as may be appropriate to comply with applicable federal regulations. The Subgrantee shall provide all personnel required to perform the services under this Agreement, within the limits of funding provided. All of the services required hereunder will be performed by the Subgrantee or under its supervision, and all personnel engaged in the work shall be fully qualified to perform such services. Page I of21 b. Housing Development - The Subgrantee shall undertake the development of single-family housing through rehabilitation of existing housing, reconstruction of housing or new construction. As a Class A Contractor, the Subgrantee may act as the General Contractor or obtain such services through a procurement process, individually by unit or collectively for all units to be developed. All housing shall be developed in a manner consistent with the Gainsboro Neighborhood Plan and any design overlay which may apply to each development site under consideration, and with due opportunity for review and comment given to the recognized neighborhood organization(s) and such other stakeholders as may be appropriate. c. Performance Expectations - The efforts of the Subgrantee pursuant to the activities set forth under this Agreement are expected to achieve the following. (I) HUD Outcome Measurement: The primary outcome addressed by this program with respect to the HUD Performance Measurement System is to: · Provide increased availability or access to decent, affordable housing in the Gainsboro neighborhood. (2) Specific Quantifiable Objectives: It is expected that this project will achieve the following: . By September 30, 2008, it is expected that the Subgrantee shall complete at least S single- family units. . By December 31, 2008, it is expected that the Subgrantee shall complete the sale of ailS single-family units to eligible buyers as described below. d. Eligible Homebuver - An "eligible homebuyer" shall mean a household purchasing the home for use as its principal residence and whose income, projected for the succeeding twelve months and adjusted for household size, does not exceed 80% of the area median established by HUD and in effect at the time the determination is made. The Sub grantee shall prepare, and retain with records of the project, documentation of its determination and verification of each household's size and income. The household must sign the contract for purchase or lease-purchase agreement within six months of the determination or else the eligibility must be redetermined. e. Allowable Expenditures - Except as indicated below, funds provided by the Grantee under this Agreement may be used by the Subgrantee for both hard and soft development costs, including, but not limited to: property surveys, appraisals, environmental reviews and acquisition; demolition and clearance; construction labor and materials, including required infrastructure improvements; interest expense; title, recording and legal fees; and taxes, extermination, inspection and other closing costs. CDBG funds shall not be used for new housing construction costs. Absent the Grantee's prior approval, the Subgrantee shall not use funds provided under this Agreement to acquire (1) any nonexpendable personal property, including equipment, (2) any real property at a price exceeding the value determined through appraisal, city assessment or other appropriate method or (3) acquire any property that is or would be occupied by legal tenants after the initial acquisition contact with the owner. Under no circumstances shall funds be expended for liens, fines or penalties associated with any property acquired or to be acquired. The maximum amount of HOME funds which may be expended to assist a unit shall comply with the limits specified in section ll.a. below. Page 2 of2l f. Period of this Agreement - This Agreement shall be effective as of September I, 2007, and, unless amended, shall end December 31, 2008. g. Budget - CDBG and HOME funds provided by the Grantee under this Agreement shall be as detailed in Attachment A. At the sole discretion of the Grantee, any funds remaining unexpended as of the end date of this Agreement may be deobligated from the Agreement and made available for other COBG or HOME projects. The commitment of funds by the Grantee to this Agreement shall not be construed as a commitment by the Grantee to provide further funding to this project. (I) Subgrantee Investment -In consideration of the funding from other sources that the Sub grantee, in its application for funding to the Grantee, indicated would be made available to the project, it is understood that the minimum investment in the project by the Subgrantee from such other sources shall be $400,000.00. (2) HOME Match - HOME funds provided by the Grantee under this Agreement are subject to the match requirements of 24 CFR 92.218 through 92.222. The Subgrantee shall assist in meeting this requirement through such sources as the cash value of foregone yield attributable to the below-market interest rate on nonfederal permanent mortgage financing (such as VHDA SP ARC funds) provided to a homebuyer. The Subgrantee shall document and, in accordance with section 8, regularly report all accumulated HOME match credit. 2. REQUESTS FOR DISBURSEMENTS OF FUNDS: a. Disbursements under this Agreement shall not be requested until the funds are needed for payment of eligible costs. Such requests shall be received by the 15th of each month and not more frequently than monthly. The amount of each disbursement request must be limited to the amount needed. b. Requests for disbursement of funds shall be submitted to the Grantee's Project Manager, if any, or Department of Neighborhood Services and shall include copies of invoices or other appropriate documentation from contractors or other entities for work performed or costs incurred. In the case of property acquisitions, requests shall include settlement statements and property appraisal or assessment documentation. The use of standard American Institute of Architects (AlA) forms is preferred for requesting disbursement of funds for construction costs. Upon approval of the request by the Project Manager and/or Department of Neighborhood Services, the Grantee shall disburse the funds to the Subgrantee. Approval of disbursement requests will be subject to timely receipt of monthly Subgrantee reports (see section 8 below). c. All requests for disbursements with respect to costs incurred during the period of this Agreement, as set forth in section I.f., must be received by the Grantee within 30 calendar days of the ending date of this Agreement. The Grantee shall not be bound to honor requests for disbursements received after this 30-day period has elapsed. 3. PROGRAM INCOME AND REPAYMENTS: a. Proceeds from Housing Sales: (I) Upon the sale of a property assisted with CDBG and/or HOME funds under this Agreement, the Sub grantee may use the proceeds to retire any debt or recover any unreimbursed expenses it has Page 3 of21 incurred that are attributable to its development of the property. Thereafter, the Subgrantee may receive a developcr fee equal to 10% of the sales price of the property paid by the homebuyer. Any proceeds remaining shall be remitted to the Grantee as program income. Should the sales proceeds be insufficient to allow the Sub grantee to retire its debt, recover its unreimbursed expenses or receive its developer fee, the Grantee shall not be liable for the insufficiency. (2) In the event a property is assisted by both CDBG and HOME funds provided under this Agreement, the Grantee=s share referenced in subsection (I) above shall be distributed to CDBG program income or HOME program income according to the percentage each source is of the total CDBG and HOME funds contributed to the property. b. All program income, repayments, interest, and Grantee shares of proceeds or other returns on the investment ofCDBG and/or HOME funds shall be submitted to the Grantee by the Subgrantee on or before the fifteenth of the month following collection. 4. AFFORDABILITY: a. The Subgrantee shall ensure that properties assisted with HOME funds under this Agreement comply with the affordability requirements at 24 CFR 92.252 and 92.254, as applicable, including, but not limited to, the following: (1) With respect to housing newly constructed or rehabilitated for sale: (a) Buyers of the properties shall be eligible families, as described in section l.d. above; (b) Neither the value nor the sale price of the housing shall exceed the Section 203(b) limits promulgated by HUD; and (c) For up to 15 years, depending on the amount and form of HOME and/or HOME/CHDO assistance provided, either resale restrictions or repayment (recapture) requirements will be imposed on the buyer. These provisions shall be enforced by a written covenant declared by the Sub grantee and recorded with the property deed. The covenant shall provide that the Grantee be notified of any pending sale or transfer of the property during the applicable period of affordability. If affordability provisions are not met upon sale or transfer of the property, up to the full HOME investment, as applicable, shall be repaid to the Grantee. (2) All covenants or other instruments shall be approved as to form by the Grantee. b. The Subgrantee shall monitor all HOME-assisted properties to ensure maintenance of their affordability for the minimum period. This Sub grantee responsibility shall continue so long as this Agreement or any other CDBG- and/or HOME-funded Agreement with the Grantee remains in effect. 5. ENFORCEMENT OF THE AGREEMENT: a. In the event the Subgrantee materially fails to comply with any term of the agreement, the Grantee may suspend or terminate, in whole or in part, this Agreement or take other remedial action in accordance with 24 CFR 85.43. The Agreement may be terminated for convenience in accordance with 24 CFR 85.44. Page 4 of 21 b. In the event the Subgrantee, without prior written approval from the Grantee's Department of Neighborhood Services, terminates the project prior to completing all units for which HOME funds have been disbursed, the Subgrantee shall be liable for repayment of all HOME project, administrative or operating funds disbursements, whether or not expended. 6. REVERSION OF ASSETS: a. Upon expiration or termination of this Agreement, including any amendments thereto, the Subgrantee shall transfer to the Grantee any COBG or HOME funds or COBG or HOME Program Income on hand at the time of expiration or termination and any accounts receivable attributable to the use of COBG or HOME funds. b. Any real property under the Subgrantee=s control that was acquired or improved, in whole or in part, with COBG funds in excess of $25,000: (I) Shall continue for a period of not less than five years following expiration of this Agreement, including any amendments thereto, to be used to meet one of the COBG national objectives cited in 24 CFR 570.208; or (2) If the property is not used in accordance with paragraph (I) above, the Subgrantee shall pay the Grantee an amount equal to the current market value of the property less any portion of the value attributable to expenditures of non-COBG funds for the acquisition of, or improvement to, the property. The payment shall be considered Program Income to the Grantee. 7. RECORDS REOUIREMENTS: a. Records to be maintained - At a minimum, the Sub grantee shall maintain financial and project documents and records which comply with the requirements of 24 CFR 92.508, 570.506, and 570.507, as applicable. b. Period of record retention - In compliance with the requirements of 24 CFR 92.508(c) and 570.502(b), the Subgrantee shall retain financial and project documents and records pertaining to this Agreement for a period of four (4) or five (5) years, as applicable, or the conclusion of any legal or administrative process requiring their use, whichever is later. c. Access to records - The Grantee and other entities shall have access to financial and project documents and records pertaining to this Agreement in compliance with the applicable requirements of 24 CFR 84.53 and 92.508(d). 8. REPORTING REQUIREMENTS: a. By the 7th working day following the end of each month, the Subgrantee shall report the progress of activities covered by this Agreement, in a format acceptable to the Grantee's Department of Neighborhood Services. Such monthly reports shall include, but not be limited to, the following: (I) A narrative section summarizing progress to-date on the project, including affirmative marketing and Section 3 activities that have taken place; Page 5 of 21 (2) Certifications regarding debarment and suspension of contractors, as described in section 11.j. ; (3) A list of monthly gross program income receipts from all sources; (4) A list of any real or non-expendable personal property, including equipment, purchased with CDBG and/or HOME funds; (5) A cumulative table itemizing HOME Match credit documented; (6) A table providing data on each housing unit and eligible household assisted (see Attachment B for minimum data elements to be reported); and (7) A table providing demographic data on the households assisted (see Attachment C for the Grantee's standard format) b. The Subgrantee agrees to submit any other reports or documentation as requested by the Grantee concerning activities covered under this agreement. 9. MONITORING: The Subgrantee shall monitor the progress of the project(s) covered by this Agreement, and shall submit appropriate reports to the Grantee's Department of Neighborhood Services. In addition, it is the Grantee's intention to monitor the Subgrantee's performance and financial and programmatic compliance, which may include on-site reviews, at least once during the period of this Agreement. 10. ANNUAL AUDIT: As an entity receiving more than $300,000 in federal funding from the Grantee, the Subgrantee shall provide for an annual independent audit of the CDBG/HOME expenditures under this Agreement which complies with OMB Circular A-133. Within 30 days following its completion, two (2) copies of the audit will be provided to the Grantee's Department of Neighborhood Services. ' II. OTHER PROGRAMlPRO.TECT REOUlREMENTS: In addition to other requirements set forth herein, the Subgrantee shall likewise comply with the applicable provisions of Subparts F and H of 24 CFR part 92 and Subpart K of 24 CFR 570, in accordance with the type of project assisted. Such other requirements include, but are not necessarily limited to, the following. a. Maximum per-unit subsidv amount and subsidv lavering - The total amount of HOME funds invested shall under no circumstances exceed $123,922 for a one-bedroom unit, $150,690 for a two-bedroom unit, $194,942 for a three-bedroom unit, and $213,988 for a unit with four or more bedrooms. However, as set forth in section I.g.(1), it is expected that the Subgrantee shall contribute the indicated minimum investment to the development of the properties provided for under this Agreement, which shall reduce the amount of HOME assistance per unit. Further, in accordance with 24 CFR 92.250, HOME funds invested in combination with other governmental assistance shall not exceed the amount necessary to provide affordable housing. Page 6 of 21 b. Property standards and lead-based paint - All housing assisted with HOME funds under this agreement must, upon project completion, meet the property standards of 24 CFR 92.25 I. Those assisted with HOME andlor CDBG funds shall meet the Statewide Building Code. All properties assisted with HOME and/or CDBG funds shall meet the lead-based paint requirements in 24 CFR 92.355 and/or 570.608, respectively. In accordance with regulations, the Sub grantee shall adhere to lead-based paint abatement practices, as applicable, and in no case shall use lead-based paint in the construction or rehabilitation of the properties assisted under this Agreement. c. Affirmative Marketing and Affirmatively Furthering Fair Housing - In accordance with 24 CFR 92.351 and 570.601 and the Grantee's Affirmative Marketing Procedures, the Subgrantee shall provide information and otherwise attract eligible persons in the housing market area to the available housing without regard to race, color, national origin, sex, familial status or disability. The Sub grantee will describe its affirmative marketing activities as part of the monthly reporting requirements described in section 8. d. Section 109 - In accordance with Section 109 of the Housing and Community Development Act of 1974 (42 U.S.C. 3535(d)), no person in the United States shall on grounds of race, color, religion, sex or national origin be excluded from participation in, denied the benefits of, or subjected to discrimination under any program or activity funded in whole or in part with funds available under this Agreement. (See also Attachment C.) e. Conditions for religious organizations - The Subgrantee shall not grant or loan any HOME or CDBG funds to primarily religious organizations for any activity including secular activities. In addition, funds may not be used to rehabilitate or construct housing owned by primarily religious organizations or to assist primarily religious organizations in acquiring housing. In particular, there shall be no religious or membership criteria for tenants or buyers of any HOME- or CDBG-assisted properties. f. Labor standards - As presently structured, the programs included under this Agreement are not considered subject to federal Labor Standards, including prevailing (Davis-Bacon) wage rates for non-volunteer labor. Such standards will become applicable in the event CDBG or HOME funds are used for infrastructure improvements. Such standards will also become applicable for any single project in which more than 7 housing units are assisted with CDBG funds or more than 12 units are assisted with HOME funds or more than 7 units are assisted with a combination of CDBG and HOME funds. g. Environmental standards - In accordance with 24 CFR 85.36, 92.352 and 570.604, the activities under this Agreement are subject to environmental review requirements. Such requirements include, but are not necessarily limited to, historic significance, floodplain, clean air and hazardous sites. The Grantee has performed the tiered review necessary to initiate the preliminary program activities; however, no CDBG funds may be expended for a given property prior to the Subgrantee's completing its individual property review, any required remedial actions and required Subgrantee environmental checklist, which must include all compliance categories specified by HUD and the Grantee. Where acquisition of property is authorized, the Subgrantee will conduct, directly or through qualified entities, at minimum an "environmental transaction screen," which consists of a review of the property's history and a site visit to determine the condition of the property. All property acquisitions shall be contingent upon satisfactory results of the screen, and, where dictated by the screen, further environmental phases. All specifications for proposed housing rehabilitation under this Agreement Page 7 of 21 shall be submitted to the Grantee's Department of Neighborhood Services for review as to compliance with Section 106 of the National Historic Preservation Act. These specifications shall also be reviewed by the Grantee's Environmental Administrator to determine whether the potential for disturbing lead and other hazardous materials, such as asbestos, has been adequately taken into account. The Subgrantee agrees to adjust work specifications or activities in such manner as may be requested by the Grantee to ensure compliance with environmental requirements. The results of the historic and other environmental review activities shall be reflected in the Subgrantee's environmental checklist for the unit and/or project site(s). h. Displacement and relocation -In accordance with 24 CFR 92.353 and 570.606, the Subgrantee shall take all reasonable steps to minimize displacement as a result of the activities described in section I. Furthermore, section I of this Agreement prohibits acquisition of any property which is occupied or would be occupied by legal tenants after the initial acquisition contact with the owner. Notwithstanding this prohibition, any persons displaced as a result of the activities under this Agreement shall be provided relocation assistance to the extent permitted and required under applicable regulations. 1. Emplovment and contracting opportunities - In accordance with 24 CFR 92.350 and 570.607, the activities under this Agreement are subject to the requirements of Executive Order 11246, as amended, and Section 3 of the Housing and Urban Development Act of 1968. The former prohibits discrimination on federally-assisted construction contracts and requires contractors to take affirmative action regarding employment actions. The latter provides that, to the greatest extent feasible and consistent with federal, state and local laws, employment and other economic opportunities arising housing rehabilitation, housing construction and public construction projects shall be made available to low- and very-low-income residents and businesses of the area. In particular, for any contract valued at $100,000 or more awarded by the Subgrantee, funded in whole or in part with CDBG and/or HOME funds, the contractor shall evidence good faith efforts to hire such low- and very-low-income residents for training and employment opportunities, if any, that become available with respect to the contract activities. In the event that CDBG and/or HOME funds provided to the Subgrantee under this Agreement exceed $200,000, but the Subgrantee does not award any contract valued at $100,000 or more, the Subgrantee shall evidence good faith efforts to hire such low- and very-low-income residents for training and employment opportunities of the Subgrantee, if any, that become available with respect to the activities undertaken pursuant to this Agreement. (See also Attachment D.) J. Debarment and suspension - In accordance with 24 CFR 24, the Sub grantee shall not employ or otherwise engage any debarred, suspended, or ineligible contractors or subcontractors to conduct any activities under this Agreement. The Subgrantee will consult appropriate references, including, but not limited to, the Excluded Parties Listing Service website at http://epls.arnet.gov, to ascertain the status of any third parties prior to engaging their services. The Subgrantee will submit to the Grantee's Department of Neighborhood Services the names of contractors and subcontractors selected under this Agreement, including a certification by the Sub grantee that it has determined that none of these entities are presently debarred, suspended, or ineligible. k. Uniform administrative requirements - The Subgrantee shall comply with the requirements and standards set forth in 24 CFR 92.505 and 570.502, and all applicable CDBG, HOME and other federal regulations pertaining to the activities performed under this Agreement. I. Conflict of interest - In accordance with 24 CFR 92.356 and 570.611, no covered individual who Page 8 of 21 exercises any functions or responsibilities wi'th respect to the program during his tenure, or for one (I) year thereafter, shall have any interest, direct or indirect, in any contract or subcontract, or the proceeds thereof, for work to be performed in connection with the program assisted under this Agreement. The Subgrantee shall incorporatc, or cause to be incorporated, in any contracts or subcontracts pursuant to this Agreement a provision prohibiting such interest pursuant to the purposes of this section. 12. UNANTICIPATED ARCHEOLOGICAL DISCOVERIES In the event that a previously unidentified archeological resource (i.e., intact levels or intact features such as a foundation) is discovered during ground disturbing activities, the Subgrantee shall immediately notify the Grantee, which in turn will notify the State Historic Preservation Office (SHPO). All construction work involving subsurface disturbance will be halted in the area of the resource and in the surrounding area where further subsurface remains can reasonably be expected to occur. The Grantee and the SHPO or a qualified archeologist approved by the Grantee and SHPO will immediately inspect the work site and determine the area and the nature of the affected archeological property. Construction work may then continue in the project area outside the site area. Within two (2) working days of the original notification of discovery, the Grantee in consultation with the SHPO will determine the National Register eligibility of the resource. Work in the affected area shall not proceed until either the development and implementation of an appropriate treatment plan; or the determination is made that the located resource is not eligible for inclusion on the National Register. The discovery of isolated artifacts shall not be cause for halting construction work. Note: The discovery of human skeletal remains and associated funerary objects encountered during the course of actions taken as a result of this Agreement shall be treated in accordance with the Regulations Governing Permits for the Archaeological removal of Human Remains (Virginia Register 390-01-02) found in the Code of Virginia (10.1-2305, et seq., Virginia Antiquities Act). The Subgrantee, in coordination with the Grantee, will obtain a permit from the SHPO for the removal of human remains in accordance with these regulations. 13. EOUAL EMPLOYMENT OPPORTUNITY: Non-Discrimination: During the performance of this Agreement, the Subgrantee agrees as follows: a. The Subgrantee will not discriminate against any employee or applicant for employment because of race, religion, color, sex, national origin, age, disability, or any other basis prohibited by state law relating to discrimination in employment, except where there is a bona fide occupational qualification reasonably necessary to the normal operation of the Subgrantee. The Subgrantee agrees to post in conspicuous places, available to employees and applicants for employment, notices setting forth the provisions of this nondiscrimination clause. b. The Subgrantee, in all solicitations or advertisements for employees placed by or on behalf of the Sub grantee, will state that such Subgrantee is an equal opportunity employer. c. Notices, advertisement and solicitations placed in accordance with federal law, rule or regulation shall be deemed sufficient for the purpose of meeting the requirements of this section. d. The Subgrantee will include the provisions of the foregoing subsections (a), (b) and (c) in every Page 9 of 21 contract or purchase order of over ten thousand dollars and no cents ($10,000.00) so that the provisions will be binding upon each contractor or vendor. 14. DRUG-FREE WORKPLACE: The Subgrantee will: (i) provide a drug-free workplace for the Subgrantee's employees; (ii) post in conspicuous places, available to employees and applicants for employment, a statement notifying employees that the unlawful manufacture, sale, distribution, dispensation, possession, or use of a controlled substance or marijuana is prohibited in the Sub grantee's workplace and specifying the actions that will be taken against employees for violations of such prohibition; (iii) state in all solicitations or advertisements for employees placed by or on behalf of the Subgrantee that the Sub grantee maintains a drug-free workplace; and (iv) include the provisions of the foregoing clauses in every subcontract or purchase order of over ten thousand dollars and no cents ($10,000.00), so that the provisions will be binding upon each subcontractor or vendor. For the purposes of this subsection, "drug-free workplace" means a site for the performance of work done in connection with this contract. 15. FAITH-BASED ORGANIZATIONS: Pursuant to '2.2-4343.1 of the Code of Virginia (1950). as amended, the Citv of Roanoke does not discriminate against faith-based organizations. 16. THIRD-PARTY CONTRACTS: The Grantee shall not be obligated or liable hereunder to any party other than the Sub grantee. 17. INDEMNITY: The Subgrantee agrees and binds itself and its successors and assigns to indemnify, keep and hold the Grantee and its officers, employees, agents, volunteers and representatives free and harmless from any liability on account of any injury or damage of any type to any person or property growing out of or directly or indirectly resulting from any act or omission of the Sub grantee including: (a) the Subgrantee's use of the streets or sidewalks of the Grantee or other public property; (b) the performance under this Agreement; (c) the exercise of any right or privilege granted by or under this Agreement; or (d) the failure, refusal or neglect of the Subgrantee to perform any duty imposed upon or assumed by Subgrantee by or under this Agreement. In the event that any suit or proceeding shall be brought against the Grantee or any of its officers, employees, agents, volunteers or representatives at law or in equity, either independently or jointly with the Subgrantee on account thereof, the Subgrantee, upon notice given to it by the Grantee or any of its officers, employees, agents, volunteers or representatives, will pay all costs of defending the Grantee or any of its officers, employees, agents, volunteers or representatives in any such action or other proceeding. In the event of any settlement or any final judgment being awarded against the Grantee or any of its officers, employees, agents, volunteers or representatives, either independently or jointly with the Subgrantee, then the Subgrantee will pay such settlement or judgment in full or will comply with such decree, pay all costs and expenses of whatsoever nature and hold the Grantee or any of its officers, employees, agents, volunteers or representatives harmless therefrom. 18. INDEPENDENT CONTRACTOR: Services performed under this agreement shall be performed on an independent contractor basis and Page 10 of 21 under no circumstances shall this Agreement be construed as establishing an employee/employer relationship. The Subgrantee shall be completely responsible for its activities in performing services hereunder. 19. SUCCESSORS: This Agreement shall be binding upon each of the parties, and their assigns, purchasers, trustees, and successors. 20. ENTIRE AGREEMENT This Agreement, including all of its Attachments, represents the entire agreement between the parties and shall not be modified, amended, altered or changed, except by written agreement executed by the parties. 21. AMENDMENTS: The Grantee may, from time to time, require changes in the obligations of the Subgrantee hereunder, or its City Council may appropriate further funds for the implementation of this HOME rehabilitation project. In such event or events, such changes which are mutually agreed upon by and between the Grantee and the Subgrantee shall be incorporated by written amendment to this Agreement. 22. GOVERNING LAW: This Agreement shall be governed by laws of the Commonwealth of Virginia. 23. AVAILABILITY OF FUNDS: CDBG and HOME funding to be made available by the Grantee under this Agreement is contingent upon necessary appropriations by the U.S. Congress. In the event that sufficient funds are not appropriated, at the sole discretion of the Grantee, this Agreement may be terminated in whole or in part. 24. ANTI-LOBBYING: To the best of the Subgrantee's knowledge and belief, no federal appropriated funds have been paid or will be paid, by or on behalf of it, to any persons for influencing or attempting to influence an officer or employee of any agency, a Member of Congress, an officer or employee of Congress, or an employee of a Member of congress in connection with the awarding of any Federal contract, the making of any Federal grant, the making of any Federal loan, the entering into of any cooperative agreement, and the extension, continuation, renewal, amendment, or modification of any Federal contract, grant, loan, or cooperative agreement. If any funds other than Federal appropriated funds have been paid or will be paid to any person for influencing or attempting to influence an officer or employee of any agency, a Member of Congress, an officer or employee of Congress, or an employee of a Member of Congress in connection with this Agreement, the Subgrantee will complete and submit Standard Form-LLL, "Disclosure Form to Report Lobbying," in accordance with its instructions. 25. NOTICE: Any notice, request, or demand given or required to be given under this Agreement shall, except as Page 11 of 21 otherwise expressly provided herein, be in writing and shall be deemed duly given only if delivered personally or sent by certified mail, return receipt requested to the addresses stated below. To the Grantee: Darlene L. Burcham, City Manager Room 364, Noel C. Taylor Municipal Building 215 Church Avenue, S. W. Roanoke, Virginia 24011 To the Subgrantee: Alvin Nash, President Blue Ridge Housing Development Corporation th 510 II Street, NW Roanoke, V A 24017 Notice shall be deemed to have been given, if delivered personally, upon delivery, and if mailed, upon the third business day after the mailing thereof. IN WITNESS WHEREOF, the parties hereto have executed this Agreement as of the day and year hereinabove written: ATTEST: FOR THE GRANTEE: By By Stephanie M. Moon, City Clerk Darlene L. Burcham, City Manager ATTEST: FOR THE SUBGRANTEE: By By Carolyn H. Coles, Secretary Alvin Nash, President APPROVED AS TO CDBGIHOME ELIGIBILITY APPROVED AS TO FORM Dep!. of Neighborhood Services Assistant City Attorney APPROPRIATION AND FUNDS REQUIRED APPROVED AS TO EXECUTION FOR THIS CONTRACT CERTIFIED Assistant City Attorney Director of Finance Date Account # (See Attachment A) Page 12 of 21 Attachments Attachment A -- Financial Accounts Attachment B -- Housing/Beneficiary Reporting Elements Attachment C -- Housing/Beneficiary Demographics Report Attachment D n Special Federal Terms and Conditions Page 13 of 21 Attachment A 200712008 BRHDC CDBG and HOME Agreement Financial Accounts Account # Description Project Delivery Operating Total COBG Funds: 35-G08-0820-5485 New Gilmer Project 20,000 0 NA 20,000 35-G08-0820-5492 New Gilmer Project 0 15.000 NA 15,000 Total COBG 20,000 15,000 NA 35,000 HOME Funds: 35-090-5366-5492 New Gilmer Project (CHDO Project) 10 1,293 NA 0 101.293 35-090-5366-5493 New Gilmer Project (CHDO Operating) 0 NA 10,129 10,129 35-090-5366-5494 New Gilmer Project 294.805 NA 0 294,805 35-090-5366-5495 New Gilmer Project 0 NA 29.480 29.480 Total HOME and HOME/CHOO 396,098 NA 39,609 435,707 Total COBG and HOME (inel. CHOO) 416.098 15,000 39,609 470.707 Page 14 of 21 Attachment B HousinglBeneficiary Reporting Elements On a monthly basis, the Sub grantee shall provide a narrative report to the Grantee summarizing progress on the project to-date. Accompanying the narrative, the Sub grantee shall submit data in a table or spreadsheet format that is needed in order that the Grantee may complete its required reports to the U.S. Department of Housing and Urban Development. The data provided by the Subgrantee shall include: Property Address -- Number of bedrooms n Status (pending, under construction, completed or sold) HomeownerlHomebuyer Name Total Family Income (projected for 12 months following determination) Number in family Whether head of household is disabled Estimated total hard (inc!. acquisition costs, if any) and soft costs to produce the unit CDBG funds committed to property -- HOME funds committed to property -- HOME/CHDO funds committed to property Prime Contractor Name Federall.D. Number (or Owner Social Security Number) Whether Minority-Owned, Women-Owned or Both CDBG funds committed to Prime HOME funds committed to Prime HOME/CHDO committed to Prime Subcontractor Name (Provide separate data for each subcontractor) Federall.D. Number (or Owner Social Security Number) Whether Minority-Owned, Women-Owned or Both CDBG funds committed to Subcontractor HOME funds committed to Subcontractor HOME/CHDO committed to Subcontractor Unit Sale Data (if property is for homeownership) -- Sales Price of Unit (excluding settlement charges) n Closing Date After-Rehab Value (if owner-occupied rehabilitation activity) Page IS of 21 Attachment C Housing/Beneficiary Demographics Report Also accompanying the monthly narrative report and the reporting elements given in Attachment A, the Subgrantee shall provide the demographics report in the format provided below. DIRECT BENEFICIARY REPORT Program I Activity Name Reporting Period 1 Counts by: - Households or - Persons? (Check the one that applies.) 2 # of New Participants this Period (if applicable): 3 TOTAL # BENEFITING FROM ACTIVITY: , (cum ulative to date) (Beginning 07/01/07 - Ending 06/30/08) 4 RACIAL INFORMATION (cumulative to date) # TOTAL # HISPANIC White: Black/African American: Asian: American Indian I Alaskan Native: Native Hawaiian I Other Pacific Islander: American Indian I Alaskan Native & White: Asian & White: Black/African American & White: Am. Indian/Alaskan Native & Black/African Am.: Other Multi-Racial: TOTAL: 5 # - FEMALE HEAD OF HOUSEHOLD: (cumulative to date) 6 INCOME INFORMATION (cumulative to date) # TOTAL < 80% of Median (Low Income Limit) < 50% of Median (Very Low Income) < 30% of Median TOTAL: Prepared by: Date Prepared: Revised 03/05/2004 Page 16 of 21 Attachment D U.S. DEPARTMENT OF HOUSING AND URBAN DEVELOPMENT COMMUNITY DEVELOPMENT BLOCK GRANT PROGRAM SPECIAL TERMS AND CONDITIONS (Agreements $10,000 or Over) I. "Section 3" Compliance n Provision of Traininl!., Emplovment and Business Opportunities: A. The work to be performed under this contract is on a project assisted under a program providing direct Federal financial assistance from the Department of Housing and Urban Development and is subject to the requirements of Section 3 of the Housing and Urban Development Act of 1968, as amended, 12 U.S.C. 170. Section 3 requires that, to the greatest extent feasible, opportunities for training and employment be given lower income residents of the project area and contracts for work in connection with the project be awarded to business concerns which are located in, or owned in substantial part by persons residing in the area of the project. B. The parties to this contract will comply with the provisions of said Section 3 and the regulations issued pursuant thereto by the Secretary of Housing and Urban Development set forth in 24 CFR 135, and all applicable rules and orders of the Department issued thereunder, prior to the execution of this contract. The parties to this contract certify and agree that they are under no contractual or other disability which would prevent them from complying with these requirements. C. The Subgrantee will send to each labor organization or representative of workers with which it has a collective bargaining agreement or other contract or understanding, if any, a notice advising the said labor organization or workers' representative of its commitments under this Section 3 clause and shall post copies of the notice in conspicuous places available to employees and applicants for employment or training. D. The Subgrantee will include this Section 3 clause in every subcontract for work in connection with the project and will, at the direction of the applicant for or recipient of Federal financial assistance, take appropriate action pursuant to the subcontract upon a finding that the contractor is in violation of regulations issued by the Secretary of Housing and Urban Development 24 CFR Part 135. The Subgrantee will not subcontract with any contractor where it has notice or knowledge that the latter has been found in violation of regulations under 24 CFR part 135 and will not let any subcontract unless the contractor has first provided it with a preliminary statement of ability to comply with the requirements of these regulations. E. Compliance with the provisions of Section 3, the regulations set forth in 24 CFR Part 135, and all appl icable rules and orders of the Department issued hereunder prior to the execution of the contract, shall be a condition of the federal financial assistance provided to the project, binding upon the applicant or recipient for such assistance, its successor and assigns. Failure Page 17 of 21 to fulfill these requirements shall subject the applicant or recipient, its Snbgrantees and contractors, its successors and assigns to those sanctions specified by the grant or loan agreement or contract through which Federal assistance is provided, and to such sanctions as are specified by 24 CFR Part 135. 2. EQual Emplovment Opportunitv: Contracts subiect to Executive Order 11246, as amended: Such contracts shall be subject to HUD Equal Employment Opportunity regulations at 24 CFR Part 130 applicable to HUD-assisted construction contracts. The Sub grantee shall cause or require to be inserted in full in any non-exempt contract and subcontract for construction work, or modification thereof as defined in said regulations, which is paid for in whole or in part with assistance provided under this Agreement, the following equal opportunity clause: "During the performance of this contract, the Subgrantee agrees as follows: A. The Subgrantee will not discriminate against any employee or applicant for employment because of race, color, religion, sex or national origin. The Subgrantee will take affirmative action to ensure that applicants are employed and that employees are treated during employment without regard to their race, color, religion, sex or national origin. Such action shall include, but not be limited to, the following: employment, upgrading, demotion or transfer; recruitment or recruitment advertising; layoff or termination; rates of payor other forms of compensation; and selection for training, including apprenticeship. The Sub grantee agrees to post in conspicuous places available to employees and applicants for employment, notices to be provided by the contracting officer setting forth the provisions of this nondiscrimination clause. B. The Subgrantee will, in all solicitations or advertisements for employees placed by or on behalf of the Subgrantee, state that all qualified applicants will receive consideration for employment without regard to race, color, religion, sex or national origin. C. The Subgrantee will send to each labor union or representative of workers with which he has a collective bargaining agreement or other contract or understanding, a notice to be provided by the Contract Compliance Officer advising the said labor union or workers' representatives of the Subgrantee's commitment under this section and shall post copies of the notice in conspicuous places available to employees and applicants for employment. D. The Subgrantee will comply with all provisions of Executive Order 11246 of September 24, 1965, as amended by Executive Order 11375 of October 13,1967, and the rules, regulations and relevant orders of the Secretary of Labor. E. The Subgrantee will furnish all information and reports required by Executive Order 11246 of September 24, 1965, and by the rules, regulations and orders of the Secretary of Labor, or pursuant thereto, and will permit access to his books, records and accounts by the Department and the Secretary of Labor for purposes of investigation to ascertain compliance with such rules, regulations and orders. F. In the event of the Subgrantee's noncompliance with the nondiscrimination clauses of this contract or with any of such rules, regulations or orders, this contract may be canceled, terminated or suspended in whole or in part, and the Subgrantee may be declared ineligible Page 18 of 21 for further Government contracts or Federally-assisted construction contract procedures authorized in Executive Order 11246 of September 24, 1965, or by rule, regulation or order of the Secretary of Labor, or as otherwise provided by law. G. The Sub grantee will include the portion of the sentence immediately preceding paragraph (A) and the provisions of paragraphs (A) through (G) in every subcontract or purchase order unless exempted by rules, regulations or orders of the Secretary of Labor issued pursuant to Section 204 of Executive Order 11246 of September 24, 1965, so that such provisions will be binding upon each contractor or vendor. The Sub grantee will take such action with respect to any subcontract or purchase order as the Department may direct as a means of enforcing such provisions, including sanctions for noncompliance; provided, however, that in the event a Sub grantee becomes involved in or is threatened with litigation with a contractor or vendor as a result of such direction by the Department, the Sub grantee may request the United States to enter into such litigation to protect the interest of the United States." The Sub grantee further agrees that it will be bound by the above equal opportunity clause with respect to its own employment practices when it participates in Federally-assisted construction work; provided, that if the Sub grantee so participating is a State or local government, the above equal opportunity clause is not applicable to any agency, instrumentality or subdivision of such government which does not participate in work on or under the contract. The Subgrantee agrees that it will assist and cooperate actively with the Department and the Secretary of Labor in obtaining the compliance of Subgrantees and contractors with the equal opportunity clause and the rules, regulations and relevant orders of the Secretary of Labor; that it will furnish the Department and the Secretary of Labor such compliance; and that it will otherwise assist the Department in the discharge of its primary responsibility for securing compliance. The Subgrantee further agrees that it will refrain from entering into any contract or contract modification subject to Executive Order 11246 of September 24, 1965, with a Subgrantee debarred from, or who has not demonstrated eligibility for Government contracts and Federally-assisted construction contracts pursuant to the Executive Order and will carry out such sanctions and penalties for violation of the equal opportunity clause as may be imposed upon Subgrantees and contractors by the Department or the Secretary of Labor pursuant to Part II, Subpart D, of the Executive Order. In addition, the Sub grantee agrees that if it fails or refuses to comply with these undertakings, the Department may take any or all of the following actions: cancel, terminate or suspend in whole or in part the grant or loan guarantee; refrain from extending any further assistance to the Sub grantee under the Program with respect to which the failure or refusal occurred until satisfactory assurance of future compliance has been received from such Subgrantee; and refer the cause to the Department of Justice for appropriate legal proceedings. 3. Nondiscrimination Under Title VI of the Civil Ri2hts Act of 1964: This Agreement is subject to the requirements of Title VI of the Civil Rights Act of 1964 (PL. 88-352) and HUD regulations with respect thereto, including the regulations under 24 CFR Part I. ]n the sale, lease or other transfer of land acquired, cleared or improved with assistance provided under this Agreement, the Subgrantee shall cause or require a covenant running with the land to be inserted in the deed or lease for such transfer, prohibiting discrimination upon the basis or race, color, religion, sex or national origin, in the sale, lease or rental, or in the use of occupancy of such land or any improvements erected or to be erected thereon, and providing that the Subgrantee and the United States are beneficiaries of and entitled to enforce such covenant. The Sub grantee, in undertaking its obligation in carrying out the Page 19 of 21 program assisted hereunder, agrees to take such measures as are necessary to enforce such covenant and will not itself so discriminatc. 4. Section 504 and Americans with Disabilities Act: The Subgrantee agrees to comply with any federal regulation issued pursuant to compliance with the Section 504 of the Rehabilitation Act of 1973, as amended, and the Americans with Disabilities Act, which prohibit discrimination against the disabled in any federal assisted program. 5. Oblil!:ations of Subl!:rantee with Respect to Certain Third-partv Relationships: The Subgrantee shall remain fully obligated under the provisions of the Agreement, notwithstanding its designation of any third party or parties for the undertaking of all or any part of the program with respect to which assistance is being provided under this Agreement to the Subgrantee. Any Subgrantee which is not the Applicant shall comply with all lawful requirements of the Applicant necessary to insure that the program, with respect to which assistance is being provided under this Agreement to the Subgrantee is carried out in accordance with the Applicant's Assurances and certifications, including those with respect to the assumption of environmental responsibilities of the Applicant under Section 104(h) of the Housing and Community Development Act of 1974. 6. Interest of Certain Federal Officials: No member of or delegate to the Congress of the United States, and no Resident Commissioner, shall be admitted to any share or part of this Agreement or to any benefit to arise from the same. 7. Prohibition Al!:ainst Pavments of Bonus or Commission: The assistance provided under this Agreement shall not be used in the payment of any bonus or commission for the purpose of obtaining HUD approval of the application for such assistance, or HUD approval or applications for additional assistance, or any other approval or concurrence of HUD required under this Agreement, Title I of the Housing and Community Development Act of 1974, or HUD regulations with respect thereto; provided, however, that reasonable fees or bona fide technical, consultant, managerial or other such services, other than actual solicitation, are not hereby prohibited if otherwise eligible as program costs. 8. "Section 109": This Agreement is subject to the requirements of Section 109 of the Housing and Community Development Act of 1974, 42 U.S.C. 3535(d). No person in the United States shall on the ground of race, color, religion, sex or national origin be excluded from participation in, be denied the benefits of, or be subjected to discrimination under any program or activity funded in whole or in part with funds available under this title. 9. Access to Records and Site of Emplovment: This agreement is subject to the requirements of Executive Order 11246, Executive Order 1375, Civil Rights Act of 1964, as amended. Access shall be permitted during normal business hours to the premises for the purpose of conducting on-site compliance reviews and inspecting and copying such books, records, accounts, and other material as may be relevant tot he matter under investigation and pertinent to compliance with the Order, and the rules and regulations promulgated pursuant thereto by the Subgrantee. Information obtained in this manner shall be used only in connection with the administration of the Order, the administration of the Civil Rights At of 1964 (as amended) and in furtherance of the purpose of the Order and that Act. Page 20 of 21 10. Lel!:al Remedies for Contract Violation: If the Subgrantee materially fails to comply with any term of this Agreement, whether stated in a Federal statute or regulation, an assurance, in a State plan or application, a notice of award, or elsewhere, the City may take one or more of the following action, as appropriate in the circumstances: 1) Temporarily withhold cash payments pending correction of the deficiency by the Subgrantee, 2) Disallow all or part of the cost of the activity or action not in compliance, 3) Wholly or partly suspend or terminate the current Agreement, or 4) Take other remedies that may be legally available. Page210f2l ...-! @\f~ tI~~~..: '~' .. . . . . CITY OF ROANOKE OFFICE OF THE CITY CLERK 215 Church Avenue, S. W., Room 456 Roanoke, Virginia 24011-1536 Telephone; (540) 853-2541 Fax: (540) 853-1145 E-mail: clerk@roanokeva.gov SHEILA N. HARTMAN Deputy City Clerk CECELlA R. TYREE As~istant Deputy City Clerk STEPHANIE M. MOON. CMC City Clerk September 18, 2007 Darlene L. Burcham City Manager Roanoke, Virginia Dear Ms. Burcham: I am enclosing copy of Resolution No. 37907-091707 authorizing the City Manager to enter into the 2007-2008 Community Development Block Grant subgrant Agreement with Total Action Against Poverty in the Roanoke Valley, Inc., upon certain terms and conditions. The abovereferenced measure was adopted by the Council of the City of Roanoke at a regular meeting held on Monday, September 17, 2007. .. Sincerely, tt1J~'M, ~~ Stephanie M. Moon, CMC City Clerk SMM:ew Enclosure pc: Jesse A. Hall, Director of Finance R. Brian Townsend, Assistant City Manager for Community Development Sherman M. Stovall, Director, Management and Budget Dan Webb, Acting Director of Neighborhood Services Frank E. Baratta, Budget Team Leader I( <;5 \ll ~\ (~\ I \ . IN THE COUNCIL OF THE CITY OF ROANOKE, VIRGINIA The 17th day of September, 2007. No. 37907-091707. A RESOLUTION authorizing the City Manager to enter into the 2007-2008 Community Development Block Grant subgrant Agreement with Total Action Against Poverty in the Roanoke Valley, Inc., upon certain terms and conditions. BE IT RESOLVED by the Council of the City of Roanoke that the City Manager and the City Clerk are hereby authorized, for and on behalf of the City, to execute and attest, respectively, the 2007-2008 Community Development Block Grant subgrant Agreement with Total Action Against Poverty in the Roanoke Valley, Inc., approved as to form by the City Attorney, within the limits of funds and for the purposes more particularly set forth in the City Manager's letter dated September 17,2007, to City Council. ATTEST: ;W;;;:v~. ~ K:\RESOLUTlON\R_ CDSG AND TAP 9-17-07.DOC9-17-07 CITY OF ROANOKE OFFICE OF THE CITY MANAGER Noel C. Taylor Municipal Building 215 Church Avenue, S.W., Room 364 Roanoke, Virginia 24011-1591 Telephone: (540) 853-2333 Fax: (540) 853-1138 City Web: www.roanokeva.gov September 17, 2007 Honorable C. Nelson Harris, Mayor Honorable David B. Trinkle, Vice Mayor Honorable Alfred T. Dowe, Jr., Council Member Honorable Beverly T. Fitzpatrick, Jr., Council Member Honorable Sherman P. Lea, Council Member Honorable Gwendolyn W. Mason, Council Member Honorable Brian J. Wish neff, Council Member Dear Mayor Harris and Members of City Council: Subject: 2007-2008 CDBG Agreement with Total Action Against Poverty in the Roanoke Valley, Inc. (TAP) Background: Since 1965, Total Action Against Poverty in the Roanoke Valley, Inc. (TAP), has developed and executed programs that promote adequate housing, employment, health and nutrition, and education for the citizens of Roanoke and surrounding areas. To date, TAP's Emergency Home Repair program has performed emergency home repairs for approximately 123 needy citizens of Roanoke. On May 14, 2007, City Council authorized TAP to conduct housing activities in our community by Resolution No. 37777-051407, which approved the City's 2007-2008 Action Plan Consolidated Plan for submission to the U.S. Department of Housing and Urban Development (HUD). City Council accepted the 2007-2008 CDBG funds on June 18, 2007, by Budget Ordinance No. 37804-061807 and Resolution No. 37803- 061807. By letter dated July 12, 2007, HUD approved the City's five-year Consolidated Plan and its third year action plan. Considerations: In order that TAP may conduct its approved 2007-2008 housing activities, City Council's authorization is needed to execute a subgrant agreement. Necessary CDBG funding is available in the account listed in the draft Agreement included Honorable Mayor and Members of City Council September 17, 2007 Page 2 with this report. A total of $100,000.00 is being provided to TAP to provide limited and emergency repairs to 15 homes city-wide, with the exception of the Gainsboro and Gilmer neighborhoods, which are assisted through an agreement with the Roanoke Redevelopment and Housing Authority. The agreement would be effective from July 1, 2007, until June 30, 2008. Recommended Action: Authorize the City Manager to execute the 2007-2008 CDBG subgrant Agreement with Total Action Against Poverty in the Roanoke Valley, Inc., similar in form and content to the draft attached to this report, such agreement to be approved as to form by the City Attorney. Respectfully submitted, Darlene L. B rcham City Manager DLB/sp Attachments c: Stephanie M. Moon, City Clerk William M. Hackworth, City Attorney Jesse A. Hall, Director of Finance Dan Webb, Acting Director of Housing & Neighborhood Services Frank E. Baratta, Budget Team Leader CM07-00139 AGREEMENT This agreement is made and entered into this 17'" day of September, 2007, by and between the following parties: The Grantee City of Roanoke, Virginia 215 Church Avenue, SW. Roanoke, Virginia 24011 The Subgrantee Total Action Against Poverty in the Roanoke Valley, Inc. 145 W. Campbell Ave., SW. Roanoke, Virginia 24011 WITNESSETH WHEREAS, by Resolution No. 37777-051407, adopted May 14, 2007, Roanoke City Council approved the 2005-2010 Consolidated Plan which included the 2007-2008 Action Plan; and WHEREAS, by Resolution No. 37803-061807, adopted June 18,2007, Roanoke City Council approved the acceptance of the 2007-2008 Community Development Block Grant (CDBG) program and by Ordinance No. 37804-061807 appropriated the funds thereto, of which One Hundred Thousand and 00/100 Dollars ($100,000) in Community Development Block Grant funds is to be provided to the Subrantee to provide limited and emergency repairs to single- family homes in Roanoke; and WHEREAS, by Resolution No. _____-091707, adopted September 17, 2007, City Council authorized the City Manager to execute an agreement for ,the purposed specified herein. NOW, THEREFORE, the parties hereto mutually agree as follows: 1 . SCOPE OF SERVICES: a. General - Activities to be undertaken by the Subgrantee under this Agreement shall be known as the "2007-2008 Housing and Community Development (HCD) Emergency Home Repair Program" (the "Program") and have as their purpose the rehabilitation of single-family housing. Through CDBG funding provided by the Grantee, the Subgrantee will provide limited and emergency repairs to approximately fifteen (15) homes throughout the city, excluding the Gainsboro and Gilmer neighborhoods. Repairs to houses will address such problems as falling plaster, broken water lines, holes in roofs and the repair and/or replacement of furnaces. The Subgrantee will contract out for all repair Page I of 23 Pages work on a bid basis, with the lowest responsive and responsible bidder selected. All contractors selected to provide rehabilitation services under the Program will be properly licensed and insured. All homes assisted with CDBG funds under this Agreement shall be the principal residences of "eligible homeowners," as described in section 1.b. below. b. Eliqible Homeowners -- For the purposes of this Agreement, an "eligible homeowner" shall mean a family whose income, adjusted for family size, does not exceed 80% of the area median income defined by the U.S. Department of Housing and Urban Development ("HUD") and in effect at the time the family applies for assistance. In addition, the home for which the family is applying for assistance must be the family's principal residence. The Subgrantee shall prepare, and retain with records of the Program, documentation of its determination of each eligible family's size and income, including the name, age, and the sources and estimated amount of income anticipated for the succeeding twelve months for each individual related by birth, marriage or adoption living in the same household at the time of the determination. c. Performance Expectations and Schedule 1. HUD Outcome Measurement: The primary outcome of the HUD Performance Measurement System addressed by this program, project or activity is: . Provide decent housing through improved affordability of home emergency repairs for low- to moderate-income persons. 2. Specific Quantifiable Objectives: It is expected that this program, project or activity will achieve the following: By June 30, 2008, fifteen (15) eligible homeowners will receive emergency home repairs, thereby improving their overall safety and health and allowing them to continue living independently in their homes. (1) By September 30, 2007, three (3) homeowners shall have: (a) Completed formal applications and had program eligibility verified; (b) Received a home visit from the Contractor and Services Coordinator to assess damages, take pictures and make cost estimates; (c) Contracts for repair work executed; Page 2 of 23 Pages (d) Contracted repair work completed; (e) Work inspected by the Service Coordinator, who will also take pictures and have homeowner complete a client response form; (f) Payment made to contractor following successful inspection of the job. (2) By December 31, 2007, a cumulative total of nine (9) homeowners shall have completed the services set forth in section 1 .c.(1 ) above. (3) By March 31, 2008, a cumulative total of nine (12) homeowners shall have completed the services set forth in section 1 .c.(1) above. (4) By June 30, 2008, a cumulative total of fifteen (1 5) homeowners shall have completed the services set forth in section 1 .c.(1) above. 2. PERIOD OF PERFORMANCE This Agreement shall be effective as on July 1,2007, and, unless amended, shall end June 30, 2008_ 3. BUDGET a. General -- Unless amended, the total amount of CDBG funds provided by the Grantee under this Agreement shall not exceed One Hundred Thousand and 00/100 dollars $100,000, of which: (a) not less than $70,000.00 shall be used for housing repair costs; and (b) not more than $30,000.00 may be used by the Subgrantee for program delivery and indirect (administrative) costs. The indirect costs are based on a plan approved by the Subgrantee's cognizant federal agency (the U.S. Department of Health and Human Services) and accepted by the Grantee for the purposes of this Agreement. At the sole discretion of the Grantee, any funds remaining unexpended as of the end date of this Agreement may be deobligated from the Agreement and made available for other CDBG projects of the Grantee, as appropriate. b. Allowable Expenditures -- Except as restricted herein, funds provided by the Grantee under this Agreement may be used for any necessary, reasonable and allowable cost associated with this housing rehabilitation program. "Project" funds may include such items as the labor and materials costs of work performed by contractors, building permits and similar costs related to the rehabilitation of housing. "Delivery" funds may include the wages and benefits of staff or other operating costs directly associated with providing housing Page 3 of 23 Pages rehabilitation services to homeowners. "Administrative" funds are provided solely for indirect costs of the Subgrantee attributable to its general management and administration of this program. The purchase of real or personal property or equipment are not allowable costs under this Agreement. 4. REQUESTS FOR DISBURSEMENTS OF FUNDS a. This is a cost-reimbursement Agreement. Disbursement of funds under this Agreement may be requested only for necessary, reasonable and allowable costs for which the Subgrantee has made payment during the period of performance set forth in section 2 above. b. In general, disbursements shall be requested no more frequently than monthly, and shall be submitted to the Grantee's Department of Housing and Neighborhood Services in form and content satisfactory to the Grantee, including copies of invoices or bills from vendors supporting the request. Such supporting documentation will bear a date paid stamp, indicating the date and check number by which the cost was paid or be accompanied by an agency payment voucher providing this information. Requests for disbursement offunds related to the payment of staff wages and benefits shall be supported by payroll summaries or similar documentation. Requests for disbursement of funds for indirect costs shall indicate the amount of indirect costs being requested; byvirtue of the Grantee's acceptance of the Subgrantee's indirect cost plan, no other supporting documentation shall be required for disbursement funds for indirect costs. c. Disbursement of requested funds to the Subgrantee for properly documented necessary, reasonable and allowable costs will generally be made within ten (10) days of receipt, subject to the timely receipt of monthly reports (see section 6 below). d. All requests for disbursements of funds associated with activities under this Agreement must be received by the Grantee within 30 calendar days of the ending date set forth in section 2 above. The Grantee shall not be bound to honor requests for disbursements received after this 30-day period has expired. 5. RECORDS REQUIREMENTS a. Records to be maintained -- At a minimUm, the Subgrantee shall maintain financial and project documents and records which comply with the requirements of 24 CFR 570.506, and 570.507, as applicable. Page 4 of 23 Pages b. Period of record retention -- In compliance with the requirements of 24 CFR 570.502(b), the Subgrantee shall retain financial and project documents and records pertaining to this Agreement for a period of four (4) years, as applicable, or the conclusion of any legal or administrative process requiring their use, whichever is later. c. Access to records -- The Grantee and other entities shall have access to financial and project documents and records pertaining to this Agreement in compliance with the applicable requirements of 24 CFR 84.53. 6. REPORTING REOUIREMENTS a. By the 7th working day following the end of each month, the Subgrantee shall report the progress of activities covered by this Agreement, in a format acceptable to the Grantee's Department of Housing and Neighborhood Services. Such monthly reports shall include, but not be limited to, the following: (1) A narrative section summarizing progress to-date on the program(s) included under the Scope of Services; (2) Certifications regarding debarment and suspension of contractors, as described in section 13 .h. below. (3) A table providing data on each housing unit and eligible family assisted (see Attachment A for minimum data elements to be reported). (4) A table providing data on the demographies of all households served (see Attachment B). b. The Subgrantee agrees to submit any other reports or documentation as requested by the Grantee concerning activities covered under this agreement. 7. MONITORING The Subgrantee shall monitor the progress of the project covered by this Agreement, and shall submit appropriate reports to the Grantee's Department of Housing and Neighborhood Services. In addition, it is the Grantee's intention to monitor the Subgrantee's performance and financial and programmatic compliance, which may include on-site reviews, at least once during the period of this Agreement. 8. ANNUAL AUDIT Page 5 of 23 Pages As an entity receiving less than $SOO,OOO in federal funding from the Grantee, the Subgrantee shall not be required by the Grantee to undergo an annual independent audit of the CDBG expenditures under this Agreement. Furthermore, no expenditures with respect to any such audit undertaken by the Subgrantee's own initiative shall be chargeable to the funds under this Agreement. 9. PROGRAM INCOME: "Program income" means gross income received by the Grantee or Subgrantee directly generated from the use of CDBG funds. Program income from any and all sources shall be submitted to the Grantee within five (S) days of its receipt by the Subgrantee. No program income is expected. 10. INSURANCE REOUIREMENTS The Subgrantee involved in this Agreement shall maintain the insurance coverages set forth in Attachment C to this Agreement and provide the proof of such insurance coverage as called for in Attachment C. Such insurance coverage shall be obtained at the Subgrantee's sole expense, approved by the City's Risk Manager, maintained during the life of the Agreement and shall be effective prior to the beginning of any work or other performance by the Subgrantee under this Agreement. Additional insured endorsements, if required, must be received by the City within 30 days of the execution of this Agreement or as otherwise required by the City's Risk Manager. 11 . REVERSION OF ASSETS a. Upon expiration or termination of this Agreement, including any amendments thereto, the Subgrantee shall transfer to the Grantee any CDBG funds or Program Income on hand at the time of expiration or termination and any accounts receivable attributable to the use of CDBG funds. b. Any real property under the Subgrantee=s control that was acquired or improved, in whole or in part, with CDBG funds in excess of $2 S ,000: (1) Shall continue for a period of not less than five years following expiration of this Agreement, including any amendments thereto, to be used to meet one of the CDBG national objectives cited in 24 CFR S 70.208; or (2) If the property is not used in accordance with paragraph (1) above, the Subgrantee shall pay the Grantee an amount equal to the current market value of the property less any portion of the value attributable to expenditures of non-CDBG funds for the acquisition Page 6 of 23 Pages of, or improvement to, the property. The payment shall be considered Program Income to the Grantee. 12. SUSPENSION AND TERMINATION In the event the Subgrantee materially fails to comply with any term of the Agreement, the Grantee may suspend or terminate, in whole or in part, this Agreement or take other remedial action in accordance with 24 CFR 85.43. The Agreement may be terminated for convenience in accordance with 24 CFR 85.44. 13. COMPLIANCE WITH FEDERAL REGULATIONS The Subgrantee agrees to abide by the HUD conditions for CDBG programs as set forth in Attachment D and all other applicable federal regulations relating to specific programs performed hereunder. Further, the Subgrantee agrees to require compliance with applicable federal regulations of the contractor by agreement. 14. OTHER PROGRAM/PROJECT REQUIREMENTS In addition to other requirements set forth herein, the Subgrantee shall likewise comply with the applicable provisions of Subpart K of 24 CFR 570, in accordance with the type of project assisted. Such other requirements include, but are not necessarily limited to, the following. a. Property standards and lead-based paint -- All housing assisted shall meet the Statewide Building Code and the lead-based paint requirements in 24 CFR 570.608. In accordance with regulations, the Subgrantee shall adhere to lead-based paint abatement practices, as applicable, and in no case shall use lead-based paint in the construction or rehabilitation of the properties assisted under this Agreement. b. Section 109 -- In accordance with Section 109 of the Housing and Community Development Act of 1974 (42 U.S.c. 3535(d)), no person in the United States shall on grounds of race, color, religion, sex or national origin be excluded from participation in, denied the benefits of, or subjected to discrimination under any program or activity funded in whole or in part with funds available under this Agreement. (See also Attachment C.) c. Conditions for reliQious orQanizations -- The Subgrantee shall not grant or loan any CDBG funds to primarily religious organizations for any activity including secular activities. In addition, funds may not be used to rehabilitate or construct housing owned by primarily religious organizations or to assist primarily religious organizations in acquiring Page 7 of 23 Pages housing. In particular, there shall be no religious or membership criteria for homeowners to be assisted under this Agreement. d. Labor standards -- As herein structured, the program covered by this Agreement is not considered subject to federal Labor Standards, including prevailing (Davis-Bacon) wage rates for non-volunteer labor. e. Environmental standards -- In accordance with 24 CFR 570.604, the activities under this Agreement are subject to environmental review requirements. Such requirements may include, but are not necessarily limited to, historic significance, floodplain, and hazardous sites. The Grantee has performed the tiered review necessary to initiate the preliminary program activities; however, no CDBG funds may be expended for a given property prior to the Subgrantee's completing its individual property review, any required remedial actions and the required Subgrantee environmental checklist, which must include all compliance categories specified by HUD and the Grantee. All specifications for proposed housing rehabilitation under this Agreement will be submitted to the Grantee's Department of Housing and Neighborhood Services for review as to compliance with Section 106 of the National Historic Preservation Act. The results of this historic review shall be reflected in the Subgrantee's environmental checklist. f. Displacement and relocation -- In accordance with 24 CFR 570.606, the Subgrantee shall take all reasonable steps to minimize displacement as a result of the activities described in section 1. Any persons displaced as a result of the activities under this Agreement shall be provided relocation assistance to the extent permitted and required under applicable regulations. g. Employment and contractinq opportunities -- In accordance with 24 CFR 570.607, the activities under this Agreement are subject to the requirements of Executive Order 11246, as amended, and Section 3 of the Housing and Urban Development Act of 1968. The former prohibits discrimination on federally-assisted construction contracts and requires contractors to take affirmative action regarding employment actions. The latter provides that, to the greatest extent feasible and consistent with federal, state and local laws, employment and other economic opportunities arising housing rehabilitation, housing construction and public construction projects shall be given to low- and very-low-income persons. (See also Attachment C.) h. Debarment and suspension -- In accordance with 24 CFR 24, the Subgrantee shall not employ or otherwise engage any debarred, suspended, or ineligible contractors or subcontractors to conduct any activities under this Agreement. The Subgrantee will consult Page 8 of 23 Pages appropriate references, including, but not limited to, the Excluded Parties Listing Service website at http./lepls.arnet.gov, to ascertain the status of any third parties prior to engaging their services. The Subgrantee will submit to the Grantee's Department of Housing and Neighborhood Services the names of contractors and subcontractors selected under this Agreement, including a certification by the Subgrantee that it has determined that none of these entities are presently debarred, suspended, or ineligible. i. Uniform administrative requirements .- The Subgrantee shall comply with the requirements and standards set forth in 24 CFR 570.502, and all applicable CDBG and other federal regulations pertaining to the activities performed under this Agreement. j. Conflict of interest .- In accordance with 24 CFR 570.611, no covered individual who exercises any functions or responsibilities with respect to the program, during his tenure or for one (1) year thereafter, shall have any interest, direct or indirect, in any contract or subcontract, or the proceeds thereof, for work to be performed in connection with the program assisted under this Agreement. The Subgrantee shall incorporate, or cause to be incorporated, in any contracts or subcontracts pursuant to this Agreement a provision prohibiting such interest pursuant to the purposes of this section. 15. EOUAL EMPLOYMENT OPPORTUNITY Non-Discrimination: During the performance of this Agreement, the Subgrantee agrees as follows: a. The Subgrantee will not discriminate against any employee or applicant for employment because of race, religion, color, sex, national origin, age, disability, or any other basis prohibited by state law relating to discrimination in employment, except where there is a bona fide occupational qualification reasonably necessary to the normal operation of the Subgrantee. The Subgrantee agrees to post in conspicuous places, available to employees and applicants for employment, notices setting forth the provisions of this nondiscrimination clause. b. The Subgrantee, in all solicitations or advertisements for employees placed by or on behalf of the Subgrantee, will state that such Subgrantee is an equal opportunity employer. c. Notices, advertisement and solicitations placed in accordance with federal law, rule or regulation shall be deemed sufficient for the purpose of meeting the requirements of this section. Page 9 of 23 Pages d. The Subgrantee will include the provisions ofthe foregoing subsections (a), (b) and (c) in every contract or purchase order of over ten thousand dollars and no cents ($10,000.00) so that the provisions will be binding upon each contractor or vendor. 16. DRUG-FREE WORKPLACE The Subgrantee will: (i) provide a drug-free workplace for the Subgrantee's employees; (ii) post in conspicuous places, available to employees and applicants for employment, a statement notifying employees that the unlawful manufacture, sale, distribution, dispensation, possession, or use of a controlled substance or marijuana is prohibited in the Subgrantee's workplace and specifying the actions that will be taken against employees for violations of such prohibition; (iii) state in all solicitations or advertisements for employees placed by or on behalf ofthe Subgrantee that the Subgrantee maintains a drug-free workplace; and (iv) include the provisions of the foregoing clauses in every subcontract or purchase order of over ten thousand dollars and no cents ($10,000.00), so that the provisions will be binding upon each subcontractor or vendor. For the purposes of this subsection, "drug-free workplace" means a site for the performance of work done in connection with this contract. 17. FAITH-BASED ORGANIZATIONS Pursuant to '2.2-4343.1 of the Code of Virqinia (1950), as amended. the City of Roanoke does not discriminate aqainst faith-based orqanizations. 18. THIRD-PARTY CONTRACTS The Grantee shall not be obligated or liable hereunder to any party other than the Subgrantee. 19. INDEMNIFICATION The Subgrantee agrees and binds itself and its successors and assigns to indemnify, keep and hold the Grantee and its officers, employees, agents, volunteers and representatives free and harmless from any liability on account of any injury or damage of any type to any person or property growing out of or directly or indirectly resulting from any act or omission of the Subgrantee including: (a) the Subgrantee's use of the streets or sidewalks of the Grantee or other public property; (b) the performance under this Agreement; (c) the exercise of any right or privilege granted by or under this Agreement; or (d) the failure, refusal or neglect ofthe Subgrantee to perform any duty imposed upon or assumed by Subgrantee by or under this Agreement. In the event that any suit or proceeding shall be brought against the Grantee or any of its officers, employees, agents, volunteers or representatives at law or in equity, either independently or jointly with the Page 10 of 23 Pages Subgrantee on account thereof, the Subgrantee, upon notice given to it by the Grantee or any of its officers, employees, agents, volunteers or representatives, will pay all costs of defending the Grantee or any of its officers, employees, agents, volunteers or representatives in any such action or other proceeding. In the event of any settlement or any final judgement being awarded against the Grantee or any of its officers, employees, agents, volunteers or representatives, either independently or jointly with the Subgrantee, then the Subgrantee will pay such settlement or judgement in full or will comply with such decree, pay all costs and expenses of whatsoever nature and hold the Grantee or any of its officers, employees, agents, volunteers or representatives harmless therefrom. 20. INDEPENDENT CONTRACTOR Services performed under this agreement shall be performed on an independent contractor basis and under no circumstances shall this Agreement be construed as establishing an employee/employer relationship. The Subgrantee shall be completely responsible for its activities in performing services hereunder. 21 . SUCCESSORS This Agreement shall be binding upon each of the parties, and their assigns, purchasers, trustees, and successors. 22. ENTIRE AGREEMENT This Agreement, including all of its Attachments, represents the entire agreement between the parties and shall not be modified, amended, altered or changed, except by written agreement executed by the parties. 23. AMENDMENTS The Grantee may, from time to time, require changes in the obligations of the Subgrantee hereunder, or its City Council may appropriate further funds for the implementation of this CDBG rehabilitation project. In such event or events, such changes which are mutually agreed upon by and between the Grantee and the Subgrantee shall be incorporated by written amendment to this Agreement. 24. GOVERNING LAW This Agreement shall be governed by laws of the Commonwealth of Virginia. 25. AVAILABILITY OF FUNDS CDBG funding to be made available by the Grantee under this Agreement is Page II of 23 Pages contingent upon necessary appropriations by the U.S. Congress. In the event that sufficient funds are not appropriated, at the sole discretion of the Grantee, this Agreement may be terminated in whole or in part. 26. ANTI-LOBBYING To the best of the Subgrantee's knowledge and belief, no federal appropriated funds have been paid or will be paid, by or on behalf of it, to any persons for influencing or attempting to influence an officer or employee of any agency, a Member of Congress, an officer or employee of Congress, or an employee of a Member of congress in connection with the awarding of any Federal contract, the making of any Federal grant, the making of any Federal loan, the entering into of any cooperative agreement, and the extension, continuation, renewal, amendment, or modification of any Federal contract, grant, loan, or cooperative agreement. If any funds other than Federal appropriated funds have been paid or will be paid to any person for influencing or attempting to influence an officer or employee of any agency, a Member of Congress, an officer or employee of Congress, or an employee of a Member of Congress in connection with this Agreement, the Subgrantee will complete and submit Standard Form-LLL, "Disclosure Form to Report Lobbying," in accordance with its instructions. \ IN WITNESS WHEREOF, the parties hereto have executed this Agreement as of the day and year hereinabove written: ATTEST: FOR THE GRANTEE: By _________________________________ Stephanie M. Moon, City Clerk By ____________________________________ Darlene L. Burcham, City Manager ATTEST: FOR THE SUBGRANTEE: By _________________________________ Secretary of the Board By ____________________________________ Theodore j. Edlich, III, President Page 12 of 23 Pages APPROVED AS TO CDBG ELIGIBILITY By _________________________________ Dept. of Neighborhood Services APPROVED AS TO EXECUTION By _________________________________ Assistant City Attorney APPROVED AS TO FORM By ____________________________________ Assistant City Attorney APPROPRIATION AND FUNDS FOR THIS CONTRACT CERTIFIED By ____________________________________ Director of Finance Date _________________________________ 35-G08-0820-5470 $70,000.00 (Project) Account# 35-G08-0820-5483 $30.000.00 (Deliverv) Page 13 of 23 Pages " Attachments Attachment A - Housing/Beneficiary Reporting Elements Attachment B - Housing/Beneficiary Demographies Report Attachment C - Insurance Requirements Attachment D - Special Federal Terms and Conditions Page \4 of 23 Page, Attachment A Housing/Beneficiary Reporting Elements On a monthly basis, the Subgrantee shall provide a narrative report to the Grantee summarizing progress on the project to-date. Accompanying the narrative, the Subgrantee shall submit data in a table or spreadsheet format that is needed in order that the Grantee may complete its required reports to HUD. Data provided by the Subgrantee shall be cumulative to date and include: Property Address Number of bedrooms Status (pending, under construction, completed or sold) Homeowner Name Total family income (projected for 12 months following determination) Number in family Whether head of household is disabled CDBG funds committed to property Prime Contractor (if applicable) Name Federal I.D. Number (or Owner Social Security Number) Whether Minority-Owned, Women-Owned or Both CDBG funds committed to Prime Subcontractor (if applicable; provide separate data for each subcontractor) Name Federall.D. Number (or Owner Social Security Number) Whether Minority-Owned, Women-Owned or Both CDBG funds committed to Subcontractor Page 15 of 23 Pages Attachment B Housing/Beneficiary Demographies Report Also accompanying the monthly narrative report and the reporting elements given in Attachment A, the Subgrantee shall provide the demographics report in the format provided below. DIRECT BENEFICIARY REPORT Program / ActiVity Name Reporting Period 1 Counts by: ___ Households or ___ Persons? (Check the one that applies.) # of New Participants this Period (if 2 applicable): (cumulative to 3 TOTAL # BENEFITING FROM ACTIVITY: date) (Beginning 07/01/07 . Ending 06/30/08) 4 RACIAL INFORMATION (cumulative to date) # TOTAL # HISPANIC White: Black/African American: Asian: American Indian / Alaskan Native: Native Hawaiian / Other Pacific Islander: American Indian / Alaskan Native & White: Asian & White: Black/African American & White: Am. Indian/Alaskan Native & Black/African Am.: Other Multi-Racial: TOTAL: 5 # - FEMALE HEAD OF HOUSEHOLD: 6 INCOME INFORMATION (cumulative to date) # TOTAL < 80% of Median (Low Income Limit) < 50% of Median (Very Low Income) < 30% of Median TOTAL: Pre pared by:_______________________________ Date Prepared: ________________ Revised 7/07 Page 16 of 23 Pages Attachment C City of Roanoke Subrecipient Insurance Requirements Your attention is directed to the insurance requirements below_ Particular attention should be given to Best's Guide rating requirement listed below. Please consult your insurance carrier(s) or broker(s) regarding the insurance as prescribed and provided herein. Failure to comply with and maintain insurance requirements may result in the interruption, suspension or termination of the activities under this Agreement. Tvne of Insurance Coveraqe General Auto Liability Workers' Medical Liabilitv Compensation Malpractice Required by Yes Yes Yes No contract? Workers' $1,000,000 $2 SO,OOO Compensation Minimum Limits Combined Combined to Statutory of Coverage Single Limit Single Limit Limits; N/A Per $100/500/100 Occurrence Per Accident Employers' Liability Limit Minimum Best's A-VII; must A-VII; must A-VII; must be Guide Rating / be an be an an admitted N/A Other admitted admitted Requirements insurer insurer insurer Additional Insured Yes N/A N/A N/A Endorsement Relluired? Waiver of Yes N/A Yes N/A Subrogation? Comments None Any insurance certificates evidencing coverage for which an additional insured endorsement is required must contain substantially the following language, ''The City of Roanoke, its officers, agents, employees and volunteers are additionally insured for..." Additional insured coverage must be primary and the city's insurance program must be non-contributory. Attachment D Page 17 of 23 Pages U.S. DEPARTMENT OF HOUSING AND URBAN DEVELOPMENT COMMUNITY DEVELOPMENT BLOCK GRANT PROGRAM SPECIAL TERMS AND CONDITIONS (Agreements $10,000 or Over) 1. "Section 3" Comoliance -- Provision of Trainina. Emoloyment and Business Oooortunities: a. The work to be performed under this contract is on a project assisted under a program providing direct Federal financial assistance from the Department of Housing and Urban Development and is subject to the requirements of Section 3 of the Housing and Urban Development Act of 1968, as amended, 12 U.S.c. 170. Section 3 requires that to the greatest extent feasible opportunities for training and employment be given lower income residents of the project area and contracts for work in connection with the project be awarded to business concerns which are located in, or owned in substantial part by persons residing in the area of the project. b. The parties to this contract will comply with the provisions of said Section 3 and the regulations issued pursuant thereto by the Secretary of Housing and Urban Development set forth in 24 CFR 135, and all applicable rules and orders of the Department issued thereunder prior to the execution of this contract. The parties to this contract certify and agree that they are under no contractual or other disability which would prevent them from complying with these requirements. c. The Subgrantee will send to each labor organization or representative of workers with which he has a collective bargaining agreement or other contract or understanding, if any, a notice advising the said labor organization or workers' representative of his commitments underthis Section 3 clause and shall post copies of the notice in conspicuous places available to employees and applicants for employment or training. d. The Subgrantee will include this Section 3 clause in every subcontract for work in connection with the project and will, at the direction of the applicant for or recipient of Federal financial assistance, take appropriate action pursuant to the subcontract upon a finding that the contractor is in violation of regulations issued by the Secretary of Housing and Urban Development 24 CFR Part 135. The Subgrantee will not subcontract with any contractor where it has notice or knowledge that the latter has been found in violation of regulations under 24 CFR part 135 and will not let any subcontract unless the contractor has first provided it with a preliminary statement of ability to comply with the requirements of these regulations. Page 18 of 23 Pages e. Compliance with the provisions of Section 3, the regulations set forth in 24 CFR Part 135, and all applicable rules and orders of the Department issued hereunder prior to the execution of the contract, shall be a condition of the federal financial assistance provided to the project, binding upon the applicant or recipient for such assistance, its successor and assigns. Failure to fulfill these requirements shall subject the applicant or recipient, its Subgrantees and contractors, its successors and assigns to those sanctions specified by the grant or loan agreement or contract through which Federal assistance is provided, and to such sanctions as are specified by 24 CFR Part 135. 2. Eaual Emolovment Oooortunitv: Contracts subiect to Executive Order 11246. as amended: Such contracts shall be subject to HUD Equal Employment Opportunity regulations at 24 CFR Part 130 applicable to HUD-assisted construction contracts. The Subgrantee shall cause or require to be inserted in full in any non-exempt contract and subcontract for construction work, or modification thereof as defined in said regulations, which is paid for in whole or in part with assistance provided under this Agreement, the following equal opportunity clause: "During the performance of this contract, the Subgrantee agrees as follows: a. The Subgrantee will not discriminate against any employee or applicant for employment because of race, color, religion, sex or national origin. The Subgrantee will take affirmative action to ensure that applicants are employed and that employees are treated during employment without regard to their race, color, religion, sex or national origin. Such action shall include, but not be limited to, the following: employment, upgrading, demotion or transfer; recruitment or recruitment advertising; layoff or termination; rates of payor other forms of compensation; and selec~ion for training, including apprenticeship. The Subgrantee agrees to post in conspicuous places available to employees and applicants for employment, notices to be provided by the contracting officer setting forth the provisions of this nondiscrimination clause. b. The Subgrantee will, in all solicitations or advertisements for employees placed by or on behalf of the Subgrantee, state that all qualified applicants will receive consideration for employment without regard to race, color, religion, sex or national origin. c. The Subgrantee will send to each labor union or representative of workers with which he has a collective bargaining agreement or other contract or understanding, a notice to be provided by the Contract Compliance Officer advising the said labor union or workers' Page 19 of 23 Pages representatives of the Subgrantee's commitment under this section and shall post copies of the notice in conspicuous places available to employees and applicants for employment. d. The Subgrantee will comply with all provisions of Executive Order 11246 of September 24, 1965, and of the rules, regulations and relevant orders of the Secretary of Labor. e. The Subgrantee will furnish all information and reports required by Executive Order J J 246 of September 24, 1965, and by the rules, regulations and orders of the Secretary of Labor, or pursuant thereto, and will permit access to his books, records and accounts by the Department and the Secretary of Labor for purposes of investigation to ascertain compliance with such rules, regulations and orders. f. In the event of the Subgrantee's noncompliance with the nondiscrimination clauses of this contract or with any of such rules, regulations or orders, this contract may be canceled, terminated or suspended in whole or in part, and the Subgrantee may be declared ineligible for further Government contracts or Federally-assisted construction contract procedures authorized in Executive Order 11246 of September 24, 1965, or by rule, regulation or order of the Secretary of Labor, or as otherwise provided by law. g. The Subgrantee will include the portion of the sentence immediately preceding paragraph (A) and the provisions of paragraphs (A) through (G) in every subcontract or purchase order unless exempted by rules, regulations or orders of the Secretary of Labor issued pursuant to Section 204 of Executive Order 11246 of September 24, 1965, so that such provisions will be binding upon each contractor or vendor. The Subgrantee will take such action with respect to any subcontract or purchase order as the Department may direct as a means of enforCing such provisions, including sanctions for noncompliance; provided, however, that in the event a Subgrantee becomes involved in or is threatened with litigation with a contractor or vendor as a result of such direction by the Department, the Subgrantee may request the United States to enter into such litigation to protect the interest ofthe United States." The Subgrantee further agrees that it will be bound by the above equal opportunity clause with respect to its own employment practices when it participates in Federally-assisted construction work; provided, that if the Subgrantee so participating is a State or local government, the above equal opportunity clause is not applicable to any agency, instrumentality or subdivision of such government which does not participate in work on or under the contract. The Subgrantee agrees that it will assist and cooperate actively with the Department and the Secretary of Labor in obtaining the Page 20 of 23 Pages compliance of Subgrantees and contractors with the equal opportunity clause and the rules, regulations and relevant orders of the Secretary of Labor; that it will furnish the Department and the Secretary of Labor such compliance; and that it will otherwise assist the Department in the discharge of its primaryJesponsibility for securing compliance. The Subgrantee further agrees that it will refrain from entering into any contract or contract modification subject to Executive Order 11246 of September 24, 1965, with a Subgrantee debarred from, or who has not demonstrated eligibility for Government contracts and Federally-assisted construction contracts pursuant to the Executive Order and will carry out such sanctions and penalties for violation ofthe equal opportunity clause as may be imposed upon Subgrantees and contractors by the Department or the Secretary of Labor pursuant to Part II, Subpart D, of the Executive Order. In addition, the Subgrantee agrees that if it fails or refuses to comply with these undertakings, the Department may take any or all of the following actions: cancel, terminate or suspend in whole or in part the grant or loan guarantee; refrain from extending any further assistance to the Subgrantee under the Program with respect to which the failure or refusal occurred until satisfactory assurance of future compliance has been received from such Subgrantee; and refer the cause to the Department of Justice for appropriate legal proceedings. 3. Nondiscrimination Under Title VI of the Civil Riahts Act of 1964: This Agreement is subject to the requirements of Title VI of the Civil Rights Act of 1964 (P.L. 88-352) and HUD regulations with respect thereto, including the regulations under 24 CFR Part 1. In the sale, lease or other transfer of land acquired, cleared or improved with assistance provided under this Agreement, the Subgrantee shall cause or require a covenant running with the land to be inserted in the deed or lease for such transfer, prohibiting discrimination upon the basis or race, color, religion, sex or national origin, in the sale, lease or rental, or in the use of occupancy of such land or any improvements erected or to be erected thereon, and providing that the Subgrantee and the United States are beneficiaries of and entitled to enforce such covenant. The Subgrantee, in undertaking its obligation in carrying out the program assisted hereunder, agrees to take such measures as are necessary to enforce such covenant and will not itself so discriminate. 4. Section 504 and Americans with Disabilities Act: The Subgrantee agrees to comply with any federal regulation issued pursuant to compliance with the Section 504 of the Rehabilitation Act of 1973, as amended, and the Americans with Disabilities Act, which prohibit discrimination against the disabled in any federal assisted program. 5. Obliaations of Subarantee with Resoect to Certain Third-oarty Page 21 of 23 Pages Relationships: The Subgrantee shall remain fully obligated under the provisions of the Agreement, notwithstanding its designation of any third party or parties for the undertaking of all or any part of the program with respect to which assistance is being provided under this Agreement to the Subgrantee. Any Subgrantee which is not the Applicant shall comply with all lawful requirements ofthe Applicant necessary to insure that the program, with respect to which assistance is being provided under this Agreement to the Subgrantee is carried out in accordance with the Applicant's Assurances and certifications, including those with respect to the assumption of environmental responsibilities of the Applicant under Section 1 04(h) of the Housing and Community Development Act of 1974. 6. Interest of Certain Federal Officials: No member of or delegate to the Congress of the United States, and no Resident Commissioner, shall be admitted to any share or part of this Agreement or to any benefit to arise from the same. 7. Prohibition Aaainst Payments of Bonus or Commission: The assistance provided under this Agreement shall not be used in the payment of any bonus or commission for the purpose of obtaining HUD approval of the application for such assistance, or HUD approval or applications for additional assistance, or any other approval or concurrence of HUD required under this Agreement, Title I of the Housing and Community Development Act of 1974, or HUD regulations with respect thereto; provided, however, that reasonable fees or bona fide technical, consultant, managerial or other such services, other than actual solicitation, are not hereby prohibited if otherwise eligible as program costs. 8. "Section 109": This Agreement is subject to the requirements of Section 1 09 of the Housing and Community Development Act of 1974, 42 U.s.e. 3535(d). No person in the United States shall on the ground ofrace, color, religion, sex or national origin be excluded from participation in, be denied the benefits of, or be subjected to discrimination under any program or activity funded in whole or in part with funds available under this title. 9. Access to Records and Site of Emplovment: This agreement is subject to the requirements of Executive Order 11246, Executive Order 1375, Civil Rights Act of 1964, as amended. Access shall be permitted during normal business hours to the premises for the purpose of conducting on-site compliance reviews and inspecting and copying such books, records, accounts, and other material as may be relevant tot he matter under investigation and pertinent to compliance with the Order, and the rules and regulations promulgated pursuant thereto by the Subgrantee. Information obtained in this manner shall be used only in connection with the administration of the Order, the administration of the Civil Rights At of 1964 (as amended) and in furtherance of the purpose of the Order and that Act. Page 22 of 23 Pages 10. Leaal Remedies for Contract Violation: Ifthe Subgrantee materially fails to comply with any term of this Agreement, whether stated in a Federal statute or regulation, an assurance, in a State plan or application, a notice of award, or elsewhere, the City may take one or more of the following action, as appropriate in the circumstances: a. Temporarily withhold cash payments pending correction of the deficiency by the Subgrantee, b. Disallow all or part of the cost of the activity or action not in compliance, c. Wholly or partly suspend or terminate the current Agreement, or d. Take other remedies that may be legally available. Page 23 of 23 Pages tI..;il '~.'- CITY OF ROANOKE OFFICE OF THE CITY CLERK 215 Church Avenue, S. W., Room 456 Roanoke, Virginia 24011-1536 Telephone: (540) 853-2541 Fax: (540) 853-1145 E-mail: c1erk@roanokeva.gov SHEILA N. HARTMAN Deputy City Clerk STEPHANIE M. MOON, CMC City Clerk CECELlA R. TYREE Assistant Deputy City Clerk September 18, 2007 Darlene L. Burcham City Mahager Roanoke, Virginia Dear Ms. Burcham: I am attaching copy of Ordinance No. 37908-091707 authorizing the City Manager to enter into an' Agreement, and to execute any other documents necessary to implement the terms of the Agreement, between the City of Roanoke and the Roanoke City School Board, pertaining to the Breckinridge Fitness Center, and dispensing with the second reading by title of this ordinance. . The above referenced measure was adopted by the Council of the City of Roanoke at a regular meeting held on Monday, September 17, 2007, and is in full force and effect upon its passage. Sincerely, /5~~.)M.~. Stephanie M. Moon, .CMC City Clerk SMM:ew Attachment pc: Jesse A. Hall, Director of Finance R. Brian Townsend, Assistant City Manager for Community Development Sherman M. Stovall, Director, Management and Budget Steven e. Buschor, Director, Parks and Recreation ~~-v~ 1. IN THE COUNCIL OF THE CITY OF ROANOKE, VIRGINIA, The 17th day of September, 2007. NO. 37908-091707. AN ORDINANCE authorizing the City Manager to enter into an Agreement, and to execute any other documents necessary to implement the terms of the Agreement, between the City of Roanoke and the Roanoke City School Board, pertaining to the Breckinridge Fitness Center, and dispensing with the second reading of this ordinance by title. , BE IT ORDAINED by the Council of the City of Roanoke that: 1. The City Manager and the City Clerk are authorized to execute and attest, respectively, on behalf of the City of Roanoke, in form approved by the City Attorney, an Agreement with the Roanoke City School Board, and to execute any other documents necessary to implement the terms of the Agreement with regard to the Breckinridge Fitness Center,. such Agreement to be upon such terms and conditions as are more particularly described in the City Manager's letter dated September 17, 2007, to this City Council, and similar in form to the Agreement attached to the City Manager's letter dated September 17, . 2007, to this City Council. 2. Pursuant to the provisions of Section 12 of the City Charter, the second reading of this ordinance by title is hereby dispensed with. ATTEST: !iHi6",~ hi. ~ City Clerk. Q-Breckinridge Fitness Center 9-17-07 CITY OF ROANOKE OFFICE OF THE CITY MANAGER Noel C. Taylor Municipal Building 215 Church Avenue, S.W., Room 364 Roanoke, Virginia 24011-1591 Telephone, (540) 853-2333 FaX' (540) 853-1138 City Web: www.roanokeva.gov September 17, 2007 Honorable e. Nelson Harris, Mayor Honorable David B. Trinkle, Vice Mayor Honorable Alfred T. Dowe, Jr., Council Member Honorable Beverly T. Fitzpatrick, Jr., Council Mayor Honorable Sherman P. Lea, Council Member Honorable Gwendolyn W. Mason, Council Member Honorable Brian j. Wishneff, Council Member Dear Mayor Harris and Members of City Council: Subject: Breckinridge Middle School Fitness Center Agreement The Parks and Recreation Department opened its first fitness center in partnership with the Roanoke City School Board at Breckinridge Middle School in October, 1997. This was followed by fitness center openings at Woodrow Wilson Middle School in November, 1998, Addison Middle School in December 1999 and Jackson Middle School in February 2001. The current five year agreement for Breckinridge Middle School Fitness Center will expire September 30, 2007. The proposed agreement is similar to the current five year agreement between the City and the School Board. The School Board uses the fitness center for physical education classes and sports conditioning for students during school hours. Parks and Recreation operates the fitness room and gymnasium as a community fitness center for the general public during non-school hours. The City provides the cardiovascular and strength/flexibility equipment for the fitness room and pays a pro rated share of utilities and custodial service as mutually agreed on Saturdays and Sundays to the School Board. The terms of this Agreement shall be from October 1, 2007 until September 30, 2008 and may be extended for four (4) additional one-year terms. Additional details of the rights of both Parks and Recreation and the City of Roanoke School Board are contained in the attached Agreement. Honorable Mayor and Members of City Council September 17, 2007 Page 2 Recommendation: Authorize the City Manager to execute the attached Agreement with the Roanoke City School Board to continue to operate the Breckinridge Fitness Center, in a form approved by the City Attorney. Respectfully submitted, Darlene L. B rcham City Manager DLB:VCG:na Attachment c: Stephanie M. Moon, City Clerk William M. Hackworth, City Attorney Jesse A. Hall, Director of Finance R. Brian Townsend, Assistant City Manager for Community Development Steve Buschor, Director of Parks and Recreation CM07-00144 AGREEMENT THIS AGREEMENT is made this _ day of ,2007, between the CITY OF ROANOKE, VIRGINIA, hereinafter referred to as "City", and the ROANOKE CITY SCHOOL BOARD, hereinafter referred to as "School Board." WIT N E SSE T H: IN CONSIDERATION of the mutual covenants contained in this Agreement, the City and the School Board agree as follows: 1. Premises: The facility which is the subject of this Agreement ("Premises") shall be the fitness room, the gymnasium, lobby, the restrooms, and other mutually agreed upon designated space at Breckinridge Middle School located at 3901 Williamson Road, N.W., in the City of Roanoke. 2. Term of Agreement: The term of this Agreement shall be from October 1,2007, until September 30, 2008. This Agreement shall be extended for four (4) additional one-year terms, unless a party terminates the Agreement pursuant to Paragraph No. 13, in writing, no later than thirty (30) days prior to the last day of any term in which the Agreement is in force. 3. Terms of Use: The Premises shall be open to the general public, subject to the following terms and conditions: (a) The fitness room shall be available to all persons who are sixteen (16) years of age or older. Persons who are fourteen (14) to sixteen (16) years of age may use the fitness room upon completion of training provided by the Fitness Trainer employed by the City. (b) The Director of the Roanoke City Department of Parks and Recreation ("Director") shall implement an identification procedure to ensure that only authorized persons are using the Premises and that their use is at the appropriate rate. C:\DOCUME-l\cmjbl\LOCALS-l\Temp\notcsFFF692\Breckinridge Fitness Center Agreement 9.5.07.doc 1 (c) The hours of operation of the Premises shall be as follows ("Operational Hours"): (i) Fitness Room: 4:00 p.m. - 9:00 p.m., Monday through Friday, for use by the general public, and 3:30 p.m. to 4:00 p.m. for cleaning and preparation. (ii) Gymnasium: 5:00 p.m. - 9:00 p.m., Monday through Friday, for use by the general public, for the first year of the Agreement, and in the future at such times as the parties mutually agree in writing. Gymnasium use is subject to school use through prior reservation by the school principal at least five (5) days in advance. (iii) Mutually agreed upon designated space: to be used at such times and subject to fees as agreed upon in writing by the parties. A take down and set up fee may be charged in the school's custodial staff is required to take such action because of the nature of the activity using a facility. (iv) The Premises shall be accessible from 8:00 a.m. until 3:00 p.m. on Saturdays, and from 1:00 p.m. until 6:00 p.m. on Sundays. The Director shall have the authority to adjust the hours of operations of the Premises, or any portion thereof, in writing, and the Director shall have the authority to cancel use of the Premises for any date or dates pursuant to this Agreement due to inclement weather or any other reason. (d) The School Board may rent the gymnasium at any time the Premises are not scheduled to be used by the City. All arrangements relating to such rental shall be made through the School Board. (e) The School Board shall continuously maintain appropriate temperature and reasonable humidity control throughout the year in the fitness room for the property maintenance and protection of the equipment in the fitness room. (f) The City will be responsible for the cost of repairs for damages (other than fair wear and tear or damages caused by the negligence of any School Board employee) to the facility caused by persons using the facility as part of a City-sponsored program. C:\DOCUME-l \cmjbl\LOCALS-l\Temp\nolcsFFF692\Breckinridge Fitness Center Agreement 9.5.07.doc 2 4. Equipment: The equipment in the fitness room belongs to the City. The City shall be responsible for the cost of repairing or replacing all equipment damaged or destroyed by normal use of the equipment. The School Board shall repair or replace any equipment willfully or intentionally damaged or destroyed by any person at any time not during Operational Hours, and the City shall repair or replace any equipment willfully or intentionally damaged or destroyed by the general public during Operational Hours. Each party shall perform an inventory and inspection prior to each day of use and shall note the results of the same on forms approved and provided by the Director. The determination of whether equipment shall be repaired or replaced shall be the Director's decision. 5. Conflicts in use: Use of the Premises by the general public pursuant to this Agreement shall be subject to events scheduled by the School Board. Reasonable notice of such events shall be given to the Director, in writing, preferably fourteen (14) calendar days of the first day of the event. If less than ten (10) days notice is given, then the School shall supply the City an alternate location on site, adequate enough to allow for their prescheduled event. 6. Additional areas for use: The City shall have use of the office space within the fitness room for administering this Agreement. The City shall also have use of one-half (112) of the storage room located next to the school physical education office at the end of the fitness room. 7. Access to equipment: The City and the School Board shall have access to, and may use, all equipment which is stored at Breckimidge Middle School as of the date of this Agreement, including volleyball standards, aerobic steps, and mats. Such equipment, if damaged willfully or intentionally during a use time administered by one of the parties, shall be repaired or replaced by that party within thirty (30) days of the equipment being damaged. Such equipment shall be clearly marked as to ownership. C:\DOCUME-I\cmjbl \LOCALS-l \Temp\notesFFF692\Breckimidgc Fitness Center Agreement 9.S.07.doc 3 8. Maintenance of Premises: The School Board shall maintain and clean the Premises after use of the same during a school day and before use of the Premises by the general ~, public pursuant to this Agreement. The School Board shall maintain and clean the Premises before and after the use of the same on each Saturday and Sunday the Premises are used by the general public pursuant to this Agreement. The City shall pay the School Board for each Saturday or Sunday such custodial services are provided at a mutually agreeable rate. 9. Utilities: The School Board shall pay for all utilities, including water and electricity, for use of the Premises Monday through Friday, and the City shall pay a prorated share of such utilities for use of the Premises on Saturday and Sunday at a mutually agreeable rate. The City will pay all monthly fees incurred as a result of the telephone located in the office described above, as well as all long distance calls made during the hours of operation for use by the general public. 10. Vendor Machine(s): The School Board may restrict access to, or use of, the vending machine(s) 7:00 a.m. to 3:30 p.m., Monday through Friday. All proceeds from the vending machine shall belong to the City for use to offset costs incurred in administering this Agreement. Products sold in the machine must be 100% fruit juice, water or sport beverage and be approved by the School Board in writing for nutritional content. II. Insurance: The School Board shall name the City, its officers, agents, employees and volunteers as additional insureds as their interests may appear on the appropriate School Board liability policies with minimum limits of One Million Dollars ($1,000,000.00) per occurrence and One Million Dollars ($1,000,000.00) aggregate. If any organization sponsored by the City uses the Premises, such organization shall provide the City and School Board with proof of liability insurance in accordance with the above limits and such organization shall name the City and School Board, their officers, agents, and employees as additional insureds. All C:\DOCUME-I\cmjbl\LOCALS-I\Temp\notesFFF692\Brcckinridgc Fitness Center Agreement 9.5.07 .doc 4 insurance correspondence shall be sent to the City of Roanoke, c/o Risk Management Officer, Room 506, Municipal Building North, Roanoke, Virginia 24011, and the Deputy Superintendent for Operations, Roanoke City School Board, P.O. Box 13145, Roanoke, Virginia 24031. 12. Notice: Notice to the parties, unless otherwise indicated, shall be in writing and either in person and delivered to the following locations, or by first-class mail: If to the City: Director of Parks and Recreation 210 Reserve Avenue, S.W. Roanoke, Virginia 24016 If to the School Board: Deputy Superintendent for Operations 40 Douglass Avenue, N.W. Roanoke, Virginia 24012. 13. Termination: This Agreement may be terminated by either party for cause, III writing, with thirty (30) days notice. The City shall have access to its equipment during normal business hours for forty-five (45) calendar days after termination and shall remove the same during that period of time. 14. Third-Parties: Neither party shall be obligated or liable hereunder to any person or entity not a party to this Agreement. 15. Successors and Assigns: The terms, conditions, provisions and undertakings of this Agreement shall be binding upon and inure to the benefit of each of the parties hereto and their respective successors and assigns. 16. Assignment: This Agreement and the rights and obligations hereunder may not be sold, assigned, or transferred at anytime by either party without the prior written consent of the City Manager. 17. Captions and Headings: The section captions and headings are for convenience and reference purposes only and shall not affect in any way the meaning or interpretation of this Agreement. C:\DOCUME-l\cmjb I\LOCALS-l\Temp\notesFFF692\Breckinridgc Fitness Center Agreement 9.5.07.doc 5 18. Cooperation: Each party agrees to cooperate with the other in executing any documents necessary to carry out Ihe intent and purpose of Ihis Agreement. 19. Entire AgreemenI: This Agreement constitutes the entire agreement and understanding of the parties. WITNESS the following signatures and seals:' ATTEST: CITY OF ROANOKE, VIRGINIA Stephanie M. Moon, City Clerk By Its ATTEST: ROANOKE CITY SCHOOL BOARD (title) Deputy Superintendent for Operations Approved as to Form: Approved as to Execution: Assistant City Attorney for City of Roanoke Assistant City Attorney for City of Roanoke C:\DOCUME-l\cn~hl\LOCALS-I\Temp\notcsFFF692\Brcckinridgc Filness Center Agreement 9.5.07.doc 6 @\f~ '-.....~... '-'--~~.- ......) , ~~ CITY OF ROANOKE OFFICE OF THE CITY CLERK 215 Church Avenue, S. W., Room 456 Roanoke, Virginia 24011-1536 Telephone: (540) 853-2541 Fax: (540) 853-1 145' E-mail: c1erk@roanokeva.gov. SHEILA N. HARTMAN Deputy City Clerk CECELlA R. TYREE Assistant Deputy City Clerk STEPHANIE M. MOON. CMC City Clerk September 18, 2007 Darlene L. Burcham City Manager Roanoke, Virginia Dear Ms. Burcham: I am attaching copy of Ordinance No. 37909-091707 authorizing the City Manager to enter into an Agreement between the City of Roanoke and the School Board of the City of Roanoke for the purpose of establishing an organizational structure for working together to explore opportunities for joint services, and dispensing with the second reading of this ordinance by title. The abovereferenced measure was adopted by the Council of the City of Roanoke at a regular meeting held on Monday, September 17, 2007, and is in full force and effect upon its passage. Sincerely, ~ ~,~ Stephanie M. Moon, CMC City Clerk SMM:ew Attachment pc: Dr. Rita D. Bishop, Superintendent, Roanoke City Public Schools David B. Carson, Chair, Roanoke City School Board, 3037 Carolina Avenue, S. W., Roanoke, Virginia 24014 Cindy H. Poulton, Clerk, Roanoke City School Board, P. O. Box 13145, Roanoke, Virginia 24031 Jesse A. Hall, Director of Finance 015 IN THE COUNCIL OF THE CITY OF ROANOKE, VIRGINIA The 17th day of September, 2007. No. 37909-091707. AN ORDINANCE authorizing the City Manager to enter into an Agreement between the City of Roanoke and the School Board of the City of Roanoke for the purpose of establishing an organizational structure for working together to explore opportunities for joint services, and dispensing with the second reading of this ordinance by title. BE IT ORDAINED by the Council of the City of Roanoke as follows: 1. The City Manager and the City Clerk are authorized to execute and attest, respectively, on behalf of the City of Roanoke, in form approved by the City Attorney, an Agreement with the School Board of the City of Roanoke for the purpose of establishing an organizational structure for working together to explore opportunities for joint services, such Agreement beginning September 17, 2007, and renewed automatically after one year, unless terminated by notice from either party, upon such terms and conditions as are more particularly described in the City Manager's letter dated September 17, 2007, to this Council. 2. Pursuant to the provisions of Section 12 of the City Charter, the second reading of this Ordinance by title is hereby dispensed with. ATTEST: A~:. JY1. ~~ City Clerk. K:\Susan's Documents\Spencer\Measures\2007\Joint Services Agreement~Schools.doc ~fY [RO){I(. '"~ ..,A . ~~" till'" .....:.' -~'.~. - I - , ... . - kmI." r,_, ~ '/;l~"- \ ",' !:"' v ~C!) . CITY OF ROANOKE OFFICE OF THE CITY MANAGER Noel C. Taylor Municipal Building 215 Church Avenue, S.W., Room 364 Roanoke, Virginia 24011-1591 Telephone.. (540) 853-2333 Fa" (540)853-1138 City Web: www.roanokeva.gov September 17, 2007 Honorable e. Nelson Harris, Mayor Honorable David B. Trinkle, Vice Mayor Honorable Alfred T. Dowe, Jr., Council Member Honorable Beverly T. Fitzpatrick, Jr., Council Member Honorable Sherman P. Lea, Council Member Honorable Gwendolyn W. Mason, Council Member Honorable Brian J. Wish neff, Council Member Dear Mayor Harris and Members of City Council: Subject: Joint Services Agreement with Roanoke City Public Schools Background: The Joint Services Agreement (Agreement) between the City of Roanoke and School Board for the City of Roanoke formally establishes the framework for joint/shared services and facilitates an improved working relationship between the two entities. On August 6, 2007 City Council was provided with a copy of the proposed Agreement at a joint meeting with the School Board. On September 4, 2007, Council was briefed on the provisions of the Agreement. A copy of the proposed Agreement is attached. The key provisions of the Agreement include: . Establishing the Joint Services Committee as the entity that is responsible for evaluating and recommending to City Council and the School Board opportunities for joint/shared services. The Joint Services Committee will consist of a member of City Council, member of the School Board, City Manager or designee, School Superintendent or designee, City Director of Finance, School Chief Financial Officer, City Budget Director, and School Director of Fiscal Services. The Committee Chairperson will alternate between the City Council Member and School Board Member as prescribed by the attached agreement. . The criteria for undertaking joint services will include conformance to legal requirements, benefit to the City and Schools, services that are equal to or Honorable Mayor and Members of City Council September 17, 2007 Page 2 better than current services, cost savings, improved efficiency and/or other benefits, and fostering good relationships between the two entities. · The responsible party for management and administrative oversight of ajoint service will be the entity with the most technical expertise in the service area as determined by the Committee. · The apportionment of savings resulting from joint services will be based on the contribution of each entity to the savings. Savings achieved independently will be retained by the entity making the change. · Real property associated with the joint service will be owned by the City of Roanoke. Personal property will be owned by the entity responsible for managing the joint service. · Joint planning of operating and capital budget shall be undertaken. · The appropriate level of funding provided to Schools by the City shall be studied with a recommendation to be made to City Council and the School Board on the current distribution of revenue. The funding formula shall be reviewed every five years. Recommended Action: Authorize the City Manager to execute the Agreement in a form approved by the City Attorney. Respectfully submitted, arlene L. Bur City Manager DLB:sms c: Stephanie M. Moon, City Clerk Jesse A. Hall, Director of Finance William M. Hackworth, City Attorney Dr. Rita D. Bishop, Superintendent, Roanoke City Public Schools David B. Carson, School Board Chairman, Roanoke City Public Schools CM07-00145 . L ( ~ . JOINT SERVICES MASTER AGREEMENT TIllS JOINT SERVICES MASTER AGREEMENT (hereinafter the "Agreement") made and entered into this _ day of , 2007, by and between the CITY OF ROANOKE, a municipal corporation chartered by the Commonwealth of Virginia (hereinafter the "City") and the SCHOOL BOARD FOR THE CITY OF ROANOKE, a political subdivision of the Commonwealth of Virginia (hereinafter the "Schools"); WHEREAS, the City and the Schools share a common goal of ensuring the efficient use of local, state, and federal government funds; WHEREAS, these two separate political entities desire to work together in an equitable, fiscally sound, and mutually supportive manner; WHEREAS, Section ~15.2-1300 of the Code of Virginia, 1950, as amended, provides for the joint exercise of powers among governmental entities; WHEREAS, Section ~2.2-4304 of the Code of Virginia, 1950, as amended, provides for cooperative procurement; WHEREAS, the City and the Schools have a history of sharing services through joint agreements, including the consolidation of the accounting system and the payroll system; WHEREAS, the City and the Schools have determined that additional opportunities for joint services exist that will result in more cost effective operation of the City and the Schools and will achieve long term savings and enhanced productivity; and WHEREAS, the City and the Schools wish to establish an organizational structure for wor1cing together to explore opportunities for joint services. FOR AND IN CONSIDERATION of the mutual promises and obligations set forth in this Agreement, the sufficiency of which is hereby acknowledged, the parties agree as follows: Section 1. Policy Development. By adopting this Agreement, the City and the Schools mutually agree to establish a Joint Services Committee (hereinafter the "Committee"), to identify opportunities for joint services, examine proposed joint services and determine whether to undertake those services. Joint services shall meet all six of the following criteria listed below: 1. Conform to all local, state, and federal laws, policies, rules and regulations that are applicable to or govern the City and the Schools. 1 _ 2. Are beneficial to the City and the Schools and ensure that the needs of both parties are met, even though one party may be the primary beneficiary. 3. Result in services that are equal to or better than current services in quality, quantity and timeliness. 4. Result in a net cost savings. 5. Are supported by data that substantiate cost savings, improved efficiency and/or other benefits of the shared service. 6. Will foster good relationships between the City and the Schools. The Committee shall identify and fully explore the pros and cons (supporting and constraining factors) of each proposed joint service. The Committee shall recommend to City Council and the School Board for adoption those joint services determined to be mutually advantageous and agreeable to the Committee. The Committee shall develop a Memorandum of Understanding to include policies and regulations as necessary to establish and sustain the services in accordance with the requirements of Section S 15 .2- 1300 of the Code of Virginia, 1950, as amended. Joint services may take various and creative forms, which include but are not limited to consolidation of services, cooperative ventures, consortium initiatives that involve additional political subdivisions and other state and local government agencies, contracts for third-party services, etc. Agreements shall be developed to establish such services. Memorandums should specify the following: 1. Duration ofthe Memorandum. 2. Its purpose or purposes. 3. The method of financing the joint undertaking and of establishing and maintaining a budget. 4. Define the expected performance of the joint service. 5. Establish an agreed upon partial or complete termination of the Memorandum and the disposition of any property upon such partial or complete termination. 6. Any other necessary and proper terms. In addition, agreements may also contain the following: L Provision for an anmin;strator or a joint board responsible for administering the undertaking. The precise organization, composition, term, powers and duties of any administrator or joint board shall be specified. 2. The manner of acquiring, titling, and disposing of real and personal property used in the delivery of service. 3. How to address issues of liability and the types, amounts and coverage of insurance. Section 2. Establishment of Joint Services Committee. There is hereby established a Joint Services Committee, which shall consist of a member of City Council, a member of the School Board, the City Manager and the Superintendent of Schools or their designees, and the City Director of Finance, the School Chief Financial Officer, the City Budget Director and the Schools Director of Fiscal Services with additional other administrative officers appointed to act in an ex officio capacity as the need may arise. The City Council 2 , , "I. member and the School Board member shall be appointed by the City Council and the School Board respectively. City Council and School Board members shall be appointed to two year terms and subject to reappointment to serve on additional two year term. Section 3. Purposes of the Joint Services Committee. The Committee shall study, evaluate, develop, and recommend to the City Council and the School Board implementation plans and policies for joint services in the areas it deems appropriate. Section 4. Dnties of the Joint Services Committee. The Committee shall study the service functions of City and Schools administrative and maintenance services for pUIposes of determining the advisability of joint services of functions within the City, Schools, or that of other localities. The Committee shall develop and recommend to both City Council and the School Board plans for joint administration of functions when so advisable and shall develop appropriate amendments to this Agreement, including organization charts for each function to be administered jointly. The Joint Services Committee may appoint subcommittees to assist in studying and'developing recommendations for joint services. The Committee shall meet at least quarterly, with its agenda jointly developed by the City Manager and the Superintendent of Schools, with input from City Council and the School Board. The two bodies shall meet quarterly. Section S. Development of Uniform Policies and Procedures. The Committee shall study the policies, procedures, systems, and physical locations used by the respective service functions and shall recommend appropriate joint services policies, procedures, systems, and locations for the effective operation of the joint services functional areas. Section 6. Joint Services Committee Chair/Leadership. City Council and the School Board shall initially select either the City Council or School Board member appointed to the Committee to serve as Committee Chairperson. Thereafter, on July 1, the Committee Chairperson shall alternate to the other City Council or School Board member serving on the Committee. The Chairperson shall: 1. Preside over meetings. 2. Arrange meetings and notify Committee members of time and place. 3. Develop and distribute agenda to Committee members in advance of meetings. 4. Appoint a secretary to record and distribute minutes to Committee members. 5. Ensure Committee establishes written goals with completion timelines. 6. Evaluate progress on goals. 7. Ensure compliance with the terms and conditions of this Agreement. 8. Foster an atmosphere of mutual respect and trust, with open discussions to explore all sides of issues related to j oint services. 9. Appoint ad hoc subcommittees as needed to study specify joint services. Section 7. Joint Services Finance and Administration. Administrative oversight of each joint service shall be assigned to the party with the most technical expertise and best practices. Savings achieved through the joint services shall be apportioned between the City and Schools according to its contribution to the savings. Savings achieved 3 " independently through implementing changes to make the City or the Schools more efficient shall accrue to the party making the change. , Every effort will be made to minimize the negative impact on current employees affected by the joint service, including employment status, salary and fringe benefits. The party providing administrative oversight shall ensure that the level of service provided to the other party shall meet or exceed the former level of service; that the services, reports and other information are provided in a timely fashion; that requests shall be accorded the same priority as similar requests within the party providing the administrative oversight; and that a good faith effort shall be made to comply with high priority requests made by the chief executive (City Manager or Superintendent of Schools). The party ceding administrative oversight may require surety from the party providing administrative oversight. To monitor progress and determine effectiveness, newly established joint services shall be reviewed by the Committee four times during the first year period. Other joint services shall be reviewed by the Committee annually. Through these reviews, the Committee shall determine whether the joint services continues to meet the six criteria established in Section 1 of this document, the cost savings achieved and whether the service shall be continued. In the event of a disagreement between the parties relating to the implementation or interpretation of this or other joint services agreements, either party may request in writing that the matter be referred to the Committee for resolution. Section 8. Joint Budget Planning and Funding Formula. The City and the Schools shall participate in joint planning of operational and capital budgets. To better recognize the needs of the Schools, the Committee shall undertake a study to determine an appropriate level of funding to the Schools from City revenues and make recommendation to City Council and the School Board concerning changes to the current distribution of revenue. The funding formula shall be reviewed at least once every five (5) years. Section 9. Acquisition and Disposition of Property. a) Real Property. When real property necessary for use by a joint services department is purchased with funds appropriated by both the City and the Schools, title to the real property shall be in the name of the City. b) Personal Property. When personal property necessary for use by a joint services department is purchased with funds appropriated by both the City and the Schools, title to the personal property shall be in the name of the party who is charged with managing the joint services department. 4 1 Section 10. Liability and Insnrance. The Committee shall be considered a part of the City and the Schools and shall be listed as and insured under the City's and the Schools' errors and omissions policy at the same rate of coverage as is afforded all other boards, co=issions, and committees. All joint services employees shall be covered under the insurance policies oftheir respective employer. Real property and personal property titled solely in tlle name of one of the City or the Schools shall be covered by the appropriate insurance policies of that party. Section 11. Term of Agreement. This Agreement shall have a duration of one year from the date of its execution and shall be renewed automatically unless any party to this Agreement gives the other party one hundred twenty (120) days written notice of cancellation prior to the annual expiration date of this agreement. In the event that this or other joint services Memorandums are terminated, the party that assumed administrative oversight shall return to tlle other party any funds it may have received as a result of the joint service, in the current and subsequent general fund budgets to cover the current value of the joint service. Section 12. Notice. Any notice, request, or demand given or required to be given under this Agreement shall, except as otherwise expressly provided herein, be in writing and shall be deemed duly given only if delivered personally or sent by certified mail, return receipt requested to the addresses stated below. To School Board: Superintendent To City: City Manager Notice'shall be deemed to have been given, if delivered personally, upon delivery, and if mailed, upon the third business day after the mailing thereof. Section 13. Appropriation. This Agreement is subject to the appropriation of funds by each party hereto. Shall either party fail to appropriate the funds required by this agreement for the purpose stated herein, this Agreement shall be terminated automatically upon the date for which the funds which have been appropriated for the purposes herein expIre. Section 14. Miscellaneous. 5 '. Captions and Headings. The section captions and headings are for convenience and reference purposes only and shall not affect in any way the meaning or interpretation of this Agreement. - Severability. The invalidity, illegality or unenforceability of any provision of this Agreement as determined by a court of competent jurisdiction shall in no way affect the validity, legality or enforceability of any other provision hereof. Governing Law. This Agreement shall be governed by and construed in accordance with the laws of the Commonwealth of Virginia. Entire Agreement: This Agreement represents the entire integrated agreement between the parties and supersedes all prior negotiations, representations or agreements, either written or oral. This Agreement shall not be amended or modified except by written instrument signed and adopted by the parties with the same formality as this Agreement. IN" WITNESS WHEREOF, the parties hereto have executed the same as of the day and year first hereinabove written: Attest City of Roanoke By: Stephanie M. Moon, City Clerk By: Darlene L. Burcham City Manager Attest Roanoke City Public School Board By: Cindy H. Poulton, School Board Clerk By: Dr. RitaD. Bishop Superintendent of Schools Approved as to Form: Approved as to Execution: . Assistant City Attorney Assistant City Attorney 6 CITY OF ROANOKE OFFICE OF THE CITY CLERK 215 Church Avenue, S. W., Room 456 . Roanoke, Virginia 24011-1536 Telephone: (540) 853.2541 Fax: (540) 853-1 145 E-mail: c1erk@roanokeva.gov SHEILA N. HARTMAN Deputy City Clerk CECELlA R. "IYREE Assistant Deputy City Clerk STEPHANIE M. MOON. CMC City Clerk September 18, 2007 Darlene L. Burcham City Manager Roanoke, Virginia Dear Ms. Burcham: I am attaching copy of Resolution No. 37910-091707 authorizing the execution of a temporary right-of-entry agreement with Norfolk Southern Railway Company and Virginia Holding Corporation, for the City of Roanoke to perform topographical surveys upon property owned by Norfolk Southern in connection with the Roanoke River Flood Reduction project, and further authorizing the City to indemnify and hold Norfolk Southern and Virginia Holding Corporation harmless as provided in such temporary right-of-entry agreement. The abovereferenced measure was adopted by the Council of the City of Roanoke at a regular meeting held on Monday, September 17, 2007. Sincerely, ~ /'n. ~V'rJ Stephanie M. Moon, CMC City Clerk SMM:ew Attachment pc: Jesse a. Hall, Director of Finance Glenn A. Asher, Risk Management Officer James Grigsby, Assistant City Manager for Operations Robert K. Bengtson, PE, Director, Public Works Philip e. Schirmer, PE, LS, City Engineer Q~ IN THE COUNCIL OF THE CITY OF ROANOKE, VIRGINIA The 17th day of September, 2007. No. 37910-091707. A RESOLUTION authorizing the execution of a temporary right-of-entry agreement with Norfolk Southern Railway Company ("NS") and Virginia Holding Corporation, for the City of Roanoke to perform topographical surveys upon property owned by NS in connection with the Roanoke River Flood Reduction project, and further authorizing the City to indemnify and hold NS . and Virginia Holding Corporation hannless as provided in such temporaryright-of-entry agreement. BE IT RESOLVED by the Council of the City of Roanoke that the City Manager and City Clerk are hereby authorized to execute and attest respectively, for and on behalf of the City, upon form approved by the City Attorney, a temporary right-of-entry agreement with Norfolk Southern Railway Company and Virginia Holding Corporation, for the City to perform topographic survey studies upon certain land owned by Norfolk Southern, in connection with the Roanoke River Flood Reduction project, and authorizing the City to indemnify and hold NS and Virginia Holding Corporation hannless from any claims arising against NS or Virginia Holding Corporation as a result of the City's actions under the. agreement, as further set forth in the City Manager's letter to this Council dated September l7, 2007. ATTEST: . ~fYt~ City Clerk. R. Temp Right of Entry for Roanoke River Flood Reduction Phase 2 Topographic Survey 9-17-D7 CITY OF ROANOKE OFFICE OF THE CITY MANAGER Noel C. Taylor Municipal Building 215 Church Avenue, S.W., Room 364 Roanoke, Virginia 24011-1591 Telephone; (540) 853-2333 Fa" (540) 853-1138 City Web: www.roanokeva.gov September 17, 2007 Honorable e. Nelson Harris, Mayor Honorable David B. Trinkle, Vice Mayor Honorable Alfred T. Dowe, Jr., Council Member Honorable Beverly T. Fitzpatrick, Jr., Council Member Honorable Sherman P. Lea, Council Member Honorable Gwendolyn W. Mason, Council Member Honorable Brian J. Wishneff, Council Member Dear Mayor Harris and Members of City Council: Subject: Norfolk Southern Right of Entry for Roanoke River Flood Reduction - Phase 2 Topographic Survey Background: City staff and the U.S. Army Corp of Engineers (USACE) are working on benchcut and greenway trail designs for the Roanoke River Flood Reduction - Phase 2. Phase 2 construction starts in Hannah Court and proceeds upstream to the Salem border. The Norfolk Southern Railroad owns a large portion of the Phase 2 land targeted for construction. The USACE staff is seeking access to Norfolk Southern property to perform topographic survey studies in the areas shown on the attached Exhibit A. Before the surveyors are granted permission on Norfolk Southern property, the City must execute the attached right of entry. The right of entry requires the City to indemnify and hold harmless Norfolk Southern against all claims arising from the City's exercise of the right of entry. Norfolk Southern will not waive this requirement. Council authority is required before the agreement may be executed because agreeing to indemnify and hold Norfolk Southern harmless from such claims is a waiver of the City's sovereign immunity. Honorable Mayor and Members of City Council September 17, 2007 Page 2 Recommended Action: Authorize the City Manager to execute the attached right of entry form; such form to be approved as to form by the City Attorney. Respectfully submitted, Darlene L. Bur ham City Manager DLB/LEP/dps c: William M. Hackworth, City Attorney Stephanie M. Moon, City Clerk Jesse A. Hall, Director of Finance Glenn A. Asher, Risk Management Officer Robert K. Bengtson, PE, Director of Public Works Philip e. Schirmer, PE, LS, City Engineer CM07-00140 THIS TEMPORARY RIGHT OF ENTRY, made this _ day of 2007, by and between NORFOLK SOUTHERN RAILWAY COMPANY and VIRGINIA HOLDING CORPORATION, hereinafter jointly referred to as "Licensor" and the CITY OF ROANOKE, a municipal corporation of the Commonwealth of Virginia, hereinafter referred to as "Licensee". Licensor hereby permits Licensee to enter upon certain real property owned by Licensor located in the City of Roanoke, Virginia and being more particularly as shown highlighted in yellow on the attached plan marked Exhibit A, hereinafter referred to as the "Property". This Right of Entry is granted upon the following terms and conditions: I. The Right of Entry is granted to Licensee and is limited to the purpose of performing topographical and boundary surveying and for no other purpose without the written consent of Licensor. 2. Licensor's Division Superintendent at Roanoke, Virginia, shall be given at least forty-eight (48) hours notice before each entry upon the Property. The Division Superintendent's telephone number is (540) 981-4476. Licensee understands that additional notice may be required if Licensor is to provide any protection pursuant to Paragraph 3. 3. All reasonable care shall be exercised and such precautions taken as the Division Superintendent of Licensor, or his authorized representative may deem necessary to protect Licensor's facilities and operations. Licensor reserves the right to place watchmen, flagmen, inspectors and supervisors for protection purposes during the operations hereunder and the expense thereof, including the expense of any material furnished, shall be promptly paid by Licensee upon receipt of Licensor's bill therefor. In addition to direct wage and material cost, such expense shall include, but shall not be limited to, cost of supervision, traveling expenses, Federal Railroad Retirement and Unemployment Taxes, vacation allowances and all other expenses incidental thereto. 4. To the fullest extent permitted by law, Licensee hereby agrees to indemnifY and save harmless Licensor from and against any and all liability, losses, damages, claims, actions, causes of action, costs and expenses (including attorneys' fees) for personal injury (including death) and/or property damage to whomsoever or whatsoever occurring, arising from or growing out of, directly or indirectly, the presence of Licensee, its agents, servants or employees upon or about the Property or in connection with the privileges herein granted, whether or not such liability, losses, damages, claims, actions, causes of action, costs and expenses shall have been caused or contributed by the negligence of Licensor. Upon the request of Licensor, Licensee shall insure the aforesaid indemnity provision in a manner and in an amount satisfactory to Licensor. 5. Licensee shall furnish and maintain, or cause its contractor( s) performing any other work on the Property to furnish and maintain, during the period of this Agreement, in a form and with companies satisfactory to Licensor, the following insurance coverage: (a) Workers' Compensation Insurance to meet fully the requirement of any compensation act, plan or legislative enactment applicable in connection with the death, disability or injury of Licensee's officers, agents, servants or employees arising directly or indirectly out of the performance of this Lease; (b) Automobile Liability Insurance with a combined single limit of not less than $1,000,000 each occurrence for injury to or death of persons and damage to or loss or destruction of property arising out of the use of owned or non-owned vehicles; (c) Commercial General Liability Insurance with a combined single limit of not less than $2,000,000 per occurrence for injury to or death of persons and damage to or loss or destruction of property. Such policy shall be endorsed to provide products and completed operations coverage and contractual liability coverage for liability assumed under this Agreement. The contractual liability coverage shall be of a form that does not deny coverage for operations conducted within 50 feet of any railroad hazard. In addition, said policy or policies shall be endorsed to name Licensor as an additional insured and shall include a severability of interests' provision. Licensee may satisfY this insurance requirement through self-insurance. (d) Railroad Protective Liability Insurance with limits of not less than a combined single limit of$2,000,000 each occurrence and $6,000,000 in the aggregate. Said policy shall name Licensor as the named insured and shall be underwritten on Insurance Services Office (ISO) Form Number CG 00 35 OJ 96 or an equivalent form satisfactory to Licensor. Licensee may satisfY this insurance requirement by paying Licensor a risk financing fee of $1,000.00 which Licensor shall use to purchase Railroad Protective Liability Insurance or such other supplemental insurance (which may be self-insurance) as Licensor, in its sole discretion, deems to be necessary or appropriate Each of the foregoing types of coverage shall name the Licensor as additional insured and be considered primary and noncontributory, regardless of any insurance carried by Licensor; provided, however, Licensor shall be the loss payee under the property insurance policy. Licensee shall deliver certificates of insurance evidencing the insurance required hereinabove to Licensor simultaneously with the execution of this Lease by Licensee, which certificates shall reflect that the policies shall not be canceled without at least thirty (30) days prior notice to Licensor. If Licensee fails to obtain the necessary coverage, Licensor may do so at Licensee's expense. All insurance certificates should be delivered to Mr. Scott Dickerson, Norfolk Southern Corporation, Risk Management Department, Three Commercial Place, Norfolk, Virginia 23510- 2191, simultaneously with the execution of this Agreement by Licensee. The minimum limits of insurance provided for hereunder are not intended to be a limitation on the liability of Licensee hereunder and shall not waive Licensor's right to seek a full recovery from Licensee. 7. Licensee shall have the right of ingress and egress on other land of Licensor not described, provided such ingress and egress is necessary and not otherwise conveniently available to Licensee. However, Licensee shall not cross any tracks of Licensee other than at existing grade crossing locations and shall maintain at all times a minimum clearance of fifteen feet (15') from the centerline of the nearest track for any material, equipment or vehicles of Licensee occupying the Property, unless authorized by Division Engineer of Licensor, or his authorized representative. 8. The license and permission hereby granted is for the sole benefit of Licensee and Licensee's contractor( s), and Licensor is to receive no benefit therefrom nor any consideration therefor except the covenants, promises and agreements set forth in this Right of Entry. 9. No explosives of any kind shall be used on the Property. 10. No debris will be buried in or burned upon or left upon the Property. II. This Right of Entry (a) shall not be assigned or transferred by Licensee, (b) shall continue in effect from the date hereinabove set forth until terminated by either party upon thirty (30) days' prior written notice to the other party; provided, however, that termination shall not relieve Licensee of any obligation or liability incurred prior to such termination. 12. Where appropriate, the terms when used in this Right of Entry shall be understood to indicate the masculine, feminine or neuter, and the singular or plural, as the case may be. The word "Licensor" as used herein shall include any other company or companies whose property at the aforesaid location may be leased or operated by Licensor. Said term also shall include any parent company or companies, subsidiary or subsidiaries of Licensor, and the servants, agents or employees of Licensor, and also shall include servants, agents or employees of said parent company or companies or subsidiaries of Licensor, and also shall include Licensees, lessees or licensees of Licensor, other than the Licensee herein. The word "Licensee" as used herein shall include Licensee's agents and contractors. 13. If any of the foregoing provisions are held for any reason to be unlawful or unenforceable, the parties intend that only the specific words found to be unlawful or unenforceable are severed and deleted from this agreement and that the balance of the agreement shall remain a binding enforceable agreement to the fullest extent permitted by law. IN WITNESS WHEREOF, the parties have executed this Right of Entry in duplicate as of the date first hereinabove written. WITNESS: VIRGINIA HOLDING CORPORA nON By: Superintendent WITNESS NORFOLK SOUTHERN RAIL WAY COMPANY By: Superintendent WITNESS: CITY OF ROANOKE By Title: Form #28265vl ,N o Dl ::l o ^ CD ::t! <: CD , ""Tl 0" o 0. ::u CD 0. C (") ~ O' ::l <9- CO ::T ~ Q, m ::l ~ m ~ 6' ;::;: :t;; }; C CO C ~ '" 00 '" o o -.j ~ Q -< Q, ::u o Dl ::l o ^ .CD ~ <9- CO ;:r o - m ::l ~ Z CD CD 0. ~ ~...@\f..~ . - ) .-'1: CITY OF ROANOKE OFFICE OF THE CITY CLERK 215 Church Avenue, S. W., Room 456 Roanoke, Virginia 24011-1536 Telephone: (540) 853-2541 Fax: (540) 853-1145 E-mail: c1erk@roanokeva.gov SHEILA N. HARTMAN Deputy City Clerk STEPHANIE M. MOON. CMC City Clerk CECELlA R. 1YREE Assistant Deputy City Clerk September 18, 2007 Darlene L. Burcham City Manager Roanoke, Virginia Dear Ms. Burcham: I am attaching copy of Resolution No. 37911-091707 authorizing the City to indemnify and hold harmless the Jefferson Center Foundation, as a condition of two rental agreements for 1) Renovate Roanoke, and 2) the Arts Festival; and authorizing the execution of any necessary documents. The abovereferenced measure was adopted by the Council of the City of Roanoke at a regular meeting held on Monday, September 17, 2007. Sincerely, m,~ Stephanie M. Moon, CMC City Clerk SMM:ew Attachment Darlene L. Burcham September 18, 2007 Page 2 pc: Jesse A. Hall, Director of Finance R. Brian Townsend, Assistant City Manager for Community Development Sherman M. Stovall, Director, Management and Budget Dan Webb, Acting Director of Neighborhood Services Richard Salzberg, Arts Festival Manager Angie Williamson, Housing Development Specialist \f'~ IN THE COUNCIL FOR THE CITY OF ROANOKE, VIRGINIA The 17th day of September, 2007. No. 37911-091707. A RESOLUTION authorizing the City to indemnify and hold hannless the Jefferson Center Foundation, as a condition of two rental agreements for 1) Renovate Roanoke, and 2) the Arts Festival; and authorizing the execution of any necessary documents. BE IT RESOLVED by the Council ofthe City of Roanoke that: 1. The City is authorized to indemnify and hold the Jefferson Center Foundation harmless, for any injuries, deaths, or damages suffered by anyone using the Jefferson Center in co~ection with Renovate Roanoke on October 20, 2007, or the Arts Festival on October 4, 6, and 7, 2007, as more particularly set forth in the City Manager's letter to Council dated September 17,2007. 2. The City Manager and the City Clerk are hereby authorized on behalf of the City to execute and attest, respectively, in a form approved by the City Attorney, any necessary documents to rent the Jefferson Center for the subj ect dates. ATTEST: M/~ City Clerk. K:\Measures\indemnify and hold harmless jefferson center.doc CITY OF ROANOKE OFFICE OF THE CITY MANAGER Noel C. Taylor Municipal Building 215 Church Avenue, S.W., Room 364 Roanoke, Virginia 24011-1591 Telephone, (540) 853-2333 Fa" (540) 853-1138 City Web: www.roanokeva.gov September 17, 2007 Honorable e. Nelson Harris, Mayor Honorable David B. Trinkle, Vice Mayor Honorable Alfred T. Dowe, Jr., Council Member Honorable Beverly T. Fitzpatrick, Jr., Council Member Honorable Sherman P. Lea, Council Member Honorable Gwendolyn W. Mason, Council Member Honorable Brian J. Wish neff, Council Member Subject: Rental Agreements for Arts Festival and Renovate Roanoke Dear Mayor Harris and Members of City Council: The City is planning several Arts Festival events to be held at the Jefferson Center on Thursday, October 4th (Ramsey Lewis Trio), Saturday, October 6th (Southwest Virginia Ballet) and Sunday, October 7th (Little Feat). The City is also sponsoring Renovate Roanoke, An Old Home Renovation Fair on Saturday, October 20, 2007. The Jefferson Center requires that the City execute an agreement in order to use its facility. This agreement contains a provision which requires that the City agree to indemnify and hold harmless the Jefferson Center, and to defend it, in the event that anyone is injured or anything is damaged during the City's use of the premises. Only City Council can waive the City's sovereign immunity and agree to such provisions. The Jefferson Center has declined to delete these indemnification provisions in these two use agreements. A resolution is attached which authorizes a waiver of the City's sovereign immunity and authorizes the City Manager to execute both of these agreements, such agreements to be approved as to form by the City Attorney. Staff recommend City Council authorization to waive sovereign immunity. Honorable Mayor and Members of City Council September 17, 2007 Page 2 Recommended Action(s): Approve the accompanying resolution and authorize the City Manager to execute these agreements. DLB:asw c: Stephanie M. Moon, City Clerk William M. Hackworth, City Attorney Jesse A. Hall, Director of Finance R. Brian Townsend, Assistant City Manager for Community Development Dan Webb, Acting Director of Housing and Neighborhood Services Rick Salzberg, Arts Festival Manager Angie Williamson, Housing Development Specialist CM07-00150 Jefferson Center Foundation, Ltd. 541 Luck Avenue, Suite 221 Roanoke, V 1\ 24016 RENTAL LICENSE AGREEMENT TI-US AGREEMENT IS MADE THIS 20th day of August, 2007 between Jefferson Center Foundation, Ltd., Shaftman Performance Hall at Jefferson Center, hereinafter referred to as "Shaftman Performancc Hall at Jcffcrson Center" and Roanoke Arts Festival- City of Roanoke hcrcinafter referred to as "Licensee." IN CONSIDERATION of the mutual covenants contained in this Agreement, Shaftman Performancc Hall at Jefferson Center and Licensee agree to the following: . Terms and Conditions: Shaftman Performance Hall at Jefferson Center License Agreement Terms and Conditions, attached hereto, ("Terms and Conditions") are hereby incorporated into this Agreement. Licensee hereby acknowledges that he/she has read and understands the Terms and Conditions. . Licensed Space: Jefferson Center grants to Licensee permission to use the portions of the Jefferson Ccntcr outlined in paragraph 13. In addition, Licensee has access along with the tenants and other guests of Shaftman Performance Hall at Jefferson Center, to the common areas of Jefferson Center ("Premises.") If Licensee or its agents are using the Premises when the tcrm of this Agrccment expires, Shaftman Performance Hall at Jefferson Center may, in its sole discretion, allow the continued use of the Premises and Licensee agrees to pay Shaftman Performance Hall at Jefferson Center an Overtime Charge (overtime is 1.5 times daily hourly rate) for each hour, or part thereof, that the Premises arc used following the stated end time of the Event (hereinafter defined). At any time following the end of the stated end time for the Event, Shaftman Performance Hall at Jefferson Center may end the Event by turning on the auditorium lights, turning off the stage lights and sound equipment, closing stage curtain, and any other means deemed necessary by Shaftman Performance Hall at Jefferson Center to end the Event notwithstanding the fact that Shaftman Perfonnance Hall at Jefferson Center may have allowed Licensee the continued use of the Premises past the stated end time of the Event. . Purpose: Licensee shall use this space for the sole purpose of the Roanoke Arts Festival presents LITTLE FEAT hereinafter referred to as "Event . Terms of Use: Licensee is granted the privilege of occupation and use of the following premises only on the day(s) and at the time(s) stated herein: Shaftman Performance Hall October 7, 2007 Performance $1,100.00 The Basic Facilities Fee as defined 10 the Terms and (See Addendum "A" Shaftman Performance Hall at Jefferson Center fee structure). Conditions / shall be $1,100.00: Licensee shall pay to Shaftman Performance Hall at Jefferson Center an initial non~refundable deposit of (50%) in the amount of $550.00 in form acceptable to Shaftman Performance Hall at Jefferson Center with the return of this properly executed Agreement to Shaftman Performance Hall at Jcfferson Center. $550.00 is due on September 1, 2007. Licensee agrees to pay Shaftman Performance Hall at Jefferson Center the remaining (500/0) balance $550.00 of the Basic Facilities Fee fourteen days prior to Licensee Event. Licensee shall submit final 50D/1) balance $550.00 on or beforc September 20, 2007. If the Basic Facility Fees have not been paid in full by September 20, 2007, the outstanding balance will be due immediately by certified check, money order or cash only. Failure to make sucn payments will result in cancellation of "Event" with the loss of deposit. Licensee shall pay any Supplemental Cnarges to Shaftman Performance Hall at Jefferson Center within fi\'e days of receipt of Shaftman Performance Hall at Jefferson Center's Event Invoice. Licensee must submit final Supplemental Charges balances on or before October 12, 2007. Revised 7-1-06 Licensee agrees that all deposits, Basic Facilities Fees and Supplemental Fees are non-refundable. Payments of all Basic Facilitics Fees and Supplemental Charges and other sums due Shaftman Pcrformance Hall at Jefferson Center from Licensee under this agreement are due and payable as outlined in this agreement. Shaftman Performance Hall at Jefferson Center is not obligated to make the premises available to Licensee on the date of Licensee's event if Licensee has not made payments. If any tickets are printed or sold by the Licensee in accordance with this license agreement, the Licensee shall be responsible for collecting, holding, and transporting of said tickets and monies. Licensee is responsible to pay all applicable admissions taxes on tickets sold by Licensee in accordance with this agreement. Licensee agrees to the withholding by Shaftman Performancc Hall at Jefferson Center of all applicable admissions taxes on tickets Shaftman Performance Hall at Jefferson Center prints and sells. If Licensec engages the services of Shaftman Performance Hall at Jefferson Ccntcr to sell tickets for Licensee, Licensee shall be responsible for requiremcnts listed in Addendum "D". See 1\ddcndum "D" (Licensee Ticket Fee Structure). Licensee shall provide general liability insurancc in accordance with the Terms and Conditions. Licensee shall submit verification of 501 (c) (3) status in order to qualify for non-profit rates. Shaftman Performance Hall at Jefferson Center shall be provided with three minutes to address audience before each Licensee Event. Licensee shall provide to Shaftman Performance Hall at Jefferson Center for the purpose of audience safety: (5) assigned tickets for thc purpose of audience safety (Orchestra Seats 1\14, 1\15, A16, Yll & Y14) to Shaftman Performanc~ Hall at Jefferson Center for each pcrformance of every Event in Shaftman Performance Hall. Parking; Jefferson Center retains control of all Jefferson Center parking lots and facilities and shall operate and control all parking at its sole discretion. Subjcct to availability, parking in any Jefferson Center parking lot shall be free to all ticket purchasers for this event. Licensee has the responsibility to inform Shaftman Performance Hall at Jefferson Center of anticipated audience and special needs forty-eight hours in advance of the Licensee Event. Licensee may bc assessed up to $100 - S1000 penalty at the sole discretion of Shaftman Performance Hall at Jefferson Center for non-compliance with the terms of this contract. Jefferson Center Foundation, Ltd. Shaftman Performance Hall at Jefferson Center LICENSEE Roanoke Arts Festival - City of Roanoke BY, BY: TITLE: TITLE: DATE: DATE: 2 Revised 7-1-06 SHAFTMAN PERFORMANCE H.AU. AT JEFFERSON CENTER LICENSE AGREEMENT TERMS AND CONDITIONS 1. Fee Terms, Expenses and Cnarges: Licensee snall pay to Shaftman Performance Hall atJefferson Center the cumulative total of all expenses, fees and charges which may arise out of Licensee's use of the Premises, including, without limitation, the "Basic Facilities Fcc" and "Supplemental Charges" defined below; A. Basic Facilities Fee: Licensee agrees to pay Shaftman Performance Hall at Jefferson Center a "Basic Facilities Fcc" for Licensee's use of the Premises. "Basic Facilities Fee" shall be defined as the fee for the use of the Premises and the other basic services described in paragraph 13 of this Agreement. B. Supplemental Charges: Licensee agrees to pay to Shaftman Performance Hall at Jefferson Center all "Supplemental Charges." "Supplemental Charges" shall be defined as the cumulative total owed to Shaftman Performance Hall at Jefferson Center for facilities, services and out-of-pocket expenses furnished by Shaftman Performance Hall at Jefferson Center to Licensee in addition to Basic Facilities as described in paragraph 13 of this Agreement. Such charges shall be based upon a Rate Card on file with the Administration of Shaftman Performance Hall at Jefferson Center. Such charges are subject to change without notice to Licensee and shall be Licensee's responsibility to acquire updated Rate Card from Administration of Shaftman Performance Hall at Jefferson Center. Out-of-pocket expenses include, without limitation, payment of supervisory staff, stagehands., box office services, box office staff, ticket takers, ushers, ticket printing, equipment rental, parking services, police and security, building or property damage, catering services, flowers, or any other vendor services required for Licensee Event. See Addendum "A" and Addendum "B" Shaftman Performance Hall at Jefferson Center fee structure and labor estimates. 2. Payment and Settlement Licensee shall pay to Shaftman Performance Hall at Jefferson Center a 50% deposit in the amount set forth in the License Agreement in form acceptable to Shaftman Performance Hall at Jefferson Center with the return of this properly executed Agreement to Shaftman Performance Hall at Jefferson Center. Licensee agrees that all deposits, Basic Facilities Fees and Supplemental Fees are non-refundable. Licensee shall return the signed Event License l\greement with the specified deposit within fourteen business days or on the date specified, whichever comes first. Failure to return this properly executed agreement to Shaftman Performance Hall at Jefferson Center within fourteen days or on the date specified or whichever comes first can result in loss of the booking. 3. Shaftman Performance Hall at Jefferson Center shall provide to Licensee an invoice for the remaining 50% of the Basic Facilities Fee to be paid to Shaftrnan Performance Hall at Jefferson Center fourteen (14) days prior to the Licensee Event. Shaftman Performance Hall at Jefferson Center shall provide an itemized invoice for Supplemental Charges within ten business days following completion of the Event. If Jefferson Center provides ticketing services in accordance with this agreement, Licensee agrees that Shaftman Performance Hall at Jefferson Center shall be entitled, in Shaftman Performance Hall at Jefferson Center's sole and exclusive discretion, to deduct payment of any amount owed by Licensee to Shaftman Performance Hall at Jefferson Center, including, without limitation, the Basic Facilities Fee and Supplemental Charges directly from the gross receipts of the Eyent prior to any determination of any amount to be disbursed to licensee. 4. Cancellation: In the event that Shaftman Performance Hall atJeHerson Center should determine that a reasonable basis exists for concluding either that there has been a default, nonperformance or breach of any of the warranties, terms or conditions of the Agreement by Licensee or that Licensee has abandoned or canceled the Event, Shaftman Performance Hall at Jefferson Center shall ha\re sole and complete discretion to declare the Event to be canceled and Shaftman Performance Hall at Jefferson Center shall be authorized to retain Licensee's initial deposit as liquidated damages. 5. Insurance: Licensee shall obtain and maintain, until the completion of the Event, commercial general liability insurance coverage with respect to claims arising out of the subject matter of the Agreement or out of Licensee's use of the Premises. The type of coverage required by Licensee must meet and shall not be less than an umbrella form coverage in a minimum amount of $1,000,000 aggregate and $1,000,000 each occurrence. Licensee shall name Shaftman Performance Hall at Jefferson Center, their officers, agents, employees, and volunteers as additional insured on the above policy. Licensee shall furnish to Shaftman Performance Hall at Jefferson Center at least (14) fourteen days prior to the Event a certificate evidencing the required insurance. Failure to do so shall be grounds for Shaftman Performance Hall at Jefferson Center to cancel the Event. 3 Revised 7-1-06 6. Indemnification and Allocation of Risk: Licensee agrees to be responsible for and pay, indemnify, and hold harmless Shaftman Performance Hall at Jefferson Center, their officers, agents, employees, and volunteers against any and all claims, damages, injuries, loss, costs, and expenses, including but not limited to attorneys' fees, of any type or nature resulting from any claim or legal action of any nature whatsoever, whether or not reduced to a judgment or settlement, or for any liability of any nature whatsoever that may arise against Shaftman Performance Hall at Jefferson Center, their officers, agents, employees, or volunteers in connection with the Event or in connection with any of the rights and privileges granted by Shaftman Performance Hall at Jefferson Center to Licensee in the Agreement, including, without limitation, any patent, trademark, franchise, copyright, libel defamation claim or suit and any claim or suit based upon Licensee's or Licensee's agents, servants, employees, or io"jtces intentional or negligent acts or omissions. Licensee further warrants that all copyrighted materials to be performed during the Event have been duly licensed or authorized by thcjr copyright owners and Licensee agrees to be responsible for all license and royalty fees incurred by reason of the performance and, in addition to any provisions contained elsewhere in the Agreement, to indemnify and hold Shaftman Performance Hall at Jefferson Center, their officers, agents, employees, and volunteers harmless from any and all claims, losses or expenses incurred with regard thereto. Licensee agrees to hold Shaftman Performance Hall at Jefferson Center, their officers, agents, employees, and volunteers harmless from any damage to or loss of any property of the Licensee and to indemnify them for any claims that may be asserted against them for any such damage or loss, provided such damage or loss is not due to the gross negligence of Shaftman Performance Hall at Jefferson Center, their officers, agents, employees, or volunteers. Subject to scheduling and space availability, e<..Juipment or property may be allowed onto the Premises designated by Shaftman Performance Hall at Jefferson Center before the rental period but must be completely removed within the rental period. 7. Compliance with Laws and Regulations: Licensee shall comply with all laws, ordinances and regulations adopted or establish by federal, state or local governmental agencies or bodies and with all Shaftman Performance Hall at Jefferson Center rules and regulations applicable to the premises, and Licensee shall require that its agents, employees, contractors or subcontractors do likewise. 8. Licenses and permits: Licensee shall pay promptly all applicable taxes and fees and obtain all licenses or permits for use of the Premises re<..Juired by federal, state or local laws and ordinances and Licensee shall provide evidence of compliance with such federal, state or local laws and ordinances upon demand by Shaftman Performance Hall at Jefferson Center. Failure to provide said evidence upon re<.\uest shall be grounds for cancellation of the Event. 9. Event Re<..Juirements: The services provided by Shaftman Performance Hall at Jefferson Center are based upon information provided by Licensee, and does not include any unknown or unforeseen circumstances that may, at the solc discretion of Shaftman Performance Hall at Jefferson Center require additional services for the presentation of the Event. Shaftman Performance Hall at Jefferson Center does not guarantee that the services listed in this Agreement are complete or appropriate for the successful production of the Event. Licensee shall provide Shaftman Performance Hall at Jefferson Center at least ten (to) days before the first day of the Event with a full and detailed outline of all Event requirements, including stage and technical reyuirements and any othcr information as may be required by Shaftman Performance Hall at Jeffcrson Center concerning the Event. Shaftman Performance Hall at Jefferson Center reserves the right to review and approve the Event re<..Juirements. If Additional Services become necessary, Shaftman Performance Hall at Jefferson Center shall exert commercially reasonable efforts to obtain same and Licensee shall be liable for the charge as a Supplemental Charge. If Additional Services are re<..Juested later than one week prior to the Event, Shaftman Performance Hall at Jefferson Center cannot guarantee that the Licensee's additional service reyuirements can be met. \';rithout the prior approval of Shaftman Performance Hall at Jefferson Center, Licensee shall not bring onto the Premises any material, substance e<..Juipment or object which may endanger the life of, or may cause bodily injury to any person on the Premises or which may constitute a hazard to property thereon as reasonably determined by Shaftman Performance Hall at Jefferson Center. Shaftman Performance Hall at Jefferson Center reserves the right, in Shaftman Performance Hall at Jefferson Center's sole and complete discretion, to refuse to allow any such material, substance, e<..Juipment or object to be brought onto the Premises and the further right to require its immediate removal therefrom. 10. Broadcast: Live ur delayed broadcast, either visual or audio, whether for educational or commercial purposes, shall provide appropriate title credits to Jefferson Center as to the day, date, and location origin of the broadcast. Location credit shall be listed as "broadcast from Shaftman Performance Hall at Jefferson Center, Roanoke, Virginia." 4 Revised 7-J-06 11. Recording: Recording, either visual or audio, whether for archival or commercial purposes, shall provide appropriate title credits to Shaftman Performance Hall at Jefferson Center as to day, date, and location of the recording. Location credit shall be listed as "recorded in Shaftman Perfurmance Hall at Jefferson Center, Roanoke, Virginia." 12. Ticketing: Shaftman Performance Hall at Jeffcrson Center allows Licensee to manage and sell its own tickets to its Event. If Licensee manages and sells its own tickets to its Event, Licensee will not be allowed access to any Shaftman Performance Hall at Jefferson Center ticketing facility or equipment. Shaftman Performance Hall at Jefferson Center reseryes the right for reasons of safety to limit the number of persons entering the Premises at any time. 13. Basic Facilities: In addition to use of the Premises, Shaftman Performance Hall at Jcfferson Center shall provide to Licensee for the Event at Shaftman Performance Hall at Jefferson Center's expense heating and air conditioning, and overhead light for ordinary use. Shaftman Performance Hall at Jefferson Center shall provide at Shaftman Performance Hall at Jefferson Center's expense one daily cleaning of all public spaces. Licensee shall have appropriate access to and use of loading dock, freight elevator, stage, dressing rooms as assigned, green room, appropriate corridors, lobbies, audience seating area, orchestra chairs, audio/video program monitoring system, stage intercom system, house stage draperies, house stage lighting control system with basic stage work lights, house audio system with basic announce and playback capability, audience hearing impaired system and equipment. All other serVices, including provIsion of personnel, shall be at the expense of Licensee. Staffing: Shaftman Performance Hall at Jefferson Center will require that Jefferson staff be given breaks as follows: . fifteen minutes every two and a half hours . one-half hour meal break every five hours - if food is provided by licensee . one hour meal break every five hours - if food is not provided by licensee . There will be a one hour meal penalty paid for every technician in the event of a missed meal break Shaftman Performance Hall at Jefferson Center may charge Licensee a clean-up fee in the event that the Premises and/or facility are left in an unreasonable state. 14. Supplemental facilities and equipment: Supplement Facilities shall include, without limitation, services and facilities in addition to Basic Facilities as specially requested by Licensee including, without limitation, the following: Rental of in-house equipment such as stage platforms and risers; pianos; audio/visual equipment; tables, chairs, music stands, music stand lights; acoustic shells; special mechanical or electrical connections, equipment or services; and staff. Following collaboration with Licensee, Shaftman Performance Hall at Jefferson Center retains the right and power to specify number of personnel utilized in conjunction with the Event, including, without limitation, security personnel, stagehands, ushers, ticket sellers, ticket takers, admission attendants, parking attendants, guards and police protection at the expense of Licensee. 15. Stagehands: Stagehands and technicians may be employed for use of the Premises for certain theatrical presentations including rehearsal. Personnel authorized by Shaftman Performance Hall at Jefferson Center must operate stage lighting, audio, counterweight fly system, and all technical equipment. For all required stagehands and technicians, the cost, expenses and responsibility for any such stagehands shall be the sole obligation and responsibility of the Licensee. 16. Other Personnel or Sen'ices: Should Licensee request Shaftman Performance Hall at Jefferson Center to arrange for other personnel or services not othenvise proyided for in the Agreement, such as private security personnel or special transportation needs, the cost, expenses, and responsibility for any such other personnel or sen'ices shall be the sole obligation and responsibility of the Licensee. Late seating and its timing shall be accommodated by mutual agreement between Shaftman Performance Hall at Jefferson Center and Licensee. Licensee agrees to allow ticketed patrons open access to the seating areas no less than 30 minutes prior to Event. 5 Revised 7-1-06 17. Food and Beverage Sales: Food and beverage including alcoholic beverages shall be served exclusively through Shaftman Performance Hall at Jefferson Center or its duly licensed caterer. Shaftman Performance Hall at Jefferson Center retains all revenue for food and beverage sales. There will not be any outside food and beverage allowcd in the facility at any time without the cxprcsscd \vritten consent of Jefferson Center. 18. Blocking Access \'(lays: Licensee agrees that no portion of the sidewalks, entries, vestibules, halls, elevators, or ways of access to public utilities of the Jefferson Center shall be obstructed by Licensee or used for any purpose other than for ingress and egrcss to and from the Premises. 19. Control of Facility and Right to Enter: In permitting the use of the Premises, Shaftman Performance Hall at Jefferson Center does not relinquish the right to enforce all necessary and proper rules and laws for the management and operation of the Premises and the facility and the safety of the citizens. Duly authoriled representatives of Shaftman Performance Hall at Jcfferson Center may enter the Premises at any time and on any occasion without restriction, for the enforcement of any such rules and laws. Shaftman Performance Hall at Jefferson Center reserves the right to remove or cause to be ejected from the Premises any person engaging in dangerous, unsafe or illegal conduct and neither Shaftman Pcrformance Hall at Jefferson Center nor its agcnts, officers or employees shall be liable to Licensee as a result of the exercise by Shaftman Performance Hall at Jefferson Center of such right. Shaftman Performance Hall at Jefferson Center reserves and maintains the absolute right to stop or prevent the cvcnt and evacuate the Premises, where in Shaftman Performance Hall at Jefferson Center's sole and exclusive discretion, such action is required for public safety, without any liability on the part of Shaftman Performance Hall at Jefferson Center or its representatives to Licensee or others. Doors to the premises shall be opened for the Event at such times and in the manncr prescribed by Shaftman Performance Hall at Jefferson Center. 20. Advertising; Shaftman Performance Hall at Jefferson Center reserves the right to approve all advertising material. Licensee shall submit a twenty-five-word description of Licensee Event with the signed contract and Addendum "c" (twenty-five word description of Licensec Event). Licensee shall in all publication materials refer to the performance hall as "Shaftman Performance Hall at Jefferson Center." Licensee shall be assessed a penalty of up to $500 for incorrect or omitted language use of Shaft man Performance Hall at Jefferson Center. 21. Agreement to Quit Premises; Licensee agrees to quit the Premises at the end of the tcrm of this Agreement and leave the Premises and any other Jefferson Center property in the same condition as at the commencement of the Event, ordinary wear and tear accepted. Liccnsee shall pay on demand to Shaftman Performance Hall at Jefferson Center any costs associatcd with repair or replacement for damages deemed by Shaftman Performance Hall at Jeffcrson Center in its sole and complete discretion to be material and not as a result of ordinary wear and tear, which damages occurred to the Premises or any other Jefferson Center property as a result of Liccnsee'~ use of the Premises. 22. Assignment: Licensee shall not assign or transfer any right or interest under this Agrccment, including, without limitation, the right to reccive any payment, \vithout Shaftman Performance Hall at Jefferson Center's prior \vritten approval of satisfactory evidence of such assignment and Licensee agrees that any such assignment without prior written approval of Shaftman Performance Hall at Jefferson Center shall be null and void. 23. Certification: The undersigned hereby certifies that he or she is legally authorized to enter into this Agreement on behalf of Licensee and to bind Licensee to the terms and conditions contained herein and that Licensee is legally authorized to enter into the Agrecment. 24. Matters Beyond the Control of Shaftman Performance Hall at Jefferson Center: Shaftman Performance Hall at Jefferson Ccnter shall have no liability or responsibility of any type to the Licensce for any failure to perform any of the terms or conditions of the License Agreemcnt or the furnishing of any of the facilities, utilities, or services called for by this License Agrecment that may be due to causes beyond Shaftman Performance Hall at Jefferson Center's control including, but not limited to accidents, an act of God, weather, failure of equipment, strikes, lockouts, or any orders or regulations of federal, statc, or local government authority. 25. Default by Shaftman Pcrformance Hall at Jefferson Center: In the event of any default, nonperformance or breach of any of the terms or conditions of the Agreement by Shaftman Performance Hall at Jefferson Center, Licensee agrees that, except in the case of the intentional and unreasonable brcach hereof, Shaftman Performance Hall at Jefferson Center's liability hereunder shall be limited to repayment of any amount of deposit or rcnt pre\'iously paid to Shaftman Performance Hall at Jefferson Center by Licensee under this Agrecment, less any applicable Supplemental Fees. 6 Revised 7-1-06 26. Governing Law/Choice of Venue: This Agreement shall be construed and enforced under the laws of the Commonwealth of Virginia. Snaftman Performance Hall at Jefferson Center and Licensee agree tnat any dispute regarding the Agreement shall be adjudicated in state and federal courts located in the City of Roanoke, Virginia. 27. Complete Agreement: This Agreement constitutes the final, completc and exclusive statemcnt of the terms bet\veen Shaftman Performance Hall at Jefferson Center and Licensee. Tnis Agreement may be modified, but only by written instruments properly executed by Shaftman Performancc Hall at Jefferson Center and Licensee. 28. Liabilit): for Lost or Stolen Items: Shaftman Performance Hall at Jefferson Center does not assume responsibilit), for any damaged or lost articles left in the Facility prior to, during or following an Event. 29. Sets, Props, and Special Effects: Any pyrotechnics, stage scenery, props, decorations or other special effccts to be utilized by Licensee in its performance must be revicwed and approved in advance by Shaftman Performance Hall at Jefferson Center. No offensive materials may be used. Tape or tacks may not be used on equipment, walls or ceiling. Helium balloons must be weighted down before coming into the Facility. Glitter and confetti of any kind, bubbles, bubble machines or anything that would leave a rcsidue on the stage floor by which someone may slip and fall may not be used. 30. Sound Level: Licensee must maintain acceptable noise levels. Shaftman Performance Hall at Jefferson Center reserves the right to reduce the amplification of sound equipment, if the same is necessary to insure no interfercnce "\vith other functions being held in the Facility or the Jefferson Center's use by its tenants. Boisterous activity will not be permitted in the Facility and Center reserves the right to maintain order. 31. Payment of T nvoices: Licensee must pay all invoices immediately; any varying credit terms must be agreed upon by Shaftman Performance Hall at Jefferson Center in writing prior to the Event. Finance charges of 11/2 % per month shall be added to any invoice over thirty days past due. Licensee shall reimburse Shaftman Performance Hall at Jefferson Center for any costs of collections, including attorney's fees, incurred by Shaftman Performance Hall at Jefferson Center. 32. Smoking: Jefferson Center is a smoke free facility. No smoking is allowed (this includes backstage and dressing rooms). Smoking urns are located in designated exterior areas. The Licensee must enforce the no smoking policy with its guests and others. Licensee is responsible for and indemnifies Shaftman Performance Hall at Jefferson Center against any loss or damage resulting from smoking in the facility. 33. Merchandise Sales; Licensee covenants and agrees that if any merchandise is proposed to be sold a the Event that the following shall apply: (a) the sale of merchandise shall be approved in advance by Shaftman Performance Hall at Jefferson Center; (b) articles will be sold only from location(s) determined by Jefferson Center; (c) if Licensee provides and pays staff to sell articles, Shaftman Performance Hall at Jefferson Center will collect 15% of net sales (after taxes) of such articles; (d) if Shaftman Performance Hall at Jefferson Center provides staff to sell articles, Shaftman Performance Hall at Jefferson Center will collect 20% of net sales (after taxes) of such articles. Shaftman Performance Hall at Jefferson Center - Licensee Information 7 Revised 7-1-06 Please Print name exactly as you wish it to appear on schedules, and any printed material; Licensee event sponsor, presenter or organization name: Address: Telephone: Fax: Contact Name: E-mail: Title of the event: Date(s): Marketing: For listing your event on the Jefferson Center website please em ail info to Dylan Locke at dlocke@jeffcenter.org. lnclude information important to understanding the nature of your event; tirle, description, images or picrures, times, dates, ticker information, phone numbers and websites. Your date will not be listed on website until we receive this information from you. We also offer discounred advertising rhrough The Roanoke Times. Please contacr Dylan Locke for details on marketing your evenr. 8 Revised 7-1-06 Jefferson Center Addendum Agreement Addendum Agreement between Jefferson Center Foundation, Ltd., Shaftman Performance Hall at Jefferson Center, and "City of Roanoke - Roanoke Arts Festival" Licensee hereby acknowledges that he/she has read and understands the Addendums attached to rhe Rental Agreement for rhe sole purpose of the Roanoke Arts Festival Presents LITTLE FEAT on October 7, 2007. Please sign your name next to each Addendum indicating that you have read and fully understand each document. Addendum A: Facility Rental Rates and Equipment Rares - Rev. 7/1/07 I, have read, understand and agree to terms and rates presented in Addendum A of the contract. Addendum B: Front of House and Backstage Labor Rates - Rev. 7/1/07 I, have read, understand and agree to terms and rates presented in Addendum B of rhe contract. Addendum C: Rules and Regulations - Rev. 7/1/07 I, have read, understand and agree to the rules and regulations presented in Addendum C of the contract. Addendum D: Ticketing Agreemenr - Rev. 7/1/07 I, have read, understand and agree to rerms and rates presented in Addendum D of rhe contract. Please sign Addendum D only if Jefferson Center will be selling tickets for your event. Please sign above indicating that you have read and understand all attached Addendums and return this Agreement along with both copies of the contract. If this Addendum Agreement is not completed the dare will not be confirmed until we receive it. If you have questions please contact Dylan Locke (540) 343-2624 exr 215 or dlocke@jeffcenter.org Jefferson Center Addendum A Rental Rates 2007-2008 Facility Rates Venue Standard Non-Profit Shaftman Performance Hall . Monday-Through Thursday 4 Hours 800.00 OR 8% of GBOR 600.00 . Single Performance 1400.00 OR 8% of GBOR 1100.00 . Two Performances in Same Day 2100.00 OR 8% of GBOR 1650.00 . Rehearsal/Tech Prep Day 600.00 600.00 . I Dark Day 500.00 400.00 Rehearsal Hall Public Event . FullDav 600.00 400.00 . During Event in SPH 400.00 250.00 Rehearsal Only (no public events) . Any Full Day 400.00 200.00 . During Event in SPH 250.00 100.00 Fitzpatrick Hall . Sunday-Thursday 4 Hours 500.00 500.00 . Sunday-Thursday Full Day 1000.00 1000.00 . F riday-Saturda y /Holidav 1900.00 1200.00 L. L. Rice Room . 4 Hours 150.00 150.00 . Full Day 300.00 300.00 Fralin Atrium . Sunda\'- Thursday 4 Hours 500.00 400.00 . Sunday-Thursday Full Day 800.00 600.00 . Friday-Saturday /Holidav 1000.00 700.00 . Immediately before/after SPH 300.00 200.00 Event - 2 Hour !>.Jax Training Theater . 4 Hours 100.00 100.00 . Full Day 200.00 200.00 Community Room . 4 I-lours / Meetings 75.00 50.00 . Full Day / Rehearsal 100.00 50.00 Memorabilia Room . Houth' rate $25/liour $25/liour . All rates are subject to change without notice. Rates DO NOT include sales tax. Tlie standard rental fee for SPH is either $1,400 (plus tax) OR g';" of GBOR (Gross Box Office Receipts) \vhichcvcr is greater. 4-hour Rentals - Renter \vill be charged for full day if time exceeds the 4-hour limit. Labor for all set-ups and cleaning by Jefferson Center personnel is NOT included. (Except Fitzpatrick Hall where both set-up and cleaning is included in the room price.) Tables are NOT included (except Fitzpatrick Hall- 20 tables and 300 chairs are provided) . . . . . Remsed07/01/07 Jefferson Center Addendum B - NON PROFIT Facility & Labor Rates 2007-2008 Shaftman Performance Hall House Rates House Managers . House mangers are required from one and a half hours prior to one half hour after every performance. There is a 4-hour minimum. · House Managers are billed at $18.50 an hour. · For events with fewer than 600 people in attendance in which the balcony is not opened only one house manager will be needed. · Any event in which the balcony is open regardless of the numbers arrending will require two house managers. Parking Attendants · Parking Attendants are required from one hour prior to one half hour afrer a performance. There is a 4-hour minimum. · A Parking Supervisor is required and is billed at $16.00 an hour. · Parking Arrendants are required and are billed at $14.00 an hour. o 1 supervisor and 3 arrendants are required for events with more than 500 people in attendance. o 1 supervisor and 2 attendants are required for events wirh between 350 and 500 people in arrendance. o 1 supervisor and 1 arrendant are required for events wirh between 200 and 350 people in arrendance. o No Parking Arrendants are required (but may be requested) for events with less than 200 people. Volunteers · There is a $100 administrative fee for volunteers provided to handle such tasks as ushering, ticket taking and programs. &:vised 07/01/07 Page 1 Jefferson Center Addendum B - NON PROFIT Facility & Labor Rates 2007-2008 Shaftman Performance Hall Ticketing Rates TICKETS FOR PERFORMANCES OR EVENTS HELD AT JEFFERSON CENTER MUST BE SOLD THROUGH THE JEFFERSON CENTER BOX OFFICE. · A $1.00 fee per ticket printed will be charged to the renter. This cost includes computer software set-up, ticket design, proof faxed for approval, secure ticket stock, hall designed to specific needs, as well as pricing and discounts prepared. · Jefferson Center also provides friendly and courteous box office sraff: Monday- Friday, 8:30am - 4:30pm, on-line web sales available 24 hours a day - 7 days a week, and detailed event listings on our website. The Box Office also supplies financial accounting and bookkeeping for your ticket sales including settlements within five working days of the performance. · Renter will pay a 7% service charge on all Credit Card purchases. · A service charge of $1 per ticket to be paid by patron will be added to all ticker orders. · A service charge paid by patron will be added to all ticket orders made ar our website. The amount of the charge varies by amount of ticket cost. · There is no charge for box office attendants during regular Box Office hours. Monday through Friday 8:30am - 4:30pm. · For off hours, Box Office attendants will be hired at S13.50 an hour. · Box office attendants are required to be present from two hours prior to one half bour into every performance. A minimum of two attendants is required. · Box Office attendants may be requesred to be present at other times at additional expense to Renter. · Only authorized personnel may enter the Jefferson Center Box Office. Renters may nor sraffJefferson Center Box Office ro sell tickets. These rates are provided foryo"r convenience only. They are subject to change lPithout notice and should be used only as a guideline to assist you in estimatingyour epent cost. Revised 07/01/07 Page 2 Jefferson Center Addendum B - NON PROFIT Facility & Labor Rates 2007-2008 Shaftman Performance Hall Backstage Rates Labor Stage Technicians - $19.50 House Sound Technician - $20.50 per hour + $40.00 per day if mixing show Crew Minimum · There is a two crew member minimum for most shows in Shaftman Performance Hall · There is a four hour minimum for stage technicians · Renter will pe charged time and a half for technicians working longer than 8 hours without at least an hour break. On Stage Floor · A minimum of one technician on the srage floor is required for all events. No one is allowed in rhe stage, rehearsal hall or dressing room areas wirhout a technician present. There are no exceptions. · Events wirh large numbers of performers or children may require two technicians on the stage floor. Lighting . Only persons authorized by the Jefferson Center may operate the lighting system in Shaftman Performance Hall · The rechnician on the stage floor can run up to four lighting looks and house lights from stage left. · Anything more than four looks must be run from the light boorh and will require a separare technician. · Renter will be charged for any labor cost associared with changes and restoration to the srandard light plot. Revised 07/01/07 Page 3 Jefferson Center Addendum B - NON PROFIT Facility & Labor Rates 2007-2008 Sound · Only persons authorized by the Jefferson Center may operate the sound sysrem in Shaftman Performance Hall · The technician on the stage floor can run certain microphones as long as there are no changes in volume levels during the event. · Jefferson Center's Cassette or CD machine must be run from the sound booth and will require a separate technician. · Any event, which involves the mixing of live sound requires a sound engineer. · The renter may supply their own Sound engineer if prior approval is receive from the Jefferson Center under the supervision of a Jefferson Center's house sound technician · Renter will be charged for any labor cost associated wirh changes and restoration to the standard sound plot. · Renter will be charged for batteries when using the wireless microphones. Batteries will be used for only one performance or rehearsal regardless of the times actually used. Fly System · The Jefferson Center reserves the righr ro refuse to fly any unit that it deems ro be unsafe. · Only persons authorized by the Jefferson Center may operate the fly system in Shaftman Performance Hall · Any use of the fly sysrem, including rhe Grand Drape, will require the use of a separate technician. · The flying of people in the Shaftman Performance Hall is strictly prohibited wirhout the use of a professional rigging company and the prior approval of the Jefferson Center. These rate.r are provided for YOllr convenience only. Tbey are wbject to change ulithollt notice and sbould be used only as a gllide/ine to assist you in estimatingyour event cost. Revised 07/01/07 Page 4 Jefferson Center Addendum C Rules & Regulations Shaftman Performance Hall The following information is provided to assist you wirh your event. Ir will also help familiarize you with the facilities of Shaftman Performance Hall at Jefferson Center, as well as cerrain rules, regulations and safety features of the performance venue. If at any time you have a question please do not hesitate to ask Jefferson Center personnel for assistance. We are here ro assist and help facilirate your evenr. General Information - Rules & Regulations 1. This is a no smoking facility. This includes the inside of the Loading Dock area. 2. No weapons or illegal drugs are allowed within the building. Violation of this will result in immediate expulsion from the facility. 3. Any form of violence is unacceprable behavior and cause for removal or further action. This includes physical violence and using obscene, abusive or rhreatening language. .4. No pets are allowed within the Jefferson Cenrer except handicap service animals. Any animals used within a performance must have prior approval of the Production Manager. 5. Please remember that Jefferson Cenrer is a public building and has tenant occupants that share the facility with Shaftman Performance Hall. Be mindful of other renrers that often occupy Fitzpatrick Hall and the LL Rice Room. 6. No food or drinks will be allowed in the auditorium at any time. There are no exceptions to this rule. 7. We ask that you do not stand on or put your feet on the borrom or arms of the auclitorium seats. 8. No one will be permitted backsrage or in the dressing room area without Jefferson Center personnel presenr. This includes the Rehearsal Hall. 9. Only performers and evenr support personnel will be allowed backstage. Please make arrangemenrs to meet family and friends in the lobby areas. It is your responsibility to inform the parenrs of your performers that they are nor allowed backstage. .If you cannot control your parenrs the Jefferson Cenrer reserves the right to hire additional security at your expense. . 10. Norhing may be arrached to floors, doors, walls or ceilings without pre-approval from Jefferson Cenrer personnel. Disregard for this rule may resulr in an additional charges 11. No duct tape or masking tape may be used anywhere within the Jefferson Center. All rape used must be approved by Jefferson Cenrer personnel. Disregard for this rule may result in an additional cleaning fee. Revised 07/01/07 page 12. No painting or set construction is allowed within the building without prior approval by the Production Manager. Any set pieces that contain wer paint will not be allowed into the building. 13. An additional cleaning fee may be charged ro rhe renter if the Jefferson Center determines that the renter or its audience has left an unreasonable amount of cleanup. 14. Only authorized personnel are allowed in the conrrol booths, storage rooms or on rhe fly rail. 15. Only approved Jefferson Center personnel will be permitted to operate stage equipment including bur not limited ro the flyrail, orchestra lift, light winch, sound system, and lighting system. No one under the age of 18 will be allowed to operate Jefferson Cenrer's equipment or ladders. 16. Shaftman Performance Hall does not have rhe capability to store any of your event items after the end of your event. Please make any arrangements needed to remove all irems immediately following your last performance. Jefferson Center is not responsible for any items left after your event. 17. There can be no blocking of fire exits, aisles, or fire curtain at any time. 18. A three foot path must remain clear in front of all elecrrical panels at all times 19. A responsible adult musr supervise all children. If you cannot control your children, the Jefferson Center reseryes the right to hire someone to watch them at rhe renter's expense. 20. It is the responsibility of the Renter ro inform all personnel involved with their eyent of these rules and regulations. Safety 1. Immediately report any accidents or injuries no matter how minor to Jefferson Center personnel. 2. If the fire alarm goes off, the building must be immediately evacuated. Someone from the Jefferson Center will inform you when ir is safe ro re-enter the building. 3. Ir is against Jefferson Center policy and fire code ro block open any door that contains an auromatic closure. Anyone caught deliberately blocking open doors may be fined or removed from the building. 4. The Jefferson Center Atrium and Hallways shall be free of any obstructions and musr conform ro all fire code regulations. Jefferson Center personnel must approve the placement of all rabIes or displays. 5. Do not hang anything from the fire curtain pins located downstage right and left on the proscenium wall. 6. The area beneath rhe fire currain must remain clear of obstacle at all times. 7. For safety consideration, the use of any open flames or special effects must have prior approval of the Production Manager. Be aware rhat some special effects may require a permit, fee and approval by the Fire Marshal. 8. The use of pyrotechnics within the Jefferson Center is strictly prohibited unless the Renter can provide a licensed pyrotechnician. The renter will also have to obtain a permit and permission from rhe Roanoke Fire Marshal at their cost. 9. During the use of any open flame on stage, there must be a technician off srage with a fire extinguisher in hand. 10. The Jefferson Center reserves the right to srop any effect thar we deem to be unsafe. Rev;sed07/01/07 page 2 Video, Audio Recording and/or Live Broadcasting 1. Please double-check any copyright material to avoid any copyright infringemenr prior ro video or audio taping. It is advisable to check rhe contract you have with your performers. Many performers do not allow any recording of their performance. 2. Be aware thar flash photography, even if allowed, is very distracting and potentially dangerous to performers especially dancers. 3. Please let us know in advance your policies on recordings and photographs so that we can inform our front of house staff. 4. The House Manager and Production Manager will need prior knowledge of any videotaping as this could porentially affect seating. Video equipment cannot be placed in a manner that will block the aisles or fire exi ts. 5. Jefferson Cenrer personnel will make every effort to provide 110v power for your video equipmenr but can not guaranree it. 6. Ir may be possible with prior approval to provide an audio feed from the facility sound system; otherwise, videographers must provide their own microphone(s). 7. Any live broadcasts must have permission from the Jefferson Center in advance of your event date. Backstage 1. Only performers and event support personnel will be allowed backs rage. The backsrage area includes stage, dressing rooms, rehearsal hall (unless rented for a public evenr.) and connecting hallways and srairwells. 2. The only doors thar are open to rhe backstage area are the double doors to the right of the elevator on the second floor and the door to the lefr of the elevator on the first floor. We ask thar all performers and evenr staff use these doors to assess backs rage. Please be aware that all other doors are marked "no re-entry" and will remain locked. 3. In the interest of safety we cannot allow jumping off the front of the stage. The Jefferson Cenrer can provide temporary stairs that can be used to get from rhe srage to the audience or there are stairs that lead from the audience to the dressing room area stage left. 4. There will be no running allowed backstage. 5. Do not touch any equipment backstage as this could be potentially dangerous or have adverse effect on your evenr. 6. Please be mindful of all cable runs on the stage. If by accident a cable is disrurbed or unplugged, please inform Jefferson Center personnel immediately, so the problem can be corrected. 7. No food or drinks are allowed on stage wirh the exception of water in closed spill proof containers. 8. During rehearsals the renter may not allow guests not directly affiliared with the event to enter backstage, dressing rooms or audience. The presence of more than 25 people not connected with the event may cause the rehearsal to be considered an evenr with the subsequent change in renral rate and requiring of fronr of house staff. Rel'ised07/01/07 page 3 9. Please remind your performers and support personnel to turn off all cell phones and pagers during the performance. 10. The backstage area has a paging microphone with monitor speakers in all dressing rooms and backstage corridors. There is a video monitor system available in certain areas 11. For safery considerations, all rigging musr have prior approval of the production manager and all rigging hardware must be properly rated. 12. The use of any glitter, confetti, or snow is srrictly forbidden without the prior approval of the Jefferson Center. There will be a $200 cleaning fee for each unapproved instance where confetti, glitter or snow is used including glitter used on costumes. 13. For rhe prorection of our wood floors, all Cellos and Basses must use a rock stop unless prior arrangement is made with the Production Manager. This includes all wood floors within the Jefferson Center including rhe Stage, Rehearsal Hall, Fitzpatrick Hall and Orchestra Pit. There is no exception to rhis rule!!! There will be a $50 fine for each instance where a rock srop is nor used. 14. The use of strobe lights must be pre-approved by the Production Manager and House Manager. You must post a sign at every entrance to the theater letting parrons know of the use of a strobe light. Dressing Rooms 1. All hallways must be kept clear of obstructions at all times and may not be used as dressing rooms. 2. There are 10 dressing rooms available. There are two star dressing rooms on stage level along with one IS-station chorus room and one 20-station chorus room. The third floor has four dressing rooms with five stations each. The lower level has two large musician dressing rooms wirh one large communal room. There is a stage video monitor hook up in dressing rooms 3 and 4. 3. There is a green room equipped with a refrigerator, rable with four chairs, microwave, sofa and love seat. We ask that you do not remove any items from the refrigerator or cabinets that are not yours. Please remove all perishable items from the refrigeraror and cabinets at the end of your event. 4. There is a wardrobe room equipped wirh an iron, ironing board and steamer along with a laundry room wirh two heavy-dury washers and dryers. These may be used only for show laundry and you musr supply your own supplies. 5. We suggest you assign dressing rooms to your performers before rhe day of the event. You may place signs with the occupant's names on dressing room doors using only gaff tape or scorch tape. Do not attach anyrhing to the painted walls. Please remove all signs from dressing room doors at the end of your event. 6. Be aware that if all dressing station make up lights are left on, the dressing room will get very hot and we will be unable to keep them cool. 7. The dressing rooms on stage level and third floor have lockers in which your performers may lock up your possessions during the performance provided they bring their own lock. S. Please remove all personal items from the dressing rooms at the conclusion of your event. Jefferson Center will not be responsible for any items left in rhe dressing room after your event. Revised 07/01/07 page 4 9. Should you have large numbers of children in your group, rbe large musician dressing rooms on the lower level are available should the chorus dressing rooms be in use. \'Ve recommend you bring some games and roys to keep them occupied until their time on stage. 10. The rehearsal hall is also available for a nominal fee during your performance. 11. There are vending machines locared on the firsr floor of the building. Jefferson Center reserves the right to amend these rules and/ or ro supplement them at any time, in its sole discretion. Such new or revised rules and regulations shall be effective and binding upon the Renter immediately after the Renter has been given notification of such changes, verbally or in writing, and by any means of communication. For questions, please call: Dylan Locke Program Director (540) 343-2624 x215 dlockeia! i effcenter. org For technical questions, please call: Rob Bessolo Production Manger (540) 343-2624 x214 rbessolo@ieffcenter.org For ticketing questions, please call: Kelly Seidel Box Office & Guest Services Manager (540) 343-2624 x218 kseidel@jeffcenter.org ReIJ;sed07/01/07 page 5 Jefferson Center Shaftman Performance Hall at Jefferson Center Licensee Ticket Fee Structure Addendum D Licensee's Name: Licensee's phone number & email: Name of Show (what should be on website/tickets): Cost of admission (include all ticket prices, discounts and group rates) Preferred date tickets go on sale: Are tickets General Admission or Reserved? How many performances are there? What time is the first performance? What time are additional performances? How long is each performance? How many intermissions? Intermission will be at what time(s)? How long afC the intermissions? Is late seating allowed? When is late seating allowed? Number of complimentary tickets you need: Do you need ticket stubs collected after performance? Extra activities, (reception/ party) Start and end times: Will you be selling or distributing tickets outside the Jefferson Center Box Office? \XIho is the contact for releasing tickets? Ticketing contact's number and email: Is there anyone else authorized to request tickets? Please use the space below to list any other details concerning ticketing for your event: Page 2 of Addendum 0 Box Office hours will be 8:30 AM to 4:30 PM Monday - Friday, and will be closed on holidays. Licensee will be invoiced for additional labor hours as needed. Licensee will pay Shaftman Performance Hall at Jefferson Center SI per ticker printed. Ticketing fees will cover charges for printing, handling and selling tickets. lncludes all box office services and staffing, including online sales and wcbsite listings, except extra box office hours the night of the performance. Licensee will pay Jefferson Center, Shaftman Performance Hall at Jefferson Center a handling fee of 7.0";', for all credit card transactions. Jefferson Center, Shaftman Performance Hall at Jefferson Center will make no early payouts or partial payments made on ticket revenue. Licensee will provide Jefferson Center Box Office with guest lists, no later than 24 hours prior to event. I f licensee is selling their own tickets, licensees will inform Shaftman Performance Hall at Jefferson Center of the following information five days in advance of the performance: How many tickets have been sold? Licensee will be responsible for obtaining information from Director of Programming at Jefferson Center concerning the Shaftman Performance Hall seating capacity. If Licensee sells more than the capacity there will be a fee charged to the Licensee. Will there be any special needs, (wheel chairs, walkers, etc., give date and seat and what is needed)? Box Office Phone number for all advertising is 345-2550. Website for all advertising is www.jeffcenter.org Please fill out the ticket form below to belp us with your ticket design. A proof will be emailed to address above JEFFERSON CENTER (promoter) Presents (Promoter) Presents (fitlc of Event or Performer) (Title of Eycnt or Performer) (Ewot Date) (Opening Act or Other Artists if needed) Shaftman Performance Hall (E\'entTimc) (EyentOatc) (E,'cmTime) (Ticket Type) - - - ~ ~ (Attain Hall) (Row) (Seat#) (Ticket Price) (Area in Hall) (Row) (Seat #) No RefunJs No Exchanges , I JEFFERSON Entertaining ideas and audiences .f. August 17,2007 i\ngic Williamson Housing and Neighborhood Scrvices 215 Church Ave SW Room 162 Roanoke, VA 24011 Dear Angic, Thanks for choosing Jefferson Ccntcr for Renovatc Roanoke on October 20, 2007. Wc are cxcircd about thc cvent and to be working with your organization. I havc enclosed two copies of the contract along with our current ratc cards. Plcase sign borh copics of thc contract and the Addcndum Agrecmcnt Form and rcturn to our office. I will scnd you a fully executcd copy for your files. l\Iso, please rcmembcr to fax over a copy of your insuranec binder based on the details spccified in thc contract. Our fax numbcr is (540) 343-,>744.' Thanks so much and if ,"ou have any questions, pleasc feci frcc to call at (540) 34.>- 2624 cxt 2lS. Dylan '>c Director of Programming Jeffcrson Ccnter 541 Luck Avenue SW. Suite 221 . Roanoke, Virginia 24016 p, 540.343.2624 . F, 540.343.3744 . Box Office: 540.345.2550 . www.jeffcemer.org Jefferson Center Foundation is a 501(c)3 nonprofit corporation Jefferson Center Foundation Ltd. , 541 Luck Avenue, Suite 221 Roanoke, VA 240 16 'C' Ril:NTAL LICENSE AGREEMENT THIS AGREEMENT IS MADE THIS 15th day of Jefferson Center Foundation Ltd., hereinafter referred to as "Shaftman Performance ~. City of Roanok~ hereinafter referred to as uLicensee." August, 2007 Hall at Jefferson between Center" and IN CONSIDERA nON of the mutual covenants contained in this Agreement, Shaftman Performance Hall at Jefferson Center and Licensee agree to the following: . Terms and Conditions: Shaftman Performance Hall at Jefferson Center License Agreement Terms and Conditions, attached hereto, ("Terms and Conditions") are hereby incorporated into this Agreement. Licensee hereby acknowledges that he/she has read and understands the Terms and Conditions. . r Licensed Space: Jefferson Center grants to Licensee permission to use the portions of the Jefferson Center outlined in paragraph 13. In addition, Licensee has access along with the tenants and other guests of Shaftman Performance Hall at Jefferson Center, to the common areas of Jefferson Center ("Premises.") If Licensee or its agents are using the Premises when the term of this Agreement expires, Shaftman Performance Hall at Jefferson Center may, in its sole discretion, anow the continued use of the Premises and Licensee agrees to pay Shaftman Performance Hall at Jefferson Center an Overbm~ Charge (overtime is 1.5 times daily hourly rate) for each hour, or part thereof, that the Premises are used foll'lwini the stated end time of the Event (hereinafter defined). At any time following the end of the stated end time for'rthe Event, Shaftman Performance Hall at Jefferson Center may end the Event by turning on the auditorium lights, turning off the stage lights and sound equipment, closing stage curtain, and any other means deemed necessary by Shaftman Performance Hall at Jefferson Center to end the Event notwithstanding the fact that Shaftman Performance Hall at Jefferson Center may have allowed Licensee the continued use of the Premises past the stated end time of the Event. . PUI;pose: Licensee shall use this space for the sole purpose of the Renovate Roanoke hereinafter referred to as "Event . Terms of Use: Licensee is granted the privilege of occupation and use of the following premises only on the day(s) and at the time(s) stated herein: Shaftman Performance Hall October 20, 2007 Event IL Rice Room October 20, 2007 Event nainihg.Theater October 20, 2007 Event Fitzp~trick Hall October 20, 2007 Event Fralin Atrium October 20, 2007 Event Office Space October 20, 2007 Event Multiroom Discount October 20, 2007 Event The Basjc Facilities Fee as defined in the Terms and Conditions shall be $2,562.50: Hall at Jefferson Center fee structure). $1,100.00 $300.00 $200.00 $1,200.00 NC $250.00 ($487.50) (See Addendum "A" Shaftman Performance Licensee shalI'pay to Shaftman Performance Hall at Jefferson Center an initial non-refundable deposit of (50%) in the amount of $1,281.25 acceptable to Shaftman Performance Hall at Jefferson Center with the return of this properly executed Agreement to Shaftman Performance Hall at Jefferson Center. Licensee shall return signed contract and 50% deposit check for $1,281.25 to Jefferson Center on or before September 1, 2007. Licensee agrees to pay Shaftman Performance Hall at Jefferson Center the remaining (50%) balance $1,281.25 of the Basic Facilities Fee fourteen days prior to Licensee Event. -Licensee shall submit final 500/0 balance $1,281.25 on or before October 5, 2007. If the Basic Facility Fees have not been paid in full by October 5, 2007, the outstanding balance will be due immediately by certified check, money order or cash only. Failure to make such payments will result in cancellation of "Event" with the loss of deposit. Licensee shall pay any Supplemental Charges to Shaftman Performance Hall at Jefferson Center within five days of receipt of Shaftman Performance Hall at Jefferson Center's Event Invoice. Licensee must submit final Supplemental Charges balances on or before November 2, 2007. Revised 7-1-07 Licensee agrees that all deposits, Basic Facilities Fees and Supplemental Fees are non-refundable. Payments of all Basic Facilities Fees and Supplemental Charges and other sums due Shaftman Performance Hall at Jefferson Center from Licensee under this agreement are due and payable as outlined in this agreement. Shaftman Performance Hall at Jefferson Center is not obligated to make the premises available to Licensee on the date of Licensee's event if Licensee has not made payments. If any tickets are printed or sold by the Licensee in accordance with this license agreement, the Licensee shall be responsible for collecting, holding. and transporting of said tickets and monies. Licensee is responsible to pay aU applicable admissions taxes on tickets sold by Licensee in accordance with this agreement. Licensee agrees to the withholding by Shaftman Performance Hall at Jefferson Center of all applicable admissions taxes on tickets Shaftman Performance Hall at Jefferson Center prints and sells. If Licensee engages the services of Shaftman Performance Hall at Jefferson Center to sell tickets for Licensee, Licensee shall be responsible for requirements listed in Addendum uO". See Addendwn "D" (Licensee Ticket Fee Structure). Licensee shall provide general liability insurance in accordance '-Vith the Terms and Conditions. Licensee shall submit verification of 501 (c)(3) status in order to qualify for non-profit rates. Shaftman Performance Hall at Jefferson Center shall be provided with three minutes to address audience before each Licensee Event. Ucensee shall provide to Shaftman Performance Hall at Jefferson Center for the purpose of audience safety: (5) assigned tickets for the purpose of audience safety (Orchestra Seats A14, A1S, A16, Yll & Y14) to Shaftrnan Performance Hall at Jefferson Center for each performance of every Event in Shaftman Performance Hall. For ticketed events Licensee shall provide 1 % of the house to Shaftman Performa11ce Hall at Jefferson Center. Parking: Jefferson Center retains control of all Jefferson Center parking lots and facilities and shall operate and control all parking at its sole discretion. Subject to availability. parking in any Jefferson Center parking lot shaH be free to all ticket purchasers for this event. Licensee has the responsibility to inform Shaftman Performance Hall at Jefferson Center of anticipated audience and special needs forty-eight hours in advance of the Licensee Event. Licensee may be assessed up to $100 - $1000 penalty at the sole discretion ofShaftman Performance Hall atjefferson Center for non-compliance with the terms of this contract. WVFAS-PH, LLC, Shaftman Performance Hall at Jefferson Center LICENSEE City of Roanoke BY: BY: TITLE: TITLE: DATE: DATE: 2 Revised 7-1-07 \ SHAFTMAN PERFORMANCE HALL AT JEFFERSON CENTER UCENSE AGREEMENT TERMS AND CONDITIONS , , ). ,. Fee Terms, Expenses and Charges: Licensee shall pay to Shaftman Performance Hall at Jefferson Center the cumulative total of all expenses. fees and charges which may arise out of Licensee's use of the Premises, including, without limitation, the "Basic Facilities Fee)) and "Supplemental Charges" defined below: A. Basic Facilities Fee: Licensee agrees to pay Shaftman Performance Hall at Jefferson Center a '13asic Facilities Fee" for Licensee's use of the Premises. "Basic Facilities Fee" shall be defined as the fee for the use of the Premises and tl1e other basic services described in paragraph 13 of this Agreement. .j. B. Supplemental Charges: Licensee agrees to pay to Shaftman Performance Hall at Jefferson Centcr all "Supplemental Charges." "Supplemental Charges" shall be defined as the cumulative total owed to Shaftman Performance Hall at Jefferson Center for facilities, services and out-oE-pocket expenses furnished by Shaftman Performance Hall at Jefferson Center to Licensee in addition to Basic Facilities as described in paragraph 13 of this Agreement. Such charges shall be based upon a Rate Card on [tIe with the Administration of Shaftman Performance Hall at Jefferson Center. Such charges are subject to change without notice to Licensee and shall be Licensee's responsibility to acquire updated Rate Card from Administration of Shaftman Performance Hall at Jefferson Center. Out-of-pocket expenses include, without limitation, payment of supervisory staff, stagehands, box office services, box office staff, ticket takers, ushers, ticket printing, equipment rental, parking services, police and security, building or property damage, catering services, flowets, or any other vendor services required for Licensee Event. See Addendum 'IAn ind Addendum "B" Shaftman Performance Hall at Jefferson Center fee structure and labor estimates. 2. PaymentlanQ Settlement: ucensee shall pay to Shaftman Performance Hall at Jefferson Center a 50% deposit in the amount set forth \n tlte License Agreement in forin acceptable to Shaftman Performance Hall at Jefferson Center with the return of tijis prqperJy executed Agreement to Shaftman Performance Hall at Jefferson Center. Licensee agrees that aD deposits, Basic Facilities Fees and Supplemental Fees are non-refundable. Licensee shall return the signed Event License Agreement with the specified deposit within fourteen business days or on the date specified) whichever comes first. Failure to retum this properly executed agreement to Shaftman Performance Hall at Jefferson Center within fourteen days or on the date specified or whichever comes first can result in loss of the booking. I 3. Shaftman Performance Hall at Jefferson Center shall provide to Licensee an invoice for the remaining 50% of the Basic Facilities Fee to be paid to Shaftman Performance Hall at Jefferson Center fourteen (14) days prior to the Licensee Event. Shaftman Performance Hall at Jefferson Center shall provide an itemized invoice for Supplemental Charges within ten business days following completion of the Event. If Jefferson Center provides ticketing services in accordance with this agreement; Licensee agrees that Shaftman Performance Hall at Jefferson Center shall be entitled, in Shaftman Performance Hall atjefferson Center's sole and exclusive discretion, to deduct payment of any amount owed by Licensee to Shaftman Perfonnapce Hall at Jefferson Center, including, without limitation, the Basic Facilities Fee and Supplemental Charges directly from' the1gross receipts of the Event prior to any determination of any amount to be disbursed to licensee, 4_ Cancellation: In the event that Shaftman Performance Hall at Jefferson Center should determine that a teasona.ble basis exists forcoIlduding either that thete has been a default, nonperformance or breach of any of the warranties, terms or conditions of the ~Agreement by Licensee or that Licensee has abandoned or canceled the Event, Shaftman Performance Hall at Jefferson Center shalf have sole and complete discretion to declare the Event to be canceled and Shaftman Performance Hall at Jefferson Center shall be authorized to retain Licensee's initial deposit as liquidated damages. 5. Insurance: Licensee shall obtain and maintain, until the completion of the Event, commercial general liability insurance coverage with respect to claims arising out of the subject matter of the Agreement or out of Licensee's use of the Premises. The type of coverage required by Licensee must meet and shall not be less than an umbrella form coverage in a minimwn a;"ount of $I ,000,000 aggregate and $1,000,000 each occurrence. Licensee shall name Shaftman Performance Hall at Jefferson Center, their officers, agents, employees, and volunteers as additional insured on the above policy. Licensee shall furnish to Shaftman Performance Hall at Jefferson Center at least (14) fourteen days prior to the Event a certificate evidencing the required insurance. Failure to do so shall be grounds for Shaftman Performance Hall at Jefferson Center to cancel the Event. 3 Revised 7-1-07 6. IndctIU1.ification and Allocation of Risk: licensee agrees to be responsible for and pay~ indernnify~ and hold harmless Shaftman Performance Hall at Jefferson Center, their officers~ agents, employees, and volunteers against any and ~ c1aims~ damages, injuries, loss~ costs, and expenses, including but not limited to attorneys' fees, of any type or nature resulting from any claim or legal action of any nature whatsoever~ whether or not reduced to a judgment or settlement, or for any liability of any nature whatsoever that may arise against Shaftman Performance Hall at Jefferson Center~ their officers, agents, employees~ or volunteers in connection with the Event or in connection with 'my of the rights and privileges granted by Shaftman Performance Hall at Jefferson Center to licensee in the Agreement, including, without limitation, any patent, trademark, franchise, copyright, libel defamation claim or suit and any claim or suit based upon Licensee's or Licensee's agents, servants~ employees, or invitees intentional or negligent acts or omissions. Licensee further warrants that all copyrighted ~ateria1s (0 be performed during the Event have been duly licensed or authorized by their copyright owners and Licensee agrees to be responsible for all license and royalty fees incurred by reason of the performance and~ in addition to any provisions contained elsewhere in the Agreement~ to indemnify and hold Shaftman Performance Hall at Jefferson Center~ their officers~ agents, employees, and volunteers harmless from any and all claims, losses or expenses incurred with regard thereto. Licensee agrees to hold Shaftman Performance Hall at Jefferson Center, their officers~ agents, employees~ and volunteers harmless from any damage to or loss of any property of the Licensee and to indemnify them for any claims that may be asserted against them for any such damage or loss, provided such damage or loss is not due to the gross negligence of Shaftman Performance Hall at Jefferson Center~ their officers, agents~ employees, or volunteers. Subject to scheduling and space availability, equipment or property may be allowed onto the Premises designated by Shaftman Performance Hall at Jefferson Center before the rental period but must be completely removed withirI the rental period. 7. Compliance witb Laws and Regnlations: Licensee shall comply with aU laws, ordinances and regulations adopted or establish by federal, state or local governmental agencies or bodies and with all Shaftman Performance Hall at Jefferson Center rules and regulations applicable to the premises, and Licensee shall require that its agents~ empJoyees~ contractors or subcontractors do likewise. 8. Ucenses and permits; Licensee shall pay promptly aU applicable taxes and fees and obtain all licenses or pennits for use of the Premises required by federal, state or local laws and ordinances and Licensee shall provide evidence of compliance with such federal~ state or local laws and ordinances upon demand by Shaftman Performance HaD at Jefferson Center. Failure to provide said evidence upon request shall be groWlds for cancellation of the Event. 9. Event Requirements: The services provided by Shaftman Performance Hall at Jefferson Center are based upon informacion provided by Licensee~ and does not include any unknown or unforeseen circumstances that may~ ~t the sole discretion of Shaftman Performance Hall at Jefferson Center require additional services for the presentation of the Event. Shaftman Performance Hall at Jefferson Center does not guarantee that the services listed in this Agreement are complete or appropriate for the successful production of the Event. Licensee shall provide Shaftman Performance Hall at Jefferson Center at least ten (10) days before the first day of the Event with a full and detailed outline of all Event requirements~ including stage and technical requirements and any other information as may be required by Shaftman Performance Hall at Jefferson Center concerning the Event. Shaftman Performance Hall at Jefferson Center reserves the right to review and approve the Event requirements. If Additional Services become necessary, Shaftman Performance Hall at Jeffersorl Center shall exert commercially reasonable efforts to obtain same and Licensee shall be liable for the charge as a Supplemental Charge. If Additional Services are requested later than one week prior to the Event, Shaftman Performance Hall at Jefferson Center cannot guarantee that the Licensee's additional service requirements can be met. Without the prior approval ofShaftman Performance Hall at Jefferson Center, Licensee shall not bring onto the Premises any material~ substance equipment or object which may endanger the life of, or may cause bodily injury to any person on the Premises or which may constitute a hazard to property thereon as reasonably determined by Shaftman Performa_nce Hall at Jefferson Center. Shaftman Performance Hall at Jefferson Center reserves the right, in Shaftman Performance HaU at Jefferson Center's sole and complete discretion. to refuse to allow any such material~ substance~ equipment or object to be brought onto the Premises and the further right to require its immediate removal therefrom. 10. Broadcast: Live or delayed broadcast, either visual or audio, whether for educational or commercial purposes~ shall provide appropriate title credits to Jefferson Center as to the day, date. and location origin of the bro\ildcast. Location credit shall be listed as "broadcast from Shaftman Performance Hall at Jefferson Center, Roanoke. Virginia:~ 4 Revised 7-1-07 11. Recording; Recording, either visual or audio, whether for archival or commercial purposes, shall provide appropriate title credits to Shaftman Performance Hall at Jefferson Center as to day, date, and location of the recording. Location credit shall be listed as "recorded in Shaftman Performance Hall at Jefferson Center, Roanoke, Virginja." 12. Ticketing: Shaftman Performance Hall at Jefferson Center allows Licensee to manage and sell its own tickets to its Event. If Licensee manages and sells its own tickets to its Event, Licensee will not be allowed access to any Shaftman Performance Hall at Jefferson Center ticketing facility or equipment. Shaftman Performance Hall at Jefferson Center reserves the right for reasons of safety to limit the number of persons entering the Premises at any time. 13. Basic Facilities; In addition to use of the Premises, Shaftman Performance Hall at Jefferson Center shall provide to Licensee for the Event at Shaftman Performance Hall at Jefferson Center's expense heating and air conditioning. and overhead light for ordinary use. Shaftman Performance Hall at Jefferson Center shall provide at Shaftman Performance Hall at Jefferson Center's expense one daily cleaning of all public spaces. Ucensee shall have appropriate access to and use of loading dock, freight elevator, stage, dressing rooms as assigned, green room, appropriate corridors, lobbies, audietlce seating area, orchestra chairs, audio/video program monitoring system, stage intercom system, house stage draperies, house stage lighting control system with basic stage work lights, house audio system with basic annOWlce and playback capability, audience hearing impaired system and equipment. All other services, including provision of personnel, shall be at the expense of Licensee. Staffing: Shaftman Performance Hall at Jefferson Center will require that Jefferson staff be given breaks as follows: . fifteen minutes every two and a half hours . one-half bour meal break every five hours - if food is provided by Licensee . one hour meal break every five hours - if food is not provided by Licensee . There will be a one hour meal penalty paid for every technician in the event of a missed meal break Shaftman Performance Hall at Jefferson Center may charge Lcensee a cleanMup fee in the event that the Premises and/or facility are left in an unreasonable state. 14. Supplemental facilities and equipment: Supplement Facilities shall include; without limitation, services and facilities in addition to Basic Facilities as specially requested by Ucensee includirtg, without limitation, the following: Rental of in-house equipment such as stage platforms and risersj pianos; audio/visual equipment; tables, chairs, music stands. music stand lights; acoustic shells; special mechanical or electrical connections, equipment or services; and staff. Following collaboration with Licensee, Shaftman Performance Hall at Jefferson Center retains the right and power to specify nwnber of personnel utilized in conjunction with the Event, induding, without limitation, security personnel, stagehands, ushers, ticket sellers, ticket takers, admission attendants, parking attendants, guards and police protection at the expense of Licensee. 15. Stagehands: Stagehands and technicians may be employed for use of the Premises for certain theatrical presentations including rehearsal. Personnel authorized by Shaftman Performance Hall at Jefferson Center must operate stage lighting, audio, counterweight fly system, and all technical equipment. For all required stagehands and technicians, the cost, expenses and responsibility for any such stagehands shall be the sole obligation and responsibility ~f the Licensee. 16. Other Personnel or Services; Should Licensee request Shaftman Performance Hall at Jefferson Center to arrange for other personnel or services not otherwise provided for in the Agreement. such as private security personnel or special transportation needs, the cost, expenses, and responsibility for any such other personnel or services shall be the sole obligation and responsibility of the Licensee. Late seating and its timing shall be accommodated by mutual agreement between Shaftman Performance Hall at Jefferson Center and Licensee. Licensee agrees to allow ticketed patrons open access to the seating areas no less than 30 minutes prior to Event. 5 Revised 7-1-07 '; .1' 19. 20. 21. 17. Food and Beverage Sales: Food and beverage including alcoholic beverages shall be served exdusively through Shaftman Perfo'nnance Hall at Jefferson Center or its duly licensed caterer. Shaftman Performance Hall at Jefferson Center re~ains all revenue for food and beverage sales. There will not be any outside food and beverage allowed in the facility at any time without the expressed written consent of Jefferson Center. , 1 18. Blocking Access Ways: Licensee agrees that no portion of the sidewalks, entries, vestibules, halls, elevators, or ways of access to public utilities of the Jefferson Center shall be obstructed by Licensee or used for any purpose other than for ingress and .;gress to and from the Premises. Control of Facility and Right to Enter; In permitting the use of the Premises, Shaftman Performance Hall at Jefferson Center does not relinquish the right to enforce all necessary and proper rules and Jaws for the management and operation of the Premises and the facility and the safety of the citizens. Duly authorized representatives of Shaftman Performance Hall at Jefferson Center may enter the Premises at any time and on any occasion without restriction, for the enforcement of any such rules and laws. Shaftman Performance Hall at Jefferson Center reserves the right to remove or cause to be ejected from the Premises any person engaging in dangerous, W1safe or illegal conduct and neither Shaftman Performance HaD at Jefferson Center nor its agents, officers or employees shall be liable to Licensee as a result of the exercise by Shaftman Performance Hall at Jefferson Center of such right. Shaftman Performance Hall at Jefferson Center reserves and maintains the absolute I right to stop or prevent the event and evacuate the Premises, where in Shaftman Performance Hall at Jefferson Center's sole and exclusive discretion, such action is required for public safety, without any liability on the part of Shaftman Performance HaIJ at Jefferson Center or its representatives to Licensee or others. Doors to the premises shall be opened for the Event at such times and in the manner prescribed by Shaftman Performance Hall at Jefferson Center, Advertising: tShaftman Performance Hall at Jefferson Center reserves the right to approve all advertising material. Licensee , shall submit a twenty-five-word description of Licensee Event with the signed contract and Addendum "C" (twenty-five word ddscription of Licensee Event). Licensee shall in all publication materials refer to the performance hall as "Shaftman Performance Hall at Jefferson Center," Licensee shall be assessed a penalty of up to $500 for incorrect or omitted language use of Shaftman Performance Hall at Jefferson Center, Agreement to Quit Premises: Licensee agrees to quit the Premises at the end of the term of this Agreement and leave the Premises and any other Jefferson Center property in the same condition as at the commencement of the Event, ordinary wear and tear accepted. Licensee shaD pay on demand to Shaftman Performance Hall at Jefferson Center any costs associated with repair or replacement for damages deemed by Shaftman Performance Hall at Jefferson Center in its sole and complete discretion to be materiil arid not as a result of ordinary wear and tear, which damages occurred to the Premises or any other Jefferson Center property as a result of Licensee's use of the Premises. 22. . Assignment:: Ucensee shall not assign or transfer any right or interest under this Agreement, including, without limitation, the right to receive any payment, without Shaftman Performance Hall at Jefferson Center's prior written approval of satisfactory evidence of such assignment and Licensee agrees that any such assignment without prior written approval of Shaftman Performance Hall at Jefferson Center shan be null and void. 23. Certification: The undersigned hereby certifies that he or she is legally authorized to enter into this Agreement on behalf of Licensee and to bind Licensee to the terms and conditions contained herein and that Licensee is legally authorized to enter into the Agreement. 24. Matters Beyond the Control of Shaftman Performance Hall at Jefferson Center: Shaftman Performance Hall at Jefferson Center shall have no liability or responsibility of any type to the Licensee for any failure to perform any of the terms or conditions of the License Agreement or the furnishing of any of the I facilities, utilities, or services called for by this License Agreement that may be due to causes beyond Shaftman Performance Hall at Jefferson Center's control including, but not limited to accidents, an act of God, weather, failure of equipment, strikes, lockouts, or any orders or regulations 'of federal, state, or local government authority. 25. Default by Shaftman Performance Hall at Jefferson Center: In the event of any default, nonperformance or breach of any of the terms or conditions of the Agreement by Shaftman Performance Hall at Jefferson Center, Licensee agrees that, except in the case of the intentional and unreasonable breach hereof. Shaftman Performance Hall at Jefferson Center's liability hereunder shall be limited to repayment of any amount of deposit or rent previously paid to Shaftman Performance Hall at Jefferson Center by Licensee under this Agreement, less any applicable Supplemental Fees. 6 Revised 7-1-07 26. Governing Law/Choice of Venue: This Agreement shall be construed and enforced under the laws of the Commonwealth of Virginia. Shaftman Performance Hall at Jefferson Center and Licensee agree that any dispute regarding the Agreement. shall be adjudicated in state and federal courts located in the City of Roanoke, Virginia. 27. Complete Agreement: This Agreement constitutes the final, complete and exclusive statement of the terms between'Shaftman Performance Hall at Jefferson Center and Licensee. This Agreement may be modified, but only by written instruments properly executed by Shaftman Performance Hall at Jefferson Center and Licensee. 28. Liability for Lost or Stolen Items: Shaftman Performance Hall at Jefferson Center does not asswue responsibility for any damaged or lost articles left in the Facility prior to, during or following an Event. . 29. Sets, Props, and Special Effects: Any pyrotechnics, stage scenery, props, decorations or other special effects to be utilized by Licensee in its performance must be reviewed and approved in advance by Shaftman Performance Hall at Jefferson Center. No offensive materials may be used. Tape Dr tacks may not be used on equipment, walls or ceiling. Helium balloons must be weighted down before coming into the Facility. Glitter and confetti of any kind, bubbles, bubble machines or anything that would leave a residue on the stage floor by which someone may slip and fall may not be used. 30. SOWld Level: Licensee must maintain acceptable noise levels. Shaftman Performance Hall at Jefferson Center reserves the right to reduce the amplification of sound equipment, if the same is necessary to insure no interference with other functions being held in the Facility or the Jefferson Center's use by its tenants. Boisterous activity will not be permitted in the Facility and Center reserves the right to maintain order. 31. Payment of Invoices: Licensee must pay all invoices immediately; any varying credit terms must be agreed upon by Shaftman Performance Hall at Jefferson Center in writing prior to the Event. Finance charges of 11/2 % per month shall be added to any invoice over thirty days past due, Licensee shall reimburse Shaftman Performance Hall at Jefferson Center for any costs of collections, including attorney's fees, incurred by Shaftman Performance Hall at Jefferson Center. 32. Smoking: Jefferson Center is a smoke free facility. No smoking is allowed (this includes backstage and dressing rooms). Smoking urns are located in designated exterior areas. The Licensee must enforce the no smoking policy with its guests and others. Licensee is responsible for and indem.nifics Shaftman Performance Hall at Jefferson Center against any loss or damage resulting from smoking in the facility. 33. Merchandise Sales: Licensee covenants and agrees that if any merchandise is proposed to be sold a the Event that the following shall apply: (a) the sale of merchandise shall be approved in advance by Shaftman Performance Hall at Jefferson Center; (b) arricles will be sold only from locarion(s) determined by Jefferson Center; (e) jf Licensee provides and pays staff to sell articles, Shaftman Performance Hall at Jefferson Center will collect 15% of net sales (after taxes) of such articles; (d) if Shaftman Performance Hall at Jefferson Center provides staff to sell articles, Shaftman Performance Hall at]efferson Center will collect 200/0 of net sales (after taxes) of such articles. 7 Revised 7-1-07 . , Jefferson Center Addendum Agreement " l\ddcn.<;lum Agrecmcnt bctween WVFAS-PH, LLC, Shaftman Performancc I-Iall ar Jeffcrson Cenrer, and "City of Roanoke" "j- .j. Licensce hercby acknowledges that he/ she has rcad and understands thc Addcndums attached to the Rental Agrcement for the sole purpose of the "Renovate Roanoke" event on October 20,2007. Pleasc sign. your name next to each Addendum indicating that you havc rcad and fully understand each document. Addendum i\: Facility Rental Rates and Equipment Rates - Rev. 7/1/07 l, have read, understand and agrce to terms and ratcs presented in Addcndum A of the contract. i I. Addendum 13: Front of House and Backsrage Labor Rares - Rev. 7/1/07 I, have read, understand and agree to terms and rates prcsentcd in Addendum 13 of the contract. I Addendum C: Rules and Rcgulations - Rcv. 7/1/07 l, have rcad, understand and agrcc to the rules and regulations presented in Addendum C of the contract. I, have read, understand and agree to tcrlns and ratcs prcsented n Addendum D of thc contract. Please sign Addcndum J) only if Jefferson Cenrer will bc sclling tickets for your cvent. . Please sign above indicating that you have read and understand all attached Addendums and return this Agrecmcnt along with both copics of the contract. If this Addendum Agreement is not completed the date will not be confirmed until we receive it. If you have questions please contact Dylan Locke (540) 343-2624 ext 215 or dlocke@jeffcenter.org Jefferson Center Addendum A Rental Rates 2007-2008 Facility Rates Venue Standard Non-Profit Shaftman Performance Hall . Monday-1brou!(h Thursday 4 Hours 800.00 OR 8% of GBOR 600.00 . Siru!:le Performance 1400.00 OR 8% ofGBOR 11 00.00 . Two Performances in Same Dav 2100.00 OR 8% ofGBOR 1650.00 . Rehearsal/Tech Prep Day 600.00. 600.00 . 'Dark Day 500.00 400.00 Rehearsal Hall Public Event . Full Day 600.00 400.00 . Durm" Eyent in SPH 400.00 250.00 Rehearsal Only (no public events) . Any Full Day 400.00 200.00 . DurinJ1; Eyent in SPH 250.00 100.00 Fitzpatrick Hall . Sunday-Thursday 4 Hours 500.00 500.00 . Sunday-Thursday Full Day 1000.00 1000.00 . FridaY-Saturday/Holiday 1900.00 1200.00 L. L Rice Room . 4 Hours 150.00 150.00 . Full Day 300.00 300.00 Fralin Atrium . Sunday-Thursday 4 Hours 500.00 400.00 . Sunday-Thursday Full Day 800.00 600.00 . Friday-Saturday/Holiday 1000.00 700.00 . Immediately before/after SPH 300.00 200.00 Event - 2 Hour Max Training Theater . 4 Hours 100.00 100.00 . Full Day 200.00 200.00 Community Room . 4 Hours / Meerinl1;s 75.00 50.00 . Full Day / RehCllrsal 100.00 50.00 Memorabilia Room . Hourlv rate $25/hour $25/hour . All rates are subject to change without notice. Rates DO NOT include sales tax. The standard rental fee for SPH is either $1,400 (Plus tax) OR 8% of GBOR (Gross Box Office Receipts) whichever is greater. 4-hour Rentals - Renter will be charged for full day jf time exceeds the 4-hour limit. Labor for all set-ups and cleaning by Jefferson Ceuter personnel is NOT included. (Except Fitzpatrick Hall where both set-up and cleaning is included in the room p,rice.) Tables are NOT included (except Fitzpatrick Hall- 20 tables and 300 chairs are provided) . . . . . &vi"d07/01/07 , , Jefferson Center Addendum B - NON PROFIT Facility & Labor Rates 2007-2008 ',' -, , Shiftman Performance Hall House Rates House Managers . . . . I ",' House mangers are required from one and a half hours prior to one half hour after every performance. There is a 4-hour minimum. House Managers are billed at $18.50 an hour. For events with fewer than 600 people in attendance in which the balcony is not opened only one house manager will be needed. ,Any event in which the balcony is open regardless of the nwnbers attending will lrequire two house managers. Parking Attendants . Parking Attendants are required from one hour prior to. one half hour after a performance. There is a 4-hour minimwn. · A Parking Supervisor is required and is billed at $16.00 an hour. · Parking Attendants are requir~d and are billed at $14.00 an hour. a 1 supervisor and 3 attend~ts' ~re required for events with more than 500 people in attendance. . a 1 supervisor and 2 attendants are required for events with between 350 and 500 people in attendance. a 1. supervisor and 1 attendant are required for events with between 200 and 350 people in attendance. a No Parking Attendants are required (but may be requested) for events with less than 200 peaple. Volunteers · There is a $100 administrative fee for volunteers provided to handle such tasks as ushering, ticket taking and programs. Revis,d07/0f/07 Page 1 Jefferson Center Addendum B - NON PROFIT Facility & Labor Rates 2007-2008 Shaftman Performance Hall Backstage Rates Labor Stage Technicians - $19.50 House Sound Technician - $20.50 per hour + $40.00 per day if mixing show Crew Minimum · There is a two crew member minimum for most shows in Shaftman Perfonnance Hall · There is a four hour minimum for stage technicians · Renter will be charged time and a half for technicians working longer than 8 hours without at least an hour break. On Stage Floor · A minimum of one technician on the stage floor is required for all events. No one is allowed in the stage or dressing room areas without a technician present. There are no e,xceptions. · Events with large numbers of perfonners or children may require two technicians on the stage floor. Lighting · Only persons authorized by the Jefferson Center may operate the lighting system in Shaftman Performance Hall · The technician on the stage floor can run up to four lighting looks and house lights from stage lefL · Anything more than four looks must be run from the light booth and will require a separate technician. .. Renter will be charged for any labor cost associated with changes and restoration to the standard light plot. RevisedOl/Ot/Ol Page 3 Jefferson Center Addendum C Rules & Regulations Shaftman Performance Hall The following information is provided to assist you with your event. It will also help familiarize you with the facilities of Shaftman Performance Hall at Jefferson Center, as well as certain rules, regulations and safety features of the performance venue. If at any time you have a question please do not hesitate to ask Jefferson Center personnel for assistance. We are here to assist and help facilitate your event. General Information - Rules & Regulations 1. This is a no smoking facility. This includes the inside of the Loading Dock area. 2. No weapons or illegal drugs are allowed within the building. Violation of this will result in immediate expulsion from the facility. 3. Any form of violence is unacceptable behavior and cause for removal or further action. This includes physical violence and using obscene, abusive or threatening language. 4. No pets are allowed within the Jefferson Center except handicap service animals. Any animals used within a performance must have prior approval of the Production Manager. 5. Please remember that Jefferson Center is a public building and has tenant occupants that share the facility with Shaftman Performance Hall. Be mindful of other renters that often occupy Fitzpatrick Hall and the LL Rice Room. 6. No food or drinks will be allowed in the auditorium at any time. There are no exceptions to this rule. 7. We ask that you do not stand on or put your feet on the bottom or anus of the auditorium seats. 8. No one will be permitted backstage or in the dressing room area without Jefferson Center personnel present. 9. Only performers and event support personnel will be allowed backstage. Please make arrangements to meet family and friends in the lobby areas. It is your responsibility to inform the parents of your performers that they are not allowed backstage. If you cannot control your parents the Jefferson Center reserves the right to hire additional security at your expense. 10. Nothing may be attached to floors, doors, walls or ceilings without pre-approval from Jefferson Center personnel. Disregard for this rule may result in an additional charges 11. No duct tape or masking tape may be used anywhere within the Jefferson Center. All tape used must be approved by Jefferson Center personnel. Disregard for this rule may result in an additional cleaning fee. &visedOl/Ot/Ol t page Video, Audio Recording and/ or Live Broadcasting 1. Please double-check any copyright material to avoid any copyright infringement prior to video or audio taping. It is advisable to check the contract you have with your performers. Many performers do not allow any recording of their performance. 2. Be aware that flash photography, even if allowed, is very distracting and potentially dangerous to performers especially dancers. 3. Please let us know in advance your policies on recordings and photographs so that we can inform our front of house staff. 4. The House Manager and Production Manager will need prior knowledge of any videotaping as this could potentially affect seating. Video equipment cannot be placed in a manner that will block the aisles or fire exits. 5. Jefferson Center personnel will make every effort to provide 11 Ov power for your video equipment but can not guarantee it. 6. It may be possible with prior approval to provide an audio feed from the facility sound system; otherwise, videographers must provide their own microphone(s). 7. Any live broadcasts must have pennission from the Jefferson Center in advance of your event date. Backstage 1. Only performers and event support personnel will be allowed backstage. The backstage area includes stage, dressing rooms, rehearsal hall (unless rented for a public event.) and connecting hallways and stairwells. 2. The only doors that are open to the backstage area are the double doors to the right of the elevator on the second floor and the door to the left of the elevator on the first floor. We ask that all performers and event staff use these doors to assess backstage. Please be aware that all other doors are marked "no re-entry" and will remain locked. 3. In the inrerest of safety we cannot allow jumping off the front of the stage. The Jefferson Center can provide temporary stairs that can be used to get from the stage to the audience or there are stairs that lead from the audience to the dressing room area stage left. 4. There will be no running allowed backstage. 5. Do not touch any equipment backstage as this could be potentially dangerous or have adverse effect on your event. 6. Please be mindful of all cable runs on the srage. If by accident a cable is disturbed or unplugged, please inform Jefferson Center personnel immediately, so the problem can be corrected. 7. No food or drinks are allowed on stage with the exception of water in closed spill proof containers. 8. During rehearsals the renter may not allow guests not directly affiliated with the event to enter backstage, dressing rooms or audience. The presence of more than 25 people not connected with the event may cause the rehearsal to be considered an event with the subsequent change in rental rate and requiring of front of house staff. 9. Please remind your performers and support personnel to turn off all cell phones and pagers during the performance. &vis,dOl/Ot/Ol pag' 3 . , . ~' We recommend you bring some games and toys to keep them occupied until their time on stage. 10. The rehearsal hall is also available for a nominal fee during your performance. '11. There are vending machines located on the first floor of the building. .j. Jefferson Center reserves the right to amend these rules and/or to supplement them at any time, in its sole discretion. Such new or revised rules and regulations shall be effective and binding upon the Renter immediatdy after the Renter has been given notification of such changes, vetbally or in wriring, and by any means of communication. For questions, please call: Dylan Locke Program Director (540) 343-2624 x215 dlocke@jeffcenter.org For technical questions, please call: Rob Bessolo Production Manger (540) 343-2624 x214 rbessolo@jeffcenter.org r For ticketing questions, please call: Kelly Seidd Box Office & Guest Services Manager (540) 343-2624 x218 kseidd@jeffcenter.org &vi"d07/01/07 pag' 5 Jefferson Center Shaftman Performance Hall at Jefferson Center Licensee Ticket Fee Structure Addendum D Licensee)s Name: Licensee's phone number & email: Name of Show (what should be on website/tickets): Cost of admission (include all ticket prices, discounts and group rates) Preferred date tickets go on sale: Are tickets General Admission or Reserved? How many performances are there? What time is the first performance? What time are additional petformances? How long is eacb performance? How many intermissions? Intermission will be at what time(s)? How long are the intermissions? Is late seating allowed? When is late seating allowed? Number of complimentary tickets you need: Do you need ticket stubs collected after performance? Extra activities, (reception/parry) Start and end times: Will you be selling or distributing tickets outside the Jefferson Center Box Office? Who is the contact for releasing tickets? Ticketing contact's number and emai1: Is there anyone else authorized to request tickets? Please use the space below to list any other details concerning ticketing for your event: , , Shaftman Performance Hall Event Information Form , '" ,. To help us better meet the needs of your program we ask that you complete the following as fully as:possible. The more details you can provide will allow us to better assist in the presentation of your event. Should you have any questions please do not hesitate to call Dylan Locke at (540) 343-2624 x215 or Rob Bessolo at (540) 343-2624 x214. Organization Main Contact Address Address City Phone Phone - Cell State Fax Email Zip Name bf'Performance/Event I l ..~~', Performance Date House opens Intennission Load In Start Time End Time Who is in charge of coordinating your technical needs, if different from main contact? Name .Phone Cell Email Fax , I Gener~ Questions How many people do you expect to attend this event? If fewer than 600 people do you want the balcony to be open? Are you planning to have a printed program for your event? Is photography allowed? Is videotaping allowed? Is audio recording allowed? Do you allow late seating? Is anyone connected to your event planning to sell merchandise? Are you or your artist providing someone to sell the merchandise? As stated in contract, Jefferson. Center will collect 15% of net sales. Do you need someone from the] efferson Center to sell merchandise? As stated in contmct Jefferson Center will collect 20% of net sales. How many tables will you need in the atrium? Do you want our concessions/bar available to your patrons? RMsed4/28/04 pay I JEFFERSON CENTER FOUNDATION 541 LUCK AVE SW SUITE 221 ROANOKE, VA 24016-5015 PH. 540-343-2624 INVOICE Invoice Qate- 8/17/2007 Invoice # 4116 Page I CUSTOMER II SHIP TO City of Roanoke - Renovate Roanoke 215 Church Avenue, Room 364 Roanoke, VA 24011 Please detach and return this portion with your remittance Customer ID I Customer POH I Order Date I . Shipped Via .- "': . .. .I;OB 0725 I I 811712007 I Terms . . :Due',Oate-.'~ -" It Paid By' " ':.QedUcf';;:. : .- h; .. sOld By . Date Noted 10/512007 $ 0.00 Dylan Locke '_~t .. ':',~e~ri_~ti~_n'~~'::'_ :)~", ":', '." . . ,. '"~J~;~~:/:~ ' ........ . ,II: 'DWiC"ou~} Item # 'my" :";Unlfpi!";; -' .J<>' EXte'ndfKI Price , '. ',', ;.... ~-' ".... .'.'-," .,-' t..... ~\"-" "~ ',., - . 4936 Rental of Shaft man Performance Hall- Public Presenter- 1.0( $1.100.00 October 20, 2007 Credit 348 of $487 .50 from City of Roanoke. Renov ($487.50) Discount for multiple room rentals 4937 Rental of L.L. Rice Room - October 20, 2007 1.0( $300.00 4938 Rental of Training Theater. October 20, 2007 I.OC $200.00 4939 Rental of Fitzpatrick Hall - October 20. 2007 1.0l $1,200.00 4940 Rental of Old Studio School Space - October 20, 2007 1.0 $250.00 4941 Rental of Fralin Atrium - October 20, 2007 - No Charge 1.0( 4942 Rental of Community Room - October 20, 2007 - No Charge 1.0( $1,281.25 due 9/1/07, Balance of $1 ,281.25 due 10/5/07. SUBTOTAL ,L.'OL.'" SALES TAX $0.00 Printed on 8/1 7/2007 TOTAL DUE $2.562.50 ,,+ ~'l'!n:'"' ,'" ",,,,.,1,,, ""Ji """,,'A'~.,d :;,,,,,'''~''r r..,,,...,.. ,Ut:r., ,.",,., '""'" I) CITY OF ROANOKE OFFICE OF THE CITY CLERK 215 Church Avenue, S. W.. Room 456 Roanoke, Virginia 24011-1536 Telephone: (540) 853-2541 Fax: (540) 853-1145 E-mail: c1erk@roanokeva.gov SHEILA N. HARTMAN Deputy City Clerk STEPHANIE M. MOON, CMC City Clerk CECELIA R. 1YREE Assistant Deputy City Clerk September 18, 2007 Joseph Lohkamp Echo Sentinel Group, LLC P. O. Box 6319 Roanoke, Virginia 24017 Curtis A. Anderson, Executive Director Unified Human Services Transportation Systems, Inc. P. O. Box 13825 Roanoke, Virginia 24037 Gentlemen: I am enclosing copy of Ordinance No. 37912-091707 that 31" Street, N. W., between Baker Avenue and Breckenridge Avenue, N.. W.; and a portion of Breckenridge Avenue, N. W.; and a 15 foot wide alley running in an easterly direction to its terminus at 31" Street, N. W.; permanently vacating, discontinuing and closing, and dispensing with the second reading by title of . this ordinance. The abovereferenced measure was adopted by the Council of the City of Roanoke at a regular meeting held on Monday, September 17, 2007, and is in full force and effect upon its passage. Sincerely, ~rn.~~ Stephanie M. Moon, CMC City Clerk SMM:ew Enclosure Joseph Lohkamp Curtis A. Anderson September 18, 2007 Page 2 pc: Norfolk Southern Corporation, Attention: William Gorby, Property Manager, 110 Franklin Road, S. E., Roanoke, Virginia 24011 Baker Avenue Properties, LTD, P. O. Box 6284, Roanoke, Virginia 24017 Susan S. Lower; Director, Real Estate Valuation Martha P. Franklin, Secretary, City Planning Commission Philip C. Schirmer, City Engineer William M. Hackworth, City Attorney Steven J. Talevi, Assistant City Attorney s'S\/ ~ll1(1)1 IN THE COUNCIL OF THE CITY OF ROANOKE, VIRGINIA The 17th day of September, 2007. No. 37912-091707. AN ORDINANCE permanently vacating, discontinuing and closing a portion of a certain streets and certain public rights-of-way in the City of Roanoke; as more particularly described hereinafter; and dispensing with the second reading by title of this ordinance. WHEREAS, Echo Sentinel Group, LLC, and Unified Human Services Transportation Services, Inc" filed an application to the Council of the City of Roanoke, Virginia ("City Council"), in accordance with law, requesting City Council to permanentl y vacate, discontinue and close a portion of certain streets and certain public rights-of-way described hereinafter; WHEREAS, the City Planning Commission, after giving proper notice to all concerned as required by 930-14, Code of the City of Roanoke (1979), as amended, and after having conducted a public hearing on the matter, has made its recommendation to Council; WHEREAS, a public hearing was held on such application by City Council on August 20, 2007, after due and timely notice thereof as required by 930-14, Code of the City of Roanoke (1979), as amended, at which hearing all parties in interest and citizens were afforded an opportunity to be heard on such application; WHEREAS, it appearing from 'the foregoi~~'g~t the land proprietors affected by the requested closing of the subject public rights-of-way have been properly notified; and Q-Echo Sentinel Group, LLC, et als - vacate 31" , etc 9-17-07 WHEREAS, from all of the foregoing, City Council considers that no inconvenience will result to any individual or to the public from permanently vacating, discontinuing and closing such streets and certain public rights-of-way. THEREFORE, BE IT ORDAINED by the Council of the City of Roanoke, Virginia, that the streets and certain public rights-of-way situate in the City of Roanoke, Virginia, and more particularly described as follows: 31" Street, N,W., between Baker Avenue, N.W., and Breckenridge Avenue, N,W,; a portion of Breckenridge Avenue, N,W" from a point beginning at the southwestern boundary of property bearing Official Tax No. 2510112 and running in an easterly direction to a point ending at the southwest comer of Official Tax No. 2510301; and a 15' wide alley running in an easterly direction from a parcel bearing Official Tax No. 2510104 to its terminus at 31" Street, N,W. be, and is hereby permanently vacated, discontinued and closed, and that all right and interest of the public in and to the same be, and hereby is, released insofar as City Council is empowered so to do with respect to the closed streets and rights-of-way, reserving however, to the City of Roanoke and any utility company or public authority, including, specifically, without limitation, providers to or for the public of cable television, electricity, natural gas or telephone service, an easement for sanitary sewer and water mains, television cable, electric wires, gas lines, telephone lines, and related facilities that may now be located in or across such streets and public rights-of-way, together with the right of ingress and egress for the maintenance or replacement of such lines, mains or utilities, such right to include the right to remove, without the payment of compensation or damages of any kind to the owner, any landscaping, fences, shrubbery, structure or any other encroachments on or over the easement which impede access for maintenance or replacement purposes at the time such work is undertaken; such easement or easements to terminate upon the later abandonment of use or permanent removal from O-Echo Sentinel Group, LLC, et als - vacate 3111 ,etc 9-17-07 the above-described streets and public rights-of-way of any such municipal installation or other utility or facility by the owner thereof. BE IT FURTHER ORDAINED that the applicants shall submit to the Subdivision Agent, receive all required approvals of, and record with the Clerk of the Circuit Court for the City of Roanoke, a subdivision plat, with such plat combining all properties which would otherwise dispose of the land within the rights-of-way to be vacated in a manner consistent with law, and retaining appropriate easements, together with the right of ingress and egress over the same, for the installation and maintenance of any and all existing utilities that may be located within the rights-of-way. BE IT FURTHER ORDAINED that the applicants shall, upon meeting all other conditions to the granting of the application, deliver to the Clerk of the Circuit Court of the City of Roanoke, Virginia, a certified copy of this ordinance for recordation where deeds are recorded in such Clerk's Office, indexing the same in the name of the City of Roanoke, Virginia, as Grantor, and in the name of the applicants, and the names of any other parties in interest who may so request, as Grantees, and pay such fees and charges as are required by the Clerk to effect such recordation. BE IT FURTHER ORDAINED that prior to receiving all required approvals of the subdivision plat referenced in the previous paragraph, the applicants shall give to the Treasurer for the City of Roanoke a certified check or cash in the amount of Four Thousand Five Hundred Twenty Five Dollars and No/lOO ($4,525.00) as consideration pursuant to 915.2-2008, Code of Virginia (1950), as amended, for the vacated rights-of- way. O-Echo Sentinel Group, LLC, et als - vacate 31"1, etc 9~17.07 BE IT FURTHER ORDAINED that the applicants shall remove all tires and debris from the subject rights-of-way and provide a receipt for services from a contractor . that the rights-of-way have been cleared of tires and other debris. If the City Manager deems said receipt and evidence of cleaning sufficient and acceptable, the amount of the receipt will be deducted from the sale price of Four Thousand Five Hundred Twenty Five Dollars and NO/lOO ($4,525.00). If such receipt exceeds $4,525,00, the applicants will not be required to pay for the subject rights-of-way. The applicants must provide such documentation or pay for the subject rights-of-way, and receive approval of such clean- up, prior to approval of a subdivision plat. BE IT FURTHER ORDAINED that the applicants shall, upon a certified copy of this ordinance being recorded by the Clerk of the Circuit Court of the City of Roanoke, Virginia, where deeds are recorded in such Clerk's Office, file with the City Engineer for the City of Roanoke, Virginia, the Clerk's receipt, demonstrating that such recordation has occurred. BE IT FURTHER ORDAINED that if the above conditions have not been met within a period of twelve (12) months from the date of the adoption of this ordinance, then such ordinance shall be null and void with no further action by City Council being necessary, 9-Echo Sentinel Group, LLC, et als - vacate 31"'1, etc 9-17-07 BE IT FINALLY ORDAINED that pursuant to the provisions of !i12 of the City Charter, the second reading of this ordinance by title is hereby dispensed with, ~. C~.M.~ O-Echo Sentinel Group, LLC, et als - vacate 31", etc 9-17~07 CITY OF ROANOKE PLANNING BUILDING AND DEVELOPMENT 215 Church Avenue, S.W., Room 166 Roanoke, Virginia 24011 Telephone: (540) 853-1730 Fax: (540) 853-1230 E-mail: planning@cLroanoke.va.us Architectural Review Hoard Board of Zoning Appeals Plannin~ Commission '1"1""" - -- i I LI September 17, 2007 Honorable C, Nelson Harris, Mayor Honorable David B. Trinkle, Vice Mayor Honorable Alfred T, Dowe, Jr., Council Member Honorable Beverly T. Fitzpatrick. Jr., Council Member Honorable Sherman P. Lea, Council Member Honorable Gwendolyn W. Mason, Council Member Honorable Brian J. Wish neff, Council Member Dear Mayor Harris and Members of City Council: Subject: Supplemental Report pertaining to the request from Echo Sentinel Group, LLC, Joseph Lokhamp, Unified Human Services Transportation Systems, Inc" and Curtis Andrews, to permanently vacate, discontinue and close 31st Street, NW., between Baker Avenue, NW" and Breckenridge Avenue, N.W.; a portion of Breckenridge Avenue, N.W., from a point beginning at the southwestern boundary of property bearing Official Tax No. 2510112 and running in an easterly direction to its intersection with 31st Street, N.W.; and a 15' wide alley running in an easterly direction from a parcel bearing Official Tax No, 2510104 to its terminus at 31st Street, N,W. Recommendation: Planning Commission public hearing was held on Thursday, July 19, 2007. Bya vote of 5-0 (Messrs. Chrisman and Williams absent), the Commission recommended that City Council approve the applicants' request and vacate the portions of rights-of-way and alley as requested, subject to the conditions below and at a sale price of $19,000. Staff has undertaken additional review of the circumstances affecting the value of this vacated right-of-way and has made a supplemental recommendation to the Planning Commission action. The applicant expressed concern during the City Planning Commission hearing about the condition of the unimproved right-of-way of 31st Street, NW., and cited numerous debris on the site that would require removal and cleanup, Members of City Council Page 2 September 17, 2007 Subsequent to the Planning Commission action, the applicant provided an estimate from Duz-AII of Roanoke for the cleanup in the amount of $6500 - $7500. It was determined that the cost of cleaning up this property to comply with the City's property maintenance code would roughly equal the value of the recommended sale price for 31st Street, N,W, Based on this, the administration recommends that the applicant not be charged for the portion of 31st Street, NW., given his ultimate responsibility for cleanup when this site is developed. City Council continued this request in its public hearing on August 20,2007, due to the applicant's disagreement with staff's supplemental recommendation, which recommended a sale price of $12,000. Staff has revised the recommended sale price based solely on the current assessments of the adjoining properties without regard for any contributory value added by the rights-of-way. The closure should be subject to the conditions listed below and a sale price of $4,525 is based on a rate of $0.25 per square foot for the alley and portion of Breckenridge Avenue, N.W. Due to the existence of tires and other debris in the alley and portion of Breckenridge Avenue, NW., if the applicant incurs costs in cleaning up these properties, all or a portion of the sale price may be relieved as noted below: A. The applicant shall remove all tires and debris from the subject rights-of-way and provide a receipt for services from a contractor that the rights-of-way have been cleared of tires and other debris, If the City manager deems said receipt and evidence of cleaning sufficient and acceptable, the amount of the receipt will be deducted from the sale price of $4,525. If such receipt exceeds $4,525, the applicant will not be required to pay for the subject rights-of- way. The applicant must provide such documentation or pay for the subject rights-of-way and receive approval of such clean-up, prior to approval of a subdivision plat. B. The applicant shall submit a subdivision plat to the Agent for the Planning Commission, receive all required approvals of, and record the plat with the Clerk of the Circuit Court for the City of Roanoke. Said plat shall combine all properties which would otherwise dispose of the land within the right of way to be vacated in a manner consistent with law, and retain appropriate easements for the installation and maintenance of any and all existing utilities that may be located within the right-of-way, including the right of ingress and egress, C, Upon meeting all other conditions to the granting of the application, the applicant shall deliver a certified copy of this ordinance for recordation to the Clerk of the Circuit Court of Roanoke, Virginia, indexing the same in the name of the City of Roanoke, Virginia, as Members of City Council Page 3 September 17, 2007 Grantor, and in the name of the applicant, and the names of any other parties in interest who may so request, as Grantees. The applicant shall pay such fees and charges as are required by the Clerk to effect such recordation, D, Upon recording a certified copy of this ordinance with the Clerk of the Circuit Court of the City of Roanoke, Virginia, the applicant shall file with the Engineer for the City of Roanoke, Virginia, the Clerk's receipt, demonstrating that such recordation has occurred. E, If the above conditions have not been met within a period of one year from the date of adoption of this ordinance, then said ordinance shall be null and void with no further action by City Council being necessary, (jj}""CYJit " Chris Chittum, AICP, Agent City Planning Commission cc: Darlene L. Burcham, City Manager R. Brian Townsend, Assistant City Manager William M. Hackworth, City Attorney Applicants CITY OF ROANOKE PLANNING BUILDING AND DEVELOPMENT 215 Church Avenue, S.W., Room 166 Roanoke, Virginia 24011 Telephone: (540) 853-1730 Fax: (540) 853-1230 E-mail: planning@ci.roanoke.va.us Architectural Re,,'iew Board Board or Zoning Appeals Plannin~ Commission September 4, 2007 Honorable C. Nelson Harris, Mayor Honorable David B. Trinkle, Vice Mayor Honorable Alfred T. Dowe, Jr., Council Member Honorable Beverly T. Fitzpatrick, Jr., Council Member Honorable Sherman P. Lea, Council Member Honorable Gwendolyn W, Mason. Council Member Honorable Brian J. Wishneff, Council Member Dear Mayor Harris and Members of City Council; Subject: Request from Echo Sentinel Group, LLC, Joseph Lokhamp, Unified Human Services Transportation Systems, Inc., and Curtis Andrews, to permanently vacate, discontinue and close 31st Street, N,W., between Baker Avenue, N,W" and Breckenridge Avenue, N,W,; a portion of Breckenridge Avenue, N.W., from a point beginning at the southwestern boundary of property bearing Official Tax No, 2510112 and running in an easterly direction to its intersection with 31st Street, NW.; and a 15' wide alley running in an easterly direction from a parcel bearing Official Tax No. 2510104 to its terminus at 31st Street, N.W, Recommendation: Planning Commission public hearing was held on Thursday, July 19, 2007. Bya vote of 5-0 (Messrs, Chrisman and Williams absent), the Planning Commission recommended that City Council approve the applicants' request and vacate the portions of rights-of-way and alley as requested, subject to the conditions below (A-D) and at a sale price of $19,000. The applicant expressed concern during the City Planning Commission hearing about the condition of the unimproved right-of-way of 31st Street, NW, and said . there was debris on the site that wouh;l require removal and cleanup. Subsequent to the Planning Commissio'n action, the applicant provided an estimate, in the amount of $6500-$7500, from Duz-AII of Roanoke for cleanup. It was determined that the cost of cleaning up this property to comply with the City's property maintenance code would roughly equal the value of the recommended sale price for 31st St, N.W. Based on this condition, staff reviewed the circumstances affecting the value of this vacated right-of-way and made a Members of Council Page 2 September 4, 2007 supplemental recommendation to the Planning Commission action to vacate the rights-of-way at a cost of $12,000. City Council continued this request at its public hearing on August 20, 2007, due to the applicants' disagreement with staff's supplemental recommendation, Staff has revised the recommended sale price based solely on the current assessments of the adjoining properties without regard for any contributory value added by the rights-of-way. The closure should be subject to the conditions listed below and a sale price of $4,525 based on a rate of $,25 per square foot for the alley and portion of Breckenridge Avenue, N.W.: A. The applicant shall submit a subdivision plat to the Agent for the Planning Commission, receive all required approvals of, and record the plat with the Clerk of the Circuit Court for the City of Roanoke. Said plat shall combine all properties which would otherwise dispose of the land within the right of way to be vacated in a manner consistent with law, and retain appropriate easements for the installation and maintenance of any and all existing utilities that may be located within the right-of-way, including the right of ingress and egress, B. Upon meeting all other conditions to the granting of the application, the applicant shall deliver a certified copy of this ordinance for recordation to the Clerk of the Circuit Court of Roanoke, Virginia, indexing the same in the name of the City of Roanoke, Virginia, as Grantor, and in the name of the Petitioner, and the names of any other parties in interest who may so request, as Grantees. The applicant shall pay such fees and charges as are required by the Clerk to effect such recordation. C. Upon recording a certified copy of this ordinance with the Clerk of the Circuit Court of the City of Roanoke, Virginia, the applicant shall file with the Engineer for the City of Roanoke, Virginia, the Clerk's receipt, demonstrating that such recordation has occurred. D. If the above conditions have not been met within a period of one year from the date of adoption of this ordinance, then said ordinance shall be null and void with no further action by City Council being necessary. Members of Council Page 3 September 4, 2007 Chris Chittum, AICP, Agent City Planning Commission cc: Darlene L, Burcham, City Manager R. Brian Townsend, Assistant City Manager William M. Hackworth, City Attorney Applicants Members of Council Page 4 September 4, 2007 Application Information Request: Permanent Vacation, Discontinue and Closure of 31St Street, NW, Owner/Applicant: Echo Sentinel LLC, Unified Human Services Transportation Systems, Inc, Representative: Joseph Lokhamp (Echo), Curtis Andrews (Unified) City Staff Person: Frederick Gusler Site Address/Location: 3151 Street, N W, Official Tax Nos, which 2510112-7 inclusive, 2510105-1, inclusive, 2510301 abut right-or-way to be vacated: Site Area: Approximately 28,125 square feet Existing Zoning: 1-1, Industrial District Proposed Zoning: nla Existing Land Use: Vacant, paper street and adjoining alley Proposed Land Use: Expansion of business Neighborhood Plan: Loudon-Melrose/Shenandoah West Specified Future Land Industrial Use: Filing Date: 2nu Amended Application: June 7, 2007 Background: The right-of-way and adjoining alley requested for vacation are unimproved. The subject block of 31st Street, NW., is 30 feet wide and extends approximately 325 feet to the south where it intersects the subject portion of Breckenridge Avenue, which is 30 feet wide and extends approximately 390 feet to the west. One of the applicants, Echo Sentinel, recently was granted a vacated portion of Breckenridge Avenue by City Council in June 2007 that adjoins the subject portion. The alley requested for vacation is unimproved and is between Official Tax No. 2510104 and the subject portion of 31st Street, NW, Considerations: Surroundinq Zoninq and Land Use: Zoning District Land Use North 1-1, Industrial District Industrial South 1-2, Industrial District NS Railroad riqht-of-way East 1-1, Industrial District Vacant West 1-2, Industrial District Industrial Members of Council Page 5 September 4, 2007 Compliance with the Zoninq Ordinance: The proposed vacation would be combined with the applicants' adjoining properties. The additional land will allow the applicants to expand their establishments. The properties to be combined are of the same zoning designation. Conformity with the Comprehensive Plan and Neiqhborhood Plan: The request is consistent with the future land use plan of the Loudon- Melrose/Shenandoah West Neighborhood Plan, and with the Economic Development goals of Vision 2001-2020, in that it will allow for the expansion of existing business establishments. Public Utilities The area is served by public utilities. Staff received comments from Appalachian Electric Power (AEP), Verizon, the Western Virginia Water Authority and Roanoke Gas, all of which stated no opposition to the request. City Department Comments: Staff received no comments. Public Comments: None Planninq Commission Comments: The applicant stated that he did not agree with the recommended sale price and noted that the property is littered with tires and other debris, which would require a substantial investment to clean up. Mr. Scholz asked staff to confirm the applicant's assertion that the property needed to be cleaned up, Staff said that from the south side of 31 st Street a number of tires and other debris was visible on the property, but couldn't determine the condition of most of the property due to vegetative growth. Mr. Townsend offered that the request could be tabled to allow the City's Environmental Administrator to evaluate the site as was done in the Echo Sentinel's previous request to vacate a portion of Breckenridge Avenue, N,W. Mr, Rife stated that determining the assessed value was out of his area of expertise. He said he would be comfortable voting on the request as is, and that further analysis could be conducted prior to the City Council meeting. , . APPLIOA~I'GN{"".. STREET OR A(~~~'~!1t~!~"ION . ".::b';>:.,~,ti"1~:'<t,: :'.,<":'.:t~:.','->.,~."" ~.,. Date: June 7,2007 To: Office of the City Clerk Fourth Floor, Noel C. Taylor Municipal Building 215 Church Avenue, S,w. . Roanoke, VA 24011 Phone: (540) 853-2541 Fax: (540) 853-1145 All submittals must be typed and include all required documeiita.tio.r1aridactieck~ci,r,thefifing fee. Application is hereby submitted for street or alley vacation for the property located at: Location and description of street or alley to be closed: Applicants desire to vacate ALL of 315t between Baker Avenue NW and the end of Breckenridge Avenue NW, ALL of Breckenridge Ave, NW lying adjacent to lots 7 thru 12 and the ALLEY between lots 1-7 P Taylor Trout Farm First Division, lots 1-5 P Taylor Trout Farm Second Division as shown in detail on attached platt map and on the attached survey dated March 20, 2007 and prepared by David A. Bess, Land Surveyor, The area on 315t is approximately 10920 square feet, Breckenridge Ave. is approximately 11,580 square feet and alley between the property is approximately 6450 square feet. The adjacent property owners are identified by Tax Map Numbers 2510301, 2510111, 2510105 thru 2510117 and Norfolk Southern Corporation Proposed use of vacated street or alley: The applicants desire to add the proposed vacated property to their respective properties identified by Tax Map Numbers 2510301,2510105 and 2510117 respectively. The property will be used in the same manner as the adjacent property. Name of Applicant/Contact Person: Echo Sentinel Group,LLCj6s~phLoh~ampand Unified Human Services Transportation Systems, Inc. Curtis Andrews.:'" ';",i,':':'}":(" . Mailing Address' Echo Sentinel Group, LLC P.O. 6319 Roanok~,YA2....gJ7;;~~,:l,Jn!fiEid Human Services Transportation Systems, Inc. P,O. 13825 Roanoke;\{A'r4()37,..,,.!;,j..,+: -,' - Telephone: (540) 777-0660 Fax: (540) 777-0661 E~mail: josepl1@apdVs.col1'l .'. Applicant(s) signature(s): Echo Sentinel Group, LLC 5 Pg 2, AMENDED APPLICATION TO VACATE 31ST AND BRECKENRIDGE AVE. NW THE ADJACENT PROPERTY OWNERS ARE IDENTIFIED BY TAX MAP NUMBERS 31sT. STREET AND A PORTION OF BRECKENRIDGE AVE. 2510301 - Echo Sentinel Group, LLC roo Box 6319 Roanoke, VA 24017 Joseph Lohkamp 540-777-0660 2510111 and 2510117 Unified Human Services Transportation Systems, Inc. PO. 13825 Roanoke, VA 34037 - Curtis Andrews 540-343-1721 Norfolk Southern Corporation 110 Franklin Rd. S.E. Box 59 Roanoke, VA 24042-0059 Bill Gorby 540-981-5992 BRECKENRIDGE AVE. NW 2510112 thru 2510117 Unified Human Services Transportation Systems, Inc. P.O. 13825 Roanoke, VA 34037 - Curtis Andrews 540-343-1721 Norfolk Southern Corporation 110 Franklin Rd. S.E. Box 59 Roanoke, VA 24042-0059 Bill Gorby 540-981-5992 ALLEY - PT TROUT FARM FIRST AND SECOND DIVISION 2510106 thru 2510B 7 Unified Human Services Transportation Systems, Inc. P.O. 13825 Roanoke, VA 34037 - Curtis Andrews 540-343-1721 2510105 Baker Avenue Properties LTD P.O. Box 6284 Roanoke, VA 24017 " j-cl. / ~ , ..~ ~ ~' ~~. ~/ ~ "'\ ,oi"- . !!i. " --. / />0..., --.-.. ,..1- .:::l_ ,p --... -.....-.... 1-0') '1'-.. I --.. (r,I --- --- .... -...... -.. -- . -- <5 J OJ o CIl o III ,.j . - - .-:: - :;; ~O\ 0,15'2. lC~ 3 I'll' U\ :Bi Ilcll ;! - - - ,...-~- ':;)-". '" .z ~! <'\ o I!B - - ....JQL _ _ U>~ ".'; ~ c:(----If-- - rc.t~ <( b!l f;:i ~~ <<it a:~ .LI .l!il,e.t~1!'I ~~G9T""'O. f/ -LS E' o o ~ ~ '" '" '" o 'N <:,. " .1:1~ "-""0 Q ~- " . \fJ -N z o~ It .IIJ. .1- '" ~ Ill' s' :-'.' 0' tfl' . 0'< III SIlOISZ tl\ r ",NO~':)I__ ~-__it__~ O'~ .. ---1--- ~ ,I.... (l'I I;; ...~. , fi' C <I) 1!l1~! ,.. - -et'--- - <<t "" ~ .&r/J/ ~ % ~~ V' ~ ",(J. '" "'U: :;; t-' ... \~I \~I \~ cS\ '~I I", .,.1 I~I I~I ;:"f:9f: \I .... j.. 6\ of$~ I A., . .~ ,. CITY OF ROANOKE OFFICE OF THE CITY CLERK 215 Church Avenue, S. W., Room 456 Roanoke, Virginia 24011-1536 Telephone: (540) 853-2541 Fax: (540) 853-1145 E-mail; c.lerk@roanokeva.gov SHEILA N. HARTMAN Deputy City Clerk STEPHANIE M. MOON, CMC City Clerk CECELIA R. lYREE Assistant Deputy City Clerk August 23, 2007 Joseph Lohkamp Echo Sentinel Group, LLC P, O. Box 6319 Roanoke, Virginia 24017 Curtis A. Anderson, Executive Director Unified Human Services Transportation Systems, Inc. P. 0, Box 13825 Roanoke, Virginia 24037 Gentlemen: A public hearing on the request of Echo Sentinel Group, LLC, and Unified Human Services Transportation Systems, Inc., that 31" Street, N. W" between Baker Avenue and Breckenridge Avenue, and a portion of Breckenridge Avenue, and a 15 foot-wide alley running in an easterly direction to its terminus at 31" Street, be permanently vacated, discontinued and closed, was conducted by the Council of the City of Roanoke at a regular meeting which was held on Monday, August 20, 2007. Pursuant to an unanimous vote of the Council, the ordinance permanently vacating certain portions of rights-of-way and alley was tabled until the next regular meeting of Council on Tuesday, September 4, 2007 at 2 :00 p.m., or as soon thereafter as the matter may be heard. Sincerely, .~!~ Stephanie M, Moon, CMC City Clerk SMM:ew Joseph Lohkamp Curtis A. Anderson August 23, 2007 Page 2 pc: Norfolk Southern Corporation, Attention: William Gorby, Property Manager, 110 Franklin Road, S. E., Roanoke, Virginia 24011 Baker Avenue Properties, LTD, P. O. Box 6284, Roanoke, Virginia 24017 Susan S. Lower, Director, Real Estate Valuation Martha P. Franklin, Secretary, City Planning Commission Philip C. Schirmer, City Engineer William M. Hackworth, City Attorney Steven J. Talevi, Assistant City Attorney CITY OF ROANOKE PLANNING BUILDING & ECONOMIC DEVELOPMENT 215 Church Avenue, S.W., Room 166 Roanoke, Virginia 24011 Telephone: (540) 853-1730 Fax: (540) 853-1230 E-mail: planning@roanokeva.gov Architectural Review Board lJourd of Zoning Appeals l'lannin!.: Commi~,ion August 20, 2007 Honorable C. Nelson Harris, Mayor Honorable David B. Trinkle, Vice Mayor Honorable Alfred T. Dowe, Jr., Council Member Honorable Beverly T. Fitzpatrick, Jr., Council Member Honorable Sherman P. Lea, Council Member Honorable Gwendolyn W. Mason, Council Member Honorable Brian J. Wish neff, Council Member Dear Mayor Harris and Members of City Council: Subject: Request from Echo Sentinel Group, LLC, Joseph Lokhamp, Unified Human Services Transportation Systems, Inc" and Curtis Andrews, to permanently vacate, discontinue and close 31st Street, N.W., between Baker Avenue, N.W., and Breckenridge Avenue, NW.; a portion of Breckenridge Avenue, N,W" from a point beginning at the southwestern boundary of property bearing Official Tax No, 2510112 and running in an easterly direction to its intersection with 31st Street, N.W.; and a 15' wide alley running in an easterly direction from a parcel bearing Official Tax No, 2510104 to its terminus at 31st Street, N.W. Recommendation: Planning Commission public hearing was held on Thursday, July 19, 2007. Bya vote of 5-0 (Messrs, Chrisman and Williams absent), the Commission recommends that City Council approve the applicants' request and vacate the portions of rights-of-way and alley as requested. Granting the applicants' request could further aid in the redevelopment and expansion of their business establishments, The development of such underutilized industrial sites is encouraged in Vision 2001-2020, the City's Comprehensive Plan. The closure should be subject to the conditions listed below and a sale price of $19,000 at a rate of approximately $.67 per square foot, due to its contributory value to the applicants' properties, Members of City Council Page 2 August 20, 2007 A. The applicant shall submit a subdivision plat to the Agent for the Planning Commission, receive all required approvals of, and record the plat with the Clerk of the Circuit Court for the City of Roanoke. Said plat shall combine all properties which would otherwise dispose of the land within the right of way to be vacated in a manner consistent with law, and retain appropriate easements for the installation and maintenance of any and all existing utilities that may be located within the right-of-way, including the right of ingress and egress, B. Upon meeting all other conditions to the granting of the application, the applicant shall deliver a certified copy of this ordinance for recordation to the Clerk of the Circuit Court of Roanoke, Virginia, indexing the same in the name of the City of Roanoke, Virginia, as Grantor, and in the name of the Petitioner, and the names of any other parties in interest who may so request, as Grantees. The applicant shall pay such fees and charges as are required by the Clerk to effect such recordation, C. Upon recording a certified copy of this ordinance with the Clerk of the Circuit Court of the City of Roanoke, Virginia, the applicant shall file with the Engineer for the City of Roanoke, Virginia, the Clerk's receipt, demonstrating that such recordation has occurred. D. If the above conditions have not been met within a period of one year from the date of adoption of this ordinance, then said ordinance shall be null and void with no further action by City Council being necessary, Respectfully submitted, 7~~ Henry Scholz, Chairman City Planning Commission cc: Darlene L. Burcham, City Manager R. Brian Townsend, Assistant City Manager William M. Hackworth, City Attorney Applicants Members of City Council Page 3 August 20, 2007 Application Information Request: Permanent Vacation, Discontinue and Closure of 31st Street, NW. Owner! Applicant: Echo Sentinel LLC, Unified Human Services Transportation Svstems, Inc. Representative: Joseph Lokhamp (Echo), Curtis Andrews (Unified) City Staff Person: Frederick Gusler Site Address/Location: 315rStreet, NW. Official Tax Nos. which 2510112-7 inclusive, 2510105-1, inclusive, 2510301 abut right-of-way to be vacated: Site Area: Annroximatelv 28,125 sauare feet Existina Zonina: 1-1, Industrial District Proposed Zonina: n/a Existina Land Use: Vacant, naner street and adioininq alley Proposed Land Use: Expansion of business Neighborhood Plan: Loudon-Melrose/Shenandoah West Specified Future Land Industrial Use: Filing Date: 2nd Amended Application: June 7, 2007 Background: The right-of-way and adjoining alley requested for vacation are unimproved. The subject block of 31st Street, NW, is 30 feet wide and extends approximately 325 feet to the south where it intersects the subject portion of Breckenridge Avenue, which is 30 feet wide and extends approximately 390 feet to the west. The alley requested for vacation is unimproved and is between Official Tax No. 2510104 and the subject portion of 31st Street, NW, Considerations: Surroundinq Zoninq and Land Use: Zonina District Land Use North 1-1, Industrial District Industrial South 1-2, I ndustrial District NS Railroad riqht-of-way East 1-1, Industrial District Vacant West 1-2, Industrial District Industrial Compliance with the Zoninq Ordinance: The proposed vacation would be combined with the applicants' adjoining properties. The additional land will allow the applicants to expand their Members of City Council Page 4 August20,2007 establishments. The properties to be combined are of the same zoning designation. Conformity with the Comprehensive Plan and Neiqhborhood Plan: The request is consistent with the future land use plan of the Loudon- Melrose/Shenandoah West Neighborhood Plan, and with the Economic Development goals of Vision 2001-2020, in that it will allow for the expansion of existing business establishments. Public Utilities The area is served by public utilities. Staff received comments from Appalachian Electric Power (AEP), Verizon, the Western Virginia Water Authority and Roanoke Gas, all of which stated no opposition to the request. City Department Comments: Staff received no comments. Public Comments: None Planninq Commission Comments: The applicant stated that he did not agree with the recommended sale price and noted that the property is littered with tires and other debris, which would require a substantial investment to clean up. Mr. Scholz asked staff to confirm the applicant's assertion that the property needed to be cleaned up. Staff said that from the south side of 31 5t Street a number of tires and other debris was visible on the property, but could not determine the condition of most of the property due to vegetative growth. Mr. Townsend offered that the request could be tabled to allow the City's Environmental Administrator to evaluate the site as was done in the applicant's previous request to vacate a portion of Breckenridge Avenue, NW. Mr. Rife stated that determining the assessed value was out of his area of expertise. He said lie would be comfortable voting on the request as is, and that further analysis could be conducted prior to the City Council meeting. . . <. '." APPLICATIQN . - .. . ., . . .. . ~'ir',_' . STREET OR ALLEY VACATION . .. . - - ., Date: June 7, 2007 To: Office of the City Clerk Fourth Floor, Noel C, Taylor Municipal Building 215 Church Avenue, S.W. Roanoke, VA 24011 Phone: (540) 853-2541 Fax: (540) 853-1145 All submittals must be typed and include all required documentation and achec;kfor the filing fee. Application is ;h~rebY submitted for street or alley vacation for the property located at: Location and description of street or alley to be closed: Applicants desire to vacate ALL of 31st between Baker Avenue NW and the end of Breckenridge Avenue NW, ALL of Breckenridge Ave. NW lying adjacent to lots 7 thru 12 and the ALLEY between lots 1-7 P Taylor Trout Farm First Division, lots 1-5 P Taylor Trout Farm Second Division as shown in detail on attached platt map and on the attached survey dated March 20, 2007 and prepared by David A. Bess, Land Surveyor. The area on 31st is approximately 10920 square feet, Breckenridge Ave. is approximately 11,580 square feet and alley between the property is approximately 6450 square feet. The adjacent property owners are identified by Tax Map Numbers 2510301,2510111, 2510105 thru 2510117 and Norfolk Southern Corporation , Proposed use bfvacated street or alley: The applicants desire to add the proposed vacated property to their respective properties identified by Tax Map Numbers 2510301,2510105 and 2510117 respectively, The property will be used in the same manner as the adjacent property. Name of Applicant/Contact Person: Echo Sentinel Group, LLC Joseph Lohkamp and Unified Human SerVices Transportation Systems, Inc. Curtis Andrews. Mailing Address: Echo Sentinel Group, LLC P.O. 6319 Roanoke, VA 24017~ Unified Human Services Transportation Systems, Inc. P.O, 13825 Roanoke, VA 34037 Telephone: (540) 777-0660 Fax: (540) 777-0661 E-mail: joseph@apdva.com Applicant(s) signature(s): Echo ~entinel Group, LLC uman Services Transportation System, Inc. 5 Pg 2, AMENDED APPLICATION TO VACATE 31ST AND BRECKENRIDGE AVE. NW THE ADJACENT PROPERTY OWNERS ARE IDENTIFIED BY TAX MAP NUMBERS 31sT. STREET AND A PORTION OF BRECKENRIDGE AVE. 2510301 _ Echo Sentinel Group, LLC roo Box 6319 Roanoke, VA 24017 Joseph Lohkamp 540-777-0660 2510111 and 2510117 Unified Human Services Transportation Systems, Inc. ro. 13825 Roanoke, VA 34037 - Curtis Andrews 540-343-1721 Norfolk Southern Corporation 110 Franklin Rd. S.E. Box 59 Roanoke, VA 24042-0059 Bill Gorby 540-981-5992 BRECKENRIDGE AVE. NW 2510112 thru 2510117 Unified Human Services Transportation Systems, Inc. P.O. 13825 Roanoke, VA 34037 - Curtis Andrews 540-343-1721 Norfolk Southern Corporation 110 Franklin Rd. S.E. Box 59 Roanoke, VA 24042-0059 Bill Gorby 540-981-5992 ALLEY _ PT TROUT FARM FIRST AND SECOND DIVISION 2510106 thru 2510117 Unified Human Services Transportation Systems, Inc. P.O. 13825 Roanoke, VA 34037 - Curtis Andrews 540-343-1721 2510105 Baker Avenue Properties LTD P.O. Box 6284 Roanoke, VA 24017 -, " ~.l 0' tn' . ,,"-, 1-1-- .::>. & -,,-- I-- '" :r, , ...;, (1, -- - -- -- -- --, -- . -- <5 --- , . ~ r III o '" () III oj 0" <:) Ii ,<)' \0 rt~ tll SIIOIS, 'SOIQ,\S, .."'" ;OIJ.:lj N l- - -\- - ':l = __', __-=- :-~t--- r~. ..... -t',. 0 Q) ---~ --- --<---at l..-n_", 1""2 ~~ VI gJl ~fi, N u- -.f l\!!Br :~ . .2 -.It <<l o~ ~- -1-' -- v _ U\ .., ~ ~"" ~ <( - . -- - "'<.~ - III )-ct~ 'l:1ABr;; ~~ . <<fl( a:@ ~ L I TO ~~ '"~ j,/ '''5.. r- .. I~I \~I I~ ~\ \~I \~\ I~I \~I 9:'~9i: \J .... s.._ 6> o o ,.: N <to ,.l!O "....0 Cl ~_ ~ l..'") :\J '" '" ,..: o 'N :z o~ It III, .,,1-- .. ~ J '-.- -00;- C-,-___ Ill' S' ~ CITY OF ROANOKE PLANNING BUILDING & ECONOMIC DEVELOPMENT 215 Church Avenue, S.W., Room 166 Roanoke, Virginia 24011 Telephone: (540) 853-1730 Fax: (540) 853-1230 E-mail: planning@roanokeva.gov Architectural Re\'iew Board BlIard of Zunin~Appl'llls Plllnnin/.: Cmnmissioll August20,2007 Honorable C. Nelson Harris, Mayor Honorable David B. Trinkle, Vice Mayor Honorable Alfred T. Dowe, Jr., Council Member Honorable Beverly T. Fitzpatrick, Jr., Council Member Honorable Sherman P. Lea, Council Member Honorable Gwendolyn W, Mason, Council Member Honorable Brian J. Wishneff. Council Member Dear Mayor Harris and Members of City Council: Subject: Supplemental Report pertaining to the request from Echo Sentinel Group, LLC, Joseph Lokhamp, Unified Human Services Transportation Systems, Inc., and Curtis Andrews, to permanently vacate, discontinue and close 31st Street, N,W" between Baker Avenue, N.W., and Breckenridge Avenue, N.W.; a portion of Breckenridge Avenue, N.W.. from a point beginning at the southwestern boundary of property bearing Official Tax No, 2510112 and running in an easterly direction to its intersection with 3151 Street, N W,; and a 15' wide alley running in an easterly direction from a parcel bearing Official Tax No, 2510104 to its terminus at 31st Street, NW. Recommendation: Planning Commission public hearing was held on Thursday, July 19, 2007. Bya vote of 5-0 (Messrs, Chrisman and Williams absent), the Commission recommended that City Council approve the applicants' request and vacate the portions of rights-of-way and alley as requested, subject to the conditions below (A-D) and at a sale price of $19,000. Staff has undertaken additional review of the circumstances affecting the value of this vacated right-of-way and has made a supplemental recommendation to the Planning Commission action. The applicant expressed concern during the City Planning Commission hearing about the condition of the unimproved right-of-way of 31st Street, N.W., and cited numerous debris on the site that would require removal and cleanup, Subsequent to the Planning Commission action, the applicant provided an estimate from Duz-AII of Roanoke for the cleanup in the amount of $6500 - $7500, It was determined that the cost of cleaning up this property to comply Members of City Council Page 2 August 20, 2007 with the City's property maintenance code would roughly equal the value of the recommended sale price for 31st Street, N.W. Based on this, the administration recommends that the applicant not be charged for the portion of 31 st Street, NW., given his ultimate responsibility for cleanup when this site is developed. The closure should be subject to the conditions listed below and a sale price of $12,000, at a rate of approximately $,66 per square foot for the alley and portion of Breckenridge Avenue, N.W. A. The applicant shall submit a subdivision plat to the Agent for the Planning Commission, receive all required approvals of, and record the plat with the Clerk of the Circuit Court for the City of Roanoke. Said plat shall combine all properties which would otherwise dispose of the land within the right of way to be vacated in a manner consistent with law, and retain appropriate easements for the installation and maintenance of any and all existing utilities that may be located within the right-of-way, including the right of ingress and egress. B. Upon meeting all other conditions to the granting of the application, the applicant shall deliver a certified copy of this ordinance for recordation to the Clerk of the Circuit Court of Roanoke, Virginia, indexing the same in the name of the City of Roanoke, Virginia, as Grantor, and in the name of the Petitioner, and the names of any other parties in interest who may so request, as Grantees. The applicant shall pay such fees and charges as are required by the Clerk to effect such recordation, C. Upon recording a certified copy of this ordinance with the Clerk of the Circuit Court of the City of Roanoke, Virginia, the applicant shall file with the Engineer for the City of Roanoke, Virginia, the Clerk's receipt, demonstrating that such recordation has occurred. D. If the above conditions have not been met within a period of one year from the date of adoption of this ordinance, then said ordinance shall be null and void with no further action by City Council being necessary. Respectfully submitted, Chris Chittum, AICP, Agent City Planning Commission Members of City Council Page 3 August 20, 2007 cc: Darlene L, Burcham, City Manager R. Brian Townsend, Assistant City Manager William M, Hackworth, City Attorney Applicants The Roanoke Times Roanoke, Virginia Affidavit of Publication The Roanoke Times --------------------------------------------------+------------------------ ECHO SENTINEL GROUP, LLC POBOX 6319 ROANOKE VA 24017 REFERENCE, S0150924 10420264 NOTICE OF PUBLIC HEA State of Virginia City of Roanoke I, (the undersigned) an authorized representative of the Times-World Corporation, which corporation is publisher of the Roanoke Times, a daily newspaper published in Roanoke, in the State of Virginia, do certify that the annexed notice was published in said newspapers on the following dates: City/County of Roanoke, Commonwealth/State of virginia. Sworn and subscribed before me this _-L~~day of August 2007. Witness my hand and official seal. ~_~~n~~~~_~~~_ N30tary Public ~~-~;;~ssion ires 0 dC/I \ . -- --- ---~-------- PUBLISHED ON, OS/03 , \\\HtHul, \\\ ., '0' ", ,\.", I'''''' y",', ,,'..t"\~;\\\"" l..:.:.t'\. '" ,,;;-:"< \'\\ ~~ ".~'" ...... OS / 10 :' .;!I'.,' "....'1'- 6 '"., -:. ~iS" '"''-' "V _dO ' .. ~ :: _: ~\l ,,'I-'J-'-.~ ',. "" :: : cr: \i'?i' ,(j\' :-: - co' 12.(;). ~ss . z - ~ :, ~.J,,(l~~<: :'<5= ~..w ~ .[!.:- ':. - .... ' ..' ~ ~ ...... ~ '. .' ~( ...... "',f4?~ON' w" ~.;~\~~"" '" L \\\ "J' Illll' ~ . TOTAL COST, FILED ON, 39S,4S OS/10/07 I I I I I I I I I I I I I I I I I I I I I I I I I I I I I I I I I I I I I I I I I I I NOTICE OF PUBLIC HEARING I The Council of the City of~ Roanoke will hold a publicI hearing on Monday, August 20,2007, at 7;00 p.m., or assoonthereafterastheL mattermaYbeheard,inthe, Council Chamber fourth., floor, in the Noel C. TaYlorj Munic;pal Building, 215 Church Avenue, S.W." IRoanoke, Virginia, tol consIder the following: Request from Echo ,Sentinel Group, LLC, and. jUnified Human Services, : Transportation Systems, Inc., I to permanently vacate'l dlscontJnue and close 31st Street, N.W., between Baker Aven ue, N. W., and Breckenridge Avenue, N.W.; a portion of Breckenridge Avenue, N.W., from a point beg Inn I n g a I the southwestern boundary of property bearing Official Tax No. 2510112 and running in aneasterlydirectiontoa point ending at the southwest corner of Official Tax No. 2510301; and a 15' I wide alley running in ani easterly direction from a parcel bearing Official Tax No. 2510104 to its terminus at 31st Street, NW. A copy of the application is available for review in the Office of the City Clerk, Room 456, Noel C. Taylor MunIcipal Building, 215 Church Avenue, S.W., Roanoke, Virginia. All parties in interest and cltizens may appear on the above date and be heard on the matter. If you are a person with a disability who needs accommodations for this hearing, ph~ase contact the .city Clerk's Office, at 853.2541, before noon on the Thursday before the date of the hearing listed above. I GIVEN under my hand this 1st day of August, 2007. ! Stephanie M. Moon, CMC Ci:Clerk'.1 (10420264) , --, --------------------------------------------------+------------------------ n ::; -c Billing Services ~epresentative '" . .s> ....;] ~ f35 "" x 85 ffi Authorized~ ....j). -rJr ..,/;/. ._~: ~ Slgnature'~-!1--~~~~~~-~' ~)\\ I\~ ~ NOTICE OF PUBLIC HEARING The Council ofthe City of Roanoke will hold a public hearing on Monday, August 20, 2007, at 7:00 p.m., or as soon thereafter as the matter maybe heard, in the Council Chamber, fourth floor, in the Noel C, Taylor Municipal Building, 215 Church Avenue, S.W., Roanoke, Virginia, to consider the following: Request from Echo Sentinel Group, LLC, and Unified Human Services Transportation Systems, Inc., to permanently vacate, discontinue and close 31 st Street, N.W., between Baker Avenue, N.W., and Breckenridge Avenue, N. W.; a portion of Breckenridge Avenue, N. W., from a point beginning at the southwestern boundary of property bearing Official Tax No. 2510112 and running in an easterly direction to a point ending at the southwest comer of Official Tax No. 2510301; and a 15' wide alley running in an easterly direction from a parcel bearing Official Tax No. 2510104 to its terminus at 3151 Street, N.W. A copy of the application is available for review in the Office ofthe City Clerk, Room 456, Noel C. Taylor Municipal Building, 215 Church Avenue, S.W., Roanoke, Virginia. All parties in interest and citizens may appear on the above date and be heard on the matter. If you are a person with a disability who needs accommodations for this hearing, please contact the City Clerk's Office, at 853-2541, before noon on the Thursday before the date of the hearing listed above. GIVEN under my hand this 1st day of August ,2007. Stephanie M. Moon, CMC City Clerk. j < ~- , , N-Echo Sentinel Group, LLC, etc. vacate close 31st St. 8-20-07 Notice to Publisher: Publish in the Roanoke Times once on Friday, August 3, 2007 and August 10,2007. Send affidavit to: Stephanie M, Moon, City Clerk 215 Church Avenue, S, W. Roanoke, Virginia 240 II (540) 853-2541 Send bill to: Joseph Lokhamp Echo Sentinel Group, LLC P.O. Box 6319 Roanoke, Virginia 24017 (540) 777-0660; and Curtis Andrews Unified Human Services Transportation Systems, Inc. P. 0, Box 13825 Roanoke, VA 24037 (540) 343-1721 ..~y <1fi~' ft:}.~_..,.,A. &'. ~il;.. r~-- .. :~.-...:--- ~~- CITY OF ROANOKE OFFICE OF THE CITY CLERK 215 Church Avenue, S. W., Room 456 Roanoke, Virginia 24011-1536 Telephone: (540) 853-2541 Fax: (540) 853-1145 E-mail: c1erk@roanokeva.gov SHEILA N, HARTMAN Assistant City Clerk STEPHANIE M. MOON. CMC City Clerk CECELIA R. TYREE. Assistant Deputy City Clerk August 6, 2007 Joseph Lohkamp Echo Sentinel Group, LLC P. O. Box 6319 Roanoke, Virginia 24017 Curtis A. Anderson, Executive Director Unified Human Services Transportation Systems, Inc. P. 0, Box 13825 Roanoke, Virginia 24037 Gentlemen: Pursuant to provisions of Resolution No. 25523 adopted by the Council of the City of Roanoke on Monday, April 6, 1981, I have advertised a public hearing for Monday, August 20, 2007, at 7:00 p,m" or as soon thereafter as the matter may be heard, in the City Council Chamber, Room 450, Noel C. Taylor Municipal Building, 215 Church Avenue, S. W., on your request that 31 st Street, between Baker Avenue and Breckenridge Avenue, and a portion of Breckenridge Avenue, N, W,; and a 15 foot wide alley running in an easterly direction to its terminus at 31st Street, N. W., be permanently vacated, discontinued and closed. For your information, I am enclosing copy of a notice of public hearing, Please review the document and if you have questions, you may contact Steven J. Talevi, Assistant City Attorney, at 540-853-2431, It will be necessary for you, or your representative, to be present at the August 20 public hearing. Failure to appear could result in a deferral of the matter until a later date. Sincerely, #tI~h11 fy, &t.rt)1./' Stephanie M. Moon, CMC c.: City Clerk SMM:ew Enclosure CITY OF ROANOKE OFFICE OF THE CITY CLERK 215 Church Avenue, S. W., Room 456 Roanoke, Virginia 24011-1536 Telephone: (540) 853-2541 Fax: (540) 853-1145 E.mail: c1erk@roanokeva.gov SHEILA N. HARTMAN Assistant City Clerk STEPHANIE M. MOON, CMC City Clerk CECELIA R, TYREE Assistant Deputy City Clerk August 6, 2007 Norfolk Southern Corporation Attention: William Gorby, Property Manager 110 Franklin Road, S. E, Roanoke, Virginia 24011 Baker Avenue Properties, L TD P. O. Box 6284 Roanoke; Virginia 24017 Gentlemen: Pursuant to provisions of Resolution No. 25523 adopted by the Council of the City of Roanoke on Monday, April 6, 1981, I have advertised a public hearing for Monday, August 20, 2007, at 7:00 p.m" or as soon thereafter as the matter may be heard, in the City Council Chamber, Room 450, Noel C, Taylor Municipal Building, 215 Church Avenue, S. W" City of Roanoke, on the request of Echo Sentinel Group, LLC, Joseph Lokhamp, Unified Human Services Transportation Systems, Inc., and Curtis Andrews, that 3151 Street, between Baker Avenue and Breckenridge Avenue, and a portion of Breckenridge Avenue, N. W,; and a 15 foot wide alley running in an easterly direction to its terminus at 3151 Street, N. W" be permanently vacated, discontinued and closed. This letter is provided for your information as an interested property owner and/or adjoining property owner. If you have questions with regard to the matter, please call the Department of Planning, Building and Development at 540-853-1730. If you would like to receive a copy of the report of the City Planning Commission, please call the City Clerk's Office at 540-853-2541 , Sincerely, ~m.Yh~bW Stephanie M. Moon, CMC' C City Clerk ,.... SMM:ew ~ To the Clerk of the City of Roanoke Echo Sentinel Group, LLC, pt. of Breckenridge Avenue, NW.) AFFIDAVIT 31st Street, NW., and adjoining alleyway ) COMMONWEALTH OF VIRGINIA CITY OF ROANOKE ) ) TO-WIT: ) The affiant, Martha Pace Franklin, first being duly sworn, states that she is Secretary to the Roanoke City Planning Commission, and as such is competent to make this affidavit of her own personal knowledge. Affidavit states that, pursuant to the provisions of Section 15.2-2204, Code of Virginia, (1950), as amended, on behalf of the Planning Commission of the City of Roanoke, she has sent by first-class mail on the 25th day of June, 2007, notices of a public hearing to be held on the 19th day of July, 2007, on the request captioned above to the owner or agent of the parcels as set out below: Tax No. Owner Mailinq Address 2510301 Petitioner Unassigned Norfolk Southern Corp William Gorby Property Manager 110 Franklin Road, SE Roanoke, VA 24011 2510106 through 2510117 Petitioner 2510105 Baker Avenue Properties, L TD POBox 6284 Roanoke,VA 24017 ~~?V~ Martha Pace Franklin SUBSCRIBED AND SWORN to before me, a Notary Public, in the City of Roanoke, Virginia, this 25th day of June'72007 / ~ ~/-! /lz~ a. ~ry Public My Commission Expires: o.Jb'r/. GO. aaJff 1,1 " J- CITY OF ROANOKE OFFICE OF THE CITY CLERK 215 Church Avenue, S. W., Room 4S6 Roanoke, Virginia 24011-1S36 Telephone: (540) 853.2541 Fax: (540) 853.1145 E-mail: clerk@roanokc,,'a.gov SHEILA N. HARTMAN Deputy City Clerk STEPHANIE M. MOON, CMC City Clerk June 25, 2007 CECELIA R. TYREE Assistant Deputy City Clerk Henry Scholz, Chair City Planning Commission 2335 Broadway Avenue, S. W. Roanoke, Virginia 24014 Dear Mr. Scholz: Pursuant to Section 36.1-690(e), Code of the City of Roanoke (1979), as amended, I am enclosing copy of a second amended Application received in the City Clerk's Office on June 22, 2007, from Echo Sentinel Group, LLC and Unified Human Services Transportation System, Inc., requesting that 31" Street and Breckenridge Avenue, N. W., and an alley west of 31" Street, N. W., be permanently vacated, discontinued and closed. Sincerely, ~'rn.~~ Stephanie M. Moon, CMC City Clerk SMM:ew Enclosure pc: The Honorable Mayor and Members of the Roanoke City Council (w/o enclosure) Echo Sentinel Group, LLC, P. O. Box 6319, Roanoke, Virginia 24017 (w/o enclosure) Unified Human Services Transportation System, Inc., P. O. Box 13825, Roanoke, Virginia 24037 (w/o enclosure) Susan S. Lower, Director, Real Estate Valuation Martha P. Franklin, Secretary, City Planning Commission Philip C. Schirmer, City Engineer William M. Hackworth, City Attorney Steven J. Talevi, Assistant City Attorney K:\REZONING AND STREET CLOSURE\Echo Sentinel Group alley closure amendment 2.doc "-.J '1 ;pJ ""1~:2;t,~~Hr~:~~~lf~~;~:J~~~,~i~t~t~l:~R8[~t;~:i:"Tj7~=':": A" -'F!'F!L.~'IG"A" ~'TION S ,: ,: :,~,<: : .w,......'" .. .,t, '", L' <"" ,liSP . :;!0~_.=J j,...~ w)~.w..L .jL.~:::. ...., .. :, _f (, , ,,*''-'i( ~;;,:,:~: t"i2;~Z~::i'~);l~;:~~?i~t::~j:~~~;;>ri,;:)~p0:::;~');0;~T~~:~-" :~' , r:REET{OR;Al.:l.:E~1VACATION ~~~l~ffi1:'1d~~ibfj;;~T&.~~.;;_;:f:o:j(;;:J~;:1~},~.::8t';f-~:~';Mt:'~iLZ:~+::~::E:'~TC:;;;i:;F::'--000," " :::_,'~ .., Date: JUNE 7, 2007 To: Office of the City Clerk Fourth Floor, Noel C. Taylor Municipal Building 215 Church Avenue, S.W. Roanoke, VA 24011 Phone: (540) 853-2541 Fax: (540) 853-1145 All submittals muS-tbid '"-e(t.ancN,iClude all"e"uiredciocuITiiJ"'"fiitfo";ii,,d;{cHed{ fOf"tHefili,,"" fee~'" , , ,. ... .. .YP.. . ",.-' ..., "..". .. .... ",,,.,. ....q ",".,.. ..."". ...,,,.,,,. ...".", ,."...., ".... ... .". .." .... ..... " . g. . Application is hereby submitted for street or alley vacation for the property located at: Location and description of street or alley to be closed: SEE ATTACHED EXHIBIT A Proposed use of vacated street or alley: SEE ATTACHED EXHIBIT A . Name " ' 'f: ': cy: ;;'~~~~bit~ Mailing Addres.s.:;' EXHIBI ~. 5 Pg 2, AMENDED APPLICATION TO VACATE 31ST AND BRECKENRIDGE AVE. NW THE ADJACENT PROPERTY OWNERS ARE IDENTIFIED BY TAX MAP NUMBERS 31sT. STREET AND A PORTION OF BRECKENRIDGE AVE. 2510301 - Echo Sentinel Group, LLC roo Box 6319 Roanoke, VA 24017 Joseph Lohkarnp 540-777-0660 2510111 and 2510117 Unified Human Services Transportation Systems, Inc. roo 13825 Roanoke, VA 34037 - Curtis Andrews 540-343-1721 Norfolk Southern Corporation 110 Franklin Rd. S.E. Box 59 Roanoke, VA 24042-0059 Bill Gorby 540-981-5992 BRECKENRIDGE AVE. NW 2510112 thru 2510117 Unified Human Services Transportation Systems, Inc. P.O. 13825 Roanoke, VA 34037 - Curtis Andrews 540-343-1721 Norfolk Southern Corporation 110 Franklin Rd. S.E. Box 59 Roanoke, VA 24042-0059 Bill Gorby 540-981-5992 ALLEY - PT TROUT FARM FIRST AND SECOND DIVISION 2510106 thru 2510117 Unified Human Services Transportation Systems, Inc. P.O. 13825 Roanoke, VA 34037 - Curtis Andrews 540-343-1721 2510105 ~;.'.'" =r::!-: .,~ ;. r__ \ :'!/ ,1. ;"::;.l b:",.tj':: _:. Baker Avenue PropertiesLTD .- P.O. Box 6284 Roanoke, VA 24017 Ammended Application Exhibit A --....." Location and description of st.eet or alley to be closed: 1. ALL of 3] st between Baker Avenue NWand the end of BreckenridgeAvenue NW 2. ALL of Breckenridge Ave. N.W. adjacent to the followingTax Numbers; NORTH BOUNDRY - #25]0117 #2510116 #2510114 #25]0113 #2510112 EASTBOUNDRY - #2510301 SOUTH BOUNDRY - Norfolk Southern Corporation 3. All of the Alley West of 31st NWas referenced in (I) above: NORTH BOUNDRY - #25]0105, #2510]06 #2510]07 #25]0108, #2510109, #2510110 #2510111 SOUTH BOUNDRY - #2510112, #2510113, #2510114, #25]0115, #2510116 #25]0117 EAST BOUNDRY - 31st Street, NWas referenced in (I) above. 4_ Upon the City of Roanoke vacating the above property the applicant shall provide a current survey of properties described above with legal description of said properties. Proposed use of vacated street or alley: The applicants. desire to add the proposed vacated property to their respective properties identified by Tax Map Numbers 25]0301, 2510111 and 2510117 respectively. The property will be used in the same manner as the adjacent property Name of Applicant/Contact Person: Echo Sentinel Group, LLC P.O. 63]9 Roanoke, VA 24017 Contact: Joseph Lohkamp Phone: 540-777-0660 Fax: (540) 777-066] Email: joseph@apdva.com Unified Human Services Transportation Systems, Inc. P.O. 13825 Roanoke, VA 34037 Contact: Curtis Andrews. Phone: 540-343-1721 Fax: (540) 344-6216 El,llail;, I 7wt\s@~~,~~ansit.oll U:\ a' f:l' . -- -- "- .. I-/-. .::1- @ -.. -. -.. /-."" I I I I 0) o N (), III <d o. 11\ .c)- >-ct~ <( @II J::5 ~ X; '. <<It a:ll@ 'LI .. \~\ \~I \~ ~\ . \~\ 'I~\ I~\ I~I :.~8~ ~ 0'0 o o '" ~ ..., ..., "" o .", <:,. " ~o .....,..0 o ?e- ': .."1 N ..., f... 6) z o~. a: Ill, .~ ..~ Ill' s' Q. ., ,. ~ - ~ , ) Print Report I Full Detail Report I Close Window . Property Inf~rmation Card for: UNIFIED HUMAN SERVICES POBOX 13825 ROANOKE VA 24037 ~ Date: JUNE 7, 2007 To: Office of the City Clerk Fourth Floor, Noel C. Taylor Municipal Building 215 Church Avenue, S.W. Roanoke, VA 24011 Phone: (540) 853-2541 Fax: (540) 853-1145 '.' , All submiffalsmust:iJe""--c'iPifn(i'inCfiJlieliti1e' "illre(i!iiOcunienia'tiorhiiid.a 'cheCk for the'fiiin' .fee,!j~,; t.<'U,,',' ..: .'wo'""','c.-,.;._......."',..'-,. ...._,........,.'"~""',_~"h"'Y,~g~,,,.."",,.,,~..U~"'"iiiO\~=<""""'.."'-GL",Mil."..,,,,9==2,,,,,,.,~.'.,,,,,,,:_h,:-,-,,,,,,_,",,,'-""'~""'.,"n",.":.">,~,,,,=,..,,..",,,.,,,.,. ',-....._ ,"',.";'",_,_,_'_.'" "",_"",.""._.cc,.".".._ ...g_~."" "",. '.. ",.,_ ,t Application is hereby submitted for street or alley vacation for the property located at: Location and description of street or alley to be closed: SEE ATTACHED EXHIBIT A Proposed. use of vacated street or alley: SEE ATTACHED EXHIBIT A ,7 CIL' 'Co. ( :/1,:: ,-, Name cof ;lS.ppfica4n~cQ;itifanR~r'son: ~:,<:,(>,~_~::;, :.,:' :;: ,. ~" ,><t\Set':-';~:f0'i~~~15!~c~;\~;{'-" '.' ',,?,+:',m ,"""--'k.' . Mailing Address: Telephone: ( ) Applicant(s) signature(s): ECHO SENTINEL GROUP, LLC /} /. 5 . Pg 2, AMENDED APPLICATION TO VACATE 31ST AND BRECKENRIDGE AVE. NW THE ADJACENT PROPERTY OWNERS ARE IDENTIFIED BY TAX MAP NUMBERS 31sT. STREET AND A PORTION OF BRECKENRIDGE AVE. 2510301 -Echo Sentinel Group, LLC roo Box 6319 Roanoke, VA 24017 Joseph Lohkamp 540-777-0660 2510111 and 2510117 Unified Human Services Transportation Systems, Inc. EO. 13825 Roanoke, VA 34037 - Curtis Andrews 540-343-1721 Norfolk Southern Corporation 110 Franklin Rd. S.E. Box 59 Roanoke, VA 24042-0059 Bill Gorby 540-981-5992 BRECKENRIDGE AVE. NW 2510 112 thru 2510117 Unified Human Services Transportation Systems, Inc. P.O. 13825 Roanoke, VA 34037- Curtis Andrews 540-343-1721 Norfolk Southern Corporation 11 0 Franklin Rd. S.E. Box 59 Roanoke, VA 24042-0059 Bill Gorby 540-981-5992 ALLEY - PT TROUT FARM FIRST AND SECOND DIVISION . 2510106 thru 2510117 Unified Human Services Transportation Systems, Inc. P.O, 13825 Roanoke, VA 34037 - Curtis Andrews 540-343-1721 2510105 Baker Avenue PropertiesLTD P.O. Box 6284 Roanoke, VA 24017 / ~. ~~I f. l \ . , ' ".' I:i!,", :.', 'J(kl.'::~'.";i 1 . '., ',.~' - - " Ammended Application Exhihit A Location and description of stJeet or alley to be closed: ]. ALL of 31 st between Baker Avenue NWand the end of BreckenridgeAvenue NW, 2. ALL of Breckenridge Ave. N.W. adjacent to the following Tax Numbers; NORTH BOUNDRY - #2510117 #2510116 #2510114 #2510113 #2510112 EAST BOUNDRY - #2510301 SOUTH BOUNDRY - Norfolk Southern Corporation 3. All of the Alley West of 31 st NWas referenced in (I) above: NORTH BOUNDRY - #2510105, #2510106 #2510107 #2510108, #2510109, #2510110 #2510111 SOUTH BOUNDRY - #2510112, #2510113, #2510114, #2510115, #2510116 #2510117 EAST BOUNDRY - 31 st Street, NWas referenced in (1) above. 4. Upon the City of Roanoke vacating the above property the applicant shall provide a current survey of properties described above with legal description of said properties. Proposed use of vacated sheet or alley: The applicants desire to add the proposed vacated property to their respective properties identified by Tax Map Numbers 2510301, 2510111 and 2510117 respectively. The property will be used in the same manner as the adjacent property Name of Applicant/Contact Person: Echo Sentinel Group, LLC P.O. 6319 Roanoke, VA 24017 Contact: Joseph Lohkamp Phone: 540-777-0660 Fax: (540) 777-0661 Email: joseph@apdva.com Unified Human Services Transportation Systems, Inc. P.O. 13825 Roanoke, VA 34037 Contact: Curtis Andrews, Phone: 540-343-1721 Fax: (540) 344-6216 E!lla,il;. .c.~i,sl@Hdartransit.og U:\ o' 10' . -- / -- -- "- - 1-1- .::J_ & -- -.;, 1-"" -- r, , 0} --- -- ----- -~, .. -- ~ -- . :8 -- -....; c:i I III o C\l () lI'l '<\1 . """" '.. r- u- Q "'-:-'---0---- !!AD r- - t=> \tl, N ::), '" :z <91 <<l <> I!.tB - - -':9- -- V_~ O. ~ ~t;-- <t '" ----- "',-- 11\ )- ct :G <Wf;5 ~~ . ~<( . liD,': >LI SOIOISZ :nr Z9'.O f,/ -"Sf:' .. \~l \~I . \~ 'c8\ \~I I~\ . I. I~\ I~I 9' ';:8. " ,,~ o o " ~ '" '" to' O. 'N .:-. ",.lf~ ,,'-'0 o ?e- ~ ..'1 N q... : A: '6\ z O~ a: Ill, ,I- .. ~ , Ill' s' \~ t::. ~ '-.::: <t ~ I " Print Report I Full Detail Report I Close Window Property Information Card for: UNIFIED HUMAN SERVICES POBOX 13825 ROANOKE VA 24037 CITY OF ROANOKE OFFICE OF THE CITY CLERK 215 Church Avenue, S. W., Room 456 Roanoke, Virginia 24011-1536 Telephone: (540) 853.2541 Fax: (540) 853-1145 E-mail: clerk@roanokeva.gov SHEILA N. HARTMAN Deputy City Clerk STEPHANIE M. MOON. CMC City Clerk June 13, 2007 CECELIA R. TYREE Assistant Deputy City Clerk Henry Scholz, Chair City Planning Commission 2335 Broadway Avenue, S. W. Roanoke, Virginia 24014 Dear Mr. Scholz: Pursuant to Section 36.1-690(e), Code of the City of Roanoke (1979), as amended, I am enclosing copy of an amended Application received in the City Clerk's Office on June 13, 2007, from Echo Sentinel Group, LLC and Unified Human Services Transportation System, Inc., requesting that all of 31" Street between Baker Avenue and the end of Breckenridge Avenue, N. W.; all of Breckenridge Avenue lying adjacent to Lots 7 thru 12 and the alley between Lots 1-7 P Taylor Trout Farm First Division, Lots 1-5 P Taylor Trout Farm Second Division be vacated, discontinued and closed. Sincerely, ~t.~. Sheila N. Hartman Deputy City Clerk SNH:ew Enclosure pc: The Honorable Mayor and Members of the Roanoke City Council (w/o enclosure) Echo Sentinel Group, LLC, P. O. Box 6319, Roanoke, Virginia 24017 (w/o enclosure) Unified Human Services Transportation System, Inc., P. O. Box 13825, Roanoke, Virginia 24037 (w/o enclosure) Susan S. Lower, Director, Real Estate Valuation Martha P. Franklin, Secretary, City Planning Commission Philip C. Schirmer, City Engineer William M. Hackworth, City Attorney Steven J. Talevi, Assistant City Attorney K:\REZONING AND STREET CLOSURE\Echo Sentinel Group alley closure amendment l.doc ~ CITY OF ROANOKE OFFICE OF THE CITY CLERK 215 Church Avenue, S. W., Room 456 Roanoke, Virginia 24011-1536 Telephone: (540) 853,2541 Fax: (540) 853-1145 E-mail: clerk@roanokeva.gov SHEILA N. HARTMAN Deputy City Clerk STEPHANIE M, MOON, CMC City Clerk June 7, 2007 CECELlA R. TYREE Assistant Deputy City Clerk Henry Scholz, Chair City Planning Commission 233S Broadway Avenue, S. W. Roanoke, Virginia 24014 Dear Mr. Sholz: Pursuant to Section 36.1-690(e), Code of the City of Roanoke (1979), as amended, I am enclosing copy of an Application received in the City Clerk's Office on June 7, 2007, from Echo Sentinel Group, LLC and Unified Human Services Transportation System, Inc., requesting that all of 31 "Street between Baker Avenue and the end of Breckenridge Avenue, N. W., be vacated, discontinued and closed. Sincerely, C2tz- ?J) < Sheila N. Hartman Deputy City Clerk SNH:ew Enclosure pc: The Honorable Mayor and Members of the Roanoke City Council (w/o enclosure) Echo Sentinel Group, LLC, P. O. Box 6319, Roanoke, Virginia 24017 (w/o enclosure) Unified Human Services Transportation System, Inc., P. O. Box 13825" Roanoke, Virginia 24037 (w/o enclosure) Susan S. Lower, Director, Real Estate Valuation Martha P. Franklin, Secretary, City Planning Commission Philip C. Schirmer, City Engineer William M. Hackworth, City Attorney Steven J. Talevi, Assistant City Attorney K:\REZONING AND STREET CLOSURE\Ecllo Sentinel Group alley closure 6 7 07.doc APPLICATION .... STREET OR ALLEY VACATION ~~ .. ...",'(.( r- ;1 .~;~ ~,.' ~ ~. :'.1 Date: June 7, 2007 To: Office of the City Clerk Fourth Floor, Noel C. Taylor Municipal Building 215 Church Avenue, S,W. Roanoke, VA 24011 Phone: (540) 853-2541 Fax: (540) 853-1145 All submittals must be typed and include all required documentation and a check for the filing fee. Application is hereby submitted for street or alley vacation for the property located at: Location and description of street or alley to be closed: Applicants desire to vacate all of 31st between Baker Avenue NW and the end of Breckenridge Avenue NW as shown in detail on the attached survey dated March 20, 2007 and prepared by David A. Bess, Land Surveyor. The area is approximately 10920 square feet. The adjacent property owners are identified by Tax Map Numbers 2510301,2510111,2510117 and Norfolk Southern Corporation Proposed use of vacated street or alley: The applicants desire to add the proposed vacated property to their respective properties identified by Tax Map Numbers 2510301, 2510111 and 2510117 respectively, The property will be used in the same manner as the adjacent property, Name of Applicant/Contact Person: Echo Sentinel Group, LLC Joseph Lohkampal1d Unified Human Services Transportation Systems, Inc. Curtis Andrews. . . .' ..... . Mailing Address: Echo Sentinel Group, LLC P.O. 6319 Roanoke, VA 24017 - Unified Human Services Transportation Systems, Inc. P,O. 13825 Roanoke, VA 34037 Telephone: (540)777-0660 Fax: (540) 777-0661 E-mail: joseph@apdva,c9m' ,'". .., Applicant(s) signature(s): Echo Sentinel Group, LLC /X{Jyi;;#~ ~u . 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(03c;107~ . 6"F_3 . 30NI7). ..00 If I WJ At'AI I . oIl IV 7VlOl '. :.t332i'S i i:",.l ,f:O'Of:f: '3 -L .is,,., ,(0'0- l I = .ojo 07 ~ A1 0.,. ... r--'~ g~;1-:i- ..OO,IF,'ll N 3Nt?Lf;;,t. N_/ . C!( g~<<i t? .107 /~~ \ ~~c;t~VI __________ - -\0 2'1.107 j .;.'" , a::: 'VI II If __ - ~ .... q'i::. ~-~ 'TI':! ~ ~ -- SLLtlOOro# HlSNI _____ <::) ~-- 1\ '~~ d ~ ':)Nl 'S"31S;'S NOllYl~OdSN'9"~l ----- - &~O ..c; a::: 0 u S3:)IAij3S NVI1nH 031JINn ;0 Al~3dO~d . \ "~.j lnOHl '1 'd 3H1 -'0 NOISV\JO 1S~I-, '!Jj j; .L07 --- S" .L07 ~.5~~ ~ ~ 8~~~j.: %-""'~.'" "fC;:"'-.-'i::;" "' "5- ~!.::: -' ii :5~::: 4.~ l! ...~< v ! n ..,... -..r. i 0 e.. 0 '" , 28]S;;~ ....e::c.......!:l;t- '" ':.t. -0 ;..~ ""'" 10'" "" ~ .... ~~ o~'" .,...&:.,{. ~"'~ w~::i. '6a~ ~~ o 'Z- ~ .... ~ ~ ~~"' ""~c::i -",,- fglr.ij!; "0' ~"'l'; .....,,, o-~oli:I ~~ . -",~ o;:.~ ~Ci~ ",:3~ ~~.. "'<6~ "-,,", d':;eo -....... :2~~ 0; '" ,~~ C)~(.J ~ ~ il! i:i '" ~ <l .... ~ CITY OF ROANOKE OFFICE OF THE CITY CLERK 215 Church Avenue, S. W., Room 456 Roanoke. Virginia 24011,1536 . Telephone: (540) 853-2541 Fax: (540) 853-1145 E-mail: c1erk@roanokeva.gov SHEILA N. HARTMAN Deputy City Clerk STEPHANIE M. MOON, CMC City Clerk CECELlA R. 1YREE Assistant Deputy City Clerk September 18, 2007 Darlene L. Burcham City Manager Roanoke, Virginia Dear Ms. Burcham: I am attaching copy of Resolution No. 37913-091707 initiating and supporting the City's Clean and Green campaign and declaring September 18, 2007, to be Clean and Green Day in the City of Roanoke. The above referenced measure was adopted by the Council of the City of Roanoke at a regular meeting held on Monday, September 17, 2007. Sincerely, , M,~~ Stephanie M. Moon, CMC City Clerk SMM:ew Attachment pc: Jesse A. Hall, Director of Finance . Faye Gilchrist, Assistant to the City Manager for Special Projects Steven C. Buschor, Director, Parks and Recreation ~~~ IN THE COUNCIL FOR THE CITY OF ROANOKE, VII}GINIA The 17th day of September, 2007. No. 37913-091707. A RESOLUTION initiating and supporting the City's Clean and Green campaign and declaring September 18, 2007, to be Clean and Green Day in the City. WHEREAS, the City of Roanoke is recognized as a unique, beautiful, and healthy community in which to live, work, and play; WHEREAS, the City has been recognized for its healthy economy, vibrant greater downtown, strong neighborhoods, and diverse arts and cultural activities available to its residents and visitors; WHEREAS, the City desires to create a more visually. appealing environment, thus enhancing the quality oflife in our community; ,wHEREAS, the City is ready to take significant measures to keep Roanoke clean and healthy while conveying to its residents, leaders, businesses, and civic organizations that we all have a vested interest in protecting and preserving the beauty and cleanliness of the Star City; WHEREAS, the City will officially launch a campaign to clean and beautify our community and to educate and foster awareness of litter prevention, waste reduction, and recycling by informing residents of the City what they can do every day to reduce their waste, protect and beautify the environment, and better our community; WHEREAS, the City will partner with local businesses, schools, civic organizations, neighborhoods, and residents to support Roanoke's beautification and improvement project by empowering individuals to take greater responsibility and by mobilizing these individuals to take action; WHEREAS, the campaign will be aimed at providing sustainable solutions for improving the visual and physical aspects of our community's environment while encouraging residents to clean, maintain, and beautify our environment; and WHEREAS, the City's neighborhoods, parks, streets, greenways, rivers, and other natural resources should be beautified, protected, and preserved, and this goal of beautification and environmental sustainability is the legacy we wish to leave for those who follow us, NOW THEREFORE, BE IT RESOLVED by the Council of the City of Roanoke as follows: I. Council hereby supports' the recommendation of Council Member Gwendolyn W, Mason to launch the City of Roanoke's Clean and Green campaign and urges the residents of our community to do their part in creating a clean, litter-free, healthy and environmentally conscious community while preserving the natural beauty and visual amenities of our City. 2. Council hereby declares September 18, 2007, to be Clean and Green Day in the City of Roanoke. ATTEST: ~~'jM.~ City Clerk. tI.~ .\' "llf,,; .... , -- - - CITY OF ROANOKE OFFICE OF THE CITY CLERK 215 Church Avenue, S. W., Room 456 Roanoke, Virginia 24011-1536 Telephone: (540) 853-2541 Fax: (540) 853-1145 E-mail: clerk@roanokeva.gov SHEILA N. HARTMAN Deputy City Clerk STEPHANIE M. MOON, CMC City Clerk CECELIA R. 1YREE Assistant Deputy ~itV Clerk September 18, 2007 Darlene L. Burcham City Manager Roanoke, Virginia Dear Ms. Burcham: I am attaching copy of Resolution No. 37914-091707 closing certain City offices on Monday, December 24, 2007, and Monday, December 31, 2007, and providing for additional holiday leave for all City employees. The abovereferenced measure was adopted by the Council of the City of Roanoke at a regular meeting held on Monday, September 17, 2007. Sincerely, ~rn.~&vV Stephanie M. Moon, CMC City Clerk SMM:ew Attachment pc: Jesse A. Hall, Director of Finance William M. Hackworth, City Attorney Troy A. Harmon, Municipal Auditor James Grigsby, Assistant City Manager for Operations R. Brian Townsend, Assistant City Manager for Community Development Keli M. Greer, Director of Human Resources ~ IN THE COUNCIL OF THE CITY OF ROANOKE, VIRGINIA The 17th day of September, 2007. No. 37914-091707. A RESOLUTION closing certain City offices on Monday, December 24, 2007, and Monday, December 31, 2007, and providing for additional holiday leave for all City employees. BE IT RESOLVED by the Council of the City of Roanoke that: 1. City offices that are not engaged in performing emergency services or other necessary and essential services of the City shall be closed on Monday, December 24, 2007, and Monday, December 31, 2007. 2. City personnel who are not engaged in performing emergency services or other .necessary and essential services for the City shall be excused from work for eight hours on Monday, December 24,2007, and eight hours on Monday, December 31,2007. 3. With respect to emergency service employees and other employees performing necessary and essential services who cannot for reasons of public health, safety or welfare be excused from work on Monday, December 24, 2007, and Monday, December 31, 2007, such employees, regardless of whether they are scheduled to work on Monday, December 24, 2007, or Monday, December 31,2007, shall be accorded time off at a later date.. Employees ofthe Fire-EMS Department' working the three platoon system shall receive a total of twenty-four hours of holiday time due to their work schedule for the two holidays, 4. Adherence to this resolution shall cause no disruption or cessation of the performance of any emergency, essential or necessary public service rendered or performed by the City, ATTEST: ~~~~.~ City Clerk. K:\Measures\holiday time off december 2007.doc CITY OF ROANOKE OFFICE OF THE CITY CLERK 215 Church Avenue, S. W., Room 456 Roanoke, Virginia 24011-1536 Telephone: (540) 853,2541 Fax: (540) 853,1145 E-mail: cIerk@roanokeva.gov SHEILA N. HARTMAN Deputy City Clerk CECELlA R. lYREE Assistant Deputy City Clerk STEPHANIE M. MOON, CMC City Clerk September 18, 2007 Darlene L. Burcham City Manager Roanoke, Virginia Dear Ms. Burcham: At the regular meeting of the Council of the City of Roanoke held on Monday, September 17, 2007, Council Member Lea requested that the matter with regard to changing the name of First Street to Henry Street as requested in a communication from Total Action Against Poverty be referred to the City Manager for report to Council. Sheila N. Hartman Deputy City Clerk SNH:ew Attachment ~ into Families ih Transition · Head Start · Housing & Community Development TAP Financial Services . This Valley Works September 12,2007 The Honorable C. Nelson Harris, Mayor City of Roanoke 215 Church Ave" S,W. Noel C. Taylor Municipal Building, Room 452 Roanoke, Virginia 24011 Dear Mayor Harris: During better times, Henry Street was a vibrant corridor, the hub of minority small business development, flush with eateries and world class entertainment venues. This minority business corridor, like many others across -~ the county, experienced a decline due to shifting economic conditions and changes in the socio-political 'Climate, ultimately rendering the street in a state of blight and abandonment. Today, however, this historic street is experiencing a revival, a new life. The impact of major renovation projects like 8 Jefferson Place, the Higher Education Center, the Dumas Center for Cultural and Artistic Development, the creation of a culinary school as well as the memorial tribute to Dr. Martin Luther King, Jr., are all coming together to create a synergy that has created a bright future while still celebrating the past accomplishments of the many minority business and professional pioneers who made Henry Street a thriving commercial and entertainment center. For these reasons, we respectfully request that the City Council officially change the name of First Street, back to its original name of Henry Street. We have been in contact with representatives of the Redevelopment Housing Authority and the Higher Education Center (the two largest land owners), and the tenants of the Dumas Center, all of whom enthusiastically support this request. In addition, we have petitions from more than two hundred residents of the City supporting the reclaiming of the narne "Helh7 Street" for L'lls historic conidor. On behalf oft.1-:ese citizens' as well as the major land owners we are making this request.' . As always, we appreciate the support that we have received from the City Council and the administration on similar community improvement initiatives. Please let me know if there is anything else that we need to do to assist you with your decision making process, Sincerely, ) ~~ President/CEO cc: / Darlene 1. Burcham, City Manager William Hackworth, City Attorney Stephanie M. Moon, City Clerk / . p.o. Box 2868 Roanoke, VA 24001 (540) 345-6781 www.taproanoke.org i Roanoke City Market Area Advisory Committee REPORT TO THE CITY COUNCIL 9/17/07 ,. , Introduction The goals of the City Market Area Advisory Committee were to determine Committee consensus about key goals and principles that should guide changes to the City Markel area, to identify priority ideas for improvements to the area, and to determine how to work together productively in implementing (hose agreements as well as address future issues. The Committee also sought community input at each of its three meetings on June 5, June 26, and July 24, Many thoughtful and creative ideas were offered and considered. The Committee reached consensus on key goals and principles to guide future changes within the Market Area. The Committee reached consensus on several priority items and agreed to forward a number of ideas for further study. The Committee agreed on the need for a continued forum for implementation and met again on August 14th to prepare its presentation to City Council and to discuss the means for implementation and ongoing communication. Goals and core principles Overall goals: . To maintain and enhance the vitality and economic value of the Market and associated relail and cultural organizations; . To maintain and strengthen the sense of history, family and community within and among the Market area farmers, merchants, property owners, customers and public; and . To encourage year-round use of the Market area, day and night, weekdays and weekends. Core Principles: . Maintain the Market's unique history and identity while improving both functionality and attractiveness to visitors, Seek creative, long-lasting designs that allow for future evolution of space and structures; . Ensure convenient access for vendors and for customers of all ages and physical abilities; · Provide for a variety of attractive uses during special events and times when the Market is closed; , . Provide a clean, safe environment by addressing infrastructure and social concerns; . Improve awareness of Market Area offerings to attract a variety of customers. Measures of Success: · Farmers and vendors retained and increased and produce and plant offerings expanded; · Increased awareness and participation in Market area activities by all sectors; . Increased use of Market Square during non-market hours; · Viability of retail merchants throughout the Market area; . Viability of Center in the Square. ~ Priority ideas Ideas that the Committee agreed should have immediate priority are in boxes. . Increase cleanliness and attractiveness to make the Market area more customer friendly. The City should take the lead in coordinating the examination and implementation of these activities, o Improve trash pickup, increase frequency, add recycling containers and additional trash cans, adapt trash pickup to needs of various users o Clean sidewalks daily o Address ginkgo trees (replace offending trees) o Increase police / security presence o Address loitering o Take care of physical day-today maintenance (e.g, swaying light posts) . Upgrade vendor facilities. Downtown Roanoke Incorporated should take the lead in coordinating the examination and implementation of these activities. o Investigate and determine how to provide vendors access to phone lines for charge card transactions; low-cost, may be feasible with improved wireless - o Use adaptable tables (e,g., Ray Walter concept) o Incorporate expanded market concept (moved stalls, redesigned table, increased sidewalk space per Gary Crowder concept) o Preserve awnings o Consider ceiling fans for cooling, radiant heat for winter- o Provide places for display and holding sold items with secure locks - o Extend tables up Market Street on Saturdays . Upgrade general facilities, The City should take the lead in coordinating the examination and implementation of these activities. o Add/enhance public restrooms, especially in the City Market Building; also, consider adding restrooms in parking garage o Use the opportunity provided by the need for re-paving to undertake improved street and sidewalks. Ideas include stamped pavement for identity, pedes Irian- friendly ground treatments (such as Buy-A-Brick program for name or stamped design [consider challenge of cleaning]). Address sidewalks - cracked, weeds, slip hazards. Ensure handicapped access with curb cuts and other features, Restripe or raise crosswalks to eliminate slip hazard and calm traffic (consider when repaving Campbell) o Upgrade signage for disabled users o Increase visibility of Center in the Square and other storefronts 2 . Provide customer and vendor parking and access. Downtown Roanoke Incorporated should take the lead in coordinating the examination and implementation of these activities, o Continue adjacent vendor parking o Provide bike racks o Consider vendor parking permits to manage non-vendor parking o Reduce speed of through traffic o Consider closing Market Square to traffic on a regular schedule (e.g" for Saturday Market 10-2) or as needed for special events o Balance any reduction in local parking with more activities/even<s o Link the Market area to greenway systems (complete Lick Run greenway between railroad tracks and Elmwood Park) . Attract a variety of customers and visitors, including younger generation. Downtown Roanoke Incorporated should take the lead in coordinating the examination and implementation of these activities, o Expand current managemen< to night time, 24/7 [ownership/management currently unclear for evening events 1 o Provide a variety of attractive uses during special events and times when the Market is closed o Expand evening use and special events (e.g., entertainment, civic events, children's events, relocate First Fridays, climbing wall in parking garage) o Survey customers; users, potential users to identify additional uses for more groups o Get information to public Increase use of Market website - www.roanokefarmersmarket.com Use radio for advertisements and live broadcasts from Market events [Media currently used by Downtown Roanoke, Inc.: TV ads, e-mail newsletters to Market users and residents, print ads 1 Improve signage for Market, parking, and access - billboards on 1-81 as well as street signage o Target user groups, e,g., large employers such as Advance Auto Parts o Form expert committee of marketers to assist with efforts Implementation and continuin2 discussion The Committee proposes that it remain in place to coordinate and facilitate the examination and implementation of the various priority activities, and to ensure that future actions of stakeholder groups are consistent with the goals and core principles identified by the Committee. The following outlines the future composition of the committee and generally highlights the operational aspects of the Committee as it moves forward. · Composition: The Committee's composition by the five stakeholder groups previously identified is recommended to remain (City, DRI, Merchants/Restaurateurs, Farmers/V endors, and Center in the Square). The Committee recommends that 2 additional members representing a sixth 3 stakeholder group, citizen/customer stakeholders, be added. These two additional members would be identified upon a consensus selection by the Committee. . Leadership: The Committee would continue to operate under 'joint' chairs representing the City and Downtown Roanoke, Inc. Role of the chairmen to ensure that meetings are held regularly, agendas are prepared, and that work program items are moved forward by the lead parties for each work program area, . Frequency of Meeting: Meeting schedule is proposed for monthly at the outset, with adjustments to be made based upon work experience and preference of Committee members. Committee meetings would remain open to the public, Status / progress reports of the Committee would be posted on both City and Downtown Roanoke, Inc. websites to ensure maximum exposure to stakeholders and other interested parties. . Term of the Committee: The Committee anticipates remaining in place through the end of Calendar Year 2008. At that point the Committee recommends evaluation of work program task status, identification of issues of common interest remaining unresolved, and need for continuing committee structure to address those issues, . Role of the Committee: o Communication Among Stakeholders o Processing !Evaluation of Ideas o Collaboration / Participation on Issues and Opportunities . Accountability: The Committee would provide periodic reports to the City administration and City Council as well as to the groups and organizations represented on the Committee regarding the priority ideas/work program items contained in the initial report. Committee membership Mark Woods, Woods Farm Bob Bengtson, Director of Public Works Brian Townsend, Assistant City Manager for Community Development Jim Sears, President, Center In the Square Janet Walter, Walter's Greenhouse Tom McKeon, Chairman Downtown Roanoke, Inc. Bob Fetzer, Former Chairman, Downtown Roanoke, Inc. Carole Hughes, La De Da Clothing Store Gary Crowder, owner of Wertz's Restaurant The Committee thanks the Institute for Environmental Negotiation, University of Virginia, for its assistance in facilitating its first three meetings, and preparing the initial draft of this report. 4 I) CITY OF ROANOKE OFFICE OF THE CITY CLERK 215 Church Avenue, S. W., Room 456 Roanoke, Virginia 24011-1536 Telephone: (540) 853-2541 Fax: (540) 853,1145 E-mail: c1erk@roanokeva.gov SHEILA N, HARTMAN Deputy City Clerk CECELlA R. TYREE Assistant Deputy City Clerk STEPHANIE M. MOON. CMC City Clerk September 18, 2007 Mr. Kermit E. Hale 2222 Blenheim Road, S. W. Roanoke, Virginia 2401 5 Dear Mr. Hale: At a regular meeting of the Council of the City of Roanoke which was held on Monday, September 17, 2007, you were reappointed as a member of the Board of Zoning Appeals, for a term ending December 31, 2010. Enclosed you will find a Certificate of your reappointment and an Oath or Affirmation of Office which may be administered by the Clerk of the Circuit Court of the City of Roanoke, located on the third floor of the Roanoke City Courts Facility, 315 Church Avenue, S. W. Please return one copy of the Oath of Office to Room 456 in the Noel C. Taylor Municipal Building, 215 Church Avenue, S. W., prior to serving in the capacity to which you were reappointed. Pursuant to Section 2.2-3702, Code of Virginia (1950), as amended, I am enclosing copy of the Virginia Freedom of Information Act. The Act requires that you be provided with a copy within two weeks of your reappointment and each member is required "to read and become familiar with provisions of the Act." Mr. Kermit E. Hale September 18, 2007 Page 2 On behalf of the Mayor and Members of City Council, I would like to express appreciation for your willingness to continue your service to the City of Roanoke as a member of the Board of Zoning Appeals. Sincerely, Qt;L0 Sheila N. Hartman Deputy City Clerk SNH:ew Enclosures pc: Rebecca J. Cockram, Secretary, Board of Zoning Appeals Andrea R. Johnson, Administrative Secretary, City Clerk's Office COMMONWEALTH OF VIRGINIA) ) CITY OF ROANOKE ) To-wit: I, Sheila N. Hartman, Deputy City Clerk, and as such Deputy City Clerk of . the City of Roanoke and keeper of the records thereof, do hereby certify that at a regular meeting of Council which was held on the seventeenth day of September, 2007, Kermit E. Hale was reappointed as a member of the Board of Zoning Appeals for a term ending December 31, 2010. Given under my hand and the Seal of the City of Roanoke this eighteenth day of September, 2007. ~0. Deputy City Clerk CITY OF ROANOKE OFFICE OF THE CITY CLERK 215 Church Avenue, S. W., Room 456 Roanoke, Virginia 24011-1536 Telephone, (540) 853,2541 Fa" (540) 853,1145 E-mail: derk@roanokeva.gov SHEILA N. HARTMAN Deputy City Clerk CECELlA R. TYREE Assistant Deputy City Clerk oll~ ..'l~L~ , Ii&;; .~ ,. STEPHANIE M, MOON, CMC City Clerk September 18, 2007 Mr. Donald A. Dillard 4620 Oakland Boulevard, N. W. Roanoke, Virginia 24012 Dear Mr. Dillard: At a regular meeting of the Council of the City of Roanoke which was held on . Monday, September 17, 2007, you were appointed as a member of the Personnel and Employment Practices Commission, to fill the unexpired term of William L. Holland ending June 30, 2010. Enclosed you will find a Certificate of your appointment and an Oath or Affirmation of Office which may be administered by the Clerk of the Circuit Court of the City of Roanoke, located on the third floor of the Roanoke City Courts Facility, 315 Church Avenue, S. W. Please return one copy of the Oath of Office to Room 456 in the Noel C. Taylor Municipal Building, 215 Church Avenue, S. W., prior to serving in the capacity to which you were appointed. Pursuant to Section 2.2-3702, Code of Virginia (1950), as amended, I am enclosing copy of the Virginia Freedom of Information Act. The Act requires that you be provided with a copy within two weeks of your appointment and each appointee is required "to read and become familiar with provisions of the Act." Mr. Donald A. Dillard September 18, 2007 Page 2 On behalf of the Mayor and Members of City Council, I would like to express appreciation for your willingness to serve the City of Roanoke as a member of the Personnel and Employment Practices Commission. Sincerely, ~/);, Sheila N. Hartman Deputy City Clerk SNH:ew Enclosures pc: Keli M. Greer, Secretary, Personnel and Employment Practices Commission Andrea R. Johnson, Administrative Secretary, City Clerk's Office COMMONWEALTH OF VIRGINIA ) ) To-wit: ) CITY OF ROANOKE I, Sheila N. Hartman, Deputy City Clerk, and as such Deputy City Clerk of the City of Roanoke and keeper of the records thereof, do hereby certify that at a regular meeting of Council which was held on the seventeenth day of September 2007, DONALD A. DILLARD was appointed as a member of the Personnel and Employment Practices Commission, to fill the unexpired term of William L. Holland ending June 30, 2010. Given under my hand and the Seal of the City of Roanoke this eighteenth day of September 2007. ~~~ Deputy City Clerk .~5T~.. VIISI.I. WATER AUTHORny --.II Western Virginia Water Authority Roanoke City Council Roanoke County Board of Supervisors September 20, 2007 9:00 AM Thi5 is a joint meeting of the City of Roanoke, the County of Roanoke, and the We5tern Virginia Water Authority. The meeting i5 being held at the Regional Water Pollution Control Plant, 1 S02 Brownlee Avenue, S.E., Roanoke, Virginia 1) WELCOME: Donald L. Davis, Chairman Western Virginia Water Authority 2) CALL TO ORDER: Western Virginia Water Authority City of Roanoke County of Roanoke 3) OVERVIEW OF PREVIOUS 1WELVE MONTH'S OPERATIONS: a) Water Operations and Capital Projects b) Wastewater Services and Capital Project5 4) STATUS OF RATE EQUALIZATION PLAN S) OVERVIEW OF IMPROVEMENTS AT THE REGIONAL WATER POLLUTION CONTROL PLANT 6) OTHER BUSINESS 7) ADJOURN/RECESS to 10:00 AM Rededication of Regional Water Pollution Control Plant: Western Virginia Water Authority City of Roanoke County of Roanoke ,>;,-< "'i:; " <.c,"",>' .;:;U<:>.\;'ti ~-;:j'--:;-:;:.-A':f"> (,:--::~,~{~-:_\t,;:-~;..:t'-'Lei""~'-::'- ! . " WATER AUTHORITY Summary of Projects Water Operations Wastewater Services IJIiJ Water Operations Division Highlights WE 5 T ERN V I R GIN I A WATER AUTHORITY The Water Operations Division of the Western Virginia Water Authority has continued to improve the operation and distribution of quality water services to our customers while making significant advances in the areas of safety and technology. Water Treatment Improvements . Cross-training of operators at our treatment facilities has optimized operations and scheduling . Implementation by Carvins Cove staff of systems recommended as part of the treatability study including: . Installation of an oxygenation system for the Carvins Cove reservoir has increased the dissolved oxygen concentration at the bottom of the reservoir, resulting in improved water quality . Installation of a chlorine dioxide feed system at Carvins Cove water treatment facility to oxidize dissolved organic compounds, as well as iron and manganese, We are now consistently well under the limits set by the regulations for THMs and HAASs. . Conversion of the coagulant feed system at Carvins Cove treatment facility from alum to ferric sulfate to prevent possible pitting of copper lines in some situations . Installation of electric actuators on the raw water flow at the Carvins Cove treatment facility to facilitate the starting and stopping of facility's operations . Modification of hours at the Falling Creek water treatment plant to mc;>re effectively match system demand with water production rates . Evaiuation of existing processes and equipment at the Falling Creek water treatment plant in order to develop recommendations for modernization of the treatment technology to improve plant operation . Installation of Closed Circuit TV surveillance systems at Spring Hollow and Carvins Cove treatment facilities . A digital video management and surveillance system was installed at the Carvins Cove Water Treatment Facility. The system provides a higher degree of security at the Carvins Cove dam and addresses some of the recommendations contained in the EPA vulnerability assessment . As of September 2007, staff at Carvins Cove can also monitor Spring Hollow 24-hours-a-day. Cameras will soon be installed at Crystal Spring and Falling Creek Protection of the Carvins Cove Watershed . In 2006, approximately SO acres, which are partially situated in the Carvins Cove drainageshed and located on the southwest flank of Tinker Mountain, were purchased by the Water Authority to protect the Carvins Cove Watershed . Carvins Cove Management Plan . WVWA is working in conjunction with a City of Roanoke Council appointed committee to develop a land management plan for Carvins Cove. This management plan will help determine current and future recreational usage and activities which will affect the land surrounding Carvins Cove reservoir Falling Creek Dam Rehabilitation . The 100-year old dam is currently operating under a conditional permit due to an inadequate spillway, An engineering firm was selected and a design contract was signed in August of 2007. Design is expected to be completed by the end of 2007, and construction is slated for Spring of 2008 . . > . Recommendations call for the rehabilitated dam to utilize a labyrinth weir spillway . Reservoir Management . Staff has analyzed historical data for each of the reservoirs. Based upon historical rainfall, reservoir levels during the calendar year and consumption, graphs have been generated to project critical levels in the near future. These graphs are being used to guide our reservoir management. CARVINS COVE 1170 1160 ~ ~ ~ 1150 1130 :\ :1-" ~ ...'l>..t!'" ...or; .,4,,,, ...~ or ...":1 .v ,,0 ~ !b ,p .& ...<?J..t"v ..'C "p ,'" 1" ...... ~~ ":1<1> tV I'f-;~~";.;r ....;<1' .,d~.,dof' .l~";/,/ ,i"/'/"'",;-v,"// <P",/' //~ ~ ~,' I-FULL POND 16116102 -Hlstorlc,,1 _lellel07 - - _ 100d"y~12MGD -Projected 121 SPRING HOLLOW 1410 1390 1370 z 0 ~ 1350 . w 1330 1310 1290 ';;!~i~~:~:~:,t~~~~t'>~~~~f~f:?Ji'~~~::~~;:i:~E~~~~t?~R!~~~t~~~~~~~~:~:j '~~~!~i~~~~~:~~.:;~~~~~~~;~j~~~-~~' . ~1~}::i~~~:~~~::~;;,:.~;;~ii.lit~tfiW!~;s~R~O; ':;~~1~J~~{~:J~":~._:;~t-~~:~\t~~~~~~J~~t~~;~~~!~:;~~~ti~~:~1 m{it!\:~~rfJ~t~~'~~~i~i~~~~~t~~;;!~;~~~~~?~~i:~_'A:,_~j1~~i),~:i'::~:ij:~~t~,lti~~RJfJ 1270 0..:'" ']..... '<"o~ .,'0 ~p. ....'<> !/' ..." ,p ...'":> 0 ...Cl '1-" c? :0-,# ...~ l..'\. ...10 n,,1;;) ...~ ~ ...... ~ o:!I ';1,'" 11J.<' ...(,J !r ...'V ~'6 ...'); ~ Cb' rV '\' "v-': ~ ...'tf l..-\ ...'0 ~ ..."0' cf''V. ...1;;) l' <~j '\.'V ".(,J ...C!l ~'*''';( ,z\' ) ,-'1><' "vOj ,.~ "v1Q _...~ ~'\.li::i tfJ<' .+ ..f'-\ rIf--\ ,l' {;:>0 ').:i ~ ~ .4 ,,\ .,.Q'r_,EJ' cP if ~o..>..rS- 'V'_# ')$' '< <<;) ""- ~l ~ ~ '.:l ')..:s ).:i ')$0 '?" "(-$>'" 0/ -J ,- <;;r ~ FultPond -PUMP - - - Fill Line -Historical - - - 100 day@7MGD -level 07 Isvsl02 - Projected 7 MGD . Consolidation of Carvins Cove and Spring Hollow Laboratory Facilities . During December 2005, the Carvins Cove and Spring Hollow laboratory operations were consolidated at the Spring Hollow water treatment facility, providing more efficient utilization of space and personnel. The resulting additional space at Carvins Cove allowed for a conference room to be created Water Distribution Improvements . Staff has evaluated the water system to optimize water service areas with respect to flow delivery capabilities and pressure . Approximately 450 homes in the Raleigh Court area now have vastly improved water pressure. This area has historically struggled with low pressure . Staff is looking at establishing a new pressure zone within the Shenandoah Avenue/Salem Turnpike corridor between 30th Street and the Salem city limits . The Harrison Area Water Line Replacement Project replaced 2" galvanized water line with 6" water line. Some residents indicated that they have been suffering with low water pressure and volume for as long as 17 years, and that they are very pleased with the improvement to their water service. City of Roanoke pavement overlay pians expanded this project to include portions of 7th, 8th and 10th Streets, Madison. Harrison, and McDowell Avenues . Cast Iron, 12" Water Line Replacement Program . Authority staff has been investigating the more serious water main breaks associated with 1950's era 12-inch cast iron pipe . Replacement projects include: . Orange Avenue between 13th Street and Gus Nicks Boulevard . Hollins Road between Old Hollins Road and Mason Mill Road . 36th Street between Shenandoah and Salem . Development of a comprehensive hydraulic water system model . Staff has been working with Draper-Aden Associates of Blacksburg for approximately two years to develop a hydrauiic water system model. This model is being used as a planning tool to identify infrastructure needs to be included in the capital improvements program . Complet;on of North Water Transmission Line . The North Water Transmission Line was completed during the spring of 2007. This significant capital improvement provides a large diameter water line which connects the Spring Hollow water treatment facility to service areas along the 1-81 corridor to Loch Haven Road . Improved Fire Protection for City of Roanoke and County of Roanoke . Since November 2006, staff has been working to better communications between City of Roanoke and County of Roanoke fire department personnel to identify hydrants throughout the Authority service area with less than desirable flow and/or pressure characteristics. This includes discussing integration of fire hydrant information into a more "user friendly" single database and establishment of a regularly scheduled hydrant flushing and flow test program Meteri ng/Bi II i ng/Mo n ito ri ng . Improved Meter Reading Capability . Meter operations and utility billing staffs have successfully implemented new meter reading cycles and routes and updated the utility billing system. Residential bills are now read bi-monthly . In April Z007, the meter operations group implemented a residential me- ter replacement program intended to replace outdated, damaged and/or inoperable cubic foot and clock dial style meters. The program is scheduled to completely replace meters for six meter routes by the end of 2007 for a total of approximately 1,500 meters . Expansion of the SCADA System Network . Staff continues to add remote sites to the SCADA network. SCADA is the hardware and software that allows our treatment plants to view and control operation of the water distribution system through the use of telephone lines and radio signals . Working toward system-wide Automatic Meter Reading (AMR) capability to optimize meter reading operations. . Plans are underway to replace obsolete and/or non-functioning large meters (2-inch and above) on a planned schedule . 2,000 residential meters are scheduled to be replaced each year . All replacement meters are being equipped AMR , ; capability. This allows a vehicle with a receiver to drive through a neighborhood and pick up the signals transmitted by the electronic radio transmitter, thus eliminating the need for manual labor to read meters [, Water Supply . Participation in Long Range Regional Water Supply Plan . The Authority's initiated discussions in modifying the 2002 Long Range Water Supply Plan to meet the requirements of a regional water supply plan. Current participants in the planning process include the City of Roanoke, City of Salem, City of Bedford, Roanoke County. Botetourt County, Franklin County, Bedford County, Town of Rocky Mount and Town of Vi nton . Draper-Aden Associates was hired to compile water supply data received from each jurisdiction to include in the Plan. The cost of the study will be approximately $176,000. The regional group was successful in obtaining a planning grant of $30,000 in 2007 and $20,000 for 2008 . Groundwater development project for Garden City wells. . Conducted a feasibility study to develop a series of eXisting groundwater test wells capable of providing approximately 4 million gallons a day of finished water . Evaluate and make recommendations for any required treatment that will produce finished water with chemical characteristics and quality comparable to water currently deiivered by the Authority --j Wastewater Services Division W f 5 T f R N V I R G. I H I A Highlights WATER AUTHORity The wastewater treatment system that serves the citizens of Roanoke and Roanoke County, which includes both the treatment plant plus 900 miles of sewer main, has undergone much study and change since the Western Virginia Water Authority's startup in July, 2004. Significant financial and staff resources have been expended to survey, map, assess, and model the valley's sewer mains and deterrnine how these systems operate in both wet and dry conditions, Water Pollution Control Plant Improvements The dedication of improvements at the Roanoke Regional Water Pollution Control Plant represents a $50M investment by the comrnunity, including Vinton, Salem, and Botetourt County, to protect the Roanoke River. Plant operations and maintenance staff were very proud to report in July to the Authority's Board of Directors that no overflows occurred frorn the facility in Fiscal Year 07. Special Order by Consent Regulatory requirements are detailed in a Special Order by Consent (SOC) agreement executed by the Authority and the Virginia Department of Environmental Quality (DEQ) to resolve alleged wastewater permit exceedences. The SOC became effective in March of 2005, is wide ranging, and affects many aspects of the Authority's system operation. The goal of the SOC is to limit sewage overflows during rainfall events. This is to be accomplished through a combination of capacity increases, infrastructure renewals, and inflow and infiltration (1&1) reductions. The SOC contains a number of short-term milestones that staff and consultants have completing over the last 36 months, These included such items as system improvements. field investigations, creation of computer models, management plans for system operation, and the Mudlick Creek (Garst Mill) Interceptor Project. The final investigative submittal was made January 30, 2007 regarding the financial capabilities of the Authority to undertake capital improvements. As stated above, these efforts have helped staff to better understand the dynamics of inflow and infiltration on the Regional Water Pollution Control Plant and the associated 900 miles of collection system. Significant findings include: . Capacity infrastructure improvements are only practical to address 2-year storm frequency events. Costs to control higher storm frequencies are not attainable without significant impact to customer rates. . In combination with the capacity increases described above, a 20% peak flow reduction in the inflow component of 1&1 should significantly decrease the number of wet weather overflows. . The five highest priority drainage areas, or sewersheds, by peak flow impact are: o Mudlick Creek - Upper, Middle, and Lower Sections; o Roanoke River - All sections plus Barnhardt Creek; o Tinker Creek - All Sections plus Trout Run, and Carvins Creek; o Peters Creek - Upper and Lower Sections; and o Shaffers Crossing. . Although not ranking as high in terms of peak flow reductions, work is also needed in the Murray Run and Lick Run basins to address historic overflow points. . Regardless of basin location, renovations to make low-lying manholes (below the 1 O-year storm elevation) water tight will be implemented for peak 1&1 control. . Disconnection of 1&1 sources, such as roof drains and sump pumps, appears to be the most effective private control measure. Private lateral rehabilitation, while not significant for 1&1 reduction, has other benefits to customers and should considered for future implementation. . Peak flows from Botetourt County and the Town of Vinton are compatible with their capacity allocations, The City of Salem's peak flows are significant. Current capacity is marginal. Salem will need to increase allocated system capacity or reduce peak flows. Rate Increases Directed by the Special Order by Consent Regulatory requirements almost exclusively drive resource allocation and capital planning. This in turn affects the rates customers pay. Sewer rates for City residential customers are increasing an average of 13% per year. Rates for County customers are increasing 8% per year. The difference in the rate of increase results from County customers having higher sewer rates at the start of the Authority's formation. Both customer classes will be at the same rate in 2011. To pay for these improvements, the sac speCifies that rates must be raised to generate revenue equivalent to 1.25% of the City of Roanoke's median household income (MHI) by 2011. This is equivalent to a monthly sewer bill for residential customers of $33 per month. The planned rate schedule will elevate the average residential bill to slightly less than $29 per month by 2011. Moderate rate increases of 7% in 2012 and 3% in 2013 will meet the requirement if household income trends continue as expected. Fortunately, staff was able to negotiate revenue generation requirement caps at these levels so that the commitment to renovate the sewer system was not open ended. ," If rate schedules described above are adopted and rates keep up with the MHI metric, funding of $130M for the collection system and $64M for the Regional WPC Plant are available for system improvements to meet the SOC requirements through FY 2029, It is important to note that the capital funding estimates are planning values only. Improvements at the WPC Plant are performing better than expected. The benefits these improvements provide will not be fully known until stress testing of the new facilities can be conducted (or peak flows are experienced), Regulatory changes, long term shifts in weather patterns, the local economic outlook and construction cost inflation will all have significant impacts of actual expenditures, Wastewater Collection System Improvements Maintenance resources have been reallocated to achieve greater success in preventing blockages and overflows. Training, equipment and construction techniques have all been updated to allow staff to take quick action to resolve problems that do occur in the sanitary sewer system and to take preventive action before problems arise. Through the "Easy on the Greasy" campaign. the Pretreatment division of the Water Pollution Control Plant has educated residents and businesses about the harmful effects of putting fats, oils and grease down the sewer lines, Construction of the Mudlick Creek Interceptor Project This project, an important part of the Authority's Special Order by Consent, involves the installation of approximately 10,000 linear feet of 36-inch sanitary sewer. This project should alleviate sanitary sewer overflows in the Garst Mill Park area Construction on this project, started in January 2007 and projected to be completed by July 2008, is being done by Alex E. Paris Contracting Company, Inc. Staff has also been able to utilize innovative techniques that save time and money while minimizing the disruption to our customers. Staff replaced 670-feet of concrete sewer main on Liberty Road utilizing directional drilling techniques. Because long trenches did not have to be dug, this process saved time and minimized pavement replacement. . ' . .1 Regional Initiatives WESTERN VIRGINIA WATER AUTHORITY . Adoption of Regional Water and Sewer Standards . Staff personnel have taken the lead in promoting and developing regional water and sewer standards. Participants include Bedford County PSA, Franklin County, Ferrum Water and Sewage Authority, Montgomery County PSA, City of Salem, Town of Vinton and Botetourt County . Contract Water and Sewer Operations for Fincastle . Staff successfully negotiated a contract with the Town of Fincastle to provide water and sewer services for Town customers . Regional Cooperation Initiatives . Staff has been working with the City of Salem to develop opportunities for trading of water and additional system interconnects, which will improve water delivery capability (flow & pressure) to the Roanoke County and Salem service areas . U. S. Route 220 Water line Extension . The WVWA is working with Franklin County'and the County of Roanoke officials to extend a 12- inch water line from the Clearbrook area of Roanoke County southward along the U. S. Route 220 corridor . The Preliminary Engineering Report (PER) for the U, S, Route 220 water line extension project has been approved and design is underway. Construction shall be completed within two years