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Council Actions 04-16-18
ROANOKE CITY COUNCIL SPECIAL MEETING APRIL 16, 2018 1:00 P.M. CITY COUNCIL CHAMBER ROOM 450 AGENDA Call to Order — Roll Call. Vice -Mayor Price was absent. Statement of Purpose: Mayor Sherman P. Lea, Sr. The purpose of this Special Meeting is the request Council to convene in a Closed Meeting to discuss the disposition of City owned property situated at 2410 Mason Mill Road, (Official Tax Map No. 7170509); 2402 Mason Mill Road, N.E., (Official Tax Map No. 7170505); 2320 Mason Mill Road, N.E., (Official Tax Map No. 7170504); and 2002 Blue Hills Drive, N.E., (Tax Map No. 7230101), where discussion in an open meeting would adversely affect the bargaining position or negotiation strategy of the public body, pursuant to Section 2.2- 3711(A)(3), Code of Virginia (1950), as amended. 3. Recessed — 1:03 p.m. 4. Reconvened — 1:48 p.m. Certification of Closed Meeting (5 -0, Council Member Trinkle was absent.) 5. Adjournment —1:49 p.m. CITY OF ROANOKE 1., OFFICE OF THE MAYOR 215(1 MR( 'II AVI'.SUIT. S W.. SUI'I'b:4A c�k m�tK ROANOKLVIR61NIA24011 -1594 III .I'I'II I IN I 141,11, ,II PnX (>Jfq Nil -I H+ Sill, :ItMAN 1'. I,L:A, SR. Prv1All mgYUaunionrvut;pvn5;nc M,n April 13, 2018 The Honorable Vice -Mayor Anita J. Price and Members of the Roanoke City Council Roanoke, Virginia Re: Special Meeting of Council Dear Vice -Mayor Price and Members of Council: Pursuant to Section 10, Meetings of Council, of the Charter of the City of Roanoke, I hereby call a Special Meeting of Council. The purpose of this Special Meeting is to request that the Council convene in a Closed Meeting to discuss the disposition of City - owned property situated at 2410 Mason Mill Road, N.E., (Official Tax Map No. 7170509); 2402 Mason Mill Road, N.E., (Official Tax Map No. 7170505); 2320 Mason Mill Road, N.E., (Official Tax Map No. 7170504); and 2002 Blue Hills Drive, N.E., (Official Tax Map No. 7230101), where discussion in an open meeting would adversely affect the bargaining position or negotiation strategy of the public body, pursuant to Section 2.2- 3711(A)(3), Code of Virginia (1950), as amended. The Special Meeting of Council will be held on Monday, April 16, 2018 at 1:00 p.m. in the City Council Chamber, Room 450, 4 °' Floor Noel C. Taylor Municipal Building, 215 Church Avenue, S. W., Roanoke, Virginia. Notice of this Special Meeting is being provided to you pursuant to Section 10 of the Charter of the City of Roanoke. The City Clerk is also providing you with a copy via electronic mail. Sincerely, herman P. Lea, Sr. Mayor SPL /DJC /lsc The Honorable Vice -Mayor Anita J. Price and Members of the Roanoke City Council April 13, 2018 Page 2 Robert S. Cowell, Jr., City Manager Daniel J. Callaghan, City Attorney Troy Harmon, Municipal Auditor Stephanie M. Moon Reynolds, City Clerk R. Brian Townsend, Assistant City Manager for Community Development Sherman M. Stovall. Assistant City Manager for Operations Amelia C. Merchant, Director of Finance DYKSTRA .` 41094-041618 ROANOKE CITY COUNCIL REGULAR SESSION APRIL 16, 2018 2:00 P.M. CITY COUNCIL CHAMBER AGENDA 1. Call to Order--Roll Call. Council Member Trinkle was absent; and Vice -Mayor Price and Council Member Ferris arrived late. The Invocation was delivered by The Reverend Anthony L. Holmes, Sr., Pastor, Loudon Avenue Christian Church. At this point, Council Member Ferris entered the meeting (2:03 p.m.). The Pledge of Allegiance to the Flag of the United States of America was delivered by Mayor Sherman P. Lea, Sr. Welcome. Mayor Lea. NOTICE: Today's Council meeting will be televised live and replayed on RVTV Channel 3 on Thursday, April 19 at 7:00 p.m., and Saturday, April 21 at 4:00 p.m.; and video streamed through Facebook Live at facebook.com / /RoanokeVa. Council meetings are offered with closed captioning for the hearing impaired. ANNOUNCEMENTS: The Council of the City of Roanoke is seeking applications for the following current vacancies and /or upcoming expirations of terms of office: Building and Fire Code Board of Appeals — one vacancy Three -year term of office ending June 30, 2021 City of Roanoke Pension Plan, Board of Trustees — one vacancy Four -year term of office ending June 30, 2022 Fair Housing Board —two vacancies Unexpired term of office ending March 31, 2019 Unexpired term of office ending March 31, 2021 Mill Mountain Advisory Board — two vacancies Three -year terms of office ending June 30, 2021 Personnel and Employment and Practices Commission — two vacancies Three -year terms of office ending June 30, 2021 Roanoke Arts Commission — two vacancies Three -year terms of office ending June 30, 2021 Roanoke Neighborhood Advocates — two vacancies Three -year terms of office ending June 30, 2021 Roanoke Public Library Board — two vacancies Three -year terms of office ending June 30, 2021 Roanoke Valley - Alleghany Regional Commission — one vacancy Three -year term of office ending June 30, 2021 Towing Advisory Board — one vacancy Term of office ending October 31, 2020 Virginia Western Community College Advisory Board — one vacancy Four -year term of office ending June 30, 2022 Youth Services Citizen Board — three vacancies Three -year terms of office ending June 30, 2021 Access the City's homepage to complete an online application for the abovementioned vacancies. 2. PRESENTATIONS AND ACKNOWLEDGEMENTS: NONE. 3. HEARING OF CITIZENS UPON PUBLIC MATTERS: City Council sets this time as a priority for citizens to be heard. All matters will be referred to the City Manager for response, recommendation or report to Council, as he may deem appropriate. Robert Gravely once again appeared before the Council. At this point, Vice -Mayor Price entered the meeting (2:18 p.m.). 4. 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 -1 Minutes of the regular meeting of City Council held on Monday, April 2, 2018. RECOMMENDED ACTION: Dispensed with the reading of the minutes and approved as recorded. C -2 A communication from the City Manager requesting that Council convene in a Closed Meeting to discuss the disposition of an approximately .75 -acre portion of City -owned property located at 2424 Brambleton Avenue, S. W., bearing Official Tax Map No. 1470301, where discussion in an 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 -3 A communication from the City Attorney requesting that Council authorize the City Clerk to schedule and advertise a public hearing to be held on Monday, May 7, 2018, at 2:00 p.m., or as soon thereafter as the matter may be reached, or at such other date and time as deemed appropriate by the City Manager, concerning the proposed issuance by the Public Finance Authority, a Wisconsin Commission, of the Authority's Multifamily Housing Revenue Bonds to Atlantic Housing Foundation Inc. and its affiliates. RECOMMENDED ACTION: Concurred in the request. C -4 A communication from the City Attorney with regard to the status of the City of Roanoke, Virginia General Obligation Public Improvement Bond Anticipation Note, Series 2018. RECOMMENDED ACTION: Received and filed. C -5 A communication from the City Clerk advising of the resignation of Nicole Harris as a member of the Roanoke Neighborhood Advocates, effective immediately. RECOMMENDED ACTION: Accepted the resignation and received and filed the communication. C -6 Report of qualification of Cindy Pasternak as a member of the Roanoke Neighborhood Advocates to fill the unexpired term of office ending June 30, 2019. RECOMMENDED ACTION: Received and filed. REGULAR AGENDA: 5. PUBLIC HEARINGS: NONE. 6. PETITIONS AND COMMUNICATIONS: a. Request of the Roanoke Valley Resource Authority to present its proposed 2018 - 2019 Annual Budget. Daniel D. Miles, Chief Executive Officer, Spokesperson. (Sponsored by the City Manager) Adopted Resolution No. 41094 - 041618. (6 -0) The City Manager submitted a written report recommending an amendment to Contract for Purchase and Sale of Real Property between the City of Roanoke and Deschutes Brewery, Inc. Adopted Ordinance No. 41095- 041618. (6 -0) 7. REPORTS OF CITY OFFICERS AND COMMENTS OF THE CITY MANAGER: a. CITY MANAGER: BRIEFINGS: . Recommended Fiscal Year 2018 - 2019 Budget - 30 minutes Remarks received and filed. ITEMS RECOMMENDED FOR ACTION: 1. Acceptance of the Summer Food Program Grant from the Virginia Department of Education. Adopted Resolution No. 41096 - 041618 and Budget Ordinance No. 41097-041618. (6 -0) 2. Acceptance of Reimbursement Funds from the Virginia Department of Emergency Management to offset expenses for assistance to the State of Florida affected by Hurricane Irma. Adopted Resolution No. 41098 - 041618 and Budget Ordinance No. 41099-041618. (6 -0) 3. Adoption of a resolution to name the tennis courts at River's Edge Sports Complex in honor of Mr. Carnis Poindexter. Adopted Resolution No. 41100- 041618. (6 -0) 4. Authorization for acquisition of real property rights for the Roanoke River Greenway "Bridge the Gap" Project. Adopted Ordinance No. 41101- 041618. (6 -0) COMMENTS OF THE CITY MANAGER. The City Manager gave the following comments: Parks and Recreation receives statewide recognition The Virginia Department of Environmental Quality recently awarded Roanoke Parks and Recreation a 2018 Governor's Environmental Excellence Award, Honorable Mention, for the implementation of the Virginia Outdoors Plan. • The awards recognize outdoor recreation accomplishments in trail development, public access to waterways, and other recreational uses. • Parks and Recreation worked with the Roanoke Outside Foundation and the Bridges to install a kayak, raft, and canoe launch at the Bridges on Jefferson Avenue. City staff also expanded the trail system at Carvins Cove by working with Pathfinders for Greenways, Roanoke International Mountain Biking Association, and Blue Ridge Gravity. Greenway Commission to Host Open House • The Roanoke Valley Greenway Commission will host an open house on Thursday, April 19, from 4 to 7 p.m. at the Berglund Center. • Greenways are important to our quality of life, our economic development, and the social fabric of our community; we encourage our citizens to attend. • The purpose of the meeting is to provide an opportunity for the public to review and comment on the draft regional greenway plan and maps, including the Tinker Creek Greenway Concept Plan. Blue Ridge Marathon Returns to Roanoke • Saturday, April 21 at 7:35 a.m. is the race start time. • The Full Marathon, Half Marathon, Star 10K, Family 1 Miler and 2nd Lap of the Double Marathon all start on Jefferson Street (outside Elmwood Park) • The Foot Levelers Blue Ridge Marathon Series has earned its title as "America's Toughest Road Marathon" by challenging runners with over 7,430 ft. in elevation change, more than any other road marathon in the United States. • This race is the only marathon that runs along the famously scenic Blue Ridge Parkway. Proceeds benefit the Parkway and local charities. More information is available at www.blueridgemarathon.com Down by Downtown Music Festival will be held this weekend • Thursday, April 19 through Saturday, April 21 • The Festival coincides with Foot Levelers Blue Ridge Marathon race weekend. The events are managed by the Roanoke Outside Foundation. • Features three days of music, with shows at venues throughout downtown Roanoke • Many of the events are free, but some do have cover charges or tickets. Information about specific performances is available at downbvdowntown.com 2 b. MUNICIPAL AUDITOR: Adoption of a Resolution to address Local Trust Tax Penalties and Interest. Adopted Resolution No. 41102-041618. (6.0) 8. REPORTS OF COMMITTEES: a. A report of the Roanoke City School Board requesting appropriation of funds for various educational programs; and a report of the City Manager recommending that Council concur in the request. Donna Caldwell, Director of Accounting, Spokesperson. Adopted Budget Ordinance No. 41103- 041618. (6 -0) 9. UNFINISHED BUSINESS: NONE. 10. INTRODUCTION AND CONSIDERATION OF ORDINANCES AND RESOLUTIONS: NONE. 11. MOTIONS AND MISCELLANEOUS BUSINESS: a. Inquiries and /or comments by the Mayor and Members of City Council. Attention called to street closures throughout the City for Blue Ridge Marathon to be held the week -end of April 20 — 22, 2018. Announcement of the 4`" Annual Lea Youth Outdoor Basketball Summit from June — July 2018 in Melrose Park on each Tuesday and Thursday. b. Vacancies on certain authorities, boards, commissions and committees appointed by Council. NONE. AT 3:52 P.M., THE COUNCIL MEETING WAS DECLARED IN RECESS TO BE RECONVENED AT 4:00 P.M., IN THE COUNCIL CHAMBER FOR THE CONTINUATION OF THE SCHOOL BOARD TRUSTEE INTERVIEWS, AS FOLLOWS: Laura D. Rottenborn - 4:00 p.m. Mark K. Cathey - 4:20 p.m. Mark G. Swope - 4:40 p.m. AT 5:23 P.M., THE COUNCIL MEETING WAS DECLARED IN RECESS FOR A CLOSED MEETING IN THE COUNCIL'S CONFERENCE ROOM, ROOM 451; AND THEREAFTER TO BE RECONVENED AT 7:00 P.M., IN THE CITY COUNCIL CHAMBER. At 5:24 P.M., COUNCIL MEMBER TRINKLE ENTERED THE CLOSED MEETING. ROANOKE CITY COUNCIL REGULAR SESSION APRIL 16, 2018 7:00 P.M. CITY COUNCIL CHAMBER AGENDA Call to Order - -Roll Call. ALL PRESENT. The Invocation will be delivered by The Reverend Tim G. H. Dayton, Pastor, First Christian Church. The Pledge of Allegiance to the Flag of the United States of America will be led by Mayor Sherman P. Lea, Sr. Welcome. Mayor Lea. CERTIFICATION OF CLOSED MEETING. (7 -0) NOTICE: Tonight's Council meeting will be televised live and replayed on RVTV Channel 3 on Thursday, April 19 at 7:00 p.m., and Saturday, April 21 at 4:00 p.m.; and video streamed through Facebook Live at facebook.com /RoanokeVa. Council meetings are offered with closed captioning for the hearing impaired. A. PUBLIC HEARINGS: Receive the views of citizens regarding appointment of three Roanoke City School Board Trustees for three -year terms of office, commencing on July 1, 2018. The candidates are Mark K. Cathey, Marcus E. Huffman, Laura D. Rottenborn, Mark G. Swope and Richard M. Willis, Jr. The following persons appeared David Harrison and Brian McConnell. No action taken. 2. Proposal of the City of Roanoke to grant a new 20 -foot permanent public sanitary sewer easement across City -owned property located at 24 Wells Avenue, N. W., to the Western Virginia Water Authority. Robert S. Cowell, Jr., City Manager. Adopted Ordinance No. 41104-041618. (7 -0) 3. Proposal of the City of Roanoke to amend the agreement regarding the design, development, construction, and operation of a Joint Communications Center by and between the City of Roanoke and Virginia Utility Protection Service, Inc.; and amend the design build contract with Lionberger Construction Company for construction of the E- 911NA811 Communications Center. Robert S. Cowell, Jr., City Manager. Adopted Ordinance No. 41105 - 041618 and Resolution No. 41106- 041618. (7 -0) B. HEARING OF CITIZENS UPON PUBLIC MATTERS: City Council sets this time as a priority for citizens to be heard. All matters will be referred to the City Manager for response, recommendation or report to Council, as he may deem appropriate. Owen McGuire, 2514 Brambleton Avenue, S. W., and Freeda Cathcart, 2516 Sweetbrier Avenue, S. W., appeared before Council in connection with the sale of the Fishburn Cottage located in Fishburn Park. C. OTHER BUSINESS: Additional Comments by the Mayor and Members of Council. CitX Manager instructed to review new traffic pattern at Orange Avenue and 11` Street, N. W., and report back to the Council. City Manager instructed to provide a written update on the Mountain Valley Pipeline. D. RECESS - 8:08 P.M. THE COUNCIL MEETING WAS DECLARED IN RECESS UNTIL THURSDAY, APRIL 26, 2018, AT 7:00 P.M., IN THE COUNCIL CHAMBER, FOR THE PURPOSE OF CONDUCTING PUBLIC HEARINGS ON THE CITY OF ROANOKE RECOMMENDED FISCAL YEAR 2018 - 2019 BUDGET; PROPOSED REAL ESTATE TAX INCREASE DUE TO INCREASED ASSESSMENTS; AND THE RECOMMENDED 2018 - 2019 HUD FUNDS BUDGET AND 2018 - 2019 ANNUAL UPDATE TO THE 5- YEAR CONSOLIDATED PLAN. 10 CITY OF ROANOKE CITY COUNCIL 215 Chorch Avenue, S.W. -� Noel C. Taylor Municipal Boilding, Suite 456 Roanoke, Virginia 24011-1536 Telephone: (540) 853 -2541 F. (540)853 -1145 SHERMAN P. LEA, SR. Emai6 cicrk(,�,00anokeva.g.v Mayor April 16, 2018 The Honorable Mayor and Members of the Roanoke City Council Roanoke, Virginia Council Members William D. Bestintch Michelle L. Dykstra Raphael E. "Rey" Perris John A. Garland Anita J. Price David B. Trickle Dear Mayor Lea and Members of Council: This is to advise you that I will not be present at the 2:00 p.m. session of Council on Monday, April 16, 2018. Best wishes for a successful meeting. Sincerely, David Xinkle Council Member DST /ctw April 18, 2018 Pastor Anthony L. Holmes, Sr. Loudon Avenue Christian Church 730 Loudon Avenue, N. W. Roanoke, Virginia 24016 Dear Pastor Holmes: On behalf of the Mayor and Members of the Roanoke City Council, I would like to express sincere appreciation to you for delivering the Invocation at the regular meeting of the Roanoke City Council, which was held on Monday, April 16, 2018. It was a pleasure meeting you and look forward to having you return to deliver invocations at future Council meetings. Sincerely, Cecelia F. McCoy Deputy City Clerk CFM:aa CI'T'Y OF ROANOKE @ OFFICE, OFTHE CrrY (TERK 215 ('hunch Avenue, N. W'.. NuiIv 456 Roanoke, Virginia 24011 -1536 '1'rle'tit : (540)X53- ^541 14n: (54(1) 853 -1145 51'bI'1IAN11: N1. M U(IN lit: Y NO LAYS, B I \1( 14n,ai1: rlcrkp, rnnnnkrrn.µnv ('L('[TIA F. NI('('ON ('it, ('let k DrP1113 ('it' ('lerk ('1(('14,1. 1 I\'1'. \Y L: 1111, ('NI(' Aneinnm lhynny ('ily ('Irrk April 18, 2018 Pastor Anthony L. Holmes, Sr. Loudon Avenue Christian Church 730 Loudon Avenue, N. W. Roanoke, Virginia 24016 Dear Pastor Holmes: On behalf of the Mayor and Members of the Roanoke City Council, I would like to express sincere appreciation to you for delivering the Invocation at the regular meeting of the Roanoke City Council, which was held on Monday, April 16, 2018. It was a pleasure meeting you and look forward to having you return to deliver invocations at future Council meetings. Sincerely, Cecelia F. McCoy Deputy City Clerk CFM:aa aCITY COUNCIL AGENDA REPORT To: Honorable Mayor and Members of City Council Meeting: April 16, 2018 Subject: Request for Closed Meeting This is to request that City Council convene a closed meeting to discuss the disposition of an approximately .75 acre portion of City -owned property located at 2424 Brambleton Avenue, S.W., bearing Official Tax Map No. 1470301 where discussion in an open meeting would adversely affect the bargaining position or negotiating strategy of the public body, pursuant to §2.2- 3711.A.3, Code of Virginia (1950), as amended. - - -- - -- -- - - - - -- Robert S. Cowell Jr. City Manager Distribution: Council Appointed Officers Daniel J. Callaghan City Attorney The Honorable Mayor and Members of City Council Roanoke. VA CITY OF ROANOKE OFFICE OF THE CITY ATTORNEY 464 1v1CSICIPAI 11111.DING 215 CHI RCI I AVFNUL', SW ROANOKI,, VI ROIN IA 240t 1 -1595 Ild ITIJONF 540.853- 2431 1'AX 540 - 853 -12' 1 EMAII. cit}'arp'Cteoanokcca.¢oc April 16, 2018 Timothy R. Spencer Steven J. Talevi David L. Collins Heather P. Ferguson Laura M. Carini Assistant City Attorneys Re: Request to Schedule a Public Hearing concerning the Proposed Issuance by the Public Finance Authority, a Wisconsin Commission, of the Authority's Multifamily Iloosing Revenue Bonds ( Bonds -) to Atlantic I lousing Foundation. Inc. and its affiliates Dear Mayor Lea and Members of Council: BACKGROUND Afton Garden Apartments is a 108 -unit multifamily apartment complex located at 701, 703, 705, 707, 709, 711, and 713 hunt Avenue, N.W., Roanoke, Virginia (the "Project') Atlantic Housing Foundation. Inc. ("AHF ") is a South Carolina non -stock corporation and the sole member of At IF- Afton Gardens, LLC a Delatcarc limited liability company (-AHF -Afton Gardens "). AHF is seeking Bonds to be issued bN the Authority in the maximum principal amount of $22,000.000 to assist in acquisition of multipurpose properties in multiple jurisdictions. AHF is acquiring 12 properties in a single transaction. 'I he 12 properties are located in Florida. Georgia. South Carolina, North Carolina, and Virginia, including the Project. A portion of the proceeds of the Bonds, not to exceed 5340,000. will be loaned to AHF -Anon Gardens and AHI to be used to finance the acquisition of the Project and pay certain fees and costs associated with the issuance of the Bonds. AI IF -Afton Gardens will be the initial owner and operator of the Project following the acquisition. In order to complete this type of tinancing. each locality in which a property is located is required to hold a public hearing and consider adopting of a resolution solely for the purpose of satisfxing Section 1470 of The Internal Revenuc Code of 1986, as amended (the `Code') and Section 66.03(14(1 t(a) of the Wisconsin Statues. I he Bonds will not constitute a debt or obligation of the City of Roanoke, the Commomvcalth of Virginia at any political subdivision thereof: RECOMMENDED ACTION Authorize the City Clerk to schedule and advertise a public hearing, as required by Section 147(f) of the Code, and Section 66.0304(1 I)(a) of the Wisconsin Statues concerning the proposed issuance of Bonds by the Authority and financing of the Project, to be held on Mav 7, 2018, at 2:00 p.m._ or as soon thereafter as the matter may be reached, or at Such other date and time as deemed appropriate by the City Manager. DJC /Isc Daniel .1. Clan City Attorney Robert S. Covell. Jr., City Manager R. Brian Townsend. Assistant City Manager for Community Development Sherman M. Storall. Assistant City Manager for Operations Amelia C. Merchant. Director o f f inance l7oy Haimon, City Auditor Stephanie M. Moon Reynolds, City Clerk Daniel J. Callaghan City Attorney CITY OF ROANOKE OFFICE OF THE CITY ATTORNEY 464 MUNICIPAL_ BU11DIN0, 215 CIil1RCH AVFNUL, SW ROANOKI', VIRGINIA 24011 -1595 The Honorable Sherman P. Lea, Sr., and Members of Council TFI-Ul 10NF. 540. 853.2431 FAX 540. 853.1221 EMAIL dryim@roanAc%a.goV April 5, 2018 Timothy R. Spencer Steven J. Talevi David L. Collins Heather P. Ferguson Laura M. Carini Assistant City Attorneys Re: City of Roanoke, Virginia General Obligation Public Improvement Bond Anticipation Note, Series 2018 Mayor Lea and Members of Council: On April 5, 2018, the City of Roanoke, Virginia closed on its Bond Anticipation Note, as authorized by City Council through the adoption of Resolution No. 40885- 071717 and Resolution No. 41082- 031918. To effectuate this transaction, the City executed a Financing Agreement dated April 5, 2018, between the City and Key Government Finance, Inc. with exhibits including the form of bond anticipation note in the principal amount of $31,296,000.00 and requisition and supplemental tax certificate ( °Financing Agreement'), and issued City of Roanoke, Virginia General Obligation Public Improvement Bond Anticipation Note, Series 2018, numbered R -1 ('Note "). The City's Bond Counsel, Hawkins, Delafield & Wood, UP. has issued its opinion to you regarding the Financing Agreement, Note, and related documents and materials, mid together with my office, approved the documents as to form. The initial advance under this financing was in the amount of $5,090,059.67, and this advance was made today. Bond Counsel will be providing the City with copies of the transactional documents. Please let me know if you have any questions. Sincerely, Daniel J. C laghan City Attorney DJC /lsc c; Robert S. Cowell, Jr., City Manager Amelia C. Merchant, Director of Finance Stephanie M. Moon Reynolds, City Clerk Trov A. Harmon, Municipal Auditor April 17, 2018 Nicole L. Harris 1606 Stewart Avenue, S. E. Roanoke, Virginia 24013 Dear Ms. Harris: A communication from the City Clerk advising of your resignation as a member of the Roanoke Neighborhood Advocates was before the Council of the City of Roanoke at a regular meeting, which was held on Monday, April 16, 2018. On behalf of the Members of Roanoke City Council, I would like to express appreciation for your service to the City of Roanoke as a member of the Roanoke Neighborhood Advocates from June 6, 2016 to April 16, 2018. Please find enclosed a Certificate of Appreciation and an aerial view photograph of the Roanoke Valley in recognition of your service. 1y_ S_m ly, N[" Stephanie M. Moon Reyr SIMMf p City Clerk Enclosure PC: Bob Clement, Neighborhood Services Coordinator CITY OF ROANOKE OFFICE OF THE CITY CLERK 215 C6are6 Avenne, S. W., Roma 456 Rmmoke, Virginia 24011 -1536 'I'eleFLane: (590)853-2541 Fax: (540)X53 -1145 S1FP11AN1E M. MOON REYNOLDS. MM(' I ? -nmii: dcrkGn'aunnkcv;�.gnv CEC ELIA F. MCCOY C'iry' Clerk Deputy City ('Irrk CIX ELIA'1.. W EBB, ('M(' Assistant Deputy C jtty Clerk April 17, 2018 Nicole L. Harris 1606 Stewart Avenue, S. E. Roanoke, Virginia 24013 Dear Ms. Harris: A communication from the City Clerk advising of your resignation as a member of the Roanoke Neighborhood Advocates was before the Council of the City of Roanoke at a regular meeting, which was held on Monday, April 16, 2018. On behalf of the Members of Roanoke City Council, I would like to express appreciation for your service to the City of Roanoke as a member of the Roanoke Neighborhood Advocates from June 6, 2016 to April 16, 2018. Please find enclosed a Certificate of Appreciation and an aerial view photograph of the Roanoke Valley in recognition of your service. 1y_ S_m ly, N[" Stephanie M. Moon Reyr SIMMf p City Clerk Enclosure PC: Bob Clement, Neighborhood Services Coordinator CERTIFICATE OF APPRECIATION PRESENTED TO Nicole L. Harris AS A MEMBER OF THE ROANOKE NEIGHBORHOOD ADVOCATES FROM JUNE 6, 2016 TO APRIL 16, 2018 ON THIS 17TH DAY OF APRIL , 2018 IN RECOGNITION OF PUBLIC SERVICE FAITHFULLY RENDERED TO THE CITY OF ROANOKE APPROVED: ATTEST: LDS y AN PP. LEA, SR MAYOR STEPHANIE M. M ON $E CITY CLE r ?" CITY OF ROANOKE OFFICE OF THE CITY CLERK 215 Church Avenue, S. W., Suite 456 Roanoke, Virginia 24011 -1536 Telephone: (540)853-2 I Pax: (540)853-1145 STEPHANIE M. MOON REYNOLDS, MMC E -mail elerkaJroan.kev.,iv, City Clerk April 16, 2018 The Honorable Mayor and Members of the Roanoke City Council Roanoke, Virginia Dear Mayor Lea and Members of Council: CECELIA P. MCCOY Deputy City Clerk CECELIAT. WEBB, CAW Assistant Deputy City Clerk This is to advise that Nicole Harris has tendered her resignation as a member of the Roanoke Neighborhood Advocates, effective immediately. Sincerely, * ee" SAtph^ni Mm . Mo on `�ldsU kA"J City Clerk S'1'EPBANIE M. MOON I(EYN( LI1S, MM(' ('it, ('Idrk CITY OF ROANOKE OFFICE, OF THE CITY CLERK 215 ('hard. Avenue, S. W., Room 456 12mumke, Virginln 24011 -1536 'relepLmm: (540)853 -2541 hux (540)M53 -1145 G: nuul: <Ink(n mm�okrvngu, April 17, 2018 Robert A. Clement, Jr. Neighborhood Services Coordinator Roanoke, Virginia Dear Mr. Clement: ('F:('F:LIA F. MC('OY D,)k, ('it, ('lerk ('ECELIA T. W ERR, CM(' Aeeielnnl Deyury' ('it, Clerk This is to advise you that Cindy Pasternak has qualified as a member of the Roanoke Neighborhood Advocates to fill the unexpired term of office ending June 30, 2019. Sind Ste hanie M. MoReyn ds, MNA1 1 4/ City Clerk V Oath or Affirmation of Office Commonwealth of Virginia, City of Roanoke, to -wit: I, Cindy Pasternak, do solemnly swear (or 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 Neighborhood Advocates to fill the unexpired term of office ending June 30, 2019, according to the best of my ability. (So help me God.) CINDVIPASTERNAK The foregoing oath of office was taken, sworn to, and subscribed before me by Cindy Pasternak this T!_ dayof AAGL 2018. Brenda S. Hamilton, Clerk of the Circuit Court By t12rw:., S F D6RLJ id, Clerk IN THE COUNCIL OF TI IF CITY OF ROANOKE, VIRGINIA file ;6th day of April, 2018. No. 41094 - 041618. A RESOLUTION approving the annual budget of the Roanoke Valley Resource Authority for Fiscal Year 2018 -2019, upon certain terms and conditions. BE IT RESOLVED by the Council of the City of Roanoke that the annual budget for the Roanoke Valley Resource Authority for Fiscal Year 2018 -2019, in the amount of $12,791,411 is hereby approved, all as more particularly set forth in a letter, and attachments thereto, to the City Manager dated March 29, 2018, from Daniel D. Miles, P.E., Chief Executive Officer of the Roanoke Valley Resource Authority, copies of which have been provided to Council. Re�nurcc Awhodp Budget 2018 2019 doe (��'f' ATFTTEE,S�T,l '�'lfd-"' r Y City Clerk. P4&ROANOKE VALLEY RESOURCE AUTHORITY March 30, 2018 Stephanie M. Moon Reynolds, MMC City Clerk, City of Roanoke Municipal Building Room 456 215 Church Avenue, SW Roanoke, VA 24011 -1536 Dear Ms. Reynolds: In accordance with the Members Use Agreement, the Resource Authority is submitting its FY 2018 -2019 annual budget to the City Council for approval. Enclosed are copies of the budget for each member of the City Council and the City Attorney. A copy of the budget, along with the attached letter, has been sent to Mr. Cowell also. I understand I am to be scheduled to present the Authority's budget to the City Council in April or early May, 2018 to answer any questions or comments from the Council regarding our budget. If you have any questions, need additional copies of the budget, or need to reschedule the Authority's placement on the Council's agenda, please let me know. Thank you for your assistance. Sincerel 4 Daniel D. Miles, P.B. Chief Executive Officer DDM:pIb Enclosures 1020 Hollins Road, NE Roanoke, Virginia 24012 -8011 (540) 857 -5050 Fax (540) 857 -5056 Web Site: www.rvra.net *1W ROANOKE VALLEY RESOURCE AUTHORITY March 29, 2018 Mr. Bob Cowell, City Manager City of Roanoke 215 Church Avenue, S.W. Noel C. Taylor Building, Room 364 Roanoke, VA 24011 Dear 11>.,(�well: On March 28, 2018, the Roanoke Valley Resource Authority approved its FY 2018/2019 annual budget. The balanced budget totals $12,791,411 and represents a decrease of 1.9% from the current FY 2017/2018 budget. Please note the budget does include an increase to the Authority's municipal tipping fee rates of $2.00 /ton from $49.50 /ton to $51.50 /ton. A copy of the budget is attached. The Resource Authority strives to provide the most cost- effective solid waste disposal services possible in a fiscally and environmentally responsible manner while maintaining our contractual obligations and high quality services to the Roanoke Valley. This budget is a reflection of those efforts. In accordance with our "Member Use Agreement," the Authority's FY 2018/2019 annual budget has been submitted to Ms. Stephanie Moon, City Clerk, with a request for the City Council's approval at one of its regularly scheduled meetings in April. Please let me know if you have any questions regarding the Authority's budget or if you would like to meet with me to discuss this issue prior to addressing the City Council. The Resource Authority is committed to serving the residents and businesses of the City of Roanoke as a member community and we look forward to serving you. Sin Daniel D. Miles. P.E. Chief Executive Officer Attachments c: Daniel J. Callaghan, Esq. (w /enc.) ,.Stephanie M. Moon, MMC, City Clerk (w /enc.) 1020 Hollins Road, NE Roanoke, Virginia 24012 -8011 (540) 857 -5050 Fax (540) 857 -5056 Web Site: www.rvra.net CITY COUNCIL AGENDA REPORT To: Honorable Mayor and Members of City Council Meeting: April 16, 2018 Subject: Proposed FY -19 Budget for the Roanoke Valley Resource Authority I would like to sponsor Daniel D. Miles, P.E., Chief Executive Officer of the Roanoke Valley Resource Authority, to present the Authority's proposed Fiscal Year 2019 budget and related expenditures and revenues. Robert S. Cowell, Jr. City Manager Distribution: Council Appointed Officers JROANOKE VALLEY RESOURCE AUTHORITY 2018 --19 RESERVES TINKER CREEK TR-ANSFER STATION Roanoke Valley Resource Authority RESERVE FUNDS Cons 2®18 -2019 TINKER CREEK TRANSFER STATION Roanoke Valley Resource Aulhorit} TABLE OF C®N' ENYS RESERVB ]FUNDS PAGE4 1. RVRA Financial & Reserve Policy 1-3 II. Annual Review 4 -5 III. Consulting Engineer's Review 6 -9 IV. Summary of Reserve Funds A. Ending2016 /2017 10 B. Ten -year Projections 11 V. Reserve Funds and Expenditure Plans 12 -36 A. Landfill Closure Fund 12 -13 B. Equipment Reserve Fund 14 -18 C. Groundwater Protection Fund 19 -20 D, Host Community Improvement Fund 21 -22 Ii, Property Value Protection Fund 23 -24 F. Further Site Development Fund 25-28 G. Capital Improvement Plan 29 -31 H. Roanoke (Rutrough Rd) Regional Landfill 32 -34 I. Contingency Fund 35 -36 C34f•Y1riF . I'll- Miall Roanoke Valley Resource Authority ROANOKE VALLEY RESOURCE AUTHORITY FINANCIAL AND RESERVES POLICY Background The Authority recognizes one of the keys to sound financial management is the development of a systematic way to fund planned capital projects and on -going maintenance programs. The Authority believes it is equally important to establish the planned expenditures of associated funding for its capital projects and maintenance programs on a pay -as- you -go basis whenever possible. The National Advisory Council on State and Local Budgeting (NACSLB) has issued guidelines representing standards of excellence in governmental budgeting that include the preparation of policies and plans for capital asset acquisition, maintenance, and replacement (Principle 2; Element 5; Practice 5.2). This policy addresses this standard. 11. Purpose This policy will provide for the establishment and the piramed funding level of maintenance and improvement reserve accounts for planned expenditures over a short-term planning period of five (5) years and a long -term planning period of ten (10 +) years or more. Each individual account provides for a separate funding purpose to be designated as either "restricted" or "unrestricted" accounts. Restricted accounts must be used solely for their intended purpose as required by regulatory statute, contractual obligation, or operating permit conditions. Unrestricted funds are intended for planned capital and maintenance purposes, but may be periodically used by the Authority temporarily, for not more than six (6) months, to provide emergency funding for the Authority's operations, if needed. Reserve Accounts may be utilized to fund the same or separate projects as deemed necessary for supporting the mission of providing quality programs and facilities necessary to serve the Authority's Member Communities of Roanoke County, the City of Roanoke, the City of Salem, the Town of Vinton and their residents and businesses of the Roanoke Valley. III. Policy Guidelines for Reserve Fund Accounts A. The Authority will maintain reserve accounts and an initial beginning balance of funds will be deposited into accounts as identified for the current fiscal year. B. Annual funding transfers will occur in twelve (12) equal monthly transfers from revenues received by the Authority and as budgeted for the current fiscal year C. Ongoing expenditures from the funds will occur as budgeted for the current fiscal year as costs are accrued. D. Planned deposits to the funds are calculated sufficient to maintain the desired fund balances with a positive fund balance, at a minimum, for any given fiscal year during the long -tens planning period. 2018 -2019 RESERVE FUNDS Roanoke Valley Resource Authority E. Planned expenditures of the funds are calculated srificient to provide cash funding for all planned capital projects and maintenance projects for any given fiscal year during the long -tern planning period. F. Any end of year operating surplus and /or interest earnings may be allocated to one or more account, as determined by the Authority's Board of Directors. G. An internal review of the account allocations and funding levels by a professional engineer familiar with best management practices of solid waste operations and facilities will occur annually to ensure the priorities are consistent with the goals of the Authority and to ensure the funding levels are adequate. H. An external third party review of the account allocations and funding levels by a professional engineer familiar with best management practices of solid waste operations and facilities, wilt occur every five (5) years to ensure the funding levels are adequate. DAA has completed their assessment of the Trucking option which is attached to this Reserve Funds Report and discussed in more dem <,d in the Consultant's Engineering Section. IV. Account Dermitions The Landfill Closure Fund (Unrestricted) provides a reserve for the costs of capping completed areas of the landfill and at the end of the landfill's useful life, to completely close any remaining area, install all monitoring and collection systems and perform all post- closure care activities per regulatory requirements. The Equipment Replacement Fund (Unrestricted) provides funds for the future purchases, regularly scheduled replacement of major operating equipment, and any uninsured risk, in an orderly fashion as to minimize annual operating costs, maximize any trade -in or surplus value, and to provide for the best overall purchasing value. The Ground Water Protection Fund (Restricted) provides funds to address any environmental effects the operation of the landfill may have on the surrounding area. The fund also serves to assist in complying with post closure and corrective action requirements of state and federal financial assurance regulations. The Host Community Fund (Restricted) provides funds for the construction and maintenance of public improvements to Authority property within the Host Community, as requested by the Host Community, and as approved in a formal public improvement plan. The Property Protection Fund (Restricted) provides funds for the one -time payments under the Property Protection Policy to property owners within the Host Community for any actual realized decline in property values as a result of their relatively close proximity to the Smith Gap Regional Landfill. The Site Development Fund (Unrestricted) provides funds for the construction of subsequent phases of the Smith Gap landfill, as necessary, to provide ongoing landfill disposal capacity. 2018 -2019 RESERVE FUNDS Roanoke Valley Resource Authority The Capital Improvement Fund (Unrestricted) was established to be used for various capital maintenance items and new capital projects anticipated for the ten -year planning period. Projects may be amended as solid waste operations and the industry in general continues to evolve. The Rutrough Road Landfill (RRLF) Post Closure Fund (Restricted) provides funding for the Authority's contractual obligation to provide for the ongoing post closure care of the closed Rutrough Road Landfill. This fund is projected to be depleted from the capital expenditures associated with the construction of a new force main and sewer line that will ultimately decrease annual operating expenses. Accordingly, starting in FY' 18, the post closure care responsibilities will be funded by our annual revenues from the operating budget and the associated costs will be budgeted as ongoing line -item expenditures in the general annual operating budget. Upon exhaustion of funds, this reserve fund will be closed and eliminated from future reserve budget considerations. The Contingent Fund (Unrestricted) provides funding to stabilize year -to -year rate adjustments and to provide a source of funding for any unforeseen increases in expenses or decreases in revenue that would otherwise cause a negative balance for the Authority's operating funds. V. Reporting The Treasurer will track reserve account deposits and expenditures on a monthly basis. A monthly report will be sent to the Chief Executive Officer and the Authority's Secretary, which will be included on the Board of Directors' agenda for review at all regularly scheduled meetings. The Treasurer will also ensure that all expenditures have been through the appropriate approval process. The Chief Executive Officer will provide an annual report to the Board of Directors as to the adequacy of the funding levels of each respective reserve account. 201.8 -2019 RESERVE FUNDS Roanoke Valley Resource Authority ANNUAL REVIEW RVRA RESERVE FUNDS PLAN & REPORT FY 2018 - 2019 The Roanoke Valley Resource Authority reviewed its replacement reserve requirements as outlined per the Authority's "Financial and Reserves Policy" and has determined the adequacy of the funding plan as submitted herein. The Authority, in its review, has defined adequacy to mean that sufficient funding, if funded as scheduled, exists in amounts equivalent to or exceeding the anticipated expenditures during a short -term period (next five subsequent fiscal years) and a long -term period (next ten subsequent fiscal years), with the understanding that certain amounts are to be borrowed, if needed, as indicated in the expenditure plan. The Authority has established the funding and expenditure plan, as outlined in the "Summary of Reserve Funds: 10 -Yr. Planning Period" (p.l 1.) This Reserve Fund Plan and subsequent report is based on trucking the solid waste from the Salem Transfer Station to the Tinker Creek Transfer Station and placing the waste into gondolas for shipping by mil to the Smith Gap Regional Landfill under the anticipated renewal of the Authority's transportation contract with Norfolk Southern (NS) for up to five (5) years. According to staff's current review, only the Capital Reserve Account has a minimum shortage in the five year planning period; however, overall the total reserve unrestricted funds are adequate for the immediate short-term planning period barring any unforeseen circumstances. Additional funding or future borrowing may be needed for the Equipment Replacement, Capital Improvement Fund, and the Site Development Reserve Funds for the latter years of the long -term planning period. Staff is working with our consultant to extend the life of Phase VII to minimize the amount of borrowing required for the Site Development Reserves. 2019 -2019 RESERVEFUNDS Roanoke Valley Resource Authority The improvements to Salem Transfer Station for open top loading are nearing its completion and should be operational on April 2, 2018. Construction has begun on the Connector Road Project with a projected completion date of July 1, 2018. In addition, the Rutrough Road Post - Closure Account Reserve hind is nearly depleted. Future post closure care responsibilities were moved to the operations budget starting in FY 2018. The remaining funds in the Rutrough Road account have been encumbered to complete the sediment basin removal project. Additional Funds will be needed to complete the Resource Authority's share of the lift station and force main construction project now underway by the Western Virginia Water Authority. Since we are opting to extend our Contract with Norfolk Southern for another five years, we will be placing some projects on hold moving forward. The Salem Transfer Station Phase 1I, the Tinker Creek Transfer Station modifications, and the Rail Spur Conversion projects we anticipated to be placed on hold. At this time, the Authority has borrowed $20 million dollars mud approximately $1.5 million of that has not been expended. The remaining funds, with Board approval may be used for the Rutrough Road Project and possibly to increase the funding in the Reserve Accounts. For the immediate five -year (5) planning period only the Capital Account is showing a small deficit ($39,000). However, overall there is a net increase in unrestricted funds over the next five -year planning period. 'I he long term impacts on Site Development may not be an issue since Botetourt County is re- opening their landfill and some anticipated waste may not be realized pushing the Deed to build Phase VII out another year. 'f he long range shortages in the equipment reserve is driven by the replacement of walking floor trailers which is on a ten -year cycle. As time progresses, staff will get a better understanding of what the appropriate replacement cycle should be. At this time, the Authority is unsure of the future transportation mode from both our transfer stations to the landfill and the extent of the funding required cannot be determined. Staff is of the opinion that the Reserves Funds are consistent with the needs and obligations of the Authority and has been approved by the Authority's Board of Directors. 2018 -2019 RESERVEFUNDS Roanoke Valley Resource Authority CONSULTING ENGINEERS AEVEEW The retirement of all outstanding bond debt in FY 2011 subsequently relieved the Authority of its former financial requirements as previously imposed by the Master Indenture of Trust, including the establishment and funding of certain reserve funds as recorded and reported in the annual report. While no longer obligated to the terms of the Master Indenture of Trust, several previously established reserve funds remain as ongoing obligations to the Authority due to start-up and operating restrictions imposed under the Authority's separate "Landfill & Transfer Station Permit Conditions & Operating Policies," including: The Groundwater Protection Fund (formerly known as "The Environmental Fund "); The Host Community Fund; and The Property Protection Fund. Additionally, the Authority is contractually obligated to maintain the post - closure care of the closed Roanoke Landfill (a.k.a. the Rutrough Road Landfill) with funds initially established and designated expressly R : this purpose in The Rutrough Road Landfill Post - Closure Fund. Therefore, these four reserve funds are designated as `Restricted" reserve accounts which must be maintained and adequately funded for their express, respective purposes. The Rutrough Road Landfill Post - Closure Fund has been depleted and all remaining post closure care activities have been tmnsitioned to the operating budget. As part of its initial post -bond debt, fiscal responsibility, the Authority recognized that one of the keys to sound financial management is the development of a systematic way to fund planned capital projects and on -going maintenance programs beyond its operating permit and contractual requirements. The Authority believes it is equally important to establish the planned expenditures of associated funding for its capital projects and maintenance programs on a pay -as- you -go basis whenever possible. The National Advisory Council on State and Local Budgeting (NACSLB) has issued guidelines representing standards of excellence in governmental budgeting that include the preparation of policies and plans for capital asset acquisition, maintenance, and replacement (Principle 2; Element 5; Practice 5.2). Therefore, the Authority established additional reserve funds for these purposes which are designated as "Unrestricted" reserve accounts since at this time there are no external conditions, other than sound financial management as outlined and approved in the RVRA RESERVES PLAN ( "Plan "), requiring their existence and funding levels. The Unrestricted Funds include: The Closure Fund; The Equipment Fund; The Site Development Fumed, The Capital Improvement Fund; and The Contingency Fund. The Closure, Equipment, and Site Development Funds were previously required under the former Master Indenture of Trust and funding levels were maintained and managed accordingly. The Capital Improvement and Contingency Funds, while not previously required per any outside obligation, were established and recognized as being necessary for sound financial management of the Authority's operations and its facilities. The Authority recognizes that periodically, it may need to add, delete, or amend its unrestricted funds as deemed to be in the best interest of the Authority and its members. The additional borrowing of funds (or debt) and the 201R_201 9 RESERVE FUNDS Roanoke Valley Resource Authority Ownership of the Salem Transfer Station has also impacted the future Reserve and Financial Policies of the Authority. Per our Financial and Reserve Policy Section III B. an external, third party review of the account allocations and funding levels by a professional engineer, familiar with best management practices of solid waste operations and facilities, will occur every five (5) years to ensure the funding levels are adequate. That review was conducted this year by Draper Aden Associates (DAA) and is attached to this report. DAA's review was based on trucking waste to the landfill as staff had prepared that budget and reserve update first. By extending Norfolk Southern contract two reserves are affected, the Equipment Reserve and Capital Improvement Fund. Some of DAA's observations and comments are listed below: • Closure Funds • Concurred with the Authority's staff engineer that a 2% inflation rate is appropriate • As the Authority is aware, the final closure of a landfill triggers a minimum of 30 years of post - closure care which can include but not be limited to environmental monitoring, leachate handling and cap maintenance. The estimated current liability for post closure care (based on the 2017 financial assurance submittal by the Authority to VDEQ), considering a footprint of 58 acres, is $4.17M or an estimated cost of $138, ,)44 per post - closure year. • Equipment Reserve - Again DAA assessment is based on trucking all the waste to the landfill. o We agree with the Authority's methodology including inflation rate and are in general agreement with the estimated equipment costs. It is understood that a replacement fund for the walking floor trailers will evolve over the next 5 years. • Site Development Fund • DAA noted that our estimates were higher than the bids DAA has received recently although they noted that Smith Gap Regional Landfill has some unique challenges during construction including remote location, access to site, soil screening, and cost for delivery of stone. • DAA did not suggest a modification in funding for this reserve account since transportation charges may change and the life of Phase VII may extend if the assumed annual volume increases do not materialize. • Capital Improvement Fund — Again, this reserve is affected by not borrowing more money and converting the spur into a road. Several improvements were anticipated to be made with the construction at Smith Gap and renovations at the Tinker Creek Transfer Station that now will need to be funded from this account. o DAA had no significant Comments • Rutrough Road Landfill Post - Closure Fund o DAA had no significant Comments 2018 -2019 RESERVE FUNDS Roanoke Valley Resource Authority Groundwater Protection Fund o Given the stated use of the fund (i.e. mitigation of adverse impacts and the potential need to provide clean water to the residents) and based on our experience at other facilities involved in corrective action, this fund may be underfunded if a significant problem were to be discovered. However, given the design of the facility which includes engineered liners and closure caps and given the installation of environmental monitoring systems which will act as early warning systems, it is unlikely that such a catastrophic situation could occur. As the magnitude of any theoretical expenditures from this fund cannot be accurately estimated and given the low risk for a problem to arise, we support capping the fund at its current level with the recognition that the funding would probably not be sufficient in an emergency. Host Community Fund o DAA had no significant Comments Property Protection Fund o DAA did note that if something catastrophic happened at the landfill which impacted multiple properties simultaneously, the fimd would be insufficient to handle the obligations per the policy. DAA Conclusion o Based on the annual total balance for all funds and for the unrestricted funds (Summary Table, Page 11), Draper Aden Associates considers that the reserve funds are adequate for the next 5 years; especially given the Authority's ability to use the unrestricted accounts as necessary to support the Authority's mission. However, as noted above, the Equipment Reserve Fund, is projecting significant negative balances over the following five year period as trail trailers require replacement. The equipment replacement schedule should be monitored closely as the Authority gains experience with the maintenance and longevity of the transfer trailers. o We have based our conclusion on the assumption that nothing catastrophic occurs that would require the Authority to use funds from the Groundwater Protection, Host Community or Property Protection Funds in excess of the current balances. As noted, the Rutrough Road Post Closure Care fund has been exhausted while significant post closure care activities are still required at the facility. The Authority has indicated that further funding will be provided from the annual operating fund. These activities are mandated by regulation and must continue to be implemented and funded. All funds required for expenditures for the five year planning period are currently available in the reserves accounts with the exception of the Capital Replacement Fund. However, sufficient Funds are available in the unrestricted balance to cover the short term planning period. The long range (ten -year 2018 -2019 RESERVE FUNDS Roanoke Valley Resource Authority projections) shows a considerable shortage of funds in the Site Development Accounts and the Equipment Replacement Fund. As noted earlier, Phase VI's life may last another year if the annual waste stream estimated is not realized. The Equipment Funds significant shortage is driven by the replacement of the walking floor trailers every ten- years, however, since we will not be hauling all of the waste to the landfill by a road over the next five year period, the trailers likely will not need to be replaced on a ten -year cycle. Staff will continuously assess the condition of the trailers on annual basis and modify the replacement as necessary. In addition, at this time we have more trailers than we need unless an emergency situation arises with the tipper or Norfolk Southern (NS) fails to deliver. At this time we are not showing any Funds for the replacement of the gondolas; however, they may not last another ten years. While the Plan is still fairly fluid it is consistent with the needs and obligations of the Authority and has been approved by the Authority's Board of Directors. The Authority annually makes deposits to its reserve funds for funding future planned expenditures. These reserves allow the Authority to establish and project an orderly adjustment of its tipping fee revenues as necessary to prepare for future capital expenditures to coincide with its annual operating costs. Initial projections made in 1992 during the start-up, 20 -year revenue bond issuance established a basis of anticipated costs and revenues for operating the new solid waste disposal system through the bond term. More than two decades of actual operating experience of the Authority's systems has allowed the Authority to delay anticipated increases in tipping fees and offer rates less than originally projected. In conclusion, each reserve fund has been reviewed for its adequacy to meet the planned expenditures over a short-teml period of five -years and for an extended, long -term, planning period of ten - years. As noted above, the Capital Improvement Fund is showing a small shortage in the short-term planning period; however, sufficient funds are available in the unrestricted accounts to cover this shortfall. Only the Equipment Reserve Fund is showing a negative in the long -term planning period; however, our Total Reserve Balances are getting precariously low and without additional revenue we may not be able to pass the Corporate Financial Test for our assurance obligations. Staff re- assesses all the reserves every year and in some instances equipment replacement and/or projects can be delayed or moved up depending on the situations at the time. In summary, while deficits are shown in the short and the long_ term reserve accounts, staff believes that the majority of those impacts can be mitigated as noted above. Respectfully Submitted, Daniel D. Miles, P.E. Chief Executive Officer 2018 -2019 RESERVE FUNDS NOTES 1 While we have known cost for most of the equipment scheduled to be replaced during FY 2018, there are a couple of other purchases that will be necessary. 2. The Host Community cap was raised from $150,000 to $250,000 in FY 2014, 3_ The POE funds for Rutrough Road will be depleted during calendar year 2018 and this account will no longer appear in the reserve funding accounts. Starting in FY 2018 the PCC activities were funded through the tipping fees (annual operating budget). 4 $1,760,000 are budgeted in FY 2019 deposits from RVRA Operating Budget. Additionally, $500,000 from bond proceeds will be used for capital in FY 2019. 2018 -2019 10 RESERVEFUNDS SUMMARY Roan oke Valley Resource Authority SUMMARY OF RESERVE FUNDS Expenditures/ Deposits for FY 2019 BALANCE AT PLANNED /ACTUAL DEPOSITS BEGINNING EXPENDITURES BALANCE 07/01118 201812019 1 -Jul -2019 CLOSURE FUND $ 5,131,581 $ - $ - $ 5,131,581 EQUIPMENT' $ 1,342,661 $ 2545,000 $ 1,360,000 $ 157,661 ENVIRONMENTAL FUND $ 500,000 $ - $ - $ 500,000 HOST COMMUNITY` $ 199,475 $ - $ 10,000 $ 209,475 PROPERTY VALUE PROTECTION $ 384,629 $ - $ - $ 384'629 SITE DEVELOPMENT $ 361,753 $ - $ 850,000 $ 1,211,753 CAPITAL IMPROVEMENT FUND $ 250,009 $ 330,000 $ 40,000 $ (39,991) $ 8,170,108 $ 2,875,000 $ 2,260,000 ' $ 7,555,108 TOTALS RUTROUGH ROAD LANDFILL' $ - $ - $ - $ CONTINGENCY $ 3,557484 $ 21,161 $ - $ 3,536,323 NOTES 1 While we have known cost for most of the equipment scheduled to be replaced during FY 2018, there are a couple of other purchases that will be necessary. 2. The Host Community cap was raised from $150,000 to $250,000 in FY 2014, 3_ The POE funds for Rutrough Road will be depleted during calendar year 2018 and this account will no longer appear in the reserve funding accounts. Starting in FY 2018 the PCC activities were funded through the tipping fees (annual operating budget). 4 $1,760,000 are budgeted in FY 2019 deposits from RVRA Operating Budget. Additionally, $500,000 from bond proceeds will be used for capital in FY 2019. 2018 -2019 10 RESERVEFUNDS Roanoke Valley Resource Authority SUMMARY Summa of Reserve Funds: Ten Year Plannin Period Fiscal Year 201"18 2018 -19 2019 -20 2020 -21 2021 -22 211 2023 -24 2024 -25 2025 -26 De osds Closure 250 0 6 0 0 0 0 0 0 Equipment Groundwater Protection 1400 0 1360 0 1360 0 1360 0 1360 0 1360 0 1360 0 1360 0 1360 0 T2026-272027-28 Host Community Property Protection Site Development Capital Improvement total 10 0 ]00 0 2360 1 10 0 850 40 2260 10 0 850 40 2260 1 10 0 850 40 2260 10 0 850 40 2260 10 0 40 2260 0 0 40 2260 1 0 40 2260 1 0 40 2280 40 2260 1 40 2280 Expenditures Closure 921 0 0 0 0 0 370 0 0 0 Equipment Groundwater Protection 1]]6 0 ?545 0 854 0 1,043 0 1,602 0 1,144 0 1,194 0 ,]59 0 3424 0 1,81] ]98 Host Community Property Protection Site Development 0 0 3390 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 10 0 300 j,716 10 0 ,540 10 0 0 10 0 0 10 0 0 Capital Improvement 0 total 6087 330 2875 0 854 0 1043 0 1602 0 1144 0 1874 0 1 11025 0 3434 0 1827 0 808 Balances 5 year 10 year Glosure 5,132 5,132 5,132 5,132 5,132 5,132 4,]62 2046 ?046 2,046 2,046 Equipment Groundwater Protection 1,343 500 158 500 664 500 981 500 739 500 955 500 1,121 500 ]22 500 -1,342 500 -1,799 500 -1,237 500 Host Community 199 209 219 229 239 249 249 249 249 249 249 Property Protection Site Development Capital Improvement total 384 362 251 8,171 384 1,212 -39 7,556 384 2,062 1 8,962 304 ?912 41 10,1]9 384 3,]62 81 10,83] 384 4,612 121 11,953 304 5.162 161 12,339 384 -528 201 3,5]4 384 322 241 2,400 304 1,1]2 281 2,833 384 2,022 321 4,285 Sum mary0 other Reserve Funds: Ten Year Planning Period Fiscal Vear 201] -18 2018 -19 2019 -20 2020 -21 2021-22 2022 -23 201 2024 202] 28 De osits M2026 Rutrugh Road Contingency Expenditures o 0 0 0 0 0 0 0 355] 0 0 0 0 0 0 0 0 0 Rutrough Road Contingency, 0 0 1 0 1 1,223 0 1 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 Balances 5 year 10 year Rutrough Road Contingency, 9 3.557 0 2,334 0 2,334 0 2,334 0 2,334 0 ?334 0 2,334 0 2,334 0 2,334 0 2,334 0 ?334 Totals 5 year 10 year All Funds 11 ]28 9,890 11296 12,513 13,171 14,287 14,673 5,908 4,]34 5,16] 6,619 Unrestricted Funds 5 year 10 year All Funds 10,645 8,]9] 10,193 11400 12,048 13,154 13,540 4,]]5 3,601 4,034 5,486 2018 -2019 11 RESERVE FUNDS Roanoke Valley Resource Authority CLOSURE FUND The Closure Fund provides a reserve for the costs of capping completed areas of the Smith Gap Regional Landfill and to install 0 groundwater and gas monitoring and collection systems per regulatory requirements. For the current planning period and beyond, we are not planning on making any deposits to the Closure Account (previously $300,000). As noted, deposits may be adjusted based on revised cost estimates and an increase or decrease in the amount of waste received in future years. Portions of Smith Gap Regional Landfill were closed in Calendar Year 2018 and the cost per acre were significantly less than staff was estimating and the closure estimates have been adjusted. Funds are adequate for the short and long range planning period. As DAA noted in their external assessment of this account, the closure reserve account is funded only to actually close portions of the landfill. Since our leachate tanks at the landfill were designed to handle flow from no more than fifty -acres opened at one time, the Closure and Site Development construction are on the same schedule. In addition, no funds are being set aside for the post closure care activities since the landfill is estimated to last another fifty plus years and those activities are part of the annual operating budget. 2018 -2019 12 RESERVE FUNDS Roanoke valley Resource Authority CLOSURE FUND Landfill Closure Fund FISCAL YEAR BEGINNING BALANCE ANNUAL DEPOSIT EXPENSES ENDING BALANCE USES 1998 -99 2,375,000 250,000 0 2,625,000 1999 -20 2,625,000 250,000 0 2,875,000 2000 -01 2,882,755 250,000 0 3,132,755 2001 -02 3,132,755 250,000 0 3,382,755 2002 -03 3,382,755 250,000 0 3,632,755 2003 -04 3,632,755 250,000 0 3,88 2,755 2004 -05 3,882755 250,000 0 4,13 2,755 2005 -06 4,132,755 250,000 0 4,382,755 2001 4,382,755 250,000 0 4,632,755 2007 -08 4,632,755 1,050,000 10,291 5672,464 Phase l Design 2008 -09 5672464 600,000 29,817 3,242,647 Phase I Design & LFGCCS 2009 -10 6,242,647 600,000 72,704 6,769,943 Phase I Design & LFGCCS 2010 -11 6,769,943 400,000 1589,591 5,580,352 Complete LFGCCS 2011 -12 5580,352 100000 193,600 5,486 752 Miso. LFGCCS & LFGTE 2012 -13 5,486,752 300,000 22,500 5,764,252 Closure & Mil LFGCCS 2013 -14 5,764,252 300,000 21,915 6,042,337 Misc. LFGCCS 201415 6,042,337 300,000 97867 62"470 Engineering 2015 -15 6244470 200,000 9,870 6,434,600 Engineering 2016 -17 6,434,600 200,000 831,181 5,803,419 Phase I Engr. & Constc (7.6 Ac) 2017 -18 5,803,419 250,000 921,838 5,131,581 Phase I Engr. & Corci r. (T6 Ac) 201819 5,131,581 0 0 5,131,581 201320 5,131,581 0 0 5,131,581 202321 5,131,581 0 0 5,131.581 2021 -22 5,131,581 0 0 5,131581 2022 -23 5,131,581 0 0 5,131581 2023 -24 5,131,581 0 370000 4,761,581 Phase II Design 2024 -25 4961,581 0 2,715,592 2,045,989 Phase II Construction 10 Ac) 2025 -26 2,045,989 0 0 2,045,989 2026 -27 2045,989 0 0 2,045,989 2027 -28 2,045,989 0 0 2,045,989 Note: Additional funding from Surplus ($550,000) was added from FY06 /07 budget in FY 07/08 2018 -2019 13 ICiFIA- MatlPbl:. Roanoke Valley Resource Authority ]EQUIPMENT FUND The Equipment Fund is established to provide funds for the regularly scheduled replacement purchases of major operating equipment. For the current planning period, deposits will be made montilly providing a total annual deposit $1,360,000. Cost estimates were adjusted significantly in 2011 based on new emission guidelines and additional borrowing or alternate methods of purchasing to include leasing may be required. For the last two years, staff was anticipating the Authority to switch from Rail to Tracking; however, now we anticipate extending our NS contract for up to another five years. Two of our three haul trucks were scheduled to be replaced over the last two budgets cycles; however, if we were going to truck the waste in they would not be needed so we delayed their replacement. To minimize the impact on the Equipment Reserve, staff delayed the purchase of large dozer, excavator, and a yard dog. By delaying the purchase of this equipment there are no negative balances in the short term five -year planning period. A recent State Contract and other cooperative pro.urement programs has allowed the Authority to purchase certain equipment at a lower price than previously budgeted so our estimates may be high. The walking floor trailer equipment replacement schedule for Salcm transfer station places an added burden on the equipment reserve fund for the long term planning period; however, they may not need to be replaced on this shorter period of time, again we will re- evaluate next year to determine their replacement schedule. Currently almost all of our equipment expenditures are based on the purchase of new equipment with little or no trade -in value for equipment to be replaced or deleted from service. As noted in the past, staff may be able to lease or lease purchase equipment to off -set the long term deficit. The Equipment Fund also serves to assist in complying with post- closure requirements of state and federal financial assurance regulations. 2018 -2019 14 RkSFRVEFUNDS Roanoke Valley Resource Authority EQUIPMENT FUND Equipment Reserve Fund FISCAL YEAR BEGINNING BALANCE ANNUAL DEPOSIT EXPENSES ENDING BALANCE Detailed Schedule 1998 -99 2,704,000 376,000 260,000 3,127,939 See Attached 1999 -20 3,127,939 375,000 288,289 3,214,650 See Attached 2000 -01 3,214,650 375,000 555,535 3,034,115 See Attached 2001 -02 3,034,115 375,000 987,595 2,421,520 See Attached 2002 -03 2,421,520 375,000 680,098 2,116,422 See Attached 2003 -04 2,116422 400,000 459,327 2,057,095 See Attached 200405 2,057,095 400,000 561,464 1,895,631 See Attached 2005 -06 1,895,631 400,000 323,589 1,972,042 See Attached 2006 -07 1,972,042 400,000 492,652 1,879,390 See Attached 2007 -08 1,879,390 674,231 1,280,731 1,272,690 See Attached 2008 -09 1,272,890 400,000 1,103,483 569407 See Attached 2009 -10 569,407 600000 351,088 818,319 See Attached 2010 -11 818,319 600,000 625,485 792,834 See Attached 2011 -12 792,834 600,000 937,839 454,995 See Attached 2012 -13 454,995 1,250,000 651,277 1,053,718 See Attached 201314 1,053,718 1,100,000 858,452 1,295,266 See Attached 201415 1,295,266 1,100,000 1,292,433 1,102,833 See Attached 2015 -16 1,102,833 1,000,000 316,228 1,786,605 See Attached 2016 -17 1786,605 1,000,000 1,443,855 1,342,750 See Attached 2017-18 1,342,750 1,400,000 1,400,089 1,342,661 See Attached 2018 -19 1,342,661 1,360,000 2,545,000 157,661 See Attached 2019 -20 157,661 1,360,000 854,341 663,320 See Attached 2020 -21 663,320 1360,000 1,043,294 980,025 See Attached 2021 -22 980,025 1,360,000 1,602,538 737,487 See Attached 2022 -23 737,487 1,360000 1,143,734 953,753 See Attached 2023 -24 953,753 1,360,000 1,193,582 1,120,171 See Attached 2024 -25 1,120171 1,360,000 1,758,500 721,671 See Attached 202526 721,671 1,360,000 3,423,628 - 1,341,957 See Attached 2026 -27 - 1,341,957 1360,000 1,817,499 - 1,799,456 See Attached 2027 -28 - 1,799,456 1,360,000 798,612 - 1,238,067 See Attached 20282029 - 1,238,067 2019 -2019 �� RESERVEFUNUS /olvo EC 300 D Excavator [omatsu D155A Bulldozer ohn Deere But dozer of n ll) :at 8266 #1 Compactor :at 82BG #2 Compactor :at 826 G #3 Compactor at 973 Track Load, AT 35 - Ton Haul Truck oton Volvo Haul AT 35 - Ton Haul Truck o -ton CAT - 0- ton Volvo Haul Tmck ohn Deere 744K wheel Loader ohn Deere 744K wheel Loader :at 966 Wheel Loader _ :at 920C Wheel Loader all King rackmoblle # 2 Excavator John 200 CLC Finn T 330 Hymo Soccer/ Water TRK A.C. CSD Forklift Ford L9000 Dump Truck New Holland Ford 150 Crew Cab Ford F 150 Crew Cab site I FY2018-19 SG SG 2003 SG 2012 SG 2013 1992 201] 2DO8 2J�O 2 1992_ j 2000 2DO9 Mobile Luba Truck 2011 ioll -off 2000 FY 2020 -21 I FY 2021 -22 SG SG SG SG $660,000 _ SG SG SG $660, ODD SG SG '. t's SG SG SG SG SG SG SG SG $35,000' N Schedule 24 FY 2024 -25 FY 2025 726 FY 2rC6 27 FY 2027 28 $700397 - $424,367 1 - Y - $424,367 - $135,006 17 Ma'or E uipment Replacement Schedule Equipment DeSCTlpilori year' site. FY 2016 -191'. FY 2019 -20 1 Y 2020 -21 FY 2021 -22 11Y 2022 -23 FY 2023 -24 FY 202425 FY Z02S26 FY 2026 -27 FY 2027 -28 M hga L150 2W7 S, 3 L tl T= 1C 5 $909,918 Zheel CA lse Lo J hn D 544 K �2 ZOOS T #1 - + $271,275 Tn Re K ng 2004 Volvo EC 220 2016 TM TQS - -- - — X66; p0 o EC 220 2016 TQS DO DX- DX- D rba 66 D _11 2009 MO b k 6fi09 2016 D psan Excavator #3 2010 Cla k 843 B bcat 1983 TCI5 fCIS TQ I'QS .5185,000 $270,000' $270,0001 $1,000,000. 5220,0001 EI9 Pel n 2015 TCTS - -- MObll L be Tuck 1936 TCTS FO tl Service Truck 2016 LCI51 D tlge SUV 2016 TCTS W,000 Chevrolet 25D Pick u0 truck 200 F ghfl 2018 TQS $35,0110 T Gre Bp Tr taloers 2016 R ydng T 'le #2 101, PCTS TCTS' 550,000 E DIO 201 TCTS$35,0001 $$0000' F9 tl Expatl t 2016 TCTS + $92,5011 T yo[e GUV 2014 TCCS _ $92600 FO tl E DIOre 2017 TCTS' _ Toypt T ck 26 TC95 ' x$35,000 $42,5!10 201016 CCIS - TcO Tmc —2026 usetl as n 9n zolq I= Tcrs $UB- TOTAL $50,0110 $165,000 $35,000 4481,48 $35,000 $306,295. $1,006,500 $1,229,909 $142,500 $42,500 GRAND TOTAL $59,000 $185090 $3$,990 $481,418 $35,009 $506,275 $1,006,500 $1,220,000 $142,500 $42,509 �- l0 year total $3,50y193 Re u red f.ndmg ten ye., 1 $ 350,419 17 10 Major Equipment Replacement Schedule Equipment Description Wheel Loaders -John Deere 744 Kit year I 2017 site FY 2018-19 1 FY2019-20 STS 2020 21 FY2021 -22 FY2022-23 1 FY2023 -24 FY202425 FY2025 -26 FY2026 -27 FY2027-28 Large WM1eel Loader Used 2018 STS $ 150 000 $ 492000 John Dee e 544 Excavator Volvo ECR 235 Excavator 11989 201] 2EW STS IS STS $ 225,000 �$ - Back up excavator new /usetl �2DO4 Elgin Pelican weeper 201] STS '. STS � 265,000 $ 260, OD 0 Freighifner Fo tl SerNre Truck �oplacy STS STS - l T $ 125,000 - Walkin Floor Tra les 9 Tiro Vard t actor # 3 2006 ST$ STS tl - r$ ]19,668 $ ]3],6]0 $ ]56,112 - Ottowa 30 Commando SvnicM1 Trk Ott.. Yi 305huttle Trk Fob 150 Extended Cab 2006 1993 2013 STS STS STS - $ 35,000 - ill` - Chevy Pick up Green BorJCOntainers Recycling Trailers 1999 st,n, Ne STS ����STS STS -- - - SALEM TRANSFER STATION75p00 SMITHGAP S$ $ 669,341 140994 $ 3 000 $ 86],320 $ 1,08fi 120 $ 125000' 985, $ - $ 752,000 $ 984,69R $ ]56,112 $ 737,670 TINKER CREEK $2,120,000 $ 5D 000 $ 185,00$35,000 $ 481,418 $ 000 $ 306,2]5 $ 1,OOfi 500 218,950 ,220,000 — $ 93],329' $ 142.500 $ S 42,500 - - GRAND TOTAL $ 2,545,000 $ 854,341 $ t,p43,29d $ 1,602,538 $ 1,143,734 $ 1,193,582 $ 11758,500 $ 3,423,628 $ 1,81],499 $ 798,612 516,18,62% - Data :03122118 By'. DDM SRS _ Tinker Creek Transfer Statio'love Salem Transfer Station p $ 3,504 ,193 3,504,1 $ 3,906434 $ 8,670,102 21.66% 24.14% 54020% Available Funtlly 1, 2018 — Required funtling ten T 1342,661 yea $ 1,483,80] 10 Roanoke Valley Resource Authority GROUNDWATER PR®TF MON FUND The Groundwater Protection Fund (formerly the Environmental Fund) is established to provide funds, if needed, to address any adverse environmental effects on the surrounding area within the Host Community area that may result from the operation of the Smith Gap Regional Landfill. The fund also serves to assist in complying with post closure and corrective action requirements of state and federal financial assurance regulations. The existing fund balance is $500,000 and is adequate for the immediate five -year planning period as shown. No additional deposits are planned at this time. 2018 -2019 9 RESERVE FUNDS Roanoke Valley Resource Authority GROUNDWATER RESERVE FUND Groundwater Reserve Fund FISCAL YEAR BEGINNING BALANCE ANNUAL DEPOSIT EXPENSES ENDING BALANCE USES 1998 -99 500,000 0 0 500,000 No Activity 1999 -20 500,000 0 0 500,000 No Activity 2000 -01 500,000 0 0 500,000 No Activity 2001 -02 500,000 0 0 500,000 No Activity 2002 -03 500,000 0 0 500,000 No Activity 2003 -04 500,000 0 0 500,000 No Activity 2004 -05 500,000 0 0 500,000 No Activity 2006-06 500,000 0 0 500,000 No Activity 2006 -07 500,000 0 0 500,000 No Activity 200] -08 500,000 0 0 500,000 No Activity 2008 -09 500,000 0 0 500,000 No Activity 2009 -10 508000 0 0 500,000 No Activity 2010 -11 500,000 0 0 500,000 No Activity 2011 -12 500,000 0 0 500,000 No Activity 201213 500,000 0 0 500,000 No Activity 2013 -14 500,000 0 0 500,000 No Activity 2014 -15 500,000 0 0 500,000 No Activity 2015 -16 500,000 0 0 500,000 No Activity 2016-1] 500,000 0 0 500,000 No Activity 201] -18 500,000 0 0 500,000 No Planned Uses 2018 -19 500,000 0 0 500,000 No Planned Uses 2019 -20 500,000 0 0 500,000 No Planned Uses 2020 -21 500,000 0 0 500,000 No Planned uses 2021 -22 500,000 0 0 500,000 No Planned Uses 2022 -23 500,000 0 0 500,000 No Planned USes 2023 -24 500,000 0 0 500,000 No Planned Uses 2024 -25 500.000 0 0 500,000 No Planned Uses 2025 -26 500,000 0 0 500,000 No Planned Uses 2026 -27 500,000 0 0 500,000 No Planned USes 2027-28 500,000 0 0 500,000 No Plannetl Uses 202829 500,000 2029 -30 2030 -31 2031 -32 9018 -2019 RESERVE FUNDS Roanoke Valley Resource Authority IAOSI COMMUNITY FUND The Host Community Fund is established to fund the construction and /or maintenance of public improvements to Authority property for the benefit of the Host Community which is defined as the area within a 5,000 ft. radius of the Smith Gap Regional Landfill property lines. Funded improvements will be established with input from the Host Community and set out in a public improvement plan. Originally Annual deposits were made in the amount of $10,000 on a monthly basis with the balance not to exceed $150,000. However, the Host Community with assistance from the Authority's staff, increased the limit from $150,000 to $250,000 in FY 2014. The Host Community is exploring its options for the use of the Host Community Fund. Existing and proposed funds are adequate for the immediate five -year planning period as shown. 2019 -2019 21 RESERVEFUNDS Roanoke Valley Reaource Authority -HOST COMMUNITY Host Community Reserve Fund FISCAL YEAR BEGINNING BALANCE ANNUAL DEPOSIT EXPENSES ENDING BALANCE USES 1992 -93 0 0 0 0 1993 -94 0 8,000 0 8,000 1994 -95 8,000 10,000 o i8 ,o00 1985 -96 18,000 10,000 p 28,000 1996 -9] 28,000 10,000 29,385 8,615 Computers($25,385), FSR N4, 000) 1997-98 8,615 10,000 615 18,000 Playground Equipment 191 18,000 10,000 0 28,000 1999 -20 28,000 10,000 0 38,000 2000 -01 38,000 10,000 0 48,000 2001 -02 48,000 10,000 0 56,000 2002 -03 58,000 10,000 0 68,000 2003 -04 68,000 10,000 0 ]8,000 2004 -05 78,000 10,000 0 88,000 2005 -06 88000 10,000 0 98000 2006 -07 98,000 10,000 0 108,000 2007-08 108,000 10,000 0 118,000 2008 -09 118,000 10,000 0 128,000 2009 -10 128,000 10,000 0 138,000 2010 -11 138,000 10,000 0 148,000 No Planned Uses 2011 -12 148,000 10,000 3,681 154,319 IntraneYeho y 2012 -13 154,319 0 4,319 150,000 In[reneVCappetl 201344 150,000 10000 525 159,4]5 No Planned Uses 2014 -15 159,475 10,000 p 169,4]5 No Known Uses 2015 -16 169,475 10,000 No Known Uses 2016 -17 1]9,4]5 10,000 0 1894]5 No Known Used 201] -18 189,475 10,000 0 199,4]5 No Known Uses 2018 -19 199,475 10,000 0 209,4]5 No Known Uses 201 &20 209,475 10,000 0 219,475 No Known Uses 2020 -21 21 9A75 10,000 0 229,475 No Known Uses 2021 -22 229,475 10,000 0 239,475 No Known Uses 2022 -23 239,475 10,000 0 249,475 No Known Uses 2023 -24 249,475 10,000 10,000 249,4]5 Mis, Expenses 2024 -25 249,4]5 10,000 10,000 249,475 Misc. Expenses 2025 -26 249,4]5 10,000 10,000 249,475 Misr, Expenses 2026 -2 249,475 10,000 10,000 249,475 Misc, Expenses 2027-28 249,475 10,000 10,000 249,475 Misc. Expenses 2028 -29 249,475 10,000 10,000 249,475 Misc. Expenses 2029 -30 249,475 10,000 10,000 249,475 Mike. Expenses 2030 -31 249,475 10,000 10,000 249,475 Misa Expenses 2031 -32 249,475 "o00 10,000 249,4]5 Misc. Expenses 2018 -2019 22 RESERVE FUNDS Roanoke Valley Resource Authority PROPERTY PROTTCTIGN FUND The Property Protection Fund provides funds for payments under the Property Value Protection Policy to property owners within 5,000 feet of the landfill for any actual decline in property values that may be directly attributed to their proximity to the Smith Gap Regional Landfill, as determined and outlined under the Policy. The Property Protection Fund balance of $384,759 is deemed to be sufficient for its intended purpose. Deposits to this fund may also be made from the proceeds of any property purchased and then resold under the terms of the Policy. F,xisting funds are adequate for the immediate five -year planning period as shown unless there is a major unforeseen issue arising at the landfill. 2018 -2019 23 RESERVE FUNDS F— Roanoke Valley Resource Authority PROPERTY In FV 2015 -2016, RVRA purchased 50 acres contiguous to the landfill although the property was not protected under property protection guidelines, 20182019 24 RESERVEFUNDS Roanoke Valley Resource Authority SIDE DEVELOPMENT FUND The Site Development Fund provides funds for the construction of subsequent phases of the Smith Gap Regional Landfill cells. For the current planning period, deposits will be made monthly providing a total annual deposit $850,000, previously $750,000. Phase VI construction was completed in Calendar Year 2018 and is anticipated to last six or seven years. Based upon the recent construction cost, the funding levels were insufficient in the site development fund therefore an increase $150,000 was added to the annual deposits (the Closure Account was reduced by that amount). Even with the increase in funding, the next Phase (Phase VII) is showing a 0.5 million dollar deficit in FY 2024- 2025. The amount of air space used is reviewed every year and adjustments are made as necessary. At this time, we have not started filling in phase VI and do not anticipate to start until later in Calendar Year 2018. The Site Development Fund also serves to assist in complying with post - closure requirements of state and federal financial assurance regulations. Zola -2019 25 RESERVEFUNnS Roanoke Valley Resource Aulh.nty SITE DEi VELORME T'T Notes: 1. An additional deposit of $1,000,000 was added in FY 2007/2008 to this account from FY 06/07 surplus funds. 201R-2ntn 26 RESERVE FUNDS Roanoke Valley Resource Authunty SITE DEVELOPMENT COST'S SMITI i GAP'dANDPiiLL FISCAL YEAR ACTIVITY EXPENSES 2014 -15 no activity $ _ $ 2015 -16 no activity $ _ $ 2016 -17 Phase Vl $ - Work started $ 598,125 2017 -18 Phase VI Completed $ - contruction management $ 3,390,240 2018 -19 no activity $ $ 2019 -20 no activity $ _ $ 2020 -21 no activity $ _ $ 2021 -22 no activity $ _ $ 2022 -23 no activity $ _ $ 2018 -2019 27 Reserve Funds Beamke Venay Resource nuthorlty SETS DEVELOPMENT COSTS CONTINUED FISCAL YEAR ACTIVITY EXPENSES engineering phase 7liner (10.07 ac) $ 300,000 2023 -24 construction phase 7liner (10.07 ac) $ - $ 300,000 contruction management $ _ engineering phase 7liner (10.07 ac) $ - 2024 -25 construction phase 7liner(10.07ac) $ 6,107,028 $ 6,539,871 contruction management $ 432,843 2025 -26 no activity $ - $ 2026 -27 no activity $ - $ 2027 -28 no activity $ _ $ estimated costs $ 6,839,871 available funds 7/1/2018 $ 361,753 additional funds required $ 6,478,118 deposit years 10 annual deposits required $ 647,812 NOTES Projections based on actual and estimated costs. 2018 -2019 n Reserve Funds Roanoke Valley Resource Authority CAPITAL LMPR®VEMElti.t FUND In FY 2008 - 2009, The Capital Improvement Fund was established by the Authority, outside the Master Indenture of Trust, to be used for various capital maintenance items and new Projects anticipated for the short and long -term ten -year planning periods. Examples of the projects include: Concrete floor overlay, re-surfacing all asphalt internal roads and parking lots, replacing the heating and cooling systems, renovation and maintenance of all existing building structures, construction of a residential service area, scale maintenance and possibly a new and additional automated, in -bound scale. Projects may be added or amended as the solid waste operations and industry continues to evolve and funds are available. Previously, the Board authorized an independent Facility Wide Assessment (Report) of the Facilities owned and operated by the Resource Authority. The Report identified and prioritized several deficiencies that needed to be addressed and staff was anticipating handling these projects as the modifications were made to the facilities for the switch from rail to trucking. However, as noted previously, those improvements will not take place and staff has identified several projects that need to be addressed in the upcoming FY. While there is a small deficit shown in the five -year planning period, the fund recovers the following year. The tong range plan is adequate unless the gondolas will need to be replaced or something unforeseen arises. The Capital Improvement Fund also serves to assist in complying with post - closure requirements of state and federal financial assurance regulations. 2018 -2019 29 RESERVE FUNDS Roanoke Valley ResourceArthority CAPITAL Capital Improvement Reserve Fund FISCAL YEAR BEGINNING BALANCE ANNUAL DEPOSIT EXPENSES ENDING BALANCE USES 2008 -09 260,000 200,000 0 460,000 No Planned Uses 2009 -10 460,000 200,000 21,356 638,644 SG Dust &Old Control 2010 -11 638,644 200,000 319,917 518,727 Tipper & TS Floor 2011 -12 518,727 200,000 220,271 498,459 Tipper & Hollins Road 2012 -13 498,456 100,000 108,900 489,556 Tipper &Roping 2013 -14 489,556 613,407 109,798 993,165 RSA Engring & Dirt, HVAC 2014 -15 993,165 190,000 793,014 390,151 ERA &Rooting TS 2015 -16 390,151 390,000 799.828 - 19,677 RSA 2016 -17 - 19,677 390,000 120,314 250,009 RSA 2017 -18 250,009 0 0 250,009 No work Planned 2018 -19 250,009 40,000 330,000 - 39,991 Misc Work 2019 -20 - 39,991 40,000 0 9 Misc Work 2020 -21 9 40,000 0 40,009 No work Planned 2021 -22 40,009 40,000 0 80,009 No work Planned 2022 -23 80,009 40,000 0 120,009 No work Planned 2023 -24 120,009 40,000 0 160,009 No work Planned 2024 -25 160009 40,000 0 200,009 No work Planned 2025 -26 200,009 40,000 0 240,009 No work Planned 2026 -27 240,009 40,000 360,000 - 79,991 No work Planned 2027 -28 - 79,991 40,000 360,000 - 399,991 No work Planned 2028 -29 Notes: Funds ($423,407) from VDOT's purchase of the ROW were deposited in FY 2014 2018 -2019 30 RESERVEFUNDS Roanoke Valley Resource Authority CAMTAT. TMPROVFMv NT USF Project List FY 2018 -19 FY 2019 -20 FY 2020 -21 FY 2021 -22 FY 2022 -24 FY 2023 -24 FY 202425 FY 202425 FY 2025 -26 FY 202629 Smith Gap Tipper Repair South Pit retaining Wall $ 20,000 Roofing Repairs (SG) Fans & Lighting (TS & SG)(18 -19) $ 80,000 Overlay Concrete Floor (TS) Renovate Bathrooms & Sh. Overlay Asphalt Roads 5 80,000 New Steel Plating Tunnel (TS) New Steel Plating Pit (SG) Replace CMP (SB # 4 & ditching) (SG) $ 160,000 Install additional m -bound Scale Concrete Slab & Retaining Wall (mulch) Gondola Replacement (2 eal, $ $ $ $ $ $ Replace all Carpet and Tile (TS) Totals $ 330,000 $ - $ $ - $ $ $ $ Totals $ 330,000 Annual Deposits Required $ 33,000 ReaeNe Funds 31 Roanoke Valley Resource Authority RUTR®GGHV ROAD LANDFILL POST-CLOSURE FUND The Rutrough Road Landfill Post - Closure Fund (RRLF PC Fund) was established with aninitial contribution of $5,500,000 per the terms of the "Implementation Agreement For (j) Distribution and Indemnification Agreement dated October 23, 1991 and (ii) Assignment Agreement dated October 23, 1991." The sole purpose of the RRLF PC Fund is to provide the funding necessary for the Authority to manage the post - closure care of the closed Rutrough Road Landfill until (i) such time as the funds in the account are depleted; or, (ii) the Authority determines the account is no longer needed for its intended purpose, in which case, any funds remaining in the account shall br. available for use by the Authority for any authorized purpose. The RRLF PC Fund is currently just over $500,000 and we are in the process of issuing a notice to proceed for the sediment basin removal and various other improvements. We anticipate that all of these funds will be spent by the end of the calendar year 2018 -2019 32 RESERVEFUNDS 33 ROANOKE VALLEY RESOURCE AUTHORITY APPROXIMATE POST - CLOSURE CARE COSTS RUTROUGH ROAD LANDFILL FOR THE YEARS 1996 THROUGH 2016 Date: July 19, 2017 Cap Main[. ROAD am GAS SYST LEACHATE TOTAL INITIAL INTEREST FUND YEAR &ESC MAINT MISC MOWING SAMPLING O&M O &M CAPITAL ADM IN EXPENSES DEPOSIT INCOME BALANCE 1996 $ - $ - $ - $ - $ $ _ $ - $ - S - 5 260,602 $ 6452,077 $ 367,686 $ 6,559,161 1997 $ - $ - $ - $ - $ $ _ S - $ - $ - $ 143,180 $ 6,561,769 $ 296,018 $ 6,714,607 1998 $ - $ - $ - $ _ $ _ $ _ g _ $ - $ - $ 699,337 $ 6,772,712 $ 415,543 $ 6,488,918 1999 $ - $ - $ - $ - $ - $ - $ - $ - $ - $ 373,405 $ 6,656586 $ 357,990 $ 6,641,091 2000 $ - $ - $ $ _ $ - $ - $ _ $ - $ - $ 274,596 $ 6.502 918 $ 454,557 $ 6,682,879 2001 S 5,239 $ 559 $ 7,705 $ - $ 57,565 $ 18,323 S 98,018 $ 35.819 $ 40,659 $ 263,887 $ 6,418,992 $ 483,446 $ 6,902,438 2002 $ - $ - S 11,431 $ - S 50,100 $ 8,4D2 $ 61,006 $ 4,958 $ 47,553 $ 183,450 S 6,718,088 $ 215,808 5 6,934,796 2D03 $ 36,853 $ 21,141 S 6,479 $ - 5 44,057 $ 14,130 $ 146,909 $ - $ 52,589 $ 322,159 $ 6,612,639 $ 118,499 S 6,731,136 2D04 $ - $ - S 7,231 $ 5,347 S 83,773 $ 11443 $ 178,053 $ 108,874 $ 59,301 $ 454,021 $ 6277,115 $ 87,268 $ 6,364,383 2005 $ 3,800 $ - S 10,295 $ 5347 5 74,232 $ 19,543 $ 327,074 $ 283422 $ 62,665 $ 786,379 $ 5,578,005 $ 66,747 $ 5,664,751 2006 $ - $ - $ 9,694 $ 5,347 S 59,511 $ 11,493 $ 218,653 $ 83,006 $ 67,205 $ 454,908 $ 5,209,843 S 181,687 S 5,391,530 2007 $ - $ - S 2,627 S 5,880 $ 32,548 $ 25,751 $ 244,000 $ - $ - 5 307,230 $ 5,084,300 S 249,892 $ 5,104,903 2008 $ - $ 3,500 $ 16,682 S 6,500 $ 34,172 S 9,480 5 129,604 $ 27,736 S - 5 378,869 $ 5,104,903 $ 230,103 $ 5,059,804 2009 $ - $ 1,658 $ 4202 , S 8,815 $ 43,774 5 17,230 $ 187,143 $ - 5 - S 262,822 $ 4,842,081 $ 104,100 $ 4,901,082 2010 $ 19,927 $ 3,491 $ 32,078 5 8,815 $ 112,082 5 30,869 $ 327,489 $ - $ - $ 534,751 $ 4,366,331 S 25,384 $ 4,391 ]15 2011 $ 7,775 $ - 5 2,794 S 8,815 $ 72,618 5 37,574 $ 221,058 S 335,178 S 125,000 $ 810,812 $ 3,580,903 $ 15,000 $ 3,596,803 2012 $ - $ 6,456 5 4,410 $ 8,905 $ 58,716 S 33.548 3 323,970 $ 125,000 $ 561,005 $ 3,035,798 $ 9261 $ 3,045,059 2013 $ - $ - $ 2056 , S 12,254 $ 80,760 $ 26,184 5 206,912 $ 56,992 $ 385,158 $ 2,659,901 $ 7,470 $ 2,667,371 2014 $ - $ 2,149 S 5,297 $ 21.159 $ 48,575 $ 30,501 $ 359,747 $ 21,783 $ 11,914 $ 501,125 S 2,166,246 $ 6,820 S 2,173,066 2015 $ - $ - $ 3,291 $ 3,450 $ 98,177 $ 33,069 $ 299,200 $ - $ - $ 437,187 S 1735,879 $ 0,019 $ 1,743,898 2016 $ - $ 6,027 $ 4,155 $ 9,475 $ 75,090 $ 20,604 $ 306,400 $ - $ - $ 429,751 S 1,314,147 $ 7,993 $ 1322, 14D 2017 $528,192 2018 2019 2D2D 2021 2022 2023 2024 2025 2025 TOTAL $ 73,594 $44,981 $ 130,426 s 110,107 $ 1,025,751 $ 356,144 $ 3635237 $ 957_766 $591.886 $8,824,714 $ 3,730,191 33 RR expenses 34 34 ROANOKE VALLEY RESOURCE AUTHORITY FOf Information Only POST- CLOSURE CARE ESTIMATES RUTROUGH ROAD LANDFILL FOR THE YEARS 2017 THROUGH 2026 ASSUMED END OF POST CLOSURE CARE Date: Febmeiy 1, 2018 _ - Cap Mainl. ROAD MISC GIW GAS SYST L_EACHATE TOTAL INITIAL INTEREST' FUND _ YEAR S, ESC MAINT. EXPENSE MOWING SAMPLING 08M OSM CAPITAL ADMIN EXPENSES DEPOSIT INCOME BALANCE _ 2019 _ $0 - _ $o $0 _ $0 $0 $0 �$00 $0 $0 $0 $0 $0 $0 2020 - $0 - $0 $0 $0 - so $0 $0 $o $0 '— $o $o $o 2021 $o $0 $D $o $0 1 $0 $ -- -- $0 $0 - _ 2022 $o $a $o - so $o $o $o $o $o $o $o $o — 2028 2024 So $o _ - so $o so $0 $a so so $0 o $o _ $o $0 $o $o $o $0 so $0 $0 $0 so so zozs $o so $o so -- $o -1 $0 $0 $o $o $0 $o -- so 2026 $0 30 $0 50 $0 —$0 il. $0 $0 $0 w so $0 _ $o s0- I I TOTAL $ $ $ 8 F ining for Leachate force main and lift station g cost have been moved to the an budget uu uu get and are funded from the administration accounts 34 Roanoke Valley Resource Authority CONTINGENCY FUND The purpose of the Contingency Fund is to provide (i) rate stabilization on an annual basis; and (ii) emergency funding for unforeseen increases in expenses or decreases in revenues. All reasonable efforts will be made to maintain a minimum balance in the Contingency Fund equal to 8 -10% of the Authority's total annual operating budget for the current fiscal year. Funds are adequate for the immediate planning period. The Contingency Fund also serves to assist in complying with post - closure requirements of state and federal financial assurance regulations. 2018 -2019 35 RESERVE FUNDS CONTINGENCY Roanoke Valley Resource Authority RESERVE lly D FISCAL BEGINNING YEAR BALANCE DEPOSITS TRANSFERS BALANCE COMMENTS 1993 -1994 296,864 0 296,664 Surplus from Operations 1994 -1995 836,358 0 1,133,222 Surplus from Operations 1995 -1996 2 9 89,940 0 2123,162 Surplus from Operations 1996 -199] 2 335,254 0 2,458,416 Somius from Operations 1997 -1998 6 0 M836,358O 920,000 1538,416 Transfer to Site Development 1997 -1998 6 243,053 0 1,]81,469 Transfer from Recycling Fund 1997 -1998 9 1,017,184 0 2,798.653 Surplus from Operations 1998- 1999 53 1 216,266 0 4,014,919 Surplus from Operations 1999 -2000 19 1 808,425 0 5,823,344 Surplus from Operations 2000 -2001 5,823,344 1,363,227 0 9186,571 Surplus from Operations 2001 -2002 7,186,571 0 494,012 6,692,559 Defmit from Operations 2002 -2003 6,692,559 0 451,945 6,240,714 Deficit from Operations 2003 -2004 6,240,714 224069 0 6,464,783 Surplus from Operations 2004 - 2005 6,464,783 18,773 0 6483,556 Surplus from Operations 2005 -2006 6,483556 276,040 0 6759,596 Surplus from Operations 2006 -2007 6,759,596 0 783,555 5,976,041 Transfer to Operating Budget 2007 -2008 5,976,041 0 926,499 5,049,542 Transfer to Operating Budget 2007 -2008 50049,542 873,246 0 5,922,788 Surplus from Operations 2008 -2009 5,922,788 0 1,289,635 4,633,153 Transfer to Operating Budget 2008 -2009 4,633,153 70,441 0 4,703,594 Surplus from Operations 2009 -2010 4,703,594 0 2053,044 2,650,550 Transfer to Operating Budget 2009 - 2010 2,650,550 637,465 0 3,288,015 Surplus from Operations 2010- 2011 3,288,015 0 3,171.248 116 767 Transfer to Pay Bond Debt 2010 -2011 116,767 2440082 0 3600849 Surplus from Operations 2011 -2012 360,849 244,000 0 604,849 Transfer from Post Development 2011 -2012 604,849 1,140,111 0 1744,960 Surplus from Operations 2012 -2013 1,744,960 0 490,991 1,253.969 Transfer to Operating Budget 2012 -2013 1,253,969 0 62,130 1,191,839 Transfer for Residential Area 2012 -2013 10191,839 425,662 0 1,617,501 Surplus from Operations 20132014 1,617,501 0 405,405 1,212,096 Transfer to Operating Budget 2013 -2014 1212,096 543,103 0 1,755,199 Surplus from Operations 2014 -2015 1,755,199 D 456,323 1,298,876 Transfer to Operating Budget 2014 -2015 1298,876 812,290 0 2,111,166 Surplus from Operations 2015 -2016 2,111,166 0 200000 1,911,166 Tonsferto Property Protection 2015 -2016 10911,166 0 434,974 1476,192 Transfer to Operating Budget 2015 -2016 1,476.192 986.254 0 2462,446 Surplus from Operations 2016 -2017 ?462,446 1,095,038 0 3,557,484 Surplus from Operations 2017 -2018 3,557484 0 0 3.557,484 2018 -2019 3557,484 Contingency Funds Available $ 3,557484 Proposed Transfer for FY 2018 -2019 Budget $ 1,339,604 Contingency Balance $ 2,217,880 2018 -2019 36 iROANO KE VALLEY RESOURCE AUTHORITY 2018 ^19 D 'DUDGET SALEM TRANSFER STATION Roanoke Valley Resource Authority TABLE OF CONTENTS Budget Summary Revenues Expenses Personnel Administrative Roanoke Transfer Station Salem Transfer Station Smith Gap Totals Classification Employee by Location * Operating Capital Reserves Tipping Fees Breakdown Appendix 1 &2 3 -5 6 -13 7 8 9 10 11 12 13 14 -25 26 27 -28 29 2018 -2019 BUDGET Roanoke Valley Resource Authority BUDGET SUMMARY 2018 -2019 BUDGET Roanoke Valley Reeource Authority REVENUE 201 8-2019 Disposal Fees $ 12583 250 Interest Income $ 100,000 Transfer from Contingency Reserve Fund $ 21,161 Sale of Recyclable Material $ 45,000 Miscellaneous - Mulch $ 42,000 EXPENSES SUMMARY Total $ 12,791,411 personnel $ _ Tinker Creek Transfer Station $ Administrative $ 734,132 421,600 Tinker Creek Transfer Station $ 902,800 Total Salem Transfer Stafion $ 511,565 $ Smith Gap $ 905,537 Total TOTALS Administrative $ $ 3,054,035 Operating $ 4,715,883 Salem Transfer Station $ Administrative $ 1,035,567 3,421,865 Tinker Creek Transfer Station $ 3526,523 Salem Transfer Stafion $ 674,216 Smith Gap $ 1,464,488 Totals $ 6,700,794 CAPFI A L Totals RESERVES Administrative $ _ Tinker Creek Transfer Station $ 286,560 Salem Transfer Station, $ 421,600 Smith Gap $ 1,051,840 Total $ 1,760,000 DEBT SIRVSCE $ 1,276,582 Totals $ 1,276,582 TOTALS Administrative $ 1,769,699 Tinker Creek Transfer Station $ 4,715,883 Salem Transfer Station $ 1,607,381 Smith Gap $ 3,421,865 Debt Service $ 1,276,582 Total $ 12,791,411 2018-2019BODGET 1 Roanoke Valley ResonmeAuthority SUMMARY DISPOSAT, ]FEES Municipal $ per ton 47 48 49 49.5 49.5 51.5 Private $ per ton 37 58 59 59.5 59.5 61.5 % INCREASE 3.7% 3,2% 03% -2.2% 56.5% a.9% in expenses 201 8 2019 BUDGET 2 2013 -2014 2014 -2015 2015 -2016 2016 -2017 2017 -2018 2018 -2019 1 t ' VENT] Ei Disposal Fees $ 7,729,480 $ 7,932,050 $ 7,981,200 $ 8,172,350 $12,868,350 $12,583,250 Interest Income $ 28,000 $ 32,000 $ 35,000 $ 50,000 $ 100,000 $ 100,000 Transfer from Contingency $ 405,405 $ 456,323 $ 434,974 $ 50,509 $ - $ 21,161 Res,rveFund Sale of Recyclable $ 35,000 $ 35,000 $ 38,000 $ 33,933 $ 37,000 $ 45,000 Material Mulch sales $ 39,450 $ 46,830 $ 36,000 $ 31,500 $ 40,000 $ 42,000 Miscellaneous $ - $ _ $ _ $ $ $ TOTAL $ 8,237,335 $ 8,502,203 $ 8,525,174 $ 8,338,292 $13,045,350 $12,791,411 EXPENSES Personnel $ 2,004,856 $ 2,126,647 $ 2,183,227 $ 2,152,723 $ 2,663,727 $ 3,054,035 Operating $ 4,118,479 $ 4,260,556 $ 4,216,947 $ 4,055,569 $ 6,409,438 $ 6,700,794 Capital $ 14,000 $ 15,000 $ 25,000 $ 30,000 $ - $ - Transfer to Reserves $ 2,100,000 $ 2,100,000 $ 2,100,000 $ 2,100,000 $ 2,360,000 $ 1,760,000 Debt Service $ - $ - $ - $ - $ 1,412,185 $ 1,276,582 'TOTAL $ 8,237,335 $ 8,502,203 $ 8,525,174 $ 8,338,292 $13,045,350 $12,791,411 DISPOSAT, ]FEES Municipal $ per ton 47 48 49 49.5 49.5 51.5 Private $ per ton 37 58 59 59.5 59.5 61.5 % INCREASE 3.7% 3,2% 03% -2.2% 56.5% a.9% in expenses 201 8 2019 BUDGET 2 Roanoke Valley Resource Authority REVENUES 2018 -2019 BUDGET Roanoke Valley Resource Authority REVENUES CODE DESCRIPTION FY17 -18 FY18 -19 JUSTIFI CATION 9202 Total Tipping Fees $12,868,350 $12,583,250 Based on tonnage receipts of: 214,300 Municipal 91,900 tons $ 4,961,050 Commercial 82,000 tons $ 5,079,500 Private 29,000 tons $ 1,898,600 Residential 9,400 tons S 534,100 Contracted MSW 2,000 tons $ 110,000 Total $ 12,583,250 15100 Interestlncome $ 100,000 $ 100,000 Operating & Other Reserve $ 100,000 40956 Transfer from Contingency $ - $ 21,161 Funds available from Contingency Reserve Reserve Food 16916 Sale of Recyclable $ 37,000 $ 45,000 Sale of Recyclable Scrap Material Metal & Miscellaneous 18120 Mulch $ 40,000 $ 42,000 Mulch Sales $ 42,000 Revenue Miscelaneous $ - $ - Miscellaneous sales Revenue TOTAL REVENUE $13,045,350 $ 12,791,411 20182019 BUDGET Z [IPING TITS 20182019 BUDGET CODE DESCRIPTION FY17 -18 FY18 -19 JUSTIFICATION 16906 City of Roanoke $1,942,000 $ 2,011,400 Municipal Waste 37,000 tons @ 51.5 $ 1,905,500 Wood Waste 2,700 tons @ 35 $ 94,500 Tires 70 tons @ 120 $ 8,400 600 mixed @ 5 $ 3,000 City of Roanoke Total $ 2,011,400 16907 County of Roanoke $1,898,300 $ 1,970,300 Municipal Waste 36,000 tons @ 515 $ 1,854,000 Wood Waste 3,000 tons @ 35 $ 105,000 Tires 65 tons @ 120 $ 7,800 700 mixed @ 5 $ 3,500 County of Roanoke Total $ 1,970,300 16908 Town of Vinton $166,000 $ 170,300 Municipal Waste 3,200 tons @ 51.5 $ 164,800 Wood Waste 140 tons @ 35 $ 4,900 fires 5 tons @ 120 $ 600 - mixed @ 5 $ _ Town of Vinton Total $ 170,300 16911 City Of Salem $942,500 $ 809,050 Municipal Waste 15,700 tons @ 57.5 $ 808,550 Wood Waste - tons @ 35 $ _ Tires - tons @ 120 $ - 100 mixed @ 5 $ 500 City of Salem Total $ 809,050 20182019 BUDGET '�'l- l�TlTr- 11E-FS 2018 2019 BUDGET CODE DESCRIPTION FY17 -18 FY18 -19 JUSTIFICATION 16914 Commercial $5,057,150 $ 5,079,500 Commercial Waste 82,000 tons Q 61.5 $ 5,043,000 Wood Waste 900 tons Q 35 $ 31,500 Tires - tons @ 120 $ - 1,000 mixed @ 5 $ 5,000 Commercial Total $ 5,079,500 16914 Contracted Municipal $ 689,000 $ 110,000 Contracted MSW Solid Waste 2,000 tons ® 55.0 $ 110,000 Contracted MSW $ 110,000 16915 Private $1,707,500 $ 1,898,600 Private Waste 29,000 tons @ 61.5 $1,783,500 Wood Waste 2,100 tons Cal 35 $ 73,500 Tires 320 tons CnJ 120 $ 38,400 640 mixed Q 5 $ 3,200 Private Total $ 1,898,600 16917 Residential $465,900 $ 534,100 Residential Waste Based on Uniform Disposal Allocation City of Roanoke 43.5% $ 232,334 County of Roanoke 41.7% $ 222,720 Town of Vinton 16% $ 19,228 City of Salem 112% $ 59,873 Household 9,400 Tons Q $515 $ 484,100 Wood waste 1,200 Tons @ $35 $ 42,000 Tires 1,600 Tires © $5 $ 8,000 Residential Total $ 534,100 TOTAL TIPPING FEE $12,868,350 $12,583,250 2018 2019 BUDGET Roanoke Valley Resource Authority EXPENSES PERSONNEL 2018 -2019 BUDGET 3ONNIE]L ton ,ekdays & Holidays 4aintenance ,art time mployees $ 1,485,489 mployees mployees $ 111,013 .ploy... $0.00 nployees $ 339,387 6.8% Annual$ $ 122,345 $ 31,949 $ 32,949 $ 15,052 $ 24,000 t4 per month nployees $1,935,889 nployees $ - ays 50% $5,711 ays 100% nployees Tployees $1,935,889 2018 2019 BUDGET Roanoke Valley Resource Authority PERSONNEL ADMTN CODE DESCRIPTION FY17 -18 FY18 -19 JUSTIFICATION 101010 Salaries $ 522,274 $516,762 Salaries for 5 employees 101015 Overtime $ - $ - Extra work required on Saturdays & Holidays 701020 Part -rime $ - $ - Operations, Buildings, and Grounds Maintenance 101116 Supplement, $ - $ - Outstanding performance recognition 202100 RICA. $ 39,954 $ 39,532 7.65 % of salaries, overtime, part time 202200 Retirement -VRS $ 50,506 $ 57,091 1232 % of salaries 4 employees $ 463,403 202840 Deferred Comp. Match $ 3,250 $ 3,250 $25 per pay period 5 employees 202203 Retirement- VRS - Plan 2 $ - $ - 1232 % of salaries 0 employees $ - 202204 Retirement -City $ - $ - 17.04 % ofsalaries I employees $ - 202205 Retvement -VRS- Hybrid $ 5,845 $ 6,574 12.32 % of salaries 1 employees $ 53,359 202300 Hospitalization S 37,809 $ 37,727 5 participating employees 16.8% Annual$ single 2 5 9,232 em &sp 1 $ 6,390 family 1 $ 8,237 Em & Ch 1 $ 5,017 retiree 0 $ - HRA (five employees) $ 4,000 202310 Dental $ 2,039 $ 2,039 5 participatmg employees ® $34 per month 202400 T.fe insurance -VAS $ 6,842 $ 6,770 1.31 % ofsalares 5 employees $ 516,762 202401 Life Insurance -City $ - $ - 1.42 % of salaries 0 employees $ - 202500 Long Term Dtsability Ins. $ 1,541 $ 1,524 059% salaries RVRA pays 50% $1,524 202510 Short Term Disability Ins. $ 263 $ 263 RVRA pays 100% 202700 Workers Corep.lns, $ 670 $ 779 Workers' Comp. Insurance 5 employees 202750 Retirement Health Insurance Credit $ 1,567 $ 1,550 030 % of salaries 5 employees $ 516,762 202800 Termination Pay $ 15,000 $ 40,000 Annual and sick leave payments 202810 Cash -in FLP $ 19,042 $ 19,875 Flexible Leave pay out 202830 Employee Benefits $ 395 $ 395 Retiree Health Insurance TOTAL PERSONNEL $ 706,997 $ 734,132 2018- 2019BUDGEI Roanoke Valley Resource Authority PERSONNEL TC1CS CODE DESCRIPTION FY17 -18 FY18 -19 JUSTIFICATION 101010 Salaries 5 507,607 $ 517,317 Salaries for 12 employees 101015 Overtime $ 75,000 $ 105,000 Extra work required on Saturdays, Evenings & Holidays 101020 Part - time $ 30,000 $ 30,000 Operations, Buildings, and Grounds Maintenance 101116 Supplements $ - $ - Outstanding performance recognition 202100 RLC,A. $ 46,864 $ 49,902 7.65 % of salaries, overtime, part time 202200 Retirement - VRS $ 32,938 $ 37,165 12.32 % of salaries 6 employees $ 301,668 202840 Deferred Comp. Match $ 7,800 $ 7,800 $25 per pay period 12 employees 202203 Retirement - VRS- Plan 2 $ 3,764 $ 4,247 1232 % of salaries 1 employees 5 34,473 202204 Retirement -City $ 7,526 $ - 1204 % ofsaluies 0 employees $0.00 202205 Retirement - VRS}lybrid $ 15,111 $ 22,321 1232 % ofsalmies 5 employees $ 181,176 202300 Hospitalization $ 77,771 $ 77,778 12 participating employees 16.8% Annual$ single 8 $ 36,927 em &sp 2 $ 12,780 family 0 $ - Em & Ch 2 $ 10,034 FIRA(twelveemployees) $ 81000 202310 Dental $ 4,895 $ 4,895 12 participating employees 4 $34 per month 202400 Life Insurance - VRS $ 6,071 $ 6,777 1.31 % of salaries 12 employees $ 517,317 202401 Life Insurance -City $ 627 $ - 1.42 % cf salaries 0 employees $ - 202500 Long Term Disability Ins. $ 1,497 $ 1,526 059% salaries RVRA pays 50% $1,526 202510 Short Term Disability Ins. $ 632 $ 632 RVRA pays 100% 202700 Workers' Comp. Ins. $ 27,700 $ 27,439 Workers' Comp. Insurance 12 employees 202750 Retirementl Iealth Insurance Credit $ 1,390 $ 1,552 0.30 % ofsalarles 12 employees S 517,317 202800 Termination Pay $ - $ - Annual and sick leave payments 202810 Cash-in FLP $ 9,534 $ 7,503 Flexible Leave pay out 202830 Employee Benefits $ 947 $ 947 Retiree Health Insurance TOTAL PERSONNEL $ 857,674 $ 902,800 2018 -2019 BUDGET Roanoke Valley Resource Authority PERSONNEL S IS CODE DESCRIPTION FY17 -18 FY18 -19 JUSTIFICATION 101010 Salaries $ 321,151 $ 330,654 Salaries for 8 employees 101015 Overtime $ 7,962 $ 15,000 Extra work required can Saturdays & Holidays 101020 Part -time $ 5,000 $ 5,000 Operations, Buildings, and Grounds Maintenance 101116 Supplements $ - $ - Outstanding performance recogrubon 202100 F.I.C.A. $ 25,560 $ 26,825 7.65 % of salaries, overtime, part time 202200 Retirement -VRS $ 35,905 $ 40,737 1232 % of salaries 6 employees 5 330,654 202840 Deferred Comp. Match $ 5,200 $ 5,200 525 per pay period 8 employees 202203 Retrement - VRS - Plant $ - $ - 12.32 % ofsabrirs 1 employees $ - 202204 Retiremenb City $ - $ - 17.04 % of salaries 1 employees $0.00 202205 Retirement -VRS Hybrid $ - $ - 12.32 % of salaries 3 employees $ - 202300 Hospitalisation 5 49,495 $ 51,861 8 participating employees 16.8% Annual$ single 7 $ 32,311 emFssP 0 5 - fnruly 1 $ 8,237 EmACh 0 $ - IRA (eight employees) $ 4,500 202310 Dental $ 3,263 $ 3,263 8 pertuipatingemployeea@ $34 per month 202400 Life Insurance- VRS $ 4,207 $ 4,332 1.31 % of salaries 8 employees $ 330,654 202401 Life Insurance - City $ - $ - 1.42 % of salaries 0 employees $ - 202500 Long Term Disability Ins. $ 948 $ 975 0.59% salaries RVXA pays 50°k $975 202510 Short Term Disability Ins, $ 421 $ 421 RVRA pays 100% 202700 Workers' Comp. Ins. $ 19,500 $ 20,206 Workers' Comp. Insurance 8 employees 202750 Retirement Health Insurance Credit $ 963 $ 992 030 % of salaries 8 employees $ 330,654 202800 Termination Pay $ - $ - Annual and sick leave payments 202810 Cash -in FIT $ 9,534 $ 5,468 Flexible Leave pay out 202830 Employee Benefits $ 632 $ 632 Retiree Health insurance TOTAL PERSONNEL $ 489,741 $ 511,565 2018 -2019 BUDGET Roanoke Valley Resource Authority PERSONNEL SG CODE DESCRIPTION FY17 -18 EY18 -19 JUSTIFICATION 101010 Salaries $ 528,579 $ 571,157 Salaries for 13 employees 101015 Overtime $ 29,038 $ 18,000 Extra work required on Saturdays & Holidays 101020 Part - time $ - $ 5,000 Operations, Buildings, and Grounds Maintenance 101116 Supplements $ - $ - Outstanding performance recognition 202100 F.LCA. $ 42,658 $ 45,453 7.65 % of salaries, overtime, Part H. 202200 Retirement - VRS $ 34,869 $ 48,019 1232 % ofsalaries 8 employees $ 389,765 202840 Deferred Comp. Match $ 8,450 S 8,450 $25 per pay period 13 employees 202203 Retirement - VRS- Plan 2 $ 8,012 $ 9,430 1232 % of salaries 2 employees $ 76,540 202204 Retirement -City $ - $ - 17.04 % ofa.huies 0 employees S - 202205 Retirement- VRS Hybrid $ 16,214 $ 12,918 12.32 % of salaries 3 employees $ 104,852 202300 Hospitalization $ 81,563 $ 92,914 13 participating employees 16.8% single 9 em&sp 2 family 2 lee &Ch 0 HRA (eleven employees) Annual$ $ 43,874 $ 12,780 $ 16,475 $ - $ 7,500 202310 Dental $ 5,302 $ 5,302 13 parecapoung employees 4 $34 per month 202400 Life Insurance - VRS $ 6,924 $ 7,482 1.31 % ofsalaries 13 employees $ 571,157 202401 Life lnaurance - City $ - $ - 1.42 % fsalaries 0 employees $ - 202500 Long Term Disability Ins. $ 1,559 $ 1,685 059% salaries RVRA pays 50% $1,685 202510 Short Term Disability Ins. $ 684 $ 684 RVRA pays 100% 202700 Workers'Comp. Ins. $ 36,960 $ 40,367 Workers' Comp, Insurance 13 employees 209950 Retirement Health insurance Credit $ 1,586 $ 1,713 0.30 % of salaries 13 employees $ 571,157 202800 Termination Pay $ - $ 25,000 Annual and sick leave payments 202810 Cash -in FLP $ 5,890 $ 10,937 Flexible Leave pay out 202830 Employee Benefits $ 1,026 $ 1,026 Reture Health Insurance TOTAL PERSONNEL $ 809,314 $ 905,537 201 8 2019 BUDGET 10 Roanoke Valley Resource Aotnoary PLRSONNTL TOTALS CODE DESCRIPTION FY18 -19 AD TOTS STS SG 101010 Salaries $ 1,935,889 $ 516,762 $ 517,317 $ 330,654 $ 571,157 101015 Overtime $ 138,000 $ - $ 105,000 $ 15,000 $ 18,000 101020 Part -time $ 40,000 $ - $ 30,000 $ 5,000 $ 5,000 101116 Supplements $ - $ - $ - $ $ 202100 FICA, $ 161,712 $ 39,532 $ 49,902 $ 26,825 $ 45,453 202200 Retirement - VRS $ 183,012 $ 57,091 $ 37,165 $ 40,737 $ 48,019 202840 Deferred Comp. Match $ 24,700 $ 3,250 $ 7,800 $ 5,200 $ 8,450 202203 Retirement- V16 Fla. 2 $ 13,677 $ - $ 4,247 $ - $ 9,430 202204 Retirement - City $ - $ - $ - $ $ 202205 Retirement - VRSHybrid $ 41,812 $ 6,574 $ 22,321 $ - $ 12,918 202300 Hospitalization $ 260,280 $ 37,727 $ 77,778 $ 51,861 $ 92,914 202310 Dental $ 15,499 $ 2,039 $ 4,895 $ 3,263 $ 5,302 202400 Life Insurance -VRS $ 25,360 $ 6,770 $ 6,777 $ 4,332 $ 7,482 202401 Life Insurance -City $ - $ - $ - $ - $ 202500 Long Term Disability Ins. $ 5,711 $ 1,524 $ 1,526 $ 975 $ 1,685 202510 Short Perm Disability Ins. $ 2,000 $ 263 $ 421 $ 684 202700 We,kers'Comp. Ins $ 88,791 $ 779 $ 20,206 $ 40,367 202750 Retirement Health Insurance Credit $ 5,808 $ 1,550 r$27,439 $ 992 $ 1,713 202800 Termination Pay $ 65,000 $ 40,000 $ - $ 25,000 202810 Cash- inb1.P $ 43,783 $ 19,875 $ 7,503 $ 5,468 $ 10,937 202830 Employee Benefits $ 3,000 $ 395 $ 947 $ 632 $ 1,026 TOTALPERSONNEL $ 3,054,035 $ 734,132 $ 902,800 $ 511,565 $ 905,537 2018 2019 BUDGET 17 Roanoke Vallev Resource Authority RSO T R TEL - POSITION # GRADE CURRENT PAY RANGE CEO 1 U Unclassified Operations Manager 1 37 $ 77,036 to $ 122,487 Environmental & Safety Manager 1 34 $ 66,547 to $ 105,810 Business Manager 1 30 $ 54,748 to $ 87,049 Operations Supervisor 3 27 $ 47,294 to $ 75,197 Administrative Coodinator 1 25 $ 42,897 to $ 68,206 Senior Equipment Operator 3 23 $ 38,908 to $ 61,864 Business Supervisor 1 22 $ 37,056 to $ 58,919 Building Maintenance Mechanic 1 21 $ 35,291 to $ 56,113 Motor Equipment Mechanic 0 21 $ 35,291 to $ 56,113 Motor Equipment Operator 11 22 19 $ 32,010 to $ 50,896 Motor Equipment Operator I 0 17 $ 29,034 to $ 46,164 Scale Operator 3 16 $ 27,652 to $ 43,967 Laborer /Operator 0 13 $ 23,866 to $ 37,947 TOTAL SALARIES Adjustments: Market Performance TOTAL ADJUSTED SALARIES 38 $1,893,149 6/30/2018 100% $ 37,863 0.00% mid -point $ - $1,874,658 Mid Point Adjustment /promotions $ 4,877 Total $ 42,740 $ 1,935,889 2018 - 2019 BUDGET 12 Roanoke Valley Re omce Authority PERSONNEL EMPLOYEE BY LOCATION POSITION # GRADE ADMIN. TINKER SALEM LANDFILL CREEK CEO 1 U 1 0 0 0 Operations Manager 1 37 1 0 0 0 Environmental & Safety Manager 1 34 1 0 0 0 Business Manager 1 30 1 0 0 0 Operations Supervisor 3 27 0 1 0 2 Administrative Coordinator 1 25 1 0 0 0 Senior Equipment Operator 3 23 0 I 1 1 Business Supervisor 1 22 0 1 0 0 Building Maintenance Mechanic 1 21 0 1 0 0 Motor Equipment Mechanic 0 21 0 0 0 0 Motor Equipment Operator II 22 19 0 6 6 10 Motor Equipment Operator I 0 17 0 0 0 0 Scale Operator 3 16 0 2 1 0 Laborer /Operator 0 13 0 0 0 0 TOTAL EMPLOYEES 38 5 12 8 13 4118 -2019 BDDGEI 13 Roanoke Valley Resource Authority EXPENSES OPERATING 2018 -2019 BUDGET F Roanoke Valley Resource Authority OPERATING G CODE DESCRIPTION FY17 -18 FY18 -19 JUSTIFICATION 300004 Medical Exams $ 11000 $ 1,000 Physical exams for new employees; drug and alcohol random testing 300007 Contract Services $1,009,193 $ 797,037 Employee Assistance Program: $1628 @ x 39 employees $ 635 Clean Valley Council- Annual $ 61,000 Landscaping- $272 /month $ 3,264 Tire Disposal -460 Tons $89.95 +Fuel Surcharge $ 41,377 Copier Rental $634 /month $ 7,608 III 1W Disposal $ 47,000 Janitorial Services $ 24,000 Exterminating Services $ 1,800 Cap Malmmnance- mowing $ 25,000 Leachate Disposal MR) $ 70,000 Trucking from Salem to TC $ 279,930 Salem Bond Debt $ 235,423 300100 Groundwater Sampling $ 145,432 $ 146,220 Residenfial Drinking Water Sampling and Analysis -SG & RR 24 O $655 $ 15,720 Detection Monitoring -Lab $ 2,500 ACM Monitoring - Lab $ 46,000 Engineering $ 82,000 300102 Stormwater Sampling & Analysis-SG & TCTS $ 32,000 $ 26,000 *Permit Sampling Engineering $ 20,000 Laboratory $ 6,000 300103 Landfill Gas $ 80,020 $ 108,800 SG- Monthly & Quarterly $ 38,200 Monitoring - SG & RR SG Reporting $ 37,600 RR- Monthly Q $2,000 $ 22,000 RR Reporting $ 11,000 300013 Professional Services $ 41,000 $ 31,000 Engineering $ 10,000 Leachate sampling $ 4,000 Auditing Services $ 13,500 Software support $ 3,500 300017 Legal Services $ 62,800 $ 69,000 General Counsel $ 65,000 Outside Legal $ 4,000 300029 Transportation to Smith $ 2,698,439 $ 2,974,922 N S tons shipped 214,300 Gap 62 tons /car = 3,456 165 % limn 1,800 cars:$966 /car $ 1,738,800 1,657 cars: $746 /car $ 1,236,122 Total $ 2,974,922 201 8 2019 BUDGET 14 2018 -2019 BIIDGEI- 15 Roanoke Valley Resource OlryEllil /a /-1A T I T NG 11 L SIS LANDFILL 300004 Medical Exams $ 1,000 Physical exams for new employees; CODE DESCRIPTION - $ M8 -19 JDS11FICATTON ADMIN 2018 -2019 BIIDGEI- 15 TOTS SIS LANDFILL 300004 Medical Exams $ 1,000 Physical exams for new employees; S 1,000 $ - $ - $ _ drug and alcohol random testing 300007 Contract $ 797,037 Employee Assistance Program: Services $16.28 @x 38 employees $ 635 $ 635 $ - $ _ g Clean Valley Council 12 months $ 61,000 $ 61,000 $ - $ _ $ _ Landscaping- $272 /month $ 3,264 $ 3,264 $ - $ - $ _ Tire Disposal $ 41,377 $ 41,377 $ - $ _ $ _ Copier Rental $634 /mo $ 7,608 $ 7,608 HHW Disposal $ 47,000 $ 47,000 Janitorial Services $ 24,000 S 4,200 $ 8,400 $ 6,300 $ 5,100 Exterminating Services $ 1,800 $ - $ 600 $ 600 $ 600 Cap Maintenance - BushHot $ 25,000 $ 25,000 $ - $ _ $ - Leachate Disposal (RR) $ 70,000 $ 70,000 Trucking from Salem to TC $ 279,930 $ - $ - $ 279,930 $ - Salem Bond Debt $ 235,423 $ 235,423 300700 Groundwater $ 146,220 Residential Drinking Weir $ 15,720 $ - $ $ _ $ 75,720 Sampling Detection Monitoring & L, $ 2,500 $ - $ - $ - $ 2,500 & Analysis ACM Monitoring - Lab & $ 46,000 $ 46,000 $ - $ _ $ - SG & RR Engineering $ 82,000 $ 54,000 $ - $ - $ 28,000 $ $ 300102 Stormwater $ 26,000 *Permit Sampling Sampling Engineering $ 20,000 $ - $ 2,000 $ $ 18,000 & Analysis Laboratory $ 6,000 $ - $ 1,000 $ - $ 5,000 300103 Landfill Go, $ 108,800 SG - Monthly &Quarterly $ 38,200 $ - $ - $ - $ 38,200 Monitoring SG Reporting $ 37,600 $ - $ _ $ _ $ 37,600 - SG & RR RR- Monthly @$2,000 $ 22,000 $ 22,000 $ - $ _ $ _ RR Reporting $ 11,000 $ 11,000 $ - $ _ $ - 300013 Professional $ 31,000 Engineering $ 10,000 $ - $ - $ - $ 10,000 Services Leachate samphag $ 4,000 $ 2,000 $ - $ - $ 2,000 Auditing Services $ 13,500 $ 13,500 $ - $ - $ - Software support $ 3,500 $ 3,500 $ - $ _ $ 300017 Legal Services $ 6900 General Counsel $ 65,000 $ 65,000 $ - $ _ $ _ Outside Legal $ 4,000 $ 4,000 $ - $ _ $ 300029 'Transportation $2,974,922 Total Tons to be Eandfilled 214,R00 & Landfill 62 tons /car = 3,456 1,800 cars:$966 /car $ - $1,738,800 $ - $ _ 1,657 cars: $746/ car $ - $1,236,122 $ - $ _ 2018 -2019 BIIDGEI- 15 FRoanoke Valley Resourceranhority OPERATING 2018- 2019BUDGET 16 CODE DESCRIPTION FY17 -18 FY18 -19 JUSTIFICATION 300030 Waste Water $ 160,500 $ 150,894 i.eachate Cars Transportation 202 cars rD 747 /ar $ 150,894 300035 Stone Delivery Charge $ 19,230 $ 22,380 Stone Cars 30 Cars Q $746 $ 22,380 300101 Temporary Help $ - $ - Buildings and Grounds Maintenance 320001 Ccmhaded Repairs $ 265,250 $ 445,250 Office equipment $ 1,250 All road vehicles $ 8,000 Data processing equip. $ 6,000 Construction Equipment Off Road Vehicles $ 250,000 Trailers $ 20,000 Tub Grinder, Seeder, e6 $ 25,000 Miscellaneous Equip. $ 15,000 Tipper /eons $ 120,000 380380 Building Maintenance $ 130,000 $ 140,000 Maintenance and repairs to all buildings and Grounds and ro er p p ty; pump stations, septic tanks. 350010 Printed Forms $ 3,000 $ 3,000 Letterhead, envelopes, cards, scale fickets repair orders, purchasing forms includes General Counsel 360010 Advertising P, bids, public hearings $ 6,000 . ndouts $ 150 M6,850$ er Brochures $ q00 W Brochures $ 200 cellaneous $ 100 2018- 2019BUDGET 16 Roanoke Valley Resowce OPERATING CODE DESCRIVIION FY18 -19 JUSTIFICATION ADMIN TCTS STS LANDFILL 300030 Waste Water Freight $ 150,894 Leachate Cars $ $ - - $ - $ 150,894 202,... 0 747 /car 300035 Stone Car Freight Charge $ 22,380 Stone Cars 30 Cars ® $74 $ - $ - $ $ 22,380 - 300101 Temporary I lelp $ - Buildings & Grounds $ _ $ _ $ _ $ _ Maintenance 320001 Contracted Repairs $445,250 Office equipment $ 1,250 $ _ $ _ $ _ All road vehicles $ 8,000 $ - $ _ $ _ Data processing equip. $ 6,000 $ - $ _ $ Construction Equipment Oft Road Vehicles $ - $ 60,000 $ 50,000 $ 140,000 Trailers $ - $ 10,000 $ 10,000 $ - Tub Grinder, Seeder, c $ - $ 17,500 $ - $ 7,500 Miscellaneous Equip. $ - $ 5,000 $ 5,000 $ 5,000 Tipper /Guns $ - $ - $ $ 120,000 Sub-Total, $ 15,250 $ 92,500 $ 65,000 $ 272,500 380380 Building Maintenance $ and Grounds 140,000 Maintenance to property; septic &repairs $ all buildings and pump station, tanks 35,000 $ 35,000 $ 35,000 $ 35,000 350010 Printed Forms $ 3,000 Letterhead, cards, includes envelopes, $ scale fickma, etc. General Counsel 3,000 $ - $ 360010 Advertising $ 6,850 RFP, hearings, bids, public $ etc 6,000 $ $ Handouts $ 150 $ _ $ _ $ _ User Brochures $ 400 $ _ $ _ $ - HHW Brochures $ 200 $ - $ Miscellaneous $ 100 $ _ $ _ $ 2018 -2019 dUDGEl 17 Roanoke Valley Resounee Authority OPERATING CODE 107,400 $ FY17 -18 FY18 -19 JUSTIFICATION 3600001 s PCenftalSeMces $ 400 $ 400 Recycling handouts, pens, SGRL encils, miscellaneous items 42,000 STS 360030 $ 4500 $ 4,500 Annual Employee Functions & RRLP Customer --- J- -onDay 400600 $ 66,750 $ 66,750 A drnimstrahe smvnes, Natural Gas $ R oanoke County /Roanoke .u, ua�a processing, a support 510010 Electric $ 107,400 $ 100,200 RI S $2,250 /month $ 27,000 SGRL $3,500 /month $ 42,000 STS $2,000 /month $ 24,000 RRLP $600 /month $ 7,200 510021 Heating Services $ 4,000 $ 4,000 Transfer Station Natural Gas $ 4,000 510022 Fuel Off Natural $ 30,000 $ 30,000 Propane Gas $ 30,000 & Bottled Gas Smith Gap Landfill 510041 Water Service- Transfer $ 13,000 $ 13,000 Water & Sewer Service for Transfer Station Stations 510042 Sewer Service - leachate $ 21,000 $ 16,275 Sewer Service- leachage Smith Gap 4,650,000 Leachate cars $3.50 / 1000 gal - W VWA Fee $ 16,275 520010 Postage $ 3,500 $ 3,500 Postage for all mailings and correspondence, postage meter rent includes General Counsel 520030 Telephone $ 4,000 $ 4,200 Telephone service at all facilties, long distance calls, & credit card processing 520033 Internet Lines $ 14,820 $ 16,740 Fees for internet service at Smith Gap Landfill, and Both Transfer Stations 520035 Cell Phones $ 7,300 $ 7,300 Service for cell phones 201 8-2019 BUDGET IS Roanoke Valb, Resoaa a Aatnnriy OPERATING CODE DESCRIPTIO EY18 -19 JUSTIFICATION ADMIN TCTS STS TANDEM 3600001 Promotional Articles $ 400 Recycling handouts, pens, pencils, miscellaneous items $ 400 $ - $ _ $ _ 360030 Spec 1 Events $ 4,500 Annual Employee Functions Customer Appreciation Day $ 4,500 $ _ $ 400600 Central 'Services $ 66,750 Ad ministrative services, Roanoke County /Roanoke $ 66,750 $ - $ _ $ _ City for data processing, eecounfing, web update, uusc 510010 Utilities - Electrici tY $ 100,200 TCIS $2,250 / month $ 7,200 $ 27,000 $ 24 ,000 $ 42,000 SGRLF $3,500 /month STS $2,000 /month RRLF .$600 /month 510021 Heating Services $ 4,000 Transfer Station $ Natural Gas - $ 4,000 $ _ $ _ 510022 Fuel Oil Natural $ & Bottled Gas 30,000 Smith Gap Landfill $ Propane Gas _ $ - $ - $ 30,000 510041 Water Service- $ Transfer Station 13,000 Water& Sewer Service for $ 'Transfer Stafions - $ 10, $ 3,000 $ _ 000 510042 Sewer Service- § Transfer Station 16,275 Sewer Service $ Leachate -Smith Gap _ $ - $ - $ 16,275 520010 Postage $ 3,500 Postage for all mailings and $ correspondence, postage 3,500 $ $ $ meter rent, includes General Counsel 520030 Telephone $ 4,200 Telephone Service $ 4,200 $ _ $ 520033 Internet Lines $ 16,740 Fees for internet service $ 5,700 $ - £ 5,520 $ 5,520 520035 Cell Phones $ 7,300 Service for cell phones $ 7,300 $ _ $ 2018 2019 BO GEi' 19 Roanoke Valley Resonrce Autharlty 0]["lFRATIN CODE DESCRIPTION FY17 -18 FYIS -19 JUSTIFICATION 530002 Property Insurance -Fire $ 28,000 $ 19,500 Coverage for all buildings, contents, and equipment 530005 Motor Vehicle insmance $ 8,000 $ 17,000 Insurance for on -road vehicles 10,000 Operator training for t��uuu/vubhc fficials Insurance $ q$5OO rance through VML or VACO pools LiabilityIns. $ rage for alI facihfies & property quipment $ l of Miscellaneous Equipment avy E quipment ergency Equipment 550001 Travel- Mileage $ 500 $ 500 Use of personal vehicles for RVRA business, staff, and Board Members 550520 Dinner Meetings - $ 4,500 $ 4,500 Monthly Board meetings, dumers & Luncheons luncheons associated with RVR9 550040 "travel and Lodging, $ 24,400 $ 24,400 Conference registrations; $ 6,000 Conference, Training SWANA, VML, legal and Education conferences Subsistence & i,odging $ 10,000 Operator training for $ 8,400 hazardous materials, certifications & educations 560001 Contributions $ 657,000 $ 657,000 Payments per contract to: Roanoke County $ 350,000 Roanoke City $ 150,000 Salem City $ 150,000 Town of Vinton $ 5,000 Volunteer fire and rescue $ 2,000 2018- 2019BUDGET _ 20 Roanoke V.u, ReSowce Arthm,iq OPERATING CODE DESCRIPTION FY18 -19 JUSTIFICATION ADMIN TCTS STS ANDFILL 530002 Property Insurance - $ 19,500 Coverage for all buildings, contents, $ 19,500 $ $ Fire and equipment - _ $ _ 530005 Motor Vehicle Ins. $ 1.7,000 Insurance for on-road vehicles $ 17,000 $ $ _ _ $ - 530007 Public Officials Ins. $ 500 Insurance through VML pools $ 500 $ $ - _ 530008 General Liability Ins. $ 7,000 Coverage for all facilities & property $ 7,000 $ $ - _ $ - 540010 Rent of Equipment $ 6,500 Rental of Miscellaneous Equipment $ $ 2,500 Heavy Equipment - $ 2,500 $ 1,500 Emergency Equipment 550001 Travel - Mileage $ 500 Use of personal vehicles for RVRA $ 500 $ business, staff, and Board Members _ $ - $ 550520 Dinner Meetings - $ 4,500 Monthly Board meetings, dinners & $ 4,500 $ Luncheons luncheons associated with RVRA - $ $ _ 550040 Travel - Lodging $ 24,400 Conference registrafions; SWANA, $ 3,000 $ 1,000 $ 1,000 $ 1,000 VML, legal conferences $ 6,000 Subsistence & Lodging $ 10,000 $ - $ $ 10,000 Operator training for hazardous $ 5,400 $ 1,000 $ 1,000 $ 1,000 materials, certification, ousc. $ 8,400 560001 Contributions $ 657,000 Payments per contract to: $ 5,000 $150,000 $150,000 $ 352,000 Roanoke County $ 350,000 Roanoke City $ 150,000 Salem City $ 150,000 Town of Vinton $ 5,000 Volunteer fire & rescue $ 2,000 21 201 8 2019 BUDGET Roanoke valley Resource Actnorlry OPERATING CODE DESCRIPTION FY17 -18 FYIS -19 JUSTIFICATION 580001 Dues $ 2,100 $ 2,100 Professional & Association dues: cabinet 605050 Janitorial Supplies $ 3,400 $ 4,500 Supplies for general cleaning & sanitation SWANA, SWVSWMA, $ 4,000 $ 4,000 Communications Equipment & Fees 608081 Gasoline $ 14,500 $ 14,500 Fuel for all RVRA vehicles, mowers, etc. 608082 Diesel fuel & IAAP 580015 Warrants and Fees $ 63,000 $ 73,000 DEQ & City Stminwater annual fees= $52,000 supplies for all equipment and vehicles 611030 Uniform and Wearing $ 33,725 $ 34,050 Safety Shoes & Jeans $ 11,050 Apparel Credit Card fees $11,000; CAR FEE $10,000 580023 Employee Recognition $ 7,000 $ 7,000 Awards and Certificates 601010 Office Supplies $ 3,900 $ 3,900 Office paper, pens, pencils, folders, etc. 601011 Photocopies $ 400 $ 400 Miscellaneous Photocopies 601013 Small Equipment & $ 40,000 $ 40,000 Items of office and shop equipment Supplies and supplies, tools, computers 604040 Medical Supplies $ 1,000 $ 1,000 Supplies for first aid kits & medicine cabinet 605050 Janitorial Supplies $ 3,400 $ 4,500 Supplies for general cleaning & sanitation 607071 Radio Parts $ 4,000 $ 4,000 Communications Equipment & Fees 608081 Gasoline $ 14,500 $ 14,500 Fuel for all RVRA vehicles, mowers, etc. 608082 Diesel fuel $ 320,000 $ 320,000 Fuel ferall diesel equipment and vehicles, includes oil, lubricants 609094 'fires, Tubes, Parts $ 70,000 $ 90,000 Replacement and maintenance parts & supplies for all equipment and vehicles 611030 Uniform and Wearing $ 33,725 $ 34,050 Safety Shoes & Jeans $ 11,050 Apparel Rain gear, shirts, hats, misc. $ 11,500 Purchase of uniforms $ 11,500 2018 -2019 BUDGFl "- 22 Roanoke Valley Resource OPERATING CODE DESCRIPTION FYIS -19 JUSTIFICATION ADMIN TCTS STS LANDFILL 580001 Dues $ 2,100 Professional & Association dues: SWANA, SWVSWMA, $ 2,100 $ $ - $ _ 601013 Small Equipment & Supplies & IAAP Items of office and shop equipment and supplies, tools, computers $ 4,000 $ 18,000 $ 7,500 $ 10,500 580015 Warrants and Fees $ 73,000 DEQ & City annual fee-$52,000 Credit Card Pees $10,000, and Carbon Fees -- $11,000 $ 13,000 $ 13,500 $ 6,500 $ 40,000 580023 Employee Recognition $ 7,000 Awards and Certificates $ 7,000 $ - $ _ $ - 601010 Office Supplies $ 3,900 Office paper, pens, pencils, folders, etc. $ 3,900 $ - $ _ $ _ 601011 Photocopies S 400 Miscellaneous Photocopies $ 400 $ - $ $ 601013 Small Equipment & Supplies $ 40,000 Items of office and shop equipment and supplies, tools, computers $ 4,000 $ 18,000 $ 7,500 $ 10,500 604040 Medical Supplies $ 1,000 Supplies for first aid kits & medicine cabinets $ 1,000 $ _ $ _ $ _ 605050 Janitorial Supplies $ 4,500 Supplies for general cleaning & ___ ... $ - $ 1,500 $ 1,500 $ 1,500 607071 Radio Parts $ 4,000 Communications Equipment &Fees $ - $ 2,000 S 2,000 $ 608081 Gasoline $ 14,500 Fuel for all RVRA vehicles, mowers, $ 10,500 $ 500 $ 500 $ 3,000 608082 Diesel fuel $ 320,000 Fuel for all diesel equipment & $ $ - 100,000 $ 40,000 $ 180,000 vehicles, includes oil, lubricants 609094 Tires, Tubes, & $ 90,000 Replacement and maintenance parts $ 6,000 $ 22,000 $ parts supplies for all equipment and 22,000 $ 40,000 vehicles 611030 Uniform & Wearin $ 34,050 Safety Shoes & Jeans $ A arel PP Rain gear, shuts, hats, rnisc. $ 325 $ 4,018 $ 2,679 $ 4,028 3,500 $ 2,909 $ 1,939 $ 3,]52 Purchase of uniforms $ 1,500 $ 3,636 $ 2,424 $ 3,939 23 2018- 2019BUDULF - — Roanoke valley aeaneovo A,mnodty OPERATING CODE DESCRIPTION FY17 -18 FY18 -19 JUSTIFICATION 620001 Subscriptions / Books $ 500 $ 500 Professional magazines and manuals 650001 Other Operating $ 90,000 $ 90,000 Disinfectants, deodorizers, suit for roads, Supplies gravel and stone for roads, seed, mulch fertilizers and lime for seeding slopes, fill areas and other areas, miscellaneous expenses 650003 Fire Equipment and $ 3,000 $ 3,000 Fire hoses & extinguishers replacements & Supplies and for annual inspections for all facilities 650010 Safety Equipment $ 4,000 $ 4,000 Dustmask, safety glasses, etc. 967070 Unappropriated Balance $ 79,129 $ 82,726 For unexpected expenditures 1.25% TOTAL OPERATING $ 6,409,438 $ 6,700,794 20182019BUDGt7 24 Rneuoke Van, Resouece OPERATING CODE DESCRIPTION FY18 -19 JUSTIFICATION ADMIN TOTS STS LANDFILL 620001 Subscriptions $ 500 Professional magazines $ 500 $ $ /Books and manuals - _ $ _ 650001 Other Operating $ 90,000 Disinfectants, deodorizers, salt $ 12,500 $ 5,000 $ 5,000 $ Supplies gravel for roads, seed, mulch 67,500 fertilizers & ]ime for seeding slopes, fill areas & other areas, miscellaneous expenses 650003 Eire Equipment & $ 3,000 Fire hoses & extinguishers $ 3,000 $ $ Supplies replacements & and for _ _ $ _ annual inspections for all facilities 650010 Safety Equipment $ 4,000 Dust mask, safety glasses, etc, $ 4,000 S $ _ Subtotals $ 97,500 $ 20,000 $ 5,000 $ 5,000 $ 67,500 Sub-Totals 14-24 $6,618,068 $1022782 $3,482,986 $ 665,892 $1,446,408 967070 Unappropriated $ 82,726 $ Balance 12,785 $ 43,537 $ $324 $ 18,080 TOTAL OPERATING $6,700,794 $1,035567 $3,526,523 $ 674,216 $1,464,488 25 2018 -2019 BUDGET Roanoke Valley Resouzee Authority EXPENSES CARITAL 2018 -2019 BUDGET Roanoke valley Resoone Aoenndty CAPITAL 201 8-2019 RUDGEP 26 CODE DESCRIPTION FY17 -18 FY18 -19 JUSTIFICATION 810001 Machinery & Equipment New $ - $ - Nothing Planned 810002 Machinery & Equipment $ Replacement - $ - Nothing Planned 820001 Furniture, Office $ Equipment New - $ - Nothing Planned 830001 Communications $ Equipment New - Nothing Planned 810001 Small Capital Outlay $ New - $ - Nothing Planned 870001 Technology $ Equipment -New - $ - Nothing Planned 870650 Computers $ Equipment Replacement - $ - Nothing Planned 870005 Computer Server $ - $ - Nothing Planned 890002 New Building $ - $ - Nothing Planned TOTAL CAPITAL $ 201 8-2019 RUDGEP 26 Roanoke Valley Resource Authority EXPENSES RISERVIS 2018 -2019 BUDGET Roanoke Valley Resume Authority RESERVES CODE DESCRIPTION BALANCE DEPOSIT EXPENSE BALANCE JUSTIFICATION 7/1/2018 FY18 -19 FY18 -19 06/30/19 C846 Landfill Closure $ 5,131,581 $ - $ - $ 51131,581 As required by State 9209 and Federal Regulation$ to close Smith Gap Landfill Close 7 Acres C847 Equipment $1,342,661 51,360,000 $2,545,000 $ 157,661 For replacement of 9210 Reserve Fund equipment per equipment replacement schedule. C847 Groundwater $ 500,000 $ - $ - Groundwater 9211 Protection Fund protection fund per E209,475 local permit. C847 Landfill Host $ 199,475 $ 10,000 $ - As per local permit. 9212 Community Intranet /property Improvement Fund C847 Property Value $ 384,629 $ - $ - $ 384,629 As per local permit. 9213 Protection Current fund is adequate based on anticipated sales. C848 Future Site $ 361,753 $ 350,000 $ - $ 711,753 For future construction 9214 Development of the landfill Engineering for Phase VI C848 Capital $ 250,009 5 40,000 $ 330,000 $ (39,991) For maintenance and 9215 Improvement improvements to the Fund facilities. Lighting, Carpet, and Tile C840 Contingency $ 3,557,484 $ - $ 21,161 $ 3,536,323 For unexpected expenses 9201 Reserve and for fipping fee Fund stabilization TOTAL RESERVE $11,727,592 $1,760,000 $2,896,161 $ 10,591,431 FUNDS 2018 -2019 BUDGES' 27 Roanoke Valley Resoume Authority "RESERVES CODE DESCRIPTION JUSTIFICATION DEPOSIT ADMIN TOTS STS LANDFILL FY1849 70846 Landfill Closure As required by State S 9209 and Federal regulations to close Smith Gap Regional Landfill C847 Equipment For replacement of $ 7,360,000 $ - $ 266,560 $ 421,600 $ 671,840 9210 Reserve Pund equipment per equipment replacement schedule. 70847 Groundwater Groundwater - 9211 Protection Fund protection fund per local permit. 0847 Landfill Host As per local permit. $ 10,000 $ - $ 9212 Community intranet/property Improvement Fund C847 Property Value As per local permit. $ - $ - $ - $ 9213 Protection Current fund is adequate based on anticipated sales. 70848 Future Site For future construction $ 350,000 $ - $ - $ - $ 350,000 9214 Development of the landfill 7848 Capital For maintenance and S 40,000 $ - $ 20,000 S 20,000 9215 Improvement improvements to the Fund facilities. 70840 Contingency Por unexperted expense S 9201 Reserve and for tipping fee Fund stabilization TOTAL RESERVE $1,760,000 $ - $ 286,560 $ 421,600 $ 1,051,840 FUNDS 2018-2019 BUDGET 28 Roanoke Valley Resooxee Authority TIPPING FEE BREAKDOWN 2018 -2019 BUDGET Roanoke Valley Resource Autborily 1�JpL�ING Fy�FE A - L OPERATIONS CATEGORY ADMIN TCIS STS LANDFILL TOTAL PERCENT PERSONNEL $ 734,132 $ 902,800 $ 511,565 $ 905,537 $ 3,054,035 24% OPERATIONS $ 1,035,567 $ 3,526,523 $ 674,216 $ 1,464,488 $ 6,700,794 52% DEPOSITS AND RESERVES $ - $ 286,560 $ 421,600 $ 1,051,840 $ 1,760,000 14% DEBT SERVICE $ 1,276,582 $ - $ - $ - $ 1,276,582 10% TOTAL $ 3,046,281 $ 4,715,883 $ 1,607,381 $ 3,421,865 $ 12,791,411 100% PERCENTAGE 24% 37% 13% 27% 100% Required Tipping Fee Municipal $ 49.5 per ton Commercial $ 59.5 per ton 29 201 &2019 Roanoke Valley Resource Authority APPENDIX 2018-2019BUD= IN THE COUNCIL OF THE CITY OF ROANOKE, VIRGINIA The 16th day of April, 2018. No. 41095- 041618. AN ORDINANCE authorizing the City Manager to execute Amendment No. 1 to the Contract for Purchase and Sale of Real Property, dated April 20, 2016 (the "Contract') between the City of Roanoke, Virginia (the "City "), acrd Deschutes Brewery, Inc., an Oregon corporation qualified to transact business in the Commonwealth of Virginia (the "Parent'), and its subsidiaries or affiliates that may be created to own and/or operate the Facility described below (together, such subsidiaries and affiliates are "Subsidiaries" and the Parent and the Subsidiaries together, jointly and severally, are the "Buyer"), to sell to the Buyer certain real property located at 2002 Blue Hills Drive, N.E., Roanoke, Virginia 24012, consisting of approximately 49.4173 acres, more or less, together with all improvements thereon, designated as Official Tax Map No. 7230101 (the "Property "), for the construction and operation of a brewery and warehouse facility (the "Facility "), to amend certain terms of the Contract to extend the Closing Date; authorizing the City Manager to execute such further documents and take such further actions as may be necessary to accomplish the above matters; and dispensing with the second reading of this Ordinance by title. WHEREAS, the Council of the City of Roanoke adopted Ordinance No. 40485 - 041816, adopted on April 18, 2016, in which Council approved the terms of a Contract between the City and the Buyer, pursuant to which Contract the City agreed to sell City -owned property located at 2002 Blue Hills Drive, N.E., Roanoke, Virginia 24012, consisting of approximately 49.4173 acres, more or less, together with all improvements thereon, designated as Official Tax Map No. 7230101; WHEREAS, the City and Buyer executed the Contract which was dated April 20, 2016; WHEREAS, Section 10 of the Agreement provides that Closing of the transaction shall occur prior to May 1, 2018; and WHEREAS, the Buyer has requested an extension of the Closing Date to prior to May 31,2018. THEREFORE, BE IT ORDAINED by the Council of the City of Roanoke as follows: City Council hereby approves the terms of Amendment No. I to the Contract as set forth in the City Council Agenda Report dated April 16, 2018, which Amendment No. 1 amends the Contract approved by City Council by Ordinance No. 40485- 041816, adopted on April 18, 2016, and provides for certain undertakings and obligations by the Buyer and City. 2. The City Manager is hereby authorized on behalf of the City to execute Amendment No. 1 to the Contract, to amend certain terms of the Contract to extend the Closing Date to prior to May 31, 2018, as set forth in the aforementioned City Council Agenda Report. Amendment No. 1 to the Contract is to be substantially similar to the Contract attached to the Agenda Report. 3. The City Manager is further authorized on behalf of the City to negotiate and execute such further documents and take such further actions related to this matter and as may be necessary to implement, administer, and enforce the conditions and obligations that must be met by the Buyer pursuant to the Contract and Amendment No. 1. 4. The form of the documents referred to above and in the Agenda Report arc to be approved by the City Attorney. 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: p City Clerk Meeting: April 16, 2018 Subject: Amendment of Contract for Purchase and Sale of Real Property between the City of Roanoke and Deschutes Brewery, Inc. Background: Deschutes Brewery, Inc. (Deschutes) executed a Contract for Purchase and Sale of Real Property (Contract) with the City of Roanoke (City) effective April 20, 2016, whereby the City agreed to sell approximately 49.4173 acres, located at 2002 Blue Hills Drive, N.E., (Official Tax Map #7230101) to Deschutes for the construction and operation of a brewery and warehouse facility (Facility). The terms of this Contract provided for a closing date prior to May 1, 2018. At the request of Deschutes, the City is seeking approval to extend this closing date to prior to May 31, 2018. Deschutes notified the City that it anticipates changes in the scope and timing of the originally proposed project and those expected changes may require adjustments in the original timeline. As a result, the City and Deschutes plan to present an amended contract to Council for consideration at the May 21, 2018 session of Council that will: (1) amend the description of the property to be sold to Deschutes to include the three parcels acquired by the City adjacent to the large site: (a) Roanoke City Tax Map No. 71 70509, 2410 Mason Mill Road, N.E., Roanoke, Virginia; (b) Roanoke City Tax Map No. 7170505, 2402 Mason Mill Road, N.E., Roanoke, Virginia; and (c) Roanoke City Tax Map No. 7170504, 2320 Mason Mill Road, N.E., Roanoke, Virginia; (2) sell the property (including the three recently acquired lots) to Deschutes for $3,205,000 in cash on or before May 31, 2018. The sale of the property will be subject to: (1) a restrictive covenant limiting the use of the property to manufacturing, (ii) a restrictive covenant preventing the sale or transfer of the property, or any portion thereof without prior approval of the City; (iii) a right of first refusal for the City to repurchase the property at the sale price; and (iv) such other terms and conditions as the parties may mutually accept. It is anticipated that the parties will work together to establish a revised development and construction schedule based on Deschutes' evaluation of market conditions, with such revised performance schedule to be determined during 2019. Therefore, the economic development incentives set forth in the current Contract and related agreements would be terminated, and Deschutes would be permitted to resubmit a request for economic development incentives at a later date based on the outcome of their assessment and evaluation of their business model and future performance schedule. Recommended Action: Adopt the attached ordinance authorizing the City Manager to execute an Amendment No. 1 of the Contract between Deschutes Brewery, Inc. and the City of Roanoke, substantially similar to the Amendment No. 1 attached to this Report, with a revised closing date prior to May 31, 2018. All documents are subject to approval as to form by the City Attorney. - - ------ - - - - -- Robert S / CoaGt+ll, Jr. City Manager Distribution: Council Appointed Officers R. Brian Townsend, Assistant City Manager for Community Development Rob Ledger, Acting Director of Economic Development Amelia C. Merchant, Director of Finance AMENDMENT NO. 1 CONTRACT FOR PURCHASE AND SALE OF REAL PROPERTY DATED APRIL 20, 2016 This Amendment No. 1, to the Contract for Purchase and Sale of Real Property dated April 20, 2016, between the City of Roanoke, Virginia, a Virginia municipal corporation ( "Seller" or "City "), and Deschutes Brewery, Inc., an Oregon corporation qualified to transact business in the Commonwealth of Virginia ( "Parent'), and its subsidiaries or affiliates that may be created to own and /or operate the Facility described below (together, such subsidiaries and affiliates are `Subsidiaries" and the Parent and the Subsidiaries together, jointly and severally, are the "Buyer ") ( "Amendment No. I ") is made this _ day of April, 2018, by and between Seller and Buyer. RECITALS: A. Seller and Buyer entered into a Contract for Purchase and Sale of Real Property dated April 20, 2016 ( "Agreement') under which Agreement Seller agreed to sell, and Buyer agreed to purchase, the Property as defined therein, for the sum of $2,750,000, together with other considerations. B. Section 10 of the Agreement provides that Closing of the transaction shall occur prior to May 1, 2018; C. Buyer notified the City that due to significant changes in its industry, it would like to extend the Closing Date to May 31, 2018; and D. Buyer and Seller agree to amend certain terms of the Agreement to extend the Closing Date. NOW, THEREFORE, based upon the mutual covenants and agreements set forth in the Recitals which are incorporated as a part of this Amendment No. 1, and for other good and valuable consideration, the sufficiency of which the parties acknowledge, Seller and Buyer agree as follows: Amendments to Agreement. Seller and Buyer hereby amend the Agreement as follows: Section 10 of the Agreement is amended by replacing the Section with the following: Section 10. Closing Date, The Closing of this transaction shall occur prior to May 31, 2018, on a date selected by Buyer ( "Closing Date "). Buyer shall provide Seller with not less than thirty (30) days advance written notice of the Closing Date. The Closing shall occur at a mutually acceptable time (anticipated to be approximately 10:00 A.M) on the Closing Date in the Office of the City Attorney, or at such other location and time as shall be approved by Buyer and Seller. 2. Entire Agreement The Agreement, as amended by this Amendment No. 1, constitutes the entire agreement between the parties. The Agreement, as amended by this Amendment No. 1, remains in full force and effect. SIGNATURES APPEAR ON FOLLOWING PAGES IN WITNESS WHEREOF, Buyer and Seller have executed this Amendment No. I by their authorized representatives effective as of the Effective Date. WITNESS: CITY OF ROANOKE, VIRGINIA Robert S. Cowell, Jr., City Manager COMMONWEALTH OF VIRGINIA CITY OF ROANOKE, to -wit: The foregoing instrument was acknowledged before me this _ day of April, 2018, by Robert S. Cowell, Jr., City Manager for the City of Roanoke, Virginia, a Virginia Municipal Corporation, for and on behalf of said municipal corporation. My commission expires: Notary Public SEAL WITNESS: DESCHUTES BREWERY, INC. on behalf of itself and its subsidiaries and and affiliates that may be created to own and /or operate the Facility By Michael LaLonde, President & CEO STATE OF To -wit: CITY /COUNTY OF The foregoing instrument was acknowledged before me this _day of April, 2018, by Michael LaLonde, President & CEO of Deschutes Brewery, Inc., an Oregon Corporation for and on behalf of Deschutes Brewery, Inc. My commission expires: Notary SEAL Approved as to Form: Approved as to Execution: Assistant City Attorney Assistant City Authorized by Ordinance No. J- 4 * - �� u+�' � ` � '�; ,'mss - � ��: �� .� ,,, r � ,�. '� � t � <° � � � �i1V '`` _ f�, � � , r � -,: �► •- �... o a.. - . ____, - ___ - ,„��� Aw .f' .) � � � `► •gym ,� �� � The Vision The City of Roanoke is a safe, caring and economically vibrant community in which to live, learn, grow, play and prosper. City of Roanoke Priorities Assure a desirable region where Cultivate a thriving business judicial needs are met and citizens environment and innovative feel safe in their community. workforce opportunities to ensure Safety Economy the prosperity of our community, recognizing our role in both the regional and global economies. Enhance Roanoke's exceptional vitality as an Foster an environment for attractive, diverse, lifelong learning which culturally inclusive, vibrant Livability Education encompasses cradle to and active city in which to career and beyond through live, learn, work and play. shared services and V' community involvement. Good Infrastructure Government Maintain and build quality ` ' Provide exceptional, yet cost infrastructure that supports competitive government healthy residential Human services that are collaborative, neighborhoods, successful Services transparent, responsive, and commercial areas, and innovative. accessible public facilities and amenities. Foster a caring community that utilizes an equitable, regional, and collaborative approach to encourage preventative measures, intervention services, and self - sufficiency while providing a social safety net for citizens. FY 2018 -2019 Budget • Recommended budget is balanced at $291,699,000, an increase of $8.9 million or 3.15 %, and meets the priorities established by City Council • Key Budget Highlights: — Includes funding for strategic investments in all priority areas, compensation and inflationary cost adjustments including funding for: • Enhancing school safety • Additional EMS medic unit to address service demands • Children's Services Act needs • Jail mental health services • Emergency relief to help prevent homelessness • Mental and physical health services support • Tourism • Arts • Transportation • Alley maintenance • Neighborhood activities FY 2019 Revenue Estimate by Other La $5' Major Category (in millions) Sales Tax Other Revenue $74.1 Tax FY 2019 Revenue Estimate Permits, Fees and Licenses FY 18 FY 2019 Change from %Change from Fines and Forfeitures Adopted Estimate Adopted FY 2018 Adopted FY 2018 Real Estate Tax $ 84,060,000 $ 86,460,866 $ 2,400,866 2.9% Personal Property Tax 23,941,000 24,361,000 420,000 1.8% Other General Property Taxes 8,012,000 8,014,500 2,500 0.0% Sub -Total General Property Taxes 116,013,000 118,836,366 2,823,366 2.4% Sales Tax 20,100,000 20,707,000 607,000 3.0% Prepared Food and Beverage Tax 16,218,000 16,500,000 282,000 1.7% Business License Tax 12,844,000 13,114,000 270,000 2.1% Transient Occupancy Tax 4,300,000 4,500,000 200,000 4.7% Other Local Taxes 24,507,000 25,367,000 860,000 3.5% Sub -Total Other Local Taxes 77,969,000 80,188,000 2,219,000 2.8% Permits, Fees and Licenses 911,000 902,000 (9,000) (1.0 %) Fines and Forfeitures 1,027,000 1,025,000 (2,000) (0.2 %) Revenue from Use of Money /Property 216,000 288,000 72,000 33.3% Health and Welfare Funding from Commonwealth 30,659,000 32,032,500 1,373,500 4.5% Other Funding from Federal and State 41,641,000 42,056,734 415,734 1.0% Charges for Senrices 13,710,000 15,738,400 2,028,400 14.8% Other Revenues 639,000 632,000 (7,000) (1.1 %) Total General Fund Revenues $ 282,785,000 $ 291,699,000 $ 8,914,000 3.16% Proposed Fee Adjustments Basic Life Support $375.00 $430.00 $462.88 $390.00 Advanced Life Support 450.00 518.00 549.67 450.00 (Level 1) Advanced Life Support 650.00 748.00 759.57 685.00 (Level 2) Mileage 9.00 /mile 9.00 /mile 9.40 /mile 11.00 /mile Response, Treatment N/A 300.00 400.00 0.00 and Non - Transport Fee Increase of 15% in rate generates $100,000. External Agenc $9,738,014 Priority Allocations Reserved Allocations) $25,638,763 Economy $1,952,432 Education 51,805,862 od Government $18,443,394 Human Services $39,827,545 RCPS $81,246,526 Education • Roanoke City Public Schools - $81,246,526 — 40% of adjusted local taxes — Increase of $1,654,326 over adopted FY 2018 • Libraries — Books for Early Literacy — Program and operations support Safety • Fire /EMS: — Medic Unit — Peak -Time Ambulance supplemental staffing • Police: — Community Policing Specialist Program support — Overtime for support of specific targeted details — Deer Culling — Services Captain • Sheriff: — Jail Mental Health Unit — DARE Program expansion — Deputy Sheriff II Career Development Program (Phase III) — Deputy Sheriff positions • Code Enforcement: — Demolition of derelict structures — Weed /trash abatement Human Services • Children's Services Act • Emergency Relief to prevent homelessness • Family Services • Foster Parent Training • Interpreter Services Infrastructure • Environmental Management — Environmental Waste /Disposal Fleet Management — Fuel — Parts • Transportation — Alley Maintenance — Paving Good Government • Registrar — Additional election • Treasurer — Postage and contract cost increases — Tax /Treasury System implementation support Livability • Libraries — Utilities • Neighborhood Services — Support of Roanoke Neighborhood Advocates • Parks and Recreation /Transportation — Special Event Coordination /Public Assembly Permitting • Public Works /Solid Waste Management — Tipping fees Economy • Economic Development — Performance Agreements Reserved Allocations • Reserves • Medical • Worker Compensation • 2% Compensation Increase External Agencies • Funded by Agreement — Blue Ridge Behavioral Healthcare — Health Department — Hotel Roanoke Conference Center Commission (1% sales tax) — Regional Center for Animal Care & Protection (RCACP) — Roanoke Valley Television (RVTV) — Service District Taxes (Downtown & Williamson Road) — Visit Virginia's Blue Ridge • Other — Cultural Endowment Capital Project Planning • Maintain Current Capital Assets and Infrastructure Investment for Livability and Economic Development • Bridge Replacement • Curb, Gutter and Sidewalk • Streetscape Projects • Stormwater Improvements • Civic Center • School Maintenance • Targeted Livability Investments • Parks and Recreation Master Plan • Libraries Investments made within parameters of debt policy. FY 2019 -2023 CI P Project 2019 2020 2021 2022 2023 Total RCPS $12,700,000 $5,000,000 $5,000,000 $5,000,000 $5,000,000 $32,700,000 Bridge Renovation 111000,000 11,000,000 22,000,000 Library Master Plan 670,000 500,000 5,310,000 2,399,000 8,879,000 P &R Master Plan 2,500,000 11000,000 1,000,000 1,000,000 1,000,000 6,500,000 Civic Center 1,500,000 11500,000 1,500,000 11500,000 1,500,000 7,500,000 Stormwater Improvements 2,000,000 2,000,000 2,000,000 2,000,000 2,000,000 10,000,000 Curb, Gutter and Sidewalk 1,500,000 11500,000 1,500,000 1,500,000 1,500,000 7,500,000 Streetscapes Improvements 500,000 500,000 500,000 500,000 500,000 2,500,000 Fire Facility Master Plan 5,025,000 645,000 7,860,000 13,530,000 911 Center 7,500,000 RCIT Improvements 900,000 7,500,000 Passenger Rail 900,000 Fleet Capital Replacements 1,700,000 1,600,000 600,000 2,500,000 600,000 900,000 21500,000 5,400,000 Technology Capital 2,205,000 11500,000 500,000 4,205,000 Public Works Service Center 1,400,000 1,500,000 1,500,000 4,400,000 Capital Building Maintenance 11000,000 1,000,000 11000,000 11000,000 11000,000 5,000,000 TOTALS $41,100,000 $17,600,000 $31,410,000 $29,644,000 $21,260,000 $141,014,000 • Excess debt service available in some years for one -time capital needs and Undesignated Fund Balance One -Time Funding Excess Debt Service $1,640,559 Funding of Reserves 310,958 Enterprise Zone 150,000 Additional Cultural Endowment 75,000 Percent for Art 59,000 Public Safety Equipment Replacement 350,000 Additional deputies for DARE program 132,000 Grant Match 100,000 Capital Project Contingency 247,229 Comprehensive Plan staff support 111,372 Urban Forestry Support 105,000 TOTAL $1,640,559 Budget Calendar • Budget Public Hearing — April 26, 2018 — 7:00 p.m. (Council Chamber) — General Fund, Real Estate, HUD Consolidated Plan • Council Briefing /Budget Study — May 7, 2018 — 9:00 a.m. (Council Chamber) • Budget Adoption — May 14, 2018 — 2:00 p.m. (Council Chamber) HIGHLIGHTS: • Proposed FY 2019 General Fund Budget: $291,699,000 - an increase of $9.9 million or 3.15% • Balanced Budget addressing Council's priority areas: Education, Safety, Human Services, Infrastructure, Good Government, Livability, Economy • NO NEW TAXES • Increase in EMS Fees to maximize reimbursement from Medicaid • Overall key strategies for the FY2019 Budget Process: Prioritize, Take Strategic Action, Seek and Enhance Collaborative Partnerships, Innovate, Empower the Organization Education: Increased funding for Roanoke City Public Schools, Library books and programs Safety: Additional funding for EMS Medic Unit, Peak -Time Ambulance, Community Policing, Jail Mental Health, School Safety, Neighborhood Code Enforcement Human Services: Funding for Emergency Relief to prevent homelessness and additional funding to support Children's Services Act needs Infrastructure: Additional funding for Paving and Alley Maintenance Good Government: Additional funding to support Elections and the Taxrrreasury System implementation Livability: Increased in funding for Neighborhood Support activities Economy: Additional funding to support Economic Development projects Reserved Allocations: Increased funding for Reserves and provide additional employee compensation External Agencies: Additional funding to support Culture, Mental and Physical Health, and Tourism Revenue Estimate by Major Category Priority Allocations I wwSXmeai- Oche. m[al T.. 20% ameree.eo�. 6e.nnm ,.ed Emn,.,,, APnUes, 51,95. 439 $9.738,014 535, 638,Mi G,.ninY, $16.011,018 $.kq, 119,111,112 x In, .nnrd„re, $17,965,434 To view the FY 2019 Proposed Operating & Capital Improvement budgets online, visit www roanokeva eov 6erv1w, Capital Improvement Program Provides funding to: • Maintain Current Capital Assets and Infrastructure Investment for Livability & Economic Development • Targeted Livability Investments Beginning in FY 2018, the method for funding capital projects through the issuance of long -term debt has been supplemented by a practice of utilizing shorter term financing initially, known as "just in time financing.' The anticipated benefits of this altered strategy include the avoidance of additional debt service funding requirements and the increased availability of funding to be dedicated to funding of reserves. FY 2018 -2019 Projects: • RCPS - $12.7 million - Fallon Park replacement, renovation and expansion needs, roof replacements • Library Master Plan: $0.67 million - Gainsboro library refurbishing and South Roanoke e- branch • Parks & Recreation Master Plan: $2.5 million - Fulfill elements of plan as approved by City Council • Berglund Center: $1.5 million - Coliseum restroom renovation Phase I, Coliseum and Performing Arts Theatre sound system replacement, Performing Arts Theatre - stage floor replacement and lighting upgrade, Cooling Tower addition • Stormwater Improvements: $2.0 million - Neighborhood improvement projects • Curb, Gutter and Sidewalk: $1.5 million - Continued installation of new curb, gutter, and sidewalks based on current list of projects and project requests • Streetscapes Improvements: $0.5 million - Sheatscape improvement project s to be identified • Fire Facility Master Plan: $5.025 million - Construction of Fire Station #7 • 911 Center: $7.5 million - Construction of new E -911 Center in partnership with Virginia Utility Protection Service (VA 811) • RCIT Improvements: $0.9 million - Extension of Blue Hills Drive to the Dechutes Brewery sites • Fleet Capital Replacements: $1.7 million - Replacement of 7 Solid Waste Management collection trucks • Technology Capital: $2.205 million - Revenue system replacement and digital radio conversion • Public Works Service Center: $1.4 million - Parks and Recreation Equipment Building Phase I, fuel island canopy, additional equipment wash bay, sett brine tank canopy and control room, drainage improvements, security system upgrade • Capital Building Maintenance: $1.0 million - HVAC replacement and roof replacement Important Dates: April 26, 2018 - Budget Public Hearing - General Fund, Real Estate, HUD Consolidated Plan, 7pm (Council Chamber) May 7, 2018 - Council Briefing I Budget Study, gam (Council Chamber) May 14, 2018 - FY2019 Budget Adoption, 2pm (Council Chamber) For more information, call the Department of Finance at (540) 853 -6800. IN THE COUNCIL OF THE CITY OF ROANOKE, VIRGINIA The 16th day of April, 2018. No. 41096 - 041618. A RESOLUTION authorizing the acceptance of a Summer Food Program Grant from the Virginia Department of Education, and authorizing execution and attestation of any required documents on behalf of the City, in connection with such grant, under certain conditions. BE IT RESOLVED by the Council of the City of Roanoke that: The City Manager is hereby authorized on behalf of the City to accept from the Virginia Department of Education a Summer Food Program Grant in the amount of $100,000, such funding to be used to fund partially the expense of providing for the nutritional needs of children and youth during the summer months through the City's Summer Nutrition Program, all of which is more particularly described in the City Council Agenda Report dated April 16, 2018, to City Council. 2. The City Manager and the City Clerk are hereby authorized to execute and attest, respectively, for and on behalf of the City, any and all requisite documents pertaining to the City's acceptance of the grant, such documents to be approved as to form by the City Attorney, and to furnish such additional information as may be required by the Virginia Department of Education in connection with the grant. 3. The City Manager is further authorized to take any further actions, and to execute any additional documents, approved as to form by the City Attorney, needed to implement and administer the Summer Food Program Grant. 2018 4 16 - RSwnmer Food Program due ATTEST: UL-0 y1n. City Clerk. 4-F.. IN THE COUNCIL OF THE CITY OF ROANOKE, VIRGINIA The 16th day of April, 2018. No. 41097 - 041618, AN ORDINANCE to appropriate funding from the Federal Government, through the Virginia Department of Education, for the Summer Food Program, amending and reordaining certain sections of the 2017 -2018 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 certain sections of the 2017 -2018 Grant Fund Appropriations be, and the same are hereby, amended and reordained to read and provide as follows: Appropriations Youth Activities Revenues Summer Food Program FYI 35- 620 -5379 -2157 $ 100,000 35- 620 - 5379 -5279 100,000 Pursuant to the provisions of Section 12 of the City Charter, the second reading of this ordinance by title is hereby dispensed with. ATTEST: aM•�f�y City Clerk. E) CITY COUNCIL AGENDA REPORT To: Honorable Mayor and Members of City Council Meeting: April 16, 2018 Subject: Summer Food Program Background The City of Roanoke continues to provide for the nutritional needs of children and youth during the summer months through a Parks and Recreation supervised Summer Nutrition Program. Breakfast and lunch are provided to children throughout Roanoke from mid -June through mid - August. An estimated 25,000 meals will be served this summer. Federal funds, up to $100,000, have been awarded to the City by a grant from the Virginia Department of Education. The City is reimbursed on a per meal basis for meals actually served. The remaining funds necessary to staff this program are allocated in the Parks and Recreation operating budget. Considerations: The Summer Food Program is partially funded through the United States Department of Agriculture, Food and Nutrition Service, with the Virginia Department of Education serving as the sponsoring agency in Virginia. The program is similar in concept to the National School Lunch Program with eligibility requirements much like those used to determine eligibility for free or reduced priced meals during the school year. The purpose is to provide nutritionally balanced, healthy meals to children, ages one through eighteen, and those with special needs. Participating locations include Apple Ridge Farm, Eureka Center, Villages at Lincoln, Indian Rock Village, Jamestown Place, Lansdowne Park, Preston Center, Dominion Day Services, Bluestone Park, The Hope Center and Intercept. Recommended Action: Accept the Summer Food Program grant in the amount of $100,000 and authorize the City Manager and City Clerk to execute and attest respectively, an agreement with the Virginia Department of Education and any other forms necessary to accept such grant, approved as to form by the City Attorney. Adopt the accompanying budget ordinance to establish a revenue estimate in the amount of $100,000, and appropriate funding in the same amount into an expenditure account to be established in the Grant Fund by the Director of Finance. - - -- - - - -- - -- ---- - - - - -- Robert S. Cowell, Jr. City Manager Distribution: Council Appointed Officers Brian Townsend, Assistant City Manager Amelia C Merchant, Director of Finance Michael D. Clark, Director of Parks and Recreation CITY OF ROANOKE, VIRGINIA CONTRACT PREPARED FOOD & DELIVERY SERVICES This Contract is dated March 16, 2018, between the City of Roanoke, Virginia, a Virginia municipal corporation, hereinafter referred to as the "City" or "Owner ", and School Board of the City of Roanoke, hereinafter referred to as the "School Board," WITNESSETH: WHEREAS, School Board has been awarded this Contract by the City for furnishing all equipment, materials, goods, labor, and services necessary to provide food and deliver services for the City Summer food program and associated work in accordance with this Contract and the documents referred to herein, all such items or services also being referred to hereinafter as the Work or Project. NOW, THEREFORE, THE CITY AND THE SCHOOL BOARD AGREE AS FOLLOWS: SECTION 1. WORK TO BE PERFORMED AND DOCUMENTS For and in consideration of the money hereinafter specified to be paid by the City to the Contactor for the Work provided for in this Contract to be performed by the School Board, the School Board hereby covenants and agrees with the City to fully perform the services, provide any materials called for, construct, and complete the Work called for by this Contract in a good and workmanlike manner in accordance with this Contract and the documents referred to herein in order to fully and properly complete this Contract within the time stipulated, time being made of the essence for this Contract. It is also agreed by the parties hereto that the documents to this Contract consist of this Contract and the following documents listed below (Contract Documents), all of which are and constitute a part of this Contract as if attached hereto or set out in full herein, viz: 1. Insurance Requirements, Exhibit 1 2. Scope of Work, Exhibit 2 3. Summer Food Services Program Meal Pattern, Exhibit 3 The parties agree that if there are any differences between the provisions of the above referenced documents, the provisions of the City documents and this Contract will control over any School Board supplied documents or information. SECTION 2. CONTRACT AMOUNT. The City agrees to pay the School Board for the School Board's complete and satisfactory performance of the Work, in the manner and at the time set out in this Contract, per breakfast $2.1450 and per lunch $3.77, however, the total contract amount shall not exceed One Hundred Thousand Dollars ($100,000), as provided for in this Contract and that this Contract amount may be increased or decreased by additions and /or reductions in the Work as may be authorized and approved by the City, and the Contract amount may be decreased by the City's assessment of any damages against the School Board, as may be provided for in this Contract or by law, and the City retains the right of setoff as to any amounts of money the School Board may owe the City. SECTION 3. TERM OF CONTRACT The term of this Contract will be from June 11, 2018, through September 30, 2018, at which time it will terminate, unless sooner terminated pursuant to the terms of the Contract or by law or unless renewed as set forth herein upon mutual agreement. SECTION 4. TIME OF PERFORMANCE The School Board shall commence the Work to be performed under this Contract on such date as is established and fixed for such commencement by written notice (which may be initially given verbally in an emergency situation) to proceed given by the City representative to the School Board, and the School Board covenants and agrees to fully construct, perform, and complete the Work and /or provide the goods called for by this Contract as specified in the Scope of Work, Exhibit 2, established by such notice. The School Board further agrees that the Work shall be started promptly upon receipt of such notice and shall be prosecuted regularly, diligently, and uninterruptedly at a rate of progress that will ensure full completion thereof in the shortest length of time consistent with the Contract Documents and that School Board will cooperate and coordinate with the other City School Boards or employees doing other work or using the area where School Board is working. SECTION 5. PAYMENT. The School Board may submit a request for payment not more than once each month. The payment requested shall be for the services completed and /or materials provided as required by this Contract and approved by the City. A written progress report may be requested by the City to accompany each payment request and, if so, such progress report shall detail the work completed, identify any problems with the progress of the work, and the remaining work to be done. Also, sufficient documentation of all costs, expenses, materials supplied, and /or hours worked may be requested by the City and, if so, may be required prior to the processing of any such request for payment. Payment will only be made for work actually performed, services actually supplied, and /or materials or goods furnished to the City, all of which need to be approved and accepted by the City prior to such payment, unless otherwise provided for in the Contract documents. Once a payment request has been received by the City, the City will process such payment request. If there are any objections or problems with the payment request, the City will notify the School Board of such matters. If the payment request is approved and accepted by the City, payment will be made by the City to the School Board not more than 30 days after such request has been approved. SECTION 6. PAYMENTS TO OTHERS BY SCHOOL BOARD The School Board agrees that School Board will comply with the requirements of Section 2.2 -4354 of the Virginia Code regarding School Board's payment to other entities and the School Board will take one of the two actions permitted therein within 7 days after receipt of amounts paid to School Board by the City. School Board further agrees that the School Board shall indemnify and hold the City harmless for any lawful claims resulting from the failure of the School Board to make prompt payments to all persons supplying the School Board equipment, labor, tools, or material in connection with the work provided for in the Contract. In the event of such claims, the City may, in the City's sole discretion, after providing written notice to the School Board, withhold from any payment request or final payment the unpaid sum of money deemed sufficient to pay all appropriate claims and associated costs in connection with the Contract and make such payment, if the City determines it to be appropriate to do so. SECTION 7. HOLD HARMLESS AND INDEMNITY School Board shall indemnify and hold harmless the City and its officers, agents, and employees against any and all liability, losses, damages, claims, causes of action, suits of any nature, costs, and expenses, including reasonable attorney's fees, resulting from or arising out of School Board's or its employees, agents, or subcontractor actions, activities, or omissions, negligent or otherwise, on or near City's property or the area where the work is performed or arising in any way out of or resulting from any of the work or items to be provided under this Contract, and this includes, without limitation, any fines or penalties, violations of federal, state, or local laws or regulations, personal injury, wrongful death, or property damage claims or suits. School Board agrees to and shall protect, indemnify, and hold harmless all the parties referred to above from any and all demands for fees, claims, suits, actions, causes of action, settlement or judgments based on the alleged or actual infringement or violation of any copyright, trademark, patent, invention, article, arrangement, or other apparatus that may be used in the performance of this Contract. SECTION 8. COMPLIANCE WITH LAWS REGULATIONS AND IMMIGRATION LAW. School Board agrees to and shall comply with all applicable federal, state, and local laws, ordinances, and regulations, including all applicable licensing requirements. School Board further agrees that School Board does not, and shall not during the performance of this Contract, knowingly employ an unauthorized alien as defined in the federal Immigration Reform and Control Act of 1986. SECTION 10. REPORTS RECORDS AND AUDIT. School Board agrees to maintain all books, records and other documents relating to this Contract for a period of three (3) years after the end of each fiscal year included in this Contract. The City, its authorized employees, agents, representatives, and /or state auditors shall have full access to and the right to examine, copy, and /or audit any of such materials during the term of the Contract and during such retention period, upon prior written notice to School Board. SECTION 11. INSURANCE REQUIREMENTS School Board and any of its subcontractors involved in this Contract shall maintain the insurance coverages set forth in Exhibit 1 to this Contract and provide the proof of such insurance coverage as called for in Exhibit 1, including workers' compensation coverage regardless of the number of School Board's employees. Such insurance coverage shall be obtained at the School Board's sole expense and maintained during the term of the Contract and shall be effective prior to the beginning of any work or other performance by the School Board or others under this Contract. Additional insured endorsements, if required, must be received by the City within 30 days of the execution of this Contract or as otherwise required by the City's Risk Manager. SECTION 12. DEFAULT If School Board fails or refuses to perform any of the terms of this Contract, including poor services, work or materials, the City may, by written notice to School Board, terminate this Contract in whole or in part. In addition to any right to terminate, the City may enforce any remedy available at law or in equity in connection with such default, and School Board shall be liable for any damages to the City resulting from School Board's default. The City further reserves the right to immediately obtain such work or services from other entities in the event of School Board's default. SECTION 13. NONWAIVER School Board agrees that the City's waiver or failure to enforce or require performance of any term or condition of this Contract or the City's waiver of any particular breach of this Contract by the School Board 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 Contract or a waiver of any other breaches of the Contract by the School Board and does not bar the City from requiring the School Board to comply with all the terms and conditions of the Contract and does not bar the City from asserting any and all rights and /or remedies it has or might have against the School Board under this Contract or by law. SECTION 14. CHOICE OF LAW AND FORUM SELECTION This Contract shall be governed by, and construed in accordance with, the laws of the Commonwealth of Virginia, without application of Virginia's conflict of law provisions. Venue for any litigation, suits, and claims arising from or connected with this Contract shall only be proper in the Roanoke City Circuit Court, or in the Roanoke City General District Court if the amount in controversy is within the jurisdictional limit of such court, and all parties to this Contract voluntarily submit themselves to the jurisdiction and venue of such courts, regardless of the actual location of such parties. The provisions of this Contract shall not be construed in favor of or against either party, but shall be construed according to their fair meaning as if both parties jointly prepared this Contract. SECTION 15. SEVERABILITY If any provision of this Contract, or the application of any provision hereof to a particular entity or circumstance, shall be held to be invalid or unenforceable by a court of competent jurisdiction, the remaining provisions of this Contract shall not be affected and all other terms and conditions of this Contract shall be valid and enforceable to the fullest extent permitted by law. SECTION 16. NONDISCRIMINATION A. During the performance of this Contract, School Board agrees as follows: School Board 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 School Board. School Board agrees to post in conspicuous places, available to employees and applicants for employment, notices setting forth the provisions of this nondiscrimination clause. ii. School Board in all solicitations or advertisements for employees placed by or on behalf Of School Board will state that School Board is an equal opportunity employer. iii. 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. School Board will include the provisions of the foregoing Section A (i, ii, and iii) in every subcontract or purchase order of over $10,000, so that the provisions will be binding upon each subcontractor or vendor. SECTION 17. DRUG -FREE WORKPLACE. A. During the performance of this Contract, School Board agrees to (i) provide a drug -free workplace for School Board'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 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 School Board that School Board maintains a drug -free workplace; and (iv) include the provisions of the foregoing clauses in every subcontract or purchase order of over $10,000, so that the provisions will be binding upon each subcontractor orvendor. B. For the purposes of this section, "drug -free workplace" means a site for the performance of work done in connection with a specific contract awarded to a School Board, the employees of whom are prohibited from engaging in the unlawful manufacture, sale, distribution, dispensation, possession or use of any controlled substance or marijuana during the performance of the contract. SECTION 18. FAITH BASED ORGANIZATIONS. Pursuant to Virginia Code Section 2.2- 4343.1 be advised that the City does not discriminate against faith -based organizations. SECTION 19. ASSIGNMENT. School Board may not assign or transfer this Contract in whole or in part except with the prior written consent of the City, which consent shall not be unreasonably withheld. If consent to assign is given, no such assignment shall in any way release or relieve the School Board from any of the covenants or undertakings contained in this Contract and the School Board shall remain liable for the Contract during the entire term thereof. SECTION 20. CONTRACTUAL DISPUTES. Contractual claims, whether for money or for other relief, shall be submitted, in writing, no later than sixty (60) days after the earlier of the final payment or termination of the Contract or notice from the City to the School Board that the City disputes the amount of School Board's request for final payment. However, written notice of the School Board's intention to file such claim shall be given at the time of the occurrence or beginning of the work upon which the claim is based. Such notice is a condition precedent to the assertion of any such claim by the School Board. A written decision upon any such claims will be made by the City Manager or the City Managers designee (hereafter City Manager) within thirty (30) days after submittal of the claim and any practically available additional supporting evidence required by the City Manager. The School Board may not institute legal action prior to receipt of the City's decision on the claim unless the City Manager fails to render such decision within 120 days from submittal of School Board's claim. The decision of the City Manager shall be final and conclusive unless the School Board within six (6) months of the date of the final decision on a claim or from expiration of the 120 -day time limit, whichever occurs first, initiates legal action as provided in Section 2.2 - 4364, of the Va. Code. Failure of the City to render a decision within said 120 days shall not result in the School Board being awarded the relief claimed nor shall it result in any other relief or penalty. The sole result of the City's failure to render a decision within said 120 days shall be School Board's right to immediately institute legal action. No administrative appeals procedure pursuant to Section 2.2 - 4365 of the Va. Code has been established for contractual claims under this Contract. SECTION 21. SUCCESSORS AND ASSIGNS. The terms, conditions, provisions, and undertakings of this Contract shall be binding upon and inure to the benefit of each of the parties hereto and their respective successors and assigns. SECTION 22. HEADINGS. The captions and headings in this Contract are for convenience and reference purposes only and shall not affect in any way the meaning and interpretation of this Contract. SECTION 23. COUNTERPART COPIES. This Contract 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 24. AUTHORITY TO SIGN. The persons who have executed this Contract represent and warrant that they are duly authorized to execute this Contract on behalf of the party for whom they are signing. SECTION 25. NOTICES. All notices must be given in writing and shall be validly given if sent by certified mail, return receipt requested, or by a nationally recognized overnight courier, with a receipt, addressed as follows (or any other address that the party to be notified may have designated to the sender by like notice): To City: City of Roanoke Purchasing Division Attn: Purchasing Manager Noel C. Taylor Municipal Building, Room 202 215 Church Avenue, S.W. Roanoke, Virginia 24011 Facsimile: (540) 853 -1513 If to School Board: Steve Barnett Assistant Superintendent for Operations Roanoke City Schools 40 Douglas Avenue Roanoke, VA 24012 Notices shall be deemed to be effective one day after sending if sent by overnight courier or three (3) days after sending it by certified mail, return receipt requested. SECTION 26. SUSPENSION OR TERMINATION OF CONTRACT BY CITY. A. The City, at any time, may order School Board to immediately stop work on this Contract, and /or by seven days written notice may terminate this Contract, with or without cause, in whole or in part, at any time. Upon receipt of such notice, the School Board shall immediately discontinue all services affected (unless the notice directs otherwise), and deliver to the City all data (including electronic data), drawings, specifications, reports, project deliverables, estimates, summaries, and such other information and materials as may have been accumulated by the School Board in performing this Contract whether completed or in process (unless otherwise directed by the notice). 1. If the termination or stop work order is due to the failure of the School Board to fulfill any of its Contract obligations, the City may take over the Work and prosecute the same to completion by contract or otherwise. In such case, the School Board shall be liable to the City for any damages allowed by law, and upon demand of City shall promptly pay the same to City. 2. Should this Contract be terminated or work is stopped not due in any way to the fault of the School Board, the School Board shall only be entitled to compensation for services actually performed and materials actually supplied prior to notice of termination or to stop work and which are approved by the City and any applicable federal or state approving agency. No profit, overhead, or any other costs of any type are allowed after the date of such notice of termination or stop work order. 3. The rights and remedies of the City provided in this Section are in addition to any other rights and remedies provided by law or under this Contract and City may pursue any and all such rights and remedies against School Board as it deems appropriate. SECTION 27. ETHICS IN PUBLIC CONTRACTING. The provisions, requirements, and prohibitions as contained in Sections 2.2 -4367 through 2.2 -4377, of the Va. Code, pertaining to bidders, offerors, School Boards, and subcontractors are applicable to this Contract. SECTION 28. CONTRACT SUBJECT TO FUNDING. This Contract is or may be subject to funding and /or appropriations from federal, state and /or local governments and /or agencies and /or from the Council of the City of Roanoke. If any such funding is not provided, withdrawn, or otherwise not made available for this Contract, the School Board agrees that the City may terminate this Contract on 7 days written notice to School Board, without any penalty or damages being incurred by the City. School Board further agrees to comply with any applicable requirements of any grants and /or agreements providing for such funding. SECTION 29. ENTIRE CONTRACT. This Contract, including any attachments, exhibits, and referenced documents, constitutes the complete understanding between the parties. This Contract may be modified only by written agreement properly executed by the parties. IN WITNESS WHEREOF, the parties hereto have signed this Contract by their authorized representatives. WITNESS: SCHOOL BOARD OF THE CITY OF ROANOKE By Steve Barnett, Assistant Superintendent Printed Name and Title for Operations ATTEST: Stephanie Moon Reynolds, City Clerk Printed Name and Title Approved as to form: City Attorney Approved as to Execution: City Attorney CITY OF ROANOKE, VIRGINIA Robert S. Cowell, Jr., City Manager Printed Name Appropriation and Funds Required for this Contract Certified: Director of Finance Account # EXHIBIT 1 TO CONTRACT PREPARED FOOD S DELIVERY SERVICES SCHOOL BOARD'S AND SUBCONTRACTOR'S INSURANCE Neither the School Board nor any subcontractor shall commence work under this Contract until the School Board has obtained all the insurance policies required under this Section and such insurance has been approved by the City. 1. The following minimum insurance requirements apply: a. Workers' Compensation and Employers' Liability: The School Board shall obtain and maintain the following limits: Workers' Compensation: Statutory Employers' Liability: $100,000 bodily injury by accident each occurrence $500,000 bodily injury by disease (policy limit) $100,000 bodily injury by disease each employee b. Commercial General Liability: Coverage is to be written on an "occurrence" basis, $1,000,000 minimum limit, and such coverage shall include. • Products /Completed Operations • Personal Injury and Advertising Injury • Bodily Injury C. Automobile Liability: Limits for vehicles owned, non -owned or hired shall not be less than: • $1,000,000 Bodily Injury and Property Damage combined single limit 2. Proof of Insurance Coverage: The policies of insurance shall be purchased from a reputable insurer licensed to do business in Virginia and maintained for the life of the Contract by the School Board. Other insurance requirements include the following: a. The School Board shall furnish the City with the required certificates of insurance showing the insurer, type of insurance, policy number, policy term, and limits. b. The required certificates of insurance shall contain substantially the following statement: "The insurance covered by this certificate shall not be canceled or materially altered except after a thirty (30) day written notice has been received by the Risk Management Officer for the City of Roanoke." C. The required certificates of insurance shall name the City of Roanoke, its officers, agents, volunteers, and employees as additional insureds except with regard to the workers' compensation and employers' liability coverages which shall contain a waiver of subrogation in favor of the City. Additional insured and waiver endorsements shall be received by Roanoke Risk Management from the insurer within 30 days of beginning of this contract. EXHIBIT 2 TO CONTRACT PREPARED FOOD & DELIVERY SERVICES SCOPE OF WORK Parties agree that the School Board shall be responsible for the providing the City with items and services as described herein. A. School Board shall prepare USDA approved breakfasts and lunches for up to 20 sites throughout the City of Roanoke between mid June and late August of each year. Exact dates and amounts will be discussed prior to the start of each contract term. B. Meals shall be prepared and available for City pick -up Monday through Friday of each week the summer program is in effect. C. The City of Roanoke Parks and Recreation will coordinate with School Board the meal order based on participation enrollment at each site. A mutually agreed upon schedule of submitting meal orders will be established before the program begins. D. School Board shall prepare USDA approved breakfast and /or lunch for the follow sites located within the City of Roanoke. The City reserves the right to add /delete locations from this list at any time during the Contract term and any renewals. 1. Apple Ridge Farm 2. Eureka Center 3. Villages at Lincoln 4. Indian Rock Village 5. Jamestown Place 6. Lansdowne Park 7. Preston Center 8. Dominion Day Services 9. Bluestone Park 10.The Hope Center 11. Intercept IN THE COUNCIL OF THE CITY OF ROANOKE, VIRGINIA The 16th day of April, 2018. No. 41098- 041618. A RESOLUTION authorizing acceptance of certain funds from the Virginia Department of Emergency Management, 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: The City Manager is hereby authorized on behalf of the City to accept from the Virginia Department of Emergency Management funds in the amount of $9,177 to offset the expenses for assistance to the State of Florida to establish base camps for responders wonting in flooded communities affected by I- lurricane Irma, as more particularly described in the City Council Agenda Report dated April 16, 2018. 2. The City Manager is hereby authorized to accept, execute and file, on behalf of the City, any documents setting forth the conditions of such funding in a form approved by the City Attorney. 3. The City Manager is further directed to furnish such additional information as may be required in connection with the acceptance of the foregoing funding. R -EMS rcimAUrsemcni 4 .16. 19 . doe ATTEST �4� City Clerk. IN THE COUNCIL OF THE CITY OF ROANOKE, VIRGINIA The 16th day of April, 2018. No. 41099 - 041618. AN ORDINANCE appropriating funding from the Virginia Department of Emergency Management (VDEM) from the Emergency Mutual Aid Compact (EMAC) for the purpose of providing funds for recovery services, amending and reordaining certain sections of the 2017 -2018 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 2017 -2018 Grant Fund Appropriations be, and the same are hereby, amended and reordained to read and provide as follows: Appropriations Regular Employee Salaries Overtime Wages Revenues VDEM Irma Hurricane Recovery FY18 35- 640 - 3771 -1002 $ 5,376 35- 640 - 3771 -1003 3,801 35 -520- 3771 -3771 9,177 Pursuant to the provisions of Section 12 of the City Charter, the second reading of this ordinance by title is hereby dispensed with. ATTEST: %C1ty Llerk. �Y I ' \r✓ CITY COUNCIL AGENDA REPORT To: Honorable Mayor and Members of City Council Meeting: April 16, 2018 Subject: Acceptance of Reimbursement Funds from the Virginia Department of Emergency Management Background: On September 1411, 2017, Virginia Department of Emergency Management sent a request to identified resources, including members of the regional Incident Management Team (IMT), requesting assistance through the Emergency Mutual Aid Compact (EMAC) for assistance to the State of Florida to establish base camps for responders working in flooded communities affected by Hurricane Irma. The EMAC request enables those states not impacted by severe weather events to share resources with those areas where resources have been exhausted during times of disaster. EMAC acts as a complement to the federal disaster response system, providing timely and cost- effective relief to preserve life, the economy, and the environment. Lt. Chris Bolling from the Roanoke Police Department was deployed to Florida from September 18'° through October 4" 2017 and incurred expenses in the amount of $9,177. The expenses included: Regular Time $5,376 Overtime $3,801 Recommended Action: Authorize the City Manager to accept the reimbursement and file any documents, approved as to form by the City Attorney, setting forth the conditions of the EMAC deployment, and to furnish such additional information as may be required. Adopt the accompanying budget ordinance to establish a revenue estimate for EMAC deployment and to appropriate funding in the amount of $9,177 into accounts to be established by the Director of Finance in the Grant Fund. - - - -- - - - - -- -- - - - - -- Robert S. Cowell, Jr. City Manager Distribution: Council Appointed Officers R. Brian Townsend, Assistant City Manager for Community Development Amelia C. Merchant, Director of Finance Timothy S. Jones, Chief of Police CITY OF ROANOKE OFF ICE OF THE CITY CLERK 215 CL1n'dl ANennc, S. W., Runm 456 Rllalllll(e, Virginia 24011 -1536 'lelupaunr: (541))N53 -2541 Fill: (541))851_1145 NI'lil'IIANIL: NI. NIO(IN 121:1'N(ILIIS, NI NI(. Fnmll: d<rkPn'nnnoke -,ie, ( V('LlAA 1 . N1('('DY I)VIIIy ('il y ('Ic,'k April 18,2018 ('oXLLIAr.WE:nn,('NJ( Carnis Poindexter 1211 Crescent Street, N. W. Roanoke, Virginia 24017 Dear Mr. Poindexter: I am enclosing copy of Resolution No. 41101 - 041618 naming the tennis courts at River's Edge Sports Complex situated at 302 Wiley Drive, S. W., in honor of Carnis Poindexter to recognize and honor the outstanding contributions that you have made to our City and the Commonwealth. On behalf of the Mayor and Members of Roanoke City Council, I wish to express sincerest appreciation for your active and effective commitment to the people of Roanoke. The abovementioned measure was adopted by the Council of the City of Roanoke at its regular meeting held on Monday, April 16, 2018. Sincerely, �,. Stephanie M. Moon Reyno� MMCj.; City Clerk Enclosure PC: John Fishwick Robert S. Cowell, Jr., City Manager Daniel J. Callaghan, City Attorney R. Brian Townsend, Assistant City Manager for Community Development Michael Clark, Director, Parks and Recreation Amelia C. Merchant, Director of Finance ci��1t \18 IN THE COUNCIL OF THE CITY OF ROANOKE, VIRGINIA The 16th day of April, 2018. No. 41100 - 041618. A RESOLUTION naming the tennis courts at River's Edge Sports Complex in honor of Mr. Carnis Poindexter. WHEREAS, Mr, Carnis Poindexter is a native and current resident of Roanoke; WHEREAS, upon graduation from Lucy Addison High School, Mr. Poindexter attended Arkansas A &M University in Monticello, Arkansas; WHEREAS, while at Arkansas A &M University, Mr. Poindexter served as the captain of the men's tennis team and won the ALA National Singles Championship, among other significant titles; WHEREAS, upon graduation from Arkansas A &M University and serving in the United States Army, Mr. Poindexter returned to Roanoke, and taught for more than thirty (30) years at Lucy Addison, Jefferson, and Patrick Henry High Schools; WHEREAS, while teaching, Mr. Poindexter continued his passion for tennis, amassing more than fourteen (14) titles, including winning the City - County Championship on four (4) different occasions at River's Edge Sports Complex; WHEREAS, while teaching in the City of Roanoke's public schools, Mr. Poindexter administered and oversawjunior tennis programs for youths in the City of Roanoke; WHEREAS, City Council desires to name the tennis courts at Rivers Edge Sports Complex situated at 302 Wiley Drive, S.W., Roanoke, Virginia in honor of Mr. Poindexter; WHEREAS, in accordance with the policy of City Council established by Resolution No. 37976 - 121707 adopted on December 17, 2007, regarding the naming of City -owned facilities, including parks and plazas, City Council may waive the requirement of this policy that an individual be deceased for at least one year before renaming a facility "in order to recognize the outstanding contributions of a living person;" and WHEREAS, Mr. Poindexter's many decades of service to the youth of the City of Roanoke justifies a waiver of this requirement. It IEREFORE, be it resolved by the Council of the City of Roanoke as follows: City Council finds and determines that the substantial contributions of Mr. Carnis Poindexter to the City of Roanoke and the Commonwealth of Virginia warrant waiver of the requirement set forth in Resolution No. 37976- 121707 that a public facility be named or renamed for an individual who has been deceased for at least one year, and such requirement is hereby waived. 2. City Council hereby names the tennis courts at River's Edge Sports Complex situated at 302 Wiley Drive, S.W., Roanoke, Virginia in honor of Mr. Canis Poindexter to recognize and honor the outstanding contributions that Mr. Poindexter has made to our City and the Commonwealth. 3. The City Manager is authorized to take such actions as are necessary to name the tennis courts at River's Edge Sports Complex. 4. The City Clerk is directed to provide a copy of this Resolution to Mr. Carnis Poindexter as an expression of the appreciation of the City of Roanoke for Mr. Poindexter's active and effective commitment to the people of Roanoke. 5. This Resolution shall be effective upon passage. ATTEST: City Clerk Name Change tennis cures at River's I dc, for( ands Poindexter 4 . 16 . 18 .doc 2 CITY COUNCIL AGENDA REPORT To: Honorable Mayor and Members of City Council Meeting: April 16, 2018 Subject: Request to Name Tennis Facilities at Rivers Edge Park in Honor of Carnis Poindexter Background: Mr. Carnis Poindexter is a native and current resident of Roanoke who graduated from Lucy Addison High School in 1956 and went on to attend and serve as the captain of the men's tennis team at Arkansas A &M University. The ATA National Singles Championship was one of many significant titles that Mr. Poindexter won while at A &M, all while making time to run junior tennis programs for Roanoke children. Through his recommendations, twenty -five African - American athletes from Roanoke attended Arkansas A &M to play tennis, football and basketball while receiving a college education. Upon returning from public service in the United States Army, Mr. Poindexter returned to Roanoke to continue his public service for more than thirty years teaching at Lucy Addison, Jefferson, and Patrick Henry High Schools. Aside from teaching, Mr. Poindexter continued with his passion for the game of tennis, amassing more than fourteen titles to include winning the City- County championship on four different occasions at River's Edge Sports Complex (formerly known as South Roanoke Park). Considerations: Through Council Resolution No. 3 7976 - 1 21 707 regarding the City Policy for the naming of City Buildings, streets, parks, and other facilities, it is recommended that the tennis courts at River's Edge Sports Complex be named in honor of Mr. Carnis Poindexter. Resolution 37976 - 121707 specifically requires City Council to waive the requirement that an individual be deceased for at least one (1) year in order to recognize a living person for his outstanding contributions to the City. Recommended Action: City Council should adopt a Resolution to name the tennis courts at River's Edge Sports Complex in honor of Mr. Carnis Poindexter to recognize his many decades of service to the youth of the City of Roanoke. Robert S. Cowell, Jr. City Manager Distribution: Council Appointed Officers Brian Townsend, Assistant City Manager for Community Development Michael Clark, Director of Parks and Recreation Donnie Underwood, Parks and Recreation Amelia C. Merchant, Director of Finance I � / t� IN THE COUNCIL OF THE CITY OF ROANOKE, VIRGINIA The 16th day of April, 2018. No. 41101 - 041618. AN ORDINANCE. providing for the acquisition of additional real property rights needed by the City in connection with Phase II of the Roanoke River `Bridge the Gap" Greenway Project; authorizing City staff to acquire such property rights by negotiation; authorizing the City Manager to execute appropriate acquisition documents; and dispensing with the second reading of this Ordinance by title. WHEREAS, the City wants and needs certain additional real property rights for Phase II of the final section of the Roanoke River `Bridge the Gap" Greenway Project ( "Project'), located in the City of Roanoke from the Norfolk Southern Material Yard to Bridge Street, in real property owned by AA Properties Roanoke -LLC, such rights to include permanent easements of variable length and width, as set forth in the City Council Agenda Report to this Council dated April 16, 2019. NOW, THEREFORE, BE 11 ORDAINED by the Council of the City of Roanoke as follows: 1. 'fhe proper City officials and City staff are hereby authorized to acquire by negotiation the necessary real property interests and appropriate ancillary rights with respect to the parcel of real property owned by AA Properties Roanoke -LLC, referred to in the above mentioned Agenda Report, for the purposes described in the above mentioned Agenda Report, for such consideration as the City Manager may deem appropriate. All requisite documents shall be approved as to form by the City Attorney. O- auNOnzc aequis of additional prop rlghty- Brfdgcrhe Gap Phnsc 2 . - (416.18) I The City Manager is further authorized to execute appropriate acquisition documents for the above mentioned real property interests needed by the City for such consideration as deemed appropriate, provided, however, the total consideration offered or expended, including costs, title search fees, appraisal costs, recordation fees, and other related costs shall not exceed the funds available in the Project account for such purposes, without further authorization of Council. Upon the acceptance of any offer and upon delivery to the City of appropriate acquisition documents, approved as to form by the City Attorney, the Director of Finance is authorized to pay the respective consideration to the owners of the real property interests conveyed, certified by the City Attorney to be entitled to the same. 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. () mhorIm ec9Lds of,Idda IpropdrM1t, -Bnd,a me G,I, PhI,e 1.— r4 .16.181 Q) CITY COUNCIL AGENDA REPORT To: Honorable Mayor and Members of City Council Meeting: April 16, 2018 Subject: Roanoke River Greenway "Bridge the Gap" Additional Property Rights Acquisition Background: The final section of the Roanoke River `Bridge the Gap" Greenway from the Norfolk Southern (NS) Material Yard to Bridge Street is approximately 1.1 miles. Construction will begin with a bridge crossing from the NS Material Yard to the South side of the Roanoke River. The greenway will proceed along the South bank of the Roanoke River to property of AA Properties- Roanoke LLC. The City would like to acquire additional rights to provide a connection for the residential neighborhoods near Roanoke Avenue. The City could also then, if necessary, provide alternative access over the existing City right -of -way for the project as the City continues negotiations with Walker Machine and Foundry Corporation to obtain property rights along the Roanoke River. Considerations: City Council action is necessary to authorize the acquisition of real property rights needed for the creation of a neighborhood connection and provide options to the City in completing the "Bridge the Gap' project. The real property rights needed are outlined below, but is subject to minor variation of location and extent pending final engineering design details. Funding for acquisition of the real property rights is available in the project account 08- 620 -9201, Roanoke River Greenway - Bridge the Gap. Tax Map Address Owner Required Property Parcel Rights Number 1410207 0 Roanoke AA Properties- Roanoke LLC Permanent Easement Avenue, SW Recommended Action: Authorize the acquisition of the real property rights needed for the construction of a neighborhood connection for the Roanoke River Greenway "Bridge the Gap" project near the residential neighborhoods in the Roanoke Avenue area and provide alternative access for the project, by negotiation and execution of the appropriate acquisition documents by the City Manager, such documents to be approved as to form by the City Attorney. Robert S. Cowe r. City Manager Distribution: Council Appointed Officers Sherman M. Stovall, Assistant City Manager for Operations Amelia C. Merchant, Director of Finance Robert K. Bengtson, P.E., Director of Public Works Luke E. Pugh, P.E., City Engineer �a IN THE COUNCIL OF THE CITY OF ROANOKE, VIRGINIA The 16th day of April, 2018. No. 41102 - 041618. A RESOLUTION authorizing the City Treasurer to waive interest charges for Transient Occupancy fax and Admission Tax; to amend the process for calculating and applying penalties for Admission Tax, Prepared Food and Beverage Tax, and Transient Occupancy Tax; and to authorize the City Treasurer to take such actions as may be necessary to provide for the implementation, administration, and enforcement of this Resolution. WHEREAS, the City of Roanoke is currently implementing a new integrated tax revenue system; and WHEREAS, current business software tax system has limitations regarding the calculation of interest used for the Transient Occupancy Tax and Admission Tax; and WHEREAS, in order to ensure the efficient operations of the City Treasurer's Office, it is the recommendation of the administration that City Council waive interest charges for Transient Occupancy Tax and Admission Tax retroactive from March 1, 2018 through December 31, 2020; and WHEREAS, in order to ensure the efficient operations of the City Treasurer's Office, it is the recommendation of the administration that City Council amend the process for calculating and applying penalties for Admission hex, Prepared Food and Beverage Tax, and Transient Occupancy Tax retroactive from March 1, 2018 through December 31, 2020. NOW, THEREFORE, BE IT RESOLVED by the Council of the City of Roanoke as follows: The City Treasurer is authorized to waive interest charges for Transient Occupancy Tax and Admission Tax, retroactive to March 1, 2018, through December 31, 2020, all as more fully set forth in the City Council Agenda Report dated April 16, 2018. 2. The City Treasurer is hereby authorized to charge a penalty of ten percent (10 %) of total original tax collections for late payment of Admission Tax, Prepared Food and Beverage Tax, and /or Transient Occupancy Tax. 3. City Council hereby authorizes the City Treasurer to suspend minimum dollar penalties due for Admission Tax, Prepared Food and Beverage Tax, and Transient Occupancy Tax. 4. City Council hereby authorizes the City Treasurer to implement, administer, and enforce this Resolution. 5. This Resolution shall be effective retroactively to March 1, 2018 and shall remain in effect until such time as the City replaces and successfully implements its new integrated tax revenue system, or December 31, 2020, whichever shall first occur. ATTEST: City Clerk 2 Resolution to authorize onivR of' no, ',,I on certain tax es- rinaldon Gm 1WCITY COUNCIL AGENDA REPORT To: Honorable Mayor and Members of City Council Meeting: April 16, 2018 Subject: Resolution Addressing Local Trust Tax Penalties and Interest Background: Businesses operating within the City of Roanoke limits are required to collect certain taxes directly from their customers on behalf of the City, for later remittance to the City. These taxes are considered to be held in trust by the businesses on the City's behalf and are informally referred to as "trust taxes ". These taxes include, but are not limited to, the admissions tax, transient occupancy tax and prepared food and beverage tax. Businesses self- report the assessed amount due monthly. On July 1, 2017, the administration of these taxes, along with an unsupported tax system was transferred from the Department of Finance to the offices of the Commissioner of the Revenue and the City Treasurer. Due to the complexity of the Code of the City of Roanoke, Virginia and the limited system configuration options available, manual work has been required in order to remain compliant, particularly related to calculating penalty and interest for certain delinquent trust taxes. The risks of manually manipulating this unsupported system creates potential problems far greater than the benefits of the nominal interest and penalty charges received by the City. Consideration: Although amending the application of penalties and waiving interest on delinquent trust tax accounts will likely result in a nominal decrease in revenue income, it will also simplify the calculation and allow staff to concentrate efforts on other processes, including providing quality customer service and focusing on the implementation of our new integrated tax revenue system. Recommended Action: Adopt the accompanying resolution to authorize the Treasurer to waive interest charges for Transient Occupancy Tax and Admission Tax; to amend the process for calculating and applying penalties for Admission Tax, Prepared Food and Beverage Tax, and Transient Occupancy Tax; and to authorize the City Treasurer to take such actions as may be necessary to provide for the implementation, administration, and enforcement of this resolution. _ / 4 �l Troy A. armon Municipal Auditor Distribution: Council Appointed Officers Robert S. Cowell, Jr, City Manager R. Brian Townsend, Assistant City Manager for Community Development Sherman Stovall, Assistant City Manager for Operations Amelia C. Merchant, Director of Finance Sherman Holland, Commissioner of the Revenue Evelyn Powers, Treasurer Timothy R. Spencer, Senior Assistant City Attorney (Q� IN THE COUNCIL OF THE CITY OF ROANOKE, VIRGINIA The 16th day of April, 2018. No. 41103- 041618. AN ORDINANCE to appropriate funding from Federal grants for various educational programs, amending and reordaining certain sections of the 2017 -2018 School 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 2017 -2018 School Grant Fund Appropriations be, and the same are hereby, amended and reordained to read and provide as follows: Appropriations Career& Technical Education 302 - 170- 3000 - 1160 -118M- 61100- 45584 -3 -03 $ 1,859 Certifications Revenues Federal Grant Receipts 302 - 000 - 0000 - 0000 - 118M - 00000 - 38048 - 0 - 00 $ 1,859 Pursuant to the provisions of Section 12 of the City Charter, the second reading of this ordinance by title is hereby dispensed with. A EST: e---\ City erk. April 16, 2018 The Honorable Sherman P. Lea, Sr., Mayor and Members of Roanoke City Council Roanoke, VA 24011 Dear Members of Council: As a result of official School Board action on Tuesday, April 10, 2018, the Board respectfully requests that City Council approve the following appropriation request: New Appropriation Award Perkins Reserve Re- allocation Entitlements 2017 -18 $1,858.94 On behalf of the School Board, thank you for your consideration. Sincerely, Cindy H. Poulton, Clerk pc: Dan Callaghan Rita D. Bishop Bob Cowell Kathleen Jackson Amelia Merchant HOW Salyers (w /details) Annette Lewis �W ROANOKE CITY PUBLIC SCHOOLS School Board Annette Lewis Chairman Mark K. Cathey Vice Chairman William B. Hopkins, Jr. Elizabeth C. S. Jamison Laura D. Rottenborn Lutherio H. Smith Dick Willis Dr. Rita D. Bishop Superintendent Cindy H. Poulton Clerk of the Board www.rcps.info P: 540.853.2381 f: 540.853.2951 P.O. Box 13145 Roanoke VA 24031 Meeting: April 16, 2018 Subject: School Board Appropriation Request Background: As the result of official Roanoke City School Board action at its April 10, 2018 meeting, the Board respectfully requested that City Council appropriate funding as outlined in this report. The 2017 -18 Perkins Re- allocation Entitlements award of S1,8S9 underthe Carl D. Perkins Career and Technical Education Act of 2016 has been allocated to Roanoke City Public Schools to carry out programs that more fully develop the academic and technical skills of secondary students who elect to enroll in career and technical education. This award will be reimbursed by federal funds and will end June 30, 2018. Recommended Action: We recommend that Council concur with this report of the School Board and adopt the attached budget ordinance to establish revenue estimates and to appropriate funding as outlined. Robert S. Cowelt-, Jr City Manager Distribution: Council Appointed Officers Rita D. Bishop, Superintendent, RCPS P. Steve Barnett, Assistant Superintendent for Operations, RCPS Kathleen M. Jackson, Chief Financial Officer, RCPS Amelia C. Merchant, Director of Finance o-�� CITY OF ROANOKE OFFICE OF HE CITY CLERK 215 ('luu'ch Avenue, S. W., Saile 456 'bC Ruannke, Virginia 24011 -1576 'I'alea Lone: (5 41)853 -2541 fn: (5411) 8 53 -114 5 SI 1141,011: AL NOUN 1(EY NOLDS, klNr I.: quail: de. k(a ne.... vu.gnv ('i,, ('lurk April 18, 2018 Pastor Tim G. H. Dayton First Christian Church 344 Church Avenue, S. W. Roanoke, Virginia 24016 Dear Pastor Dayton: ('IQ'ELIA F. NI('('ON' Deenpy rile ('lei k ('Er ELIA'1. WEBB,(TN(' Anein'Inll De1ury ('ily ( lei k On behalf of the Mayor and Members of the Roanoke City Council, I would like to express sincere appreciation to you for delivering the Invocation at the regular meeting of the Roanoke City Council, which was held on Monday, April 16, 2018. It was a pleasure meeting you and look forward to having you return to deliver invocations at future Council meetings. Sincerely, 044d` "-� " Cecelia F. McCoy Deputy City Clerk CFM:aa The Roanoke Times Roanoke, Virginia Affidavit of Publication STEPHANIE M. MOON. CITY CLERK 215 CHURCH AVENUE. 5 SUITE 456 ROANOKE. VA 24011 Account Number 600]]88 Date April 05, 2018 DeecriHion Ad Sire Total COS\ Date Ca\e9ury 0411 V201g Any Virginia ROA NOTICE OF PUBLIC HEARING x 500IN ]0].45 Publisher of the Roanoke Times I, (the undersigned) an authorized representative of the Roanoke Times, a daily newspaper published in Roanoke, in the State of Virginia, do certify that the annexed notice NOTICE OF PUBLIC HEARING was published in said newspapers on the following dates: 0410512018 The First insertion being given ... 04/052018 Newspaper reference: 0000725104 n illi Rep esentative c( Sworn to and subscribed before me this ThursIyAP , t 5, 2018 Notary u is hq: P........... y/ Stale f Virginia j �F,' NOTARY`. C� my co City/County of Roanoke `y`yt . 332 _ My Commission expires _ * ; REG. RE, SSI84 c PN O9 7 M1IVGU,RrI /OW C is a R -io s � : ��•: Yt,',RsSifs'.� THIS IS NOT A BILL. PLEASE PAY FROM INVOICE. THANK YOU ,""n"T. NOTICE OF PUBLIC HEARING FOR ROANOKE CITY SCHOOL BOARD TRUSTEES Pursuant to Section 9 -24, Code of the City of Roanoke (1979), as amended, and Section 22.1 -29.1, Code of Virginia (1950), as amended, the Roanoke City Council will hold a public hearing to receive the views of citizens regarding appointment of Roanoke City School Board Trustees at its regular meeting on Monday, April 16, 2018, at 7:00 p.m., or as soon thereafter as the matter may be heard, in the Roanoke City Council Chamber, 4th Floor, Noel C. Taylor Municipal Building, 215 Church Avenue, S. W., Roanoke, Virginia. The candidates are Mark Kenneth Cathey, Marcus Eric Huffman, Laura Day Rottenborn, Mark Gerard Swope, and Richard M. Willis, Jr. The City Council will elect and appoint three School Board Trustees for three - year terms of office, commencing July 1, 2018 and ending June 30, 2021, at a subsequent session of City Council. If you are a person with a disability who needs accommodations for the public hearing, please contact the City Clerk's Office at (540) 853 -2541, by Thursday, April 12, 2018, at 4:00 p.m. GIVEN under my hand this 2nd day of April 2018. Stephanie M. Moon Reynolds, MMC City Clerk NOTICE OF PUBLIC HEARING FOR ROANOKE CITY SCHOOL BOARD TRUSTEES Pursuant to Section 9 -24, Code of the City of Roanoke (1979), as amended, and Section 22.1 -29.1, Code of Virginia (1950), as amended, the Roanoke City Council will hold a public hearing to receive the views of citizens regarding appointment of Roanoke City School Board Trustees at its regular meeting on Monday, April 16, 2018, at 7:00 p.m., or as soon thereafter as the matter may be heard, in the Roanoke City Council Chamber, 4'" Floor, Noel C. Taylor Municipal Building, 215 Church Avenue, S. W., Roanoke, Virginia. The candidates are Mark Kenneth Cathay, Marcus Eric Huffman, Laura Day Rottenborn, Mark Gerard Swope, and Richard M. Willis, Jr. The City Council will elect and appoint three School Board Trustees for three -year terms of office, commencing July 1, 2018 and ending June 30, 2021, at a subsequent session of City Council. If you are a person with a disability who needs accommodations for the public hearing, please contact the City Clerk's Office at (540) 853 -2541, by Thursday, April 12, 2018, at 4:00 p.m. GIVEN under my hand this 2nd day of April 2018. Stephanie M. Moon Reynolds, MMC City Clerk TO PUBLISHER: Publish in full once in The Roanoke Times in the non - classified Virginia Section on Thursday, April 5, 2018. BLOCK STYLE (HEADING FONT SIZE 16 AND BODY FONT SIZE 12) Send publisher's affidavit and bill to: Stephanie M. Moon Reynolds, MMC, City Clerk Room 456, Noel C. Taylor Municipal Building 215 Church Avenue, S. W. Roanoke, Virginia 24011 -1536 540/853 -2541 IN THE COUNCIL OF THE CITY OF ROANOKE, VIRGINIA The 16th day of April, 2018. No. 41104 - 041618. AN ORDINANCE authorizing the conveyance of a permanent sanitary sewer easement, with an approximate width of 20 feet, containing 1,083 square feet, more or less, across City - owned property identified as Official Tax Map No. 2013004, located at 24 Wells Avenue, N.W., Roanoke, Virginia ( "Property "), to the Western Virginia Water Authority ( "Authority"), upon certain terms and conditions; and dispensing with the second reading by title of this ordinance. WHEREAS, a public hearing was held April 16, 2018, pursuant to Sections 15.2- 1800(B) and 15.2 -1813, Code of Virginia (1950), as amended, at which hearing all parties in interest and citizens were afforded an opportunity to be heard on the proposed vacation of the public utility easement. THEREFORE, BE IT ORDAINED by the Council of the City of Roanoke that: 1. The City Manager is hereby authorized, for and on behalf of the City, to execute the necessary documents providing for the conveyance of a permanent sanitary sewer easement, with an approximate width of 20 feet, containing 1,083 square feet, more or less, across City - owned property identified as Official "Pax Map No. 2013004, located at 24 Wells Avenue, N.W., Roanoke, Virginia, to the Authority, and to be installed at the sole cost of the Authority for the purpose to serve the Claude Moore Complex Addition at the Roanoke Higher Education Center located on an adjacent parcel of land designated as Official Tax Map No. 2013012, and owned by the Roanoke Higher Education Authority, and as more particularly set forth in the City Council Agenda Report dated April 16, 2018. 2. All documents necessary for this conveyance shall be in a form approved by the City Attorney. O- Seniwry Sever Ea,o, rmWcacrnVAWa¢r Awhority I N120130(9(4. 16 .18) 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\ r n� City Clerk CITY COUNCIL AGENDA REPORT To: Honorable Mayor and Members of City Council Meeting: April 16, 2018 Subject: Request from Western Virginia Water Authority for a New 20 foot Public Sanitary Sewer Easement located on Tax Map No. 2013004 also known as 24 Wells Avenue, N.W. Background: The Western Virginia Water Authority (WVWA), is requesting a new 20 foot Public Sanitary Sewer Easement to construct, install, improve, operate, inspect, use, maintain, repair or replace a sewer line or lines together with related improvements including slope(s), if applicable (the "Permanent Easement "), together with the right of ingress and egress thereto from a public road, upon, over, under, and across those tracts or parcels of land belonging to the City of Roanoke designated as Official Tax Map No. 2013004. The purpose of the easement is to serve the Claude Moore Complex Addition at the Roanoke Higher Education Center located on an adjacent parcel of land designated as Official Tax Map No. 2013012, owned by the Roanoke Higher Education Authority. The location of said easement is described on the exhibit attached hereto as "Exhibit A ". Recommended Action: Following the public hearing and subject to comments made at the public hearing, authorize the City Manager to execute the Deed of Easement as described above to Western Virginia Water Authority, such easement shall be approved as to form by the City Attorney. ------- - - - - -- - -- - -- - -- Robert S. Cowell, Jr. City Manager Attachment: "Exhibit A° Distribution: Council Appointed Officers R. Brian Townsend, Assistant City Manager for Community Development Amelia C. Merchant, Director of Finance Robert K. Bengtson, P.E., Director of Public Works Luke E. Pugh, P.E., City Engineer Robert Ledger, Acting Director Economic Development Cassandra L. Turner, Economic Development Specialist h thy� "'� NEW BEAM 3 20' PUBLIC SANITARY L��1,081 S 8958'13" 5.81' I/ - \ SEWER EASEMENT s 05 1' ' W mm' g j N W 'AY W 20.09' E.awg Imo N 05 '35' 4172' WELLS AVENUE N.W. Right- of -WPy ✓ones Tax #2013004 SIGN NEII 20' PUBLIC SANITARY SRWRR RASEMM Lm it B thy� "'� NEW BEAM 3 20' PUBLIC SANITARY L��1,081 S 8958'13" 5.81' I/ - \ SEWER EASEMENT s 05 1' ' W mm' SF. - 0.0149 AC. N W 'AY W 20.09' S1-S5 N 05 '35' 4172' \ r' 3 or � � fnSfin h DE ravr mau�u Mror�p�cn. - EasWnmf CITY OF ROANOKE WRGINIA 1' 30' (Insbmmf Instrument #'000014546 —N 895843" W o G _._ — ,�Clfy of Roarmke Fedevelopmenb LAn\\\\\\\\yYl} and H.ahg Aotbomy -1'� , -- Tax 12113012 Propery of ,eity ROANOKE HIGHER EOUCATION AUTHORITY £Iv Instrument 11500067J3 & 1140009694 Lot IA, Combination Plot for m t Roanoke Hlgher Educoboo Authority Instrument #160009236 Tax #2013004 SIGN NEII 20' PUBLIC SANITARY SRWRR RASEMM Lm it B LINE BEAM OISTANlF 51 -S2 S 8958'13" 5.81' 51 -ST s 05 1' ' W mm' 53-54 N W 'AY W 20.09' S1-S5 N 05 '35' 4172' 55-51 N 02'01' E 10.10' ARE/ - 1,083 SE - 1 149 AG Property of CITY OF ROANOKE WROINIA o v -.. 'm hufmmmt J14000JI42 & /150006733 LUMSDEN ASSOC] ATES P.C. 11,1'0. 111aLL 11 V11 IL I o Lot 30, SubdI salon Pmt (or � ENGINEERS-SURVEYORS Gfy of RoonPke Redevelopment Pnd Housing Authordy IDs #2017016 is 055 MEMBIM Instrument y150W6732 r DE ravr mau�u Mror�p�cn. - EasWnmf CITY OF ROANOKE WRGINIA I N 89'49' 2 W i "o dots; 'o 111.34 March 1, 2018 LUMSDEN ASSOC] ATES P.C. 11,1'0. 111aLL 11 V11 IL I , ace,, Comm NO, �.--. ENGINEERS-SURVEYORS p,u. xmrr I +t +r %PL s IDs #2017016 is 055 MEMBIM vffn9 30' Access Property of r DE ravr mau�u Mror�p�cn. - EasWnmf CITY OF ROANOKE WRGINIA 1' 30' (Insbmmf Instrument #'000014546 ;150006732) Lot 4, SuUl mion Pict for _._ — ,�Clfy of Roarmke Fedevelopmenb LAn\\\\\\\\yYl} and H.ahg Aotbomy -1'� , -- Mop Book 1, PC 21681 1 EXHIBIT "A" NOTE. 1. THE PURPOSE OF THIS EXHIBIT 15 TO CREATE A NEW 20' PUBLIC SANITARY SEWER EASEMENT AND DOES NOT CONS77TUIE A BOUNDARY SURWY. Graphic Scale 2. THIS EXHIBIT WAS PREPARED WTHOUT THE EID07T OF A CURRENT TITLE REPORT AND ENCUMBRANCES MAY EXIST THAT AFFECT THE SUSECT PROPERTY THAT 0' 15' Jd 60 ARE NOT SHOWN HEREON. 3. FOR CLARITY PURPOSES NOT ALL PHYSCAL INPROKMENTS TO THE SUB'f 1' Inch = 30' FM PROPERTY ARE SHOWN ON THIS EXHIBIT. _ EXHIBIT SHOWING A NEW 20' PUBLIC SANITARY SEWER EASEME BEING GRANTED BY CITY OF ROANOKE TO THE WESTERN VIRGINIA WATER AUTHORITY SITUATED AT 24 WELLS AVENUE N.W. 11 --- _... __ .._ oATF. March 1, 2018 LUMSDEN ASSOC] ATES P.C. 11,1'0. 111aLL 11 V11 IL I , ace,, Comm NO, ENGINEERS-SURVEYORS p,u. xmrr I +t +r %PL s is 055 MEMBIM swNo�I %iec iwY Smn DE ravr mau�u Mror�p�cn. IIALE 1' 30' ROANOKE VIRGINIA The Roanoke Times Roanoke, Virginia Affidavit of Publication SHE'R14AN M STOVAL I., ASSISTANT CITY FOR CIO_ R. Brian Townsend, Assistant City Manager for Community Development 456 NOEL C. TAYLOR MUNICIPAL BLDG 215 CHURCH AVENUE SW ROANOKE, VA24011 Account NUmeer 601]304 Bate April 09, 2018 Date Category Description Ad Slze total Cost 0 411 512 01 8 Legal Nolices NOTICE OF PUBLIC HEARING The City of Roanoke ( "City ") 1 e 66 L 380.08 NOTICE OF PUBLIC HEARING ;:;o d;>; Publisher of the Roanoke Times I, )the undersigned) an authorized representative of the Roanoke Times, a daily newspaper published in Roanoke, in the Stale of Virginia, do certify that the annexed notice NOTICE OF PUBLIC HEARING was published in said newspapers on the following dales: N10912018 The First insertion being given ... 04109/2018 Newspaper reference: 0000730617 - 1244 1 JV1 Billl4g,fWp4isiantathte Sworn to and subscribed before me this Monday, April 9, 3016 :....:.: Notary P blic State of Virginia =ri; FULLIC '. CIrylCOUnry of Roanoke �� ^ _�. ? REG. 8062560 ; } ) 7 hryciTI "ISSION 4 My Commission expireLZ��r[ p �. EY e5 q' 2: THIS IS NOT A BILL. PLEASE PAY FROM INVOICE. THANK YOU NOTICE OF PUBLIC HEARING The City of Roanoke ( "City ") proposes to grant a permanent sanitary sewer easement with an approximate width of 20 feet, containing 1,083 sq. ft., more or less, across City -owned property identified as Official Tax Map No. 2013004, located at 24 Wells Avenue, N.W., Roanoke, Virginia ( "Properly "), to the Western Virginia Water Authority ("Authority"), at the Authority's request. The purpose of the easement is to serve the Claude Moore Complex Addition at the Roanoke Higher Education Center located on an adjacent parcel of land designated as Official Tax Map No. 2013012, and owned by the Roanoke Higher Education Authority. Pursuant to the requirements of Sections 15.2- 1800(B) and 15.2 -1813, Code of Virginia (1950), as amended, notice is hereby given that the City Council of the City of Roanoke will hold a public hearing on the above matter at its regular meeting to be held on Monday, April 16, 2018, commencing at 7:00 p.m., or as soon as the matter may be heard, in the Council Chamber, 4t" Floor, Room 450, Noel C. Taylor Municipal Building, 215 Church Avenue, S.W., Roanoke, Virginia 24011. Copies of the proposed Easement Agreement and the proposed ordinance will be available in the City Clerk's Office, Room 456, Noel C. Taylor Municipal Building, 215 Church Avenue, S.W., Roanoke, Virginia 24011, on and after Monday, April 9, 2018. For further information on the matter, you may contact the Office of the City Clerk at (540)853- 2541. All parties and interested entities may appear on the above date and time to be heard on the above matter. If you are a person with a disability who needs accommodations for this hearing, please contact the City Clerk's Office at (540) 853 -2541, before 12:00 Noon on Thursday, April 12, 2018. GIVEN under my hand this 9th day of April, 2018. PH Notiu- Easemeot to W estem VA Water Authority (2 20 18) Stephanie M. Moon Reynolds, MMC City Clerk Note to Publisher: Please publish once in the Roanoke Times, legal notices, on Monday, April 9, 2018 Please send affidavit of publication to: Stephanie M. Moon Reynolds, MMC, City Clerk 4" Floor, Noel C. Taylor Municipal Building 215 Church Avenue, S.W., Room 456 Roanoke, Virginia, 24011 Phone: (540) 853 -2541 Send Invoice to R. Brian Townsend, Assistant City Manager for Community Development 3" Floor, Noel C. Taylor Municipal Building 215 Church Avenue, S.W., Room 364 Roanoke, Virginia 24011 Phone: (540) 853 -2333 PH Notice Easement to Westent VA Water Authority (2,20.18) IN THE COUNCIL OF THE CITY OF ROANOKE, VIRGINIA The 16th day of April, 2018. No. 41105- 041618. AN ORDINANCE authorizing the City Manager to execute a First Amended and Restated Agreement ("Agreement") to amend certain terms of the Original Agreement to (i) amend the Property description, (ii) amend the process for establishing the Joint Communications Center as a condominium, and (iii) provide for the sale of a condominium unit in the Joint Communications Center to VA81 I. regarding the development of a proposed joint communications center ( "Facility ") for an 811 Center to be owned and operated by Virginia Utility Protection Service, Inc. ( "VA811 "), and an E-911 Center to be owned and operated by the City of Roanoke ( "Joint Project ") which the City of Roanoke has entered into a contract for the design/build of the proposed Facility to be located on certain real property, presently owned by the City, situated at 0 Blue Hills Circle, N.E., Roanoke, Virginia, bearing Official 'fax Map No. 7280104 ( "Property "); authorizing the City Manager to execute all documents necessary to perform, effectuate, administer, and enforce the proposed Agreement; and dispensing with the second reading of this ordinance by title. WHEREAS, the City adopted Ordinance No. 40828 - 051517 to authorize an agreement (Original Agreement) regarding the development of a proposed joint communications center (Facility) for (i) an 811 Center to be owned and operated by Virginia Utility Protection Service, Inc. (VA811); and (ii) an E -911 Center to be owned and operated by the City (Joint Project); WHEREAS, the City has entered into a contract for the design/build of the proposed Facility to be located on certain real property, presently owned by the City, situated at 0 Blue Hills Circle, N.E., Roanoke, Virginia 24012, bearing Official Tax Map No. 7280104, containing approximately 6.5928 acres (Property); O -First Amended & Restated Agreement for Joint Communications Comer Cdy & VAR 11 (4.16.18) WHEREAS, the City and VA811 propose to enter into a First Amended and Restated Agreement to amend certain terms of the Original Agreement to (i) amend the Property description, (ii) amend the process for establishing the Joint Communications Center as a condominium, and (iii) provide for the sale of a condominium unit in the Joint Communications Center to VA811 (Agreement); WI IEREAS, the property description will be amended to account for a resubdivision of the Property and an adjacent parcel owned by the City needed to maximize benefits to the Property and the Facility for stormwatcr purposes, and which resubdivision results in an increase of the aggregate area of the Property from approximately 6.5928 acres to approximately 7.483 acres, more or less; WHEREAS, VA811 and the City desire to proceed with construction of the Joint Project under which the City shall submit the Facility and the Property to the Virginia Condominium Act (Sections 55 -79.39 through 55- 79.103, Code of Virginia (1950), as amended) as a condominium consisting of two (2) units, one unit for the VA811 operations, consisting of approximately 9,713.35 square feet of space, more or less (VA811 Unit) and the other unit for the E -911 operations, consisting of approximately 7,863.97 square feet of space (E -911 Unit), together with common elements, limited common elements, and such other conditions, restrictions, and agreements acceptable to the City and VA811; and upon completion of the structure, VA811 shall purchase the VA811 Unit, upon terms and conditions set forth in the Agreement, which terms include a purchase price equal to the sum of (i) $148,500; and (ii) assumption of VA81 l's pro -rata share of all costs associated with the design and construction of the Facility, and VA811 will be solely responsible for the cost of all up -fit and finish work within the VA811 Unit and the City will be solely responsible for all up -fit and finish work within the E -911 Unit; and O-Fimt Amended & Restated Agreement for loin( Communications Center ON & VA811 (4.16 18) 2 WHEREAS, a public hearing was held on April 16, 2018, pursuant to Sections 15.2- 1800(B) and 15.2 -1813, Code of Virginia (1950), as amended, at which hearing all parties in interest and citizens were afforded an opportunity to be heard on the proposed Agreement. THEREFORE, BE IT ORDAINED by the Council of the City of Roanoke as follows: The proposed development of the Joint Project at the Property, the submission of the Property and the Facility to a condominium, and the sale of the VA8I I Unit to VA811, all in accordance with the terms and conditions of the proposed Agreement and as more particularly described in the City Council Agenda report dated April 16, 2018, are hereby approved. The City Manager is hereby authorized, to execute, in a form approved by the City Attorney, a proposed Agreement to amend certain terms of the Original Agreement to (i) amend the Property description to increase the area of the Property from 6.5928 acres, more or less, to 7.483 acres, more or less, (ii) amend the process for establishing the Joint Communications Center as a condominium, and (iii) provide for the sale of a condominium unit in the Joint Communications Center to VA811. as more particularly described in the above mentioned Agenda Report. Such Agreement shall be substantially similar to the one attached to such Agenda Report and shall be approved as to form by the City Attorney. 2. The City Manager is authorized to execute any necessary documents, provide any information, and to take any necessary actions in order to implement, administer, and enforce such Agreement, including, without limitation, the execution of (a) all documents related to the development of the Joint Project, (b) all documents to submit the Property and the Facility to a condominium pursuant to the Virginia Condominium Act, including, without limitation, a declaration of condominium and documents required to establish the condominium association for the condominium; and (c) all documents and deeds necessary to transfer the VA811 Unit to 0 First Amended & Restated Agteematl for Joint Communication Center-City & VA811 (4.I6 18) 3 VA8 t 1 in accordance with the Agreement. The form of all documents shall be approved by the City Attorney. pursuant to the provisions of Section 12 of the City Charter, the second reading of this ordinance by title is hereby dispensed with. City Cie 0-First Amended & VI'teted A,ecmeni for Joint Communi Wlieto Clout, City & VAS 11 (4.16.18) �v IN THE COUNCIL OF THE CITY OF ROANOKE, VIRGINIA The 16th day of April, 2018. No. 41106 - 041618. A RESOLUTION authorizing the City Manager's issuance and execution of additional change orders to the City's contract with S. Lewis Lionberger Construction Company, for additional design build services for the joint E911NA811 communications center; and authorizing the City Manager to take such actions and execute such documents as may be necessary to provide for the implementation, administration, and enforcement of such contract, as amended. BE IT RESOLVED by the Council of the City of Roanoke that: 1. The City Manager is hereby authorized, for and on behalf of the City, to issue and execute additional change orders as may be necessary to the City's contract with S. Lewis Lionberger Construction Company, in an amount not to exceed an additional $10,963,141, including Change Order No. 4 in the amount of $10,441,087, for additional design build services for the joint E91INA811 communications center, which includes S. Lewis Lionberger Construction Company completing construction documents and constructing the communications center, all as more fully set forth in the City Council Agenda Report dated April 16, 2018. 2. The form of such Change Order No. 4 and any additional change orders shall be approved by the City Attorney. 3. Change Order No. 4, and such additional amendments, shall provide authorization for additions to the work, with an increase in the amount of the Contract, and provide that the total amount of Change Order No. 4 and such other amendments will not exceed an additional $10,963,741, all as set forth in the above mentioned City Council Agenda Report. 4. 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 enforcement of the Contract, as amended by Change Order No. 4 and any such additional amendments. Such documents shall be approved as to form by the City Attorney. A "I TEST: Ciry Cle y � ly 2 Subject: Amendment to Agreement regarding the Design, Development, Construction, and Operation of a Joint Communications Center by and between the City of Roanoke and Virginia Utility Protection Service, Inc. (VUPS) and Amendment to Design Build Contract with Lionberger Construction Company for the Construction of the E911 /VA811 Communications Center Background: Virginia Utility Protection Services, Inc. (VUPS), also commonly known as Miss Utility of Virginia or VA811, is a not - for - profit organization created by Virginia's utility companies to protect their underground facilities. VUPS and the City's E911 Division share similar communication center logistics and technologies. As such, the City and VUPS jointly commissioned a study for a joint communication center located on City owned Tax Map Parcel 7280104 in the Roanoke Centre for Technology & Industry. As part of the study, and pursuant to Roanoke City Council Ordinance No. 40828 - 05151 7, the City entered into an agreement (Agreement) regarding the development of the joint communications center (Facility) for (i) an 811 Center to be operated by VUPS; and (ii) an E -911 Center to be operated by the City of Roanoke (Project). The Facility is to be located on certain real property situated at 0 Blue Hills Circle, N.E., Roanoke, Virginia 24012, Official Tax Map No. 7280104, containing approximately 6.5928 acres (Property). The Agreement provided that upon completion of the first phase of the design - build process, the City and VUPS shall determine, in their respective reasonable judgments, whether to proceed with completion of the design and construction of the Joint Communications Center. If either party decided to end design and construction of a joint Communications Center, then VUPS could purchase the Property for its sole use. The City entered into a design build Contract with S. Lewis Lionberger Construction Company (Lionberger) dated October 17, 2017, in the amount of $300,000, to provide 35% preliminary engineering drawings with an option to complete the drawings and construct the communication center. As a partner, VUPS provided $150,000 of the funding pursuant to the Agreement. The first phase of the design -build process has been completed, and the City and VUPS have elected to proceed with the Project. After extensive coordination, the Lionberger design -build team has provided site and floor plans suitable to the needs of both E911 and VUPS. The flexible arrangement of the floor plan allows the end users to operate independently while sharing common space elements such as conference /training rooms, technology server rooms, restroom facilities and site amenities. The City and VA811 propose to enter into a First Amended and Restated Agreement, substantially similar to the Agreement attached to this Agenda Report, to amend certain terms of the Agreement to 0) amend the Property description, and 00 amend the process for establishing the joint Communications Center as a condominium (Restated Agreement). The Property description will be amended to account for a resubdivision of the Property and adjacent parcel, which results in an increase of the total acreage of the Property from approximately 6.5928 acres to approximately 7.483 acres of land. The resubdivision was required in order to maximize benefits to the Property for stormwater purposes. Pursuant to the Restated Agreement, prior to commencing construction, the City shall submit the Facility and the Property to the Virginia Condominium Act (Sections 55 -79.39 through 55- 79.103, Code of Virginia (1950), as amended) as a condominium consisting of two (2) units, one unit for the VA811 operations (VA811 Unit) and the other unit for the E -91 I operations (E -911 Unit), together with common elements, limited common elements, and such other conditions, restrictions, and agreements acceptable to the City and VA811. Upon completion of the structure, VA811 shall purchase the VA811 Unit, upon terms and conditions set forth in the Restated Agreement, which terms include a purchase price equal to the sum of (i) $148,500 (fifty percent (50 %) of $297,000); and 00 assumption of VA811's pro -rata share of all costs associated with the design and construction of the Facility. VA811 will be solely responsible for the cost of all up -fit and finish work within the VA811 Unit and the City will be solely responsible for all up -fit and finish work within the E -91 1 Unit. Considerations: The City desires to have Lionberger complete the construction documents and construct the communications center. Lionberger has submitted a proposal to complete the above - mentioned services and construct the communication center for an additional fee of $10,441,087. The City's share of the cost is $5,177,867 and VUPS's share of the cost is $5,263,220. In addition to the above net total of the contract ($10,741,087), other expenses connected with the project may involve encountering unexpected conditions that necessitate variations in the contract quantities. Therefore, additional amendments may be needed to the Contract with Lionberger Construction Company as the project moves to completion. However, the total of other such amendments is not expected to exceed an additional $522,054 over and above the previously mentioned $10,441,087. Total Amendments should not to exceed $10,963,141. VUPS has submitted a determination, dated March 19, 2018, supporting the motion to begin construction and indicating their ability to finance the construction of the joint communications center. Bond funding from a prior issuance, $1,750,000, is available in the project account. Additional funding is required in the project account 08 -530 -9586, E- 911 Facility, and is planned through the FY 2019 bond issuance. Recommended Action: Authorize the City Manager to execute additional amendments as mentioned above, approved as to form by the City Attorney, to the City's Contract with Lionberger in an amount not to exceed $10,963,141 for the complete design and construction of the Facility. Authorize the City Manager to execute the Amended and Restated Agreement with VUPS as mentioned above, approved as to form by the City Attorney. Authorize the City Manager to take such actions and to execute such documents, as may be necessary to provide for the implementation, administration, and enforcement of all such amendments to the above - mentioned Contract with Lionberger as well as the Contract itself, and to the Amended and Restated Agreement. All such documents are to be approved as to form by the Q y Attorney. ------ - - - - -- -------- - - - - -- Robert S. Cowell, jr. City Manager Distribution: Council Appointed Officers Sherman M. Stovall, Assistant City Manager for Operations Amelia C. 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R;ow' nA xIv�� *I EP iST.Nr'�a -svm m aA.EAro, -rs.m "ANDS, mNO, NIN Ot a0N (.N O O�00Q ° BEtxC K,s Br cEPTEV Our aiSl - i EPw WE LE PECE TO TEE BEyT OE p PEC EOs Mc. , 3w MERE PPOPER116 w, pr xE OP WE TWO 1100 ENA P RM1NIS�x1CNALL 'NBE r fatviSEn w EPRl19EA 3e. !.' , *I EP iST.Nr'�a -svm m aA.EAro, -rs.m "ANDS, mNO, NIN Ot a0N (.N O O�00Q ° BEtxC K,s Br cEPTEV Our aiSl - i EPw WE LE PECE TO TEE BEyT OE p PEC EOs DRAFT 4.9.2018 FIRST AMENDED AND RESTATED AGREEMENT REGARDING THE DESIGN DEVELOPMENT CONSTRUCTION AND OPERATION OF JOINT COMMUNICATIONS CENTER BY AND BET NEEN THE CITY OF ROANOKE VIRGINIA AND VIRGINIA UTILITY PROTECTION SERVICE. INC. THIS FIRST AMENDED AND RESTATED AGREEMENT regarding the Design, Development, Construction, and Operation of a Joint Communications Center by and between the City of Roanoke, Virginia, a Virginia municipal corporation ( "City ,,), and Virginia Utility Protection Service, Inc., a Virginia corporation ( "VUPS "), is made this day of April, 2018 ( "Agreement "). RECITALS A. The City is the owner of certain real property, together with any improvements thereon, containing 7.483 acres of land, more or less, situated at 0 Blue Hills Circle, N.E., Roanoke, Virginia, depicted as Official Tax Map No. 7280104, and more particularly described in Exhibit A attached hereto and made a part hereof ('Property "). B. The City operates an emergency operations center presently situated at 215 Church Avenue, S.W., Roanoke, Virginia (`Present E -911 Facility "), to provide emergency telephone call services to the public ( "E -911 Services"), and the City needs to expand the Present E -911 Facility or relocate its E -91 I Services to another location. C. VUPS operates VA8I I services for utilities, contractors, and the public to assist in the location of utility lines prior to the commencement of construction of any land disturbance activities ( "VASI1 Services "). VUPS presently provides VA811 Services from its offices located at 1829 Blue Hills Circle, N.E., Roanoke, Virginia (`Present VAS I Facility "). VUPS desires to expand its VA811 service and must relocate its VA811 Services from its Present VA81 I Facility. Property Dto VUPS so that VUPS tile ould City onstruct a newdfa whether which VUPS could provide selling Services. Aber review of various technical matters, the City and VUPS explored the possibility of constructing a communications facility at the Property where the City could provide its E -911 Services and VUPS could provide its VAS I Services ( "Joint Communications Center"). E. Aber further discussions and review, the City and VUPS entered into a letter agreement dated November 8, 2016, in which the City and VUPS summarized their goal of designing a Joint Communication Center and, after review of the preliminary design, determining whether to complete final design and construction of the Joint Communications Center (`November 8, 2016 Letter"), A copy of the November 8, 2016 Letter is attached as Exhibit B. The parties agreed to share the cost of the preliminary design. F. The November 8, 2016 Letter further provided that if either the City or VUPS determined that the design of the proposed Joint Communications Center did not satisfy such party's objectives, DRAFT 4.9.2018 such party could terminate the design process and, subject to approval and authorization by Roanoke City Council, the City would sell the Property to VUPS. G. The City has completed a two -step qualification based negotiation process for a design - build contract for the Joint Communications Center ( "Design Build Con tract "I. A copy of the Design Build Contract is attached hereto and made a part hereof as Exhibit C. H. The contract for the design -build provides for two (2) phases; the first phase will be Preliminary design of the Joint Communications Center from which preliminary design the cost of complete design and construction of the Joint Communications Center can be determined. 1. The November 8, 2016 Letter contemplates that the City and VUPS will enter into an agreement, subject to the approval and authorization of Roanoke City Council, that establishes the agreement of the parties with regard to the design, development, construction, and operation of the Joint Communications Center or the sale of the Property to VUPS. J- City Council authorized the agreement regarding the Design, Development, Construction and Operation of a Joint Communications Center by and between the City and VA81 I on May 15, 2017, pursuant to Ordinance No. 40828 - 051517 (the "Original Agreement "). K. The City and VUPS agree to amend certain tern's of the Original Agreement to (i) amend the Property description, (ii) amend the process for establishing the Joint Communications Center as a condominium, (iii) provide for the sale of a condominium unit in the Joint Communications Center to VUPS. NOW, THEREFORE, in consideration of the mutual covenants and promises contained herein, and the Recitals set forth above which Recitals are incorporated herein and are made a material part of this Agreement, and for other good and valuable consideration, the receipt, adequacy, and s ufficiency of which are hereby acknowledged, the City and VUPS agree as follows: ARTICLE I DESIGN OFJOINT COMMUNICATIONS CENTER 1.1 Pursuant to the terms of the November 8, 2016 Letter and the Design Build Contract, the City and VUPS procured, through a two -step qualification -based competitive negotiation Process, a design -build contract for the design and construction of the Joint Communications Center. VUPS has paid fifty percent (50 %) of the costs incurred under the Design Build Contract. VUPS shall pay such amount to the City within ten (10) days after receipt of an invoice for such amounts from the City. 1.2 VUPS and the City have completed the preliminary design and have reviewed the estimated costs for the final and complete design and construction of the Joint Communications Center, and the City and VUPS have, in their respective reasonable judgments, elected to proceed with completion of the design and construction of the Joint Communications Center. In exercising their respective judgment, the City and VUPS have determined that the proposed Joint Communications Center meets its DRAFT 4.9.2018 respective objectives for use of the proposed Joint Communications Center to provide the E -911 Services or the VA81 I Services as applicable. The determinations made by VUPS and the City are attached hereto and made a part hereof as Exhibit D. 1.3 The City and VUPS mutually agree to proceed with (lie final design and construction of the proposed Joint Communications Center in accordance with Article ❑ of this Agreement. 1.4 The City and VUPS acknowledge and agree that each party will be solely responsible for all up -fit and finish work associated with its designated space within the Joint Communications Center. ARTICLE 11 DEVELOPMENT, CONSTRUCTION, AND OPERATION OF THE JOINT COMMUNICATIONS CENTER 2.1 Development of the Joint Communications Center. 2.1.1 The parties shall develop and finalize documents necessary to establish the Property and the Joint Communications Center as a two (2) unit condominium with appropriately designated common elements, limited common elements, and expandable condominium property, together with the creation of a condominium association (collectively, the "Condominium Documents "). The Condominium Documents shall be finalized, except for final as -built surveys designating the specific boundaries of each condominium unit; before commencement of construction of the proposed Joint Communications Center. The City shall retain the services of Whitlow and Youell, PLC to prepare such documents and VUPS shall reimburse the City for fifty percent (50 %) of the costs incurred. 2.13 Prior to the commencement of construction of the Joint Communications Center, the City shall record the Condominium Documents establishing the Joint Communications Center and the Property as a condominium, consisting of two units; one for the operation of the VA811 Services provided by VUPS ( "VA811 Unit "), and one unit for the operation of the E911 Services by the City ( "E911 Unit'); together with such common elements and limited common elements desired by the parties. The Condominium Documents shall be finalized prior to July 31, 2018. The general location and boundaries of the VA81 I Unit, the E91 I Unit, the common elements and limited common elements are shown on Exhibit E. The parties agree that the final condominium documents shall be revised upon completion of construction and as -built surveys in conformity with the applicable laws, rules, and regulations of the Commonwealth of Virginia relative to the development and operation of condominiums, to the extent necessary in accordance with the final construction plans. 2.1.3 Upon eompletimn of construction, VUPS agrees to acquire the condominium unit designated as the VA811 Unit. VUPS shall acquire the VA811 Unit at the DRAFT 4.9 2018 purchase price equal to the sum of (i) 8148,500 (fifty percent (50 %) of 5297,000); and (ii) its pro -rata share of all costs associated with the design and construction Of the Joint Communications Center, including all construction costs under the Design Build Contract, in addition to change orders associated with the VA81 I Unit, and soft costs, including creation of the condominium. This Agreement shall be subject to public notice and public hearing before Roanoke City Council and shall be subject to the approval and authorization of Roanoke City Council, 2.1 A The City shall retain the E911 Unit and the City shall be responsible for its pro - rata share of all costs associated with the design and construction of the Joint Communications Center, including all soft costs including creation of the condominium. 2.1 .5 VUPS's pro -rata share of all costs associated with the design and construction of the Joint Communications Center shall be equal to the amount shown as VA81 I's Share on the Design Build Contractor's budget dated March 2, 2018, which is attached hereto and made a part hereof as Exhibit F. The City's prorata share of all costs associated with the design and construction of the Joint Communications Center shall be equal to the amount shown as E91 I's share on the Design Build Contractor's budget dated March 2, 2018, which is attached hereto and made a part hereof as Exhibit F. The cost of the common elements shall be divided equally between VUPS and the City: 50% to be paid by VUPS and 50% to be Paid by the City. Any change order to the Design Build Contract shall be treated accordingly: if the change order relates to the VA811 Unit, VUPS will be solely responsible; if the change order relates to the E911 Unit, the City will be solely responsible; if the change order relates to the common elements, the cost will be shared equally, 50% to be paid by VUPS and 50% to be paid by the City. All technology and related services specifically required by E -911 and the EOC in the shared EOCtraining room shall be the responsibility of the City. 2.1.6 During the construction of the Joint Communications Center, VUPS agrees to make payments to the City, as deposits to be applied to the Purchase Price, as defined herein, upon transfer of the VA811 Unit to VUPS, or refunded to VUPS in the event that such transfer does not occur through no fault of VUPS, in amounts equal to VUPS' pro-rata share of the Joint Communications Center, at intervals concurrent with the regular payments made by the City to the Design Build Contractor with respect to the construction of the Joint Communications Center. VUPS shall pay such amounts to the City within ten (10) days after receipt of an invoice for such amounts from the City. The City may use such deposits from VUPS to pay the Design Build Contractor for amounts due to it in connection with the construction of the Joint Communications Center. In the event that file City does not use such deposit payments to pay the Design Build Contractor, the City shall hold such deposit payments in a non- interest bearing account. DRAFT 4.9.2018 2.1.7 Should the City and VUPS fail to close on the sale of the VAST I Unit, through no fault of VUPS, the aggregate amount of the deposits made by VUPS towards the Purchase Price shall be refunded to VUPS, without interest. 2.1.8 The parties agree that the closing on the transfer of the VA81 I Unit to VUPS shall occur within thirty (30) days after substantial completion of construction of the VA811 Unit and common elements, in accordance with Article III of this Agreement. 2.2 Construction of Joint Communication Center. 2.2.1 The City and VUPS shall each designate a person to provide oversight of construction activities of the Joint Communications Center, The City shall designate the project manager for the construction of the Joint Communications Center. The construction shall be managed in accordance with standard construction management practices and in accordance with the specific terns and conditions of the contract for construction of the Joint Communications Center. 2.22 Prior to the commencement of construction, the City and VUPS will negotiate and agree on a schedule to coordinate, review and approve any change orders, revisions, or amendments to the contract for construction of the Joint Communications Center. 23.3 VUPS agrees that it shall be solely responsible for completion of the up -fit of the VA81 I Unit afier it acquires such property, which up -fit may be included in the design -build contract services. 2.3 Operation of the Joint Communications Center. 2.11 Upon completion of construction of the Joint Communications Center and acceptance of the work by the City, the City shall take all action necessary (i) as declarant to make any necessary revisions to the Condominium Documents in accordance with the terms and conditions of the agreements approved by the City and VUPS in accordance with Section 2.1.1 of this Agreement; (it) for such approvals and authorizations from Roanoke City Council, Wally, to approve any such revisions to the Declaration, and (iii) to take all other steps necessary to effectuate these transactions. 23.2 The City and VUPS agree that the condominium will be operated and managed in accordance with the terms and conditions of the Condominium Documents. DRAFT 4.9.2018 ARTICLE III SALE OF VA811 UNIT 3.1 The City agrees to sell the VAST I Unit to VUPS, and VUPS agrees to purchase the VAS I l Unit, on the terns and conditions set forth in this Article Ill. 3.2 Definitions. Unless the context otherwise specifies or requires, for the purpose of this Article 111, the following terms shall have the meanings set forth in this Section: Closing; The day the title to the VA811 Unit is transferred by Deed from the City to VUPS. Closing Date, The date provided for in Section 3.10.4 hereof for the Closing. Days: Unless otherwise stated, this term means consecutive calendar days. Deed: The Deed shall be a special warranty deed, subject to all restrictions of record, and the Condominium Documents. Governmental Authority: Governmental Authority means the United States of America, the Commonwealth of Virginia, any other state of the United States, the City, any Federal, state, regional, or local body, commission, or agency having jurisdiction with respect to the construction, development, occupancy, use, and operation of file Center as contemplated in the Project. Permits and Approvals: All permits, approvals, consents, and authorizations issued by a Governmental Authority that are required for the construction of the Joint Communication Center all such permits, approvals, consents, and authorization having been finally issued and subject to no condition unacceptable to VUPS and the City and subject to no appeal. Plans or Plan, These terms mean the design plans and,or drawings and/0 r other documents as approved by the Cit Development, y of Roanoke Department of Planning, Building and Purchase Price: An amount as described and determined in accordance with Section 21.3 of this Agreement, to be paid in immediately available funds of the United States from VUPS to the City. Substantial Coraciletion Substantially Com fete or Com feted, or Substantial Conformance• Completion of construction of the Joint Communications Center as contemplated in this Agreement and where a final certificate of occupancy has been issued for the VA811 Unit from the City of Roanoke Department of Planning, Building and Development for the Project, as set forth in the Plans. DRAFT 4.9.2018 Title Commitment A commitment for title insurance in favor of VUPS for the VA81 I Unit to be issued by a Title Company. Title Comoanv' Any nationally recognized title insurance company acceptable to VUPS. 33 Purchase and sale of VA811 Unit. 3.3.1 The City agrees to sell the VA811 Unit to VUPS, and VUPS agrees to Purchase, the VA811 Unit from the City upon all the terms, covenants, and conditions set forth in Article III of this Agreement. 3.3.2 VUPS shall pay to the City the purchase price at Closing. 3.4 Conditions Prior To Closin . 3.4.1 The City shall amend and finalize the Condominium Documents as necessary based on any changes to tte Plans. 3.4.2 Approval by Roanoke City Council, if necessary, to any amendments or revisions described in Section 3.4.1 of this Agreement. 3.5 The City's And VUPS's obligations. 3.5.1 Obligations at Closint' 3.5.1.1 The City's off_ At the Closing, the City agrees to sell to VUPS the VAS 1I Unit and deliver the Deed to VUPS in accordance with the terms of this Agreement. 3.5.1.2 VUPS's Obligations VUPS agrees and promises that it will do and/or has done the following at Closing: (i) VUPS will purchase the VA811 Unit from the City for tie Purchase Price and will make payment in accordance with the terms of this Article 111. (ii) VUPS accepts the VA811 Unit in an `AS IS" condition and acknowledges and agrees that the City makes no representations or warranties with respect to the VA811 Unit other than what is contained within this Article I0, subject only to such warranties required under Section 55- 79.79, Code of Virginia (1950), as amended. VUPS agrees that VUPS is taking tie VA811 Unit 7 DRAFT 4.92018 without any warranties or representations from the City, except as specifically set forth herein and required by applicable late. VUPS shall promptly pay for all advertising costs and a fees n costs connected with sales transactions contemplated laby this Article III and /or the sale of the VAS) I Unit, includin not limited to costs for any advertisement of required public hearing(,). Such b, but Payment shall be made direct) to providing the advertising or other service, City Y fh, entity y may direct. or to the City, as the 3.6 Comoliance� With VUPS agrees to and shall comply with all applicable federal, state, and laws, ordinances, and regulations, includin requirements. VUPS local the performance of this Article agrees l knowat ingly e does all applicable l l licensing defined in the federal Immigration not, and shalt not during oration Refonmg Y employ an unauthorized alien as and Control Act oft 986. 3.7 Indc�h,. VUPS agrees to indemnify and hold harmless the City directors, and employe,, free and harmless for a causes of � a its officers, action, damages or any liability and frmn any and all claims, attorney's fees, on account of an y °f any type, including reasonable Persons or propert y growing out of aims t, or any injury or damage in any way out of an directly or indirectly resulting . or r. any crop 90 ces, Y actions, omissions, or activities of V b arising Y' contractors, or representatives in. out UPS or its a way to any of the matters involved in this sl 'slog of or connected in any thereunder. VUPS`, indemnit rucle III provisions of Section 3.15.2.3. y obligations hereunder shall be s sb subject to nce Iect to the The City agrees to require its contractors to indemntF VUPS and its officers, directors, and employees free and harmless for and From an y and hold harmless y and all claims, causes of action, damages or any liabilit including injury or reasonable attorney's fees, on account of an injury or dams Y of any type indirect) be fO any Persons or properly y claims 6 y resulting Y growing Y or any activities of the C 's arising in any way out of an b out of or directly or Y's contractors or its a> Y acm °us, missions, or representatives arising out of or bents, em to involved connected in a P Yees, subcontractors, or in this Article III or nY way to any of the matters contractors' indemnity obligations hereunde shall betsubjectlto the provisions Of Section 3,152.3 The City's 3.8 Intentionally Omitted. DRAFT 4.9.2018 3.9 Covenants And W antics. 3.9.1 In addition to any representations and warranties contained elsewhere in this Article lll, the City warrants and represents that the accordance with this Article III, convey title to the V AS IS condition and subject to an City will, in any of record. '4 811 Unit in an 3.9.2 The City further represents and warrants with re that: spect to the VA gl 1 Unit 3.93.1 Title, The City has title to the VA81 I Unit subject to any restrictions of record, and the Condominium Documents, The City is the declarant of the Joint Communications Center. ''9'7,2 Condemnation pending The City has no knowledge of any P e or threatened proceedings for condemnation or the exercise of the right of eminent domain as to any part or the condo Unit or the Joint Communications Center condominium. 3.9.23 Soeciases Tire City has no received knowledge of, nor has assessments�rrelatln'Ce o1I any other special b to the Pro e Pecial taxes or VUPS acknowledges that the owner of the VA Part thereof. Obligated to Condominium Association fees, 811 Unit is the Condominium Documents. as set forth in 3.9.2.4 Hazardous Materials The representations of any t City makes no warranties or of any type ype regarding hazardous materials 3'22'5 No Leases. There are no leases oFfhe V 3.10 Title And A81 I Unit. 3.10.1 Title to the VAS Ill s Unhe City o ,subject to tire w e folloingit shnll be conveyed by tire VUPS by Deed 3.10.1.1 Ad valorem real property taxes, stonnwater Utility fees, and solid waste collection fees (if any) for the current year, not yet due and payable; 3.10.13 Deed of Restriction to the Roanoke Centre for Industry and Technology, as amended, dated December 6, 1983, and recorded in the Clerk's DRAFT 4.9.2018 Office of the Circuit Court for the City of Roanoke, Virginia; 3.10.1.3 The Condominium Documents; 110.1.4 Liens and objections shown on the Title Commitment: 3.10.1.5 Other standard exceptions contained in a Title Policy as defined in Section 3.102 below; and 3.10.2 Delivery of title in accordance with the foregoing shall be evidenced by the willingness on the Closing Date of the Title Company to issue, upon payment of its normal premium, to VUPS its A.L.T.A. (Form B) Owner's Policy of Title Insurance (tile "Title Policy ") insuring VUPS in the amount of the Purchase Price in respect to the VA811 Unit and that title to the VAS I I Unit is vested in VUPS subject only to the Conditions of Title. 3.10.3 VUPS and the City shall consummate and complete the Closing of this transaction no sooner than thirty (30) days but no later than sixty (60) (lays after satisfaction of all conditions set forth in Section 3.4. VUPS shall designate the specific date on which the Closing shall occur within such period set forth above at least thirty (30) business days prior to the Closing Date. Under no circumstance shall the Closing occur later than one hundred twenty (120) Days after completion of inspections pursuant to Section 3.15 hereof, unless the City grants further extension periods. 3.10.4 The Closing shall be at 10:00 A.M. on the Closing Date in the Ottice of the City Attorney, or at such other location, date, and time as shall be approved by VUPS and the City. 3.10.4.1 On the Closing Date, the City shall deliver or cause to be delivered to VUPS the following documents: (i) Its duly executed and acknowledged Deed conveying to VUPS the VAS II Unit in accordance with the provisions of this Article 111; (it) A mechanic's lien affidavit executed by a representative of the City, satisfactory to the Title Company, and to the effect that no work has been performed on the VAS I I Unit by the City in the one hundred twenty -five (1 '5) Days immediately preceding the Closing Date that could result in a mechanic's lien claim, or, if such work has been perfonned, it has been paid for in full; 10 DRAFT 4.9.2018 (iii) Such evidence and documents including, without limitation, a certified copy of the ordinance adopted by the City, as may reasonably be required by the Title Company evidencing the authority of the person(s) executing the various documents on behalf of the City in connection with its sale of the VAS II Unit; (iv) A duly executed counterpart of a Closing Statement; and (v) Any other items required to be delivered pursuant to this Article III or other items reasonably required by the Title Company and that do not include the payment of money, indemnity, or assumption of any liability or obligation. 3.10.4.2 At the Closing, VUPS shall deliver to the City the Purchase Price, less the amount of the deposit payments made by VUPS in accordance with Article 11 of this Agreement, in immediately available funds of the United States of America. 3.10.5. At Closing, real property taxes (if any), stormwater utility fees, and solid waste collection fees (if any) shall be prorated with VUPS being responsible for all periods thereafter. 3.10.6 VUPS shall pay for (i) the cost of all investigations of the VAST I Unit including but not limited to examination of title and title insurance Premiums for issuance of the Title Policy; (ii) all attomey's fees and expenses incurred by legal counsel to VUPS; (iii) any Grantee's tax and recording costs required to be paid in connection with the recording of the Deed; and (iv) 50% of the costs of Whitlow and Youell, PLC to prepare the Condominium Documents and related services. 3.10.7 Tile City shall pay (i) the Grantor's tax, if any, (ii) 50% of the costs of Whitlow and You'll, PLC to prepare the Condominium Documents and related services, and (iii) the expenses of legal counsel for the City, if any. 3.10.8 Exclusive possession of the VAS11 Unit shall be delivered to VUPS on the Closing Date, subject to the provisions of this Article Ill. DRAFT 4.9 2018 3.11 Condemnation The City has no actual knowledge of any pending or threatened condemnation of the VAS I Unit or the Property. However, if, after the date hereof and prior to the Closing Date, all or any part of VA81 I Unit or the Property is subjected to a bona fide threat of condemnation or condemned or taken by a body having the power of eminent domain or a transfer in lieu of condemnation, VUPS shall be promptly notified thereof in writing and within twenty (20) Days after receipt of written notice to VUPS, VUPS may by written notice to the City elect to cancel the transactions contemplated by this Article III prior to the Closing Date, in which event all parties shall be relieved and released of and from any further duties, obligations, rights, or liabilities hereunder, and thereupon the transactions contemplated by this Article III shall be deemed terminated and of no further force and effect. If no such election is made by VUPS to cancel the transactions contemplated by this Article Ill, Article III shall remain in full force and effect and the purchase contemplated herein, less any interest taken by condemnation or eminent domain, shall be effected with no further adjustments, and upon the Closing Date, the City shall assign, transfer, and set over to VUPS all of the right, title, and interest of the City in and to any awards that have been or that may thereafter be made for any such taking or takings. 3.12 Risk Of Loss. Risk of Loss by fire or other casualty shall be upon the City until Closing is completed, except if such loss is the result of acts or omissions of VUPS or VUPS's employees, agents, contractors, or representatives, in which case such loss shall be VUPS's responsibility. Provided, however, if the VA811 Unit is substantially damaged or destroyed before Closing by such casualty, then either party may cancel this Agreement by giving the other party thirty (30) days written notice of such cancellation and neither party will have any further obligations to the other and the City shall not be liable to VUPS for any failure to deliver the VA811 Unit to VUPS. 3.13 Commissions. The City and VUPS each warrant and represent to the other that their sole contact with the other or with the VA81 I Unit regarding this transaction has been directly between themselves and their employees. The City and VUPS warrant and represent that no person or entity can properly claim a right to a commission, finder's fee, or other compensation based upon contracts or understandings between such claimant and VUPS or the City with respect to the transaction contemplated by this Article 111. VUPS agrees to indemnify the City against and to hold it harmless from any claim, loss, cost, or expense, including, without limitation, attorneys' fees, resulting from any claim for a commission, finder's fee, or other compensation by any person or entity based upon such contacts or understandings. 12 DRAFT 4.9 201 S 3.14 Remedies. 3.14.1 In the event VUPS shall have fully performed or tendered performance of its duties and obligations hereunder, but the City fails to perform any of its duties or responsibilities in accordance with the terms and provisions hereof, VUPS's sole and exclusive remedy shall be an equitable suit to enforce specific performance of such duties or responsibilities. 3.14.2 In the event the City shall have fully performed or tendered performance of its duties and obligations hereunder, but VUPS fails to perform any of its duties or responsibilities in accordance with the terns and provisions hereof, the City's remedies shall include an equitable suit to enforce specific performance of such duties or responsibilities and termination of this Agreement and retention of all deposit payments made by VUPS in accordance with Article 11 of this Agreement. 3.15 Inspection Period VUPS shall have ninety (90) Days after execution of this Agreement to examine title to the VA811 Unit. VUPS shall provide written notice of any objections to title (other than those matters identified in Section 3.10.1 of this Agreement) to the City. The City shall have sixty (60) Days after receipt of such notice to take such actions as the City deems appropriate, and without the expenditure of funds, in which to resolve such objection to the reasonable satisfaction of VUPS. If such objection cannot be satisfied, then VUPS may either (i) accept title to the VAST I Unit with such exception to title; or (ii) terminate this Agreement, in which event, the deposits paid by VUPS shall be refunded to VUPS, without interest, and neither party shall have any further rights hereunder. 3.16 Conflict Between Plans And Contract Terms The City and VUPS agree that the provisions of the Plans and other documents provided by VUPS to the City are intended to be consistent with the terns of this Article 111. However, if any of documents supplied by VUPS and /or the Plans are in conflict with the terms of this Article III, the parties agree that the terns of this Article III shall control, unless the parties mutually agree otherwise in a writing signed by both parties. 3.17 Force Malcom. Neither party shall be in default or otherwise liable for any delay in or failure of its performance under this Article III if such delay or failure arises by any reason beyond its reasonable control, including any act of God, any acts of common enenmy, the elements, earthquakes, floods, tires, epidemics, riots, strikes, failures or delay in transportation or communication, shortages of material, approval delays or any act or failure to act by the other party or such other party's employees, agents or contractors; provided, however, that lack of funds shall not be deemed to be a reason beyond a party's reasonable control. The parties shall promptly inform and consult with each other as to any of the above 13 DRAFT 4.9 2018 causes which in their judgment may or could be the cause of a delay in the performance of this Article 111. For purposes of this Article 111, any one (1) delay caused by any such occurrence shall not be deemed to last longer than four (4) months and the party claiming delay caused by any and all such occurrences shall give the other party written notice of the same within thirty (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 six (6) months of delays of any type have been claimed by a party as being subject to force majeure, no further delays or claims of any type shall be claimed by such party as being subject to force majeure and/or being an excusable delay. ARTICLE IV GENERAL PROVISIONS 4.1 Assignment. VUPS agrees not to assign or transfer any part of this Agreement without the prior written consent of the City, which will not be unreasonably withheld, and any such assignment shall not relieve VUPS from any of its obligations under this Agreement. 4.2 Forum Selection And Choice Of Law. By virtue of entering into this Agreement, VUPS agrees and submits itself to a court of competentjurisdiction, which shall be the Circuit Court or General District Court for 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 conflict of law provisions which shall not apply, and that all claims, disputes and other matters shall be decided only by such court according to the laws of the Commonwealth of Virginia as aforesaid. VUPS further waives and agrees not to assert in any such action, suit or proceeding, that it is not personally subject to the jurisdiction of sue], courts-, that the action, suit or proceeding, is brought in an inconvenient forum or that the venue of the action, suit or proceeding, is improper. 4.3 Notices. All notices hereunder must be in writing and shall be deemed validly given, by personal service, 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 the City: City of Roanoke, ATTN: City Manager 364 Noel C. Taylor Municipal Building 215 Church Avenue, S. W, Roanoke, Virginia 24011 14 DRAFT 4.9 2018 Fax No. 540 -853 -2333 With a Copy to: City of Roanoke Department of Economic Development ATTN: Economic Development Director 117 Church Avenue, S.W. Roanoke, VA 24011 Fax No. 540- 853 -1213 If to VUPS: Virginia Utility Protection Service, Inc. ATTN: Richard F. Pevarski, President/CEO 1829 Blue Hills Circle, N.E. Roanoke, VA 24012 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. 4.4 Time. Time is of the essence in the performance of the parties' respective obligations in this Agreement. 4.5 Successors And Assigns. This Agreement shall inure to the benefit of and be binding upon the parties hereto and their respective successors and assigns. 4.6 Counterpart Copies. This Agreement may be executed in one or more counterparts, and all such counterparts so executed shall constitute one Agreement binding on all of the parties hereto, notwithstanding that all of the parties are not signatories to the same counterpart. 4.7 Construction. The parties acknowledge that each party and its counsel have reviewed and revised this Agreement and that the normal rule of construction to the effect that any ambiguities are to be resolved against the drafting party shall not be employed in the interpretation of this Agreement or any amendments or exhibits hereto. 4.8 Severability And Survival. If any tern of this Agreement is found to be invalid, such invalidity shall not affect the remaining terms of this Agreement, which shall continue in Poll force and effect. The parties intend for the provisions of this Agreement to be enforced to the fullest extent 15 DRAFT 4.9 2018 permitted by applicable law. Accordingly, the parties agree that if any provisions are deemed not enforceable by any court or agency of competent jurisdiction, they shall be deemed modified to the extent necessary to make them enforceable. 4.9 Cooperation. Each party agrees to cooperate with the other in a reasonable manner to carry out the intent and purpose of this Agreement. 4.10 Authoritv 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. 4.11 Nonwaiver. Each petty agrees that 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 particular 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 terns 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 party from requiring the defaulting party to comply with all the terns 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. 4.12 Faith Based Organizations. Pursuant to Virginia Code Section -4343 I be advised that the City does not discriminate against faith -based organizations. 4.13 Intentionally Omitted 4.14 Intentionally Omitted 4.15 Compliance with State Law; Foreign And Domestic Businesses Authorized To Transact Business In The Commonwealth Of Virginia. VUPS shall comply with the provisions of Virginia Code Section 2.2- 4311.2, as amended, which provides that a contractor organized as a stock or notstock corporation, limited liability company, business trust, or limited partnership or registered as a registered limited liability partnership shall be authorized to transact business in the Commonwealth as a domestic or foreign business entity if so required by Title 13.1 or Title 50 or as otherwise required by law. VUPS agrees not to allow its existence to lapse or its certificate of authority or registration to transact business in the Commonwealth, if 16 DRAFT 4.9.2018 so required under Title 111 or Title 50, to be revoked or cancelled at any time during the tern of the Agreement and to promptly cure any such lapse, revocation or cancellation following notice from Seller. 4.16 Entire Contract. This Agreement, together with the exhibits hereto, contains all representations and the entire understanding between the parties hereto with respect to [lie subject matter hereof. Any prior correspondence, memoranda, or contracts are replaced in total by this Agreement and the exhibits hereto. No amendment to this Agreement shall be valid unless made in writing and signed by the appropriate parties. SIGNATURE PAGE TO FOLLOW 17 DRAFT 4.9 2018 IN WITNESS WHEREOF, VUPS and the City have executed this Agreement by their authorized representatives. ATTEST: CITY OF ROANOKE, VIRGINIA By City Clerk Robert S. Cowell, Jr., City Manager COMMONWEALTH OF VIRGINIA CITY OF ROANOKE, to -wit: The foregoing instrument was acknowledged before me this _day of , 2018, by Robert S. Cowell, Jr., City Manager for the City of Roanoke, Virginia, a Virginia Municipal Corporation, for and on behalf of said municipal corporation. My commission expires: Notary Public SEAL WITNESS /ATTEST: VIRGINIA UTILITY PROTECTION SERVICE, INC. Richard F. F. Pevarski, Pies/CEO COMMONWEALTH OF VIRGINIA CITY OF ROANOKE, to -wit: The foregoing instrument was acknowledged before me this _day of_, 2018, by Richard F. Pevarski, PresidenVCEO of Virginia Utility Protection Service, Inc., a Virginia corporation, for and on behalf of Virginia Utility Protection Service, Inc. My commission expires: Notary Public SEAL 18 DRAFT 4.9.2018 Approved as to Form: Approved as to Execution: Assistant City Attorney Assistant City Attorney Authorized by Ordinance No. 19 DRAFT 4.9.2018 EXHIBIT A DESCRIPTION OF PROPERTY Roanoke Official Tax Man No 7280104 BEING °Resubdivision Plat From Records for City of Roanoke, Virginia Being the Resubdivision of Tracts 6B -1 A and 6B -1 B as Shown on "Plat Showing the Subdivision of Tract 613-1, (33.803 Acres) Roanoke Centre For Industry And Technology Map Book 1, Page 1324, Being the Property of City of Roanoke, Virginia Deed Book 1493, Page 830" Recorded in Map Book I, Pages 2166 -2167, Creating Hereon Tract 6B -IAI (7.483 Acres) & Tract 613-161 (26.320 Acres) Situate Along Blue Hills Circle, N.E., City of Roanoke, Virginia ", made by Balzer & Associates, Inc., dated March _, 2018, of record in the Clerk's Office of the Circuit Court for the City of Roanoke, Virginia, in Map Book 1, Page _ ; and BEING a portion of the property conveyed to the City of Roanoke, Virginia by deed dated September 23, 1983 from Nancy D. Goss and L. W. Goss, her husband, and James F. Douthat and Ann T. Douthat, his wife, of record in the Clerk's Office of the Circuit Court for the City of Roanoke. Virginia, in Deed Book 1493, Page 830. 20 DRAFT 4.9.2018 EXHIBIT B November 8, 2010 Letter 21 OFFICE OF THE CITY MANAGER Noel C. Taylor Municipal Building is Cl urch Aveuuv, 5W, Room 96q aS=2' Roanoke, . Virginia 24011 ROANOKE roe,t "'3 nt pa V°3PV3.gVv November S. 2016 Virginia Utility Protection Service, Inc. ATTN: Richard F. Pevarski, PresidenVCEO 1829 Blue Hills Circle, N.E. Roanoke, VA 24012 Re: Tract 7 in the Roanoke Centre for Industry and Technology Dear Rick, This letter will confirm our discussions and understandings regarding the development of a proposed joint communications center (Facility) for (i) the 81 I Center to be operated by Virginia Utility Protection Service, Inc (VA811): and (ii) the E -911 Center to be operated by the City of Roanoke (City). The City will solicit proposals for the design/build of the proposed Pacility, to be located on certain real property situated at 0 Blue Hills Circle, N.G., Roanoke, Virginia 24012, Official Tax Map No. 7280104, containing approximately 6.5928 acres (Property). Based on the foregoing, the City will implement the following process for the solicitation of proposals for the design/build of the Facility and the process under which the parties may accept a proposal: A. Solicitation of request for qualifications for the design/build of the Facility I. Based upon our initial discussions, the City has prepared a request for qualifications for the design build of the Facility (RFQ), The RFQ shall include a description of the proposed Facility. The Citys Design/Build process is a two -step qualifications -based competitive negotiation process as authorized by Section 2.2 -4308 of the Code of Virginia and City of Roanoke Ordinance No. 39922- 050514 governing the selection, evaluation. and award of design -build contracts. 2. The RFQ shall request Statements of Qualifications (SOQ) from Offerors to provide Design -Build services for the Facility. 3. TLe period of RFQ shall be for a period of approximately 70 days. The City and VA811 shall establish a committee (Committee) to review proposals received pursuant to the RI-Q. The Committee shall include 2 members appointed by the City and 2 members appointed by VA811. The Committee shall review each SOQ and Offerors will be evaluated for prequalification for the second step of the design -build competitive negotiation process; the Request for Proposals, on the basis of those fully qualified and suitable to meet the requirements of this RFQ. The City's Purchasing Division shall he responsible for distribution of the RFQ and collection of all proposals from responsible Offerors. Prior to meeting to review any proposal, each member of the Committee will execute a form setting forth the responsibilities of committee members in evaluating proposals. This form will include a confidentiality and nondisclosure provision and a requirement that each member of this evaluation committee disclose any conflicts of interest, as conflicts of interest is defined in Sections 2.2 -3100, et seq., Code of Virginia (1950), as amended. B. Solicitation of request for proposals for the design /build of the Facility. Prequalified Offerors that are selected will be invited to respond to a Request for Proposals (RFP) that is prepared by the City's Purchasing Manager or designee, 2. The period of RFP shall be for a period of approximately 30 days. The Committee shall review and rank each proposal. 3. After the recommendation of the Committee, the City shall enter into a contract with [lie Design/Build Team who is fully qualified and has been determined to have provided the best value in response to (he RI'P and whose proposal is deemed to be in the best interest of the City and VA811. C. DesigaNidd Contract. The first phase of the Contract will provide for a schematic phase which will produce a 30', design so that an initial cost estimate can be developed (First Phase). The estimated cost for the First Phase is not to exceed $300.000. VAS11 will participate in the First Phase and contribute 50% of the Hirst Phase design costs incurred pursuant to the Contract. VASI I shall make such payment to (lie City within ten (10) days after VA811 receives an invoice from the City. Upon completion of the First Phase, the City and VAS I I may mutually agree to proceed to the second phase of design and construction, with cast of the design and construction of the Facility to be shared based on the proportional share of each party's respective center. In the event (he City and VA8I I mutually agree to proceed, the parties shall enter into such other agreement, us mao be necessary to reflect their agreement. 3. Upon completion of the First Phase, either VASII or the City may terminate the process if such party determines. in its reasonable judgment that Ilse design of the project does not satisfy its objectives, and, if the joint project is terminated, VASI1 may purchase the Property upon terms and conditions to be set forth in an agreement between the parties. The City shalt submit the proposed sales agreement to Roanoke City Council for approval, after public hearing in accordance with applicable law, and the costs of advertising shall be paid by VA811. 4. If VA811 and the City decide to proceed with construction, then the facility is constructed and. upon completion of the structure, the City shall transfer the Facility and the Property into a condominium consisting of two (2) units. one unit to be constructed for the VAS I operations (VA811 Unit) and the other unit for the E-911 operations (E -911 Unit), together with common elements and limited common elements and such other conditions, restrictions and agreements acceptable to the City and V.A81 I. VA811 shalt purchase the VA811 Unit, upon terms mutually agreed to by the City and VA811. subject to review and approval by Roanoke City Council. Following acceptance of this letter proposal by VA8I I, the City will prepare an agreement between VAST I and the City thin will set forth the details of this proposed project, including the right of VA811 to acquire the Property if either the City or VA811 terminates development of the proposed project at completion of Tile First Phase. Such agreement shall be subject to approval of Roanoke City Council after notice and a public hearing. Please review this leller agreement for the development of the proposed Joint Communications Center. Please acknowledge your acceptance and agreement of the terns of this letter agreement by executing and dating below and returning a complete executed copy to me. Please let me know if you have any questions. i CIT' t�< �i` [:E, VIRGINIA By:l_ !L _ ChrTsWb r 2A. ,forill, City Manager Cc: R. Brian Townsend. Assistant City Manager for Cmnnumity Develnpnlent Sherman Stovall, Assistant City Manager for Operations Wayne Dowers, Director. Department of Economic Development Phil Schimner. City Engineer Roy Memkow, Director of Technology Daniel J. Callaghan, City Attorney Laura M. Carim. Assistant City Attorney The undersigned confirms, agrees tq and accepts the terns and conditions of this letter agreement. VIRGINIA 11TIOW PIROTF,C}'ION SFRVICF, INC. By Richard F. Fzvarski. -Pres /CEO DRAFT 4.9.2018 EXHIBIT C Design Build Contract 22 ROANOKE CONTRACT BETWEEN CITY OF ROANOKE AND S. LEWIS LIONBERGER CONSTRUCTION COMPANY FOR DESIGN BUILD SERVICES FORA PUBLIC PRIVATE PARTNERSHIP COMMUNICATIONS CENTER REFERENCE: RFP 17 -09 -05 THIS DESIGN BUILD CONTRACT # ARUKZA is dated October 13, 2017, between S. Lewis Lionberger Construction Company, a Virginia corporation, hereinafter referred to as the "Contractor", and the City of Roanoke, Virginia, a Virginia municipal corporation, hereinafter referred to as the "City" or "Owner." RECITALS: WHEREAS, The City of Roanoke and its private partner, Virginia Utility Protection Service, Inc., or Virginia 811 ("VA811 "), have entered into an agreement for the joint design, development, construction, and operation of a Communications Center for a new emergency, (E-911) call center, and a "one call" Virginia communications center for excavators, contractors, property owners, anyone planning any excavation or demolition; WHEREAS, After competitive negotiation pursuant to the Virginia Public Procurement Act, the Contractor has been awarded a contract by the City for site design and development services, A/E design services, and construction services for the Project, so the result will be that the City and VA811 will have a fully functional and properly operating building in full accordance with the Contract Documents, hereinafter and in the Contract Documents referred to as the "Work" or "Project;" WHEREAS, Contractor will be providing these services as a design - builder, WHEREAS, Contractor generally will be compensated subject to the terms of this Contract but will be responsible for ensuring that the total cost of the Project to City does not exceed the Contract Guaranteed Maximum Price (GMP) established by this Contract; WHEREAS, Contractor will be responsible for completing the Project so that payments by City will not exceed the GMP, except as may be adjusted by this Contract, even if the costs to Contractor to do so exceed the GMP; WHEREAS, Because this is a design -build project, City and VA811 make no warranty to Contractor, express or implied, regarding any design for the Project. Rather Contractor and its A/E warrant that all design and design services meet the highest standard of care in Virginia for the applicable design professional providing such design or services; WHEREAS, The Virginia licensed Architect / Engineer who will design the Work is identified as: Balzer and Associates, Inc., 1208 Corporate Circle, Roanoke, VA 24018; and WHEREAS, after the completion of the 35% Design, the Contractor will enter into a performance and a payment bond, with surety, each in the penalty of One Hundred Percent (100 %) of the Contract sum, payable to the City of Roanoke as required by the Contract Documents. THEREFORE, in consideration of the terms and provisions set forth herein, the Parties agree that the above Recitals are incorporated into this Contract and made a part hereof and the Parties further agree as follows: ARTICLE 1. WORK TO BE PERFORMED AND DOCUMENTS. For and in consideration of the sums of money hereinafter specified to be paid by the City to the Contractor for the Work provided for in this Contract and in the Contract Documents to be performed by the Contractor, the Contractor hereby covenants and agrees with the City to fully construct, perform, and complete the Work in a good and workmanlike manner in accordance with this Contract and the Contract Documents to produce a fully functional and properly operating project within the time stipulated, time being made of the essence of this Contract. It is also agreed by the parties hereto that the Contract Documents consist of this Contract and those items set forth in the definition of Contract Documents in Section 1 of tF a General Conditions and includes the following, all of which are and constitute a part of this Contract as if attached hereto or set out in full herein, viz: Request for Proposal dated March 21 2017 General Conditions of the Design Build Contract (included in the RFP) (referred to as the "General Conditions ") dated March 21. 2017. (Exhibit AI Supplemental General Conditions, if any, dated March 21, 2017. Addendum No. 1 dated April 3, 2017. Addendum No. 2 dated April 21.2017 Addendum No. 3 dated May 5, 2017. Addendum No. 4 dated May 12 2017. Plans and Drawings as contained or listed in the Request for Proposal dated March 21, 2017. Specifications as contained in the Request for Proposal dated March 21, 2017 Special Conditions or similar documents, if any, as may be contained in the Request for Proposal dated March 21, 2017. Cost Proposal completed by Contractor for this project Cost Proposal Modifications completed by the Contractor for this project, if any; Technical Proposal completed by Contractor for this project. Technical Proposal Modifications completed by the Contractor for this project, if any; Project Schedule to be determined after the approval of the 35% Design Development Submission (Exhibit B). Project Budget to be determined after the approval of the 35% Design Development Submission (Exhibit C). All Work not specifically described in the Contract Documents, yet required to produce a fully functional and properly operating Project shall be provided even though every item or minor detail for the proper installation or successful operation of the entire Work is not mentioned in the Contract Documents. ARTICLE 2. PROJECT DEVELOPMENT. 2.1 INITIAL NOTICE TO PROCEED. Execution of this Agreement by City constitutes Notice to Proceed with design and Construction Document preparation. Contr ?ctor shall commence Work under this Agreement immediately after the date of the Notice to Proceed. The Contractor further agrees that the Work shall be prosecuted regularly, diligently, and uninterruptedly at a rate of progress that will ensure full completion thereof in the shortest length of time consistent with the Contract Documents, 2.2 TIME OF COMPLETION The Contractor covenants and agrees to properly construct, perform, and substantially complete the Work by a date (the "Contract Completion Date') to be determined after the 35% Design Development Submission, and to achieve Final Acceptance within thirty (30) consecutive calendar days after the Contract Completion Date. The Contractor covenants and agrees to property perform, complete, and submit the 35% Design Development Submission by October 31, 2017. 2.2 DESIGN AND CONSTRUCTION The Contractor shall be responsible for the professional quality, technical accuracy, and the coordination of all designs, drawings, plans, specifications, and other services and /or materials furnished by the Contractor under this Contract. However, the responsibility of the Contractor does not relieve those providing such services and /or materials from also being responsible to the City for such items. City is hereby deemed to be a third party beneficiary of any of Contractor's contracts with others for Work or materials on the Project so City may, but is not required to, enforce any such contracts, and Contractor will notify all such subcontractors of City's right under this paragraph. 2.3 DRAWINGS AND SPECIFICATIONS. Based upon the Scope of Work and /or requirements furnished by the City in writing and included herein, the Contractor shall prepare the complete contract working plans and specifications. All design submissions for this Project shall be made in both paper drawing /document form and AutoCAD electronic file form compatible with City's CAD system. Design submissions shall be made as outlined below. The City and VA811 review and /or approval period shall be in accordance with the Project Schedule (see Exhibit B), but not less than ten (10) days for each of the following submissions. a. 35% Design Development Submission: Following receipt of City and VA811's approval of the Schematic Design submission, the Contractor shall prepare a 35% Design Development submission including updated drawings and specifications. Contractor shall submit the 35% Design Development submission to the City and VA811 for review and approval in accordance with the Project Schedule shown in Exhibit B. The City and VA811 review period will be in accordance with the Project Schedule shown in Exhibit B. b. 65% Construction Documents Submission: Following receipt of City and VA811's approval of the 35% Design Development submission, the Contractor shall prepare a 65% Construction Documents submission. Contractor shall submit the 65% Construction Documents submission to the City and VA811 for review and approval in accordance with the Project Schedule shown lin Exhibit B. The City and VA811 review period will be in accordance with the Project Schedule shown in Exhibit B. c. 100% Construction Documents Submission: Following receipt of City and VA811's approval of the 65% Construction Documents submission, the Contractor shall prepare a 100% Construction Documents submission. Contractor shall submit the 100% Construction Documents submission to the City and VA811 for review and approval in accordance with the Project Schedule shown in Exhibit B. At an appropriate level of completion, Contractor shall submit Construction Documents to the City's Planning Department for a Stormwater and erosion and sediment control review. The City and VA811 review period will be in accordance with the Project Schedule shown in Exhibit B. 2.4 CONSTRUCTION. With City and VA811's prior agreement in writing, and subject to imposition by City of reasonable conditions to assure a satisfactory Guaranteed Maximum Price (GMP) for the Project, construction may be allowed to commence in accordance with the Project Schedule prior to the City Engineer's approval of all of the Construction Documents. Where phasedtfast track construction is proposed prior to overall final approval, plans and specifications covering the system or components covered by that phase must be approved by the City Engineer prior to the start of construction of that phase. 2.5 CITY'S OPTION To TERMINATE. The City reserves the right to terminate this Contract upon completion of the 35% Design Development Submission. Such determination to terminate the Contract shall be in writing and delivered to the Contractor in accordance with this Contract within sixty (60) Days after receipt of the 35% Design Development Submission. The Contractor will be compensated the sum not to exceed Three Hundred Thousand Dollars ($300,000) for its work up to and including the 35% Design Development Submission. Contractor agrees that City and VA811 will not be responsible for payment for any Work performed after the 35% Design Development Submission, if the City and VA811 make the decision to terminate the Contract at that time. If the City and VA811 decide to continue the Contract, the Contract will be amended to include the final GMP, Project Schedule, and Project Budget. ARTICLE 3. PRICES. 3.1. PRICES. The Contractor must provide all Work called for under this Contract, including furnishing all material, services, labor, and equipment to perform the Work for the prices as indicated in Exhibit C, but in no event shall the total of all such prices exceed the GMP except as may be authorized by a Change Order. i 3.2. GUARANTEED MAXIMUM PRICE. a. A Guaranteed Maximum Price (GMP) will be established by the parties for the Project and such GMP shall not exceed $11,000,OOD.00, which GMP will be amended after the approval of the 35% Design Development submission. See Exhibit C for detail. The GMP is the maximum sum that the City shall pay to the Contractor in total for this Project, except as may otherwise be provided in this Contract. It includes, but is not limited to all design fees and all construction labor, materials, expenses, permits, utility fees, and equipment needed to properly complete the Project. b. If at any time during design or construction it becomes apparent that the final Project costs will exceed the GMP, the Contractor shall immediately notify the City Engineer and advise him /her of the action the Contractor proposes to take to reduce costs to be within the GMP. Such actions shall be at the Contractor's sole cost and subject to the City's approval. If such costs cannot be reduced to be within the GMP in order to properly complete the Project, the Project shall be properly completed and the Contractor shall be solely responsible for any excess cost over the GMP amount. c. All proposed revisions or changes to the approved Plans and Specifications must be submitted to the City Engineer for review and approval for conformance with the approved design development plans and specifications, regardless of whether or not they affect the GMP. City's review and approval shall be not be unreasonably conditioned, delayed or withheld. However, no such changes shall increase the GMP, except as may be specifically provided for in other provisions of this Contract. Also, no such review and /or approval by the City Engineer or City shall relieve the Contractor of the Contractor's responsibility to ensure all such Plans and Specifications are proper and in accordance with the Contract Documents. d. Contractor shall ensure that the GMP amount is not exceeded, but if such amount is exceeded, Contractor shall be solely responsible for any such excess amount. e. No payment shall be made to Contractor in excess of the GMP except as may be adjusted for any Changes made in accordance with this Contract. The Contractor shall be wholly responsible to complete the Project at no compensation above the GMP. 3.3. CHANGE IN FEES RELATING To SERVICES FOR MODIFICATION OF DESIGN. For changes to the drawings and specifications requested by the City after City's approval of the final drawings and specifications, if such changes substantially add to the Scope of Work, the Contractor shall, upon the written request of the City Engineer, make the necessary design drawing and specification revisions; prepare and issue requests for proposal describing the modifications; prepare estimates, drawings and specifications as required; evaluate proposals and make recommendations to the City Engineer. The amounts payable by City for services under this paragraph will be negotiated, and if the amount payable cannot be agreed upon, will be based upon the rates Indicated in Exhibit C hereto and a determination of a reasonable amount of time to complete such additional services. ARTICLE 4. LIQUIDATED DAMAGES. City and Contractor recognize that time is of the essence in the completion of the Work and that the City will suffer loss or damages if the Work is not completed within the period of time stipulated above, plus any extensions thereof allowed in accordance with the General Conditions. The parties also recognize the delays, expense, and difficulties involved in proving the actual loss or damages suffered by City if the Work is not completed on time. Accordingly, if such Work is not fully and satisfactorily substantially completed within the period of time set forth in Article 2, the Contractor agrees it shall owe to and pay to City as liquidated damages for loss of City's full use or occupancy of the Work, but not as a penalty, the sum of fifteen hundred dollars ($1,500.00) for each consecutive calendar day during which substantial completion of the Work is delayed or exceeds the date of substantial completion identified in Article 2 of this Contract to complete the Work and then to reach Final Acceptance as set forth above to fully and satisfactodly complete the Work. Provided, however, if Final Acceptance is not achieved by the Contractor within such additional time period, then the above mentioned sum of liquidated damages shall be due and paid by the Contractor to the City as additional liquidated damages for each consecutive calendar day Contractor does not achieve such Final Acceptance. Liquidated damages are defined in Section 29 of the General Conditions. Contractor further agrees that any liquidated damages City assesses against Contractor may also be withheld by City from any retainage or other sums City may otherwise owe to Contractor. Contractor hereby waives any defense as to the validity of any liquidated damages stated herein on the grounds such liquidated damages could be void as penalties or are not reasonably related to actual damages. All such liquidated damages are in addition to any other damages the City may be entitled to recover from Contractor. ARTICLE 5. PAYMENT FOR WORK The City and Contractor agree that the City will only pay the Contractor a portion of the total lump sum fee set forth below for each project phase completed and accepted by the City. The Contractor shall submit a request for payment not more than once each month. The payment requested shall be in proportion to the services completed and approved by the City, whose approval shall not be unreasonably withheld. A written progress report detailing work completed, identified problems, and remaining work shall accompany each request for payment, if requested by the City. A payment of $50,000.00 shall be due to Contractor upon execution of this Contract. A payment of $150,000.00 shall be due to Contractor at submission of the completed 35% Design Development drawing package, scheduled to be completed by October 31, 2017. A payment of $100,000.00 shall be due to Contractor within 60 days after the final 35% Design Development package has been submitted in accordance with the requirements and deliverables outlined in the Project RFP as modified via addenda. Retainage will not be held on the aforementioned Design Development Phase payments. After the 35% Design Development Submission, construction estimates for payment, including the final payment request, submitted by the Contractor shall be in accordance with the provisions of Sections 28, 29, and 30 of the General Conditions and such other provisions of the Contract Documents that may be applicable. Final payment will not be made until the Work has been fully and satisfactorily completed, the Contract duly performed, and a Certificate of Final Acceptance has been issued by the City Engineer, all as provided for in the Contract Documents. ARTICLE 6. CONTRACTUAL CLAIMS Any contractual claims shall be submitted in accordance with the contractual dispute procedures set forth in Section 38 of the General Conditions and the supplemental instructions, if any, attached to this Contract. ARTICLE 7. NONWAIVER. Contractor agrees that the City's waiver or failure to enforce or require performance of any term or condition of this Contract or the City's waiver of any particular breach of this Contract by the Contractor 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 Contract or a waiver of any other breaches of the Contract by the Contractor and does not bar the City from requiring the Contractor to comply with all the terms and conditions of the Contract and does not bar the City from asserting any and all rights and /or remedies it has or might have against the Contractor under this Contract or by law. ARTICLE 8. FORUM SELECTION AND CHOICE OF LAW. This Contract shall be governed by, and construed in accordance with, the laws of the Commonwealth of Virginia, without application of Virginia's conflict of law provisions. Venue and any actions for any litigation, suits, and claims arising from or connected with this Contract shall only be proper in the Roanoke City Circuit Court, or in the Roanoke City General District Court if the amount in controversy is within the jurisdictional limit of such court, and all parties to this Contract voluntarily submit themselves to the jurisdiction and venue of such courts, regardless of the actual location of such parties. ARTICLE 9. SEVERABILITY. If any provision of this Contract, or the application of any provision hereof to a particular entity or circumstance, shall be held to be invalid or unenforceable by a court of competent jurisdiction, the remaining provisions of the Contract shall not be affected and all other terms and conditions of the Contract shall be valid and enforceable to the fullest extent permitted by law. ARTICLE 10. NONDISCRIMINATION. A. During the performance of this Contract, the Contractor agrees as follows: The Contractor will not discriminate against any Subcontractor, 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 Contractor. The Contractor agrees to post in conspicuous places, available to employees and applicants for employment, notices setting forth the provisions of this nondiscrimination clause. 2. The Contractor, in all solicitations or advertisements for employees placed by or on behalf of the Contractor, will state that such Contractor is an equal employment opportunity employer. 3. 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. The Contractor will include the provisions of the foregoing Subsections A (1), (2), and (3) in every subcontract or purchase order of over $10,000, so that the provisions will be binding upon each subcontractor or vendor. ARTICLE 11. FAITH -BASED ORGANIZATIONS. Pursuant to the Code of Virginia Section 2.2 - 4343 .1, be advised that the City of Roanoke does not discriminate against faith -based organizations. ARTICLE 12, COMPLIANCE WITH FEDERAL IMMIGRATION LAW. Contractor agrees that Contractor does not, and shall not during the performance of this Contract, knowingly employ an unauthorized alien as defined in the federal Immigration Reform and Control Act of 1986. lD Contractor shall comply with the provisions of Virginia Code Section 2.2- 4311.2, as amended, which provides that a contractor organized as a stock or nonstock corporation, limited liability company, business trust, or limited partnership or registered as a registered limited liability partnership shall be authorized to transact business in the Commonwealth as a domestic or foreign business entity if so required by Title 13.1 or Title 50 or as otherwise required by law. Contractor shall not allow its existence to lapse or its certificate of authority or registration to transact business in the Commonwealth, if so required under Title 13.1 or Title 50, to be revoked or cancelled at any time during the term of the Contract. The City may void the Contract if the Contractor fails to remain in compliance with the provisions of this section. ARTICLE 14. CONTRACT SUBJECT TO FUNDING. This Contract is or may be subject to funding and /or appropriations from federal, state and /or local governments and /or agencies and /or from the Council of the City of Roanoke. If any such funding is not provided, withdrawn, or otherwise not made available for this Contract, the Contractor agrees that the City may terminate this Contract on seven (7) days written notice to Contractor, without any penalty or damages being incurred by the City. Contractor further agrees to comply with any applicable requirements of any grants and /or agreements providing for such funding. ARTICLE 15. "ALL RISK" BUILDER'S RISK INSURANCE. As this project is new construction, in accordance with Section 5.1 - Contractor Controlled During Construction of the General Conditions, the requirements of Section 5.2 - Owner Controlled During Construction of the General Conditions do not apply. ARTICLE 16. HEADINGS. The captions and headings in this Contract are for convenience and reference purposes only and shall not affect in any way the meaning and interpretation of this Contract. ARTICLE 17. COUNTERPART COPIES. This Contract 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. ARTICLE 18. CONSTRUCTION OF TERMS. The terms and conditions in all parts of this Contract shall be in all cases construed according to their fair meaning and not strictly for or against any party. ARTICLE 19. OWNERSHIP OF REPORTS AND DOCUMENTS. Contractor agrees that all reports and any other documents (including electronic data) prepared for, obtained in connection with, and /or required to be produced in connection with this Contract shall be delivered by the Contractor to the City and all such Items shall become the sole property of the City. The Contractor agrees that the City shall own all rights of any type in and to all such items, including but not limited to copyrights and trademarks, and the City may reproduce, copy, and use all such Items as the City deems appropriate, without any restriction or limitation on their use and without any cost or charges to the City from the Contractor. Contractor hereby transfers and assigns all such rights and items to the City. Contractor further agrees Contractor will take any action and execute any documents necessary to accomplish the provisions of this Section. The Contractor also warrants that Contractor has good title to all materials, equipment, documents, and supplies which it uses in the Work or for which it accepts payment in whole or in part. ARTICLE 20. ENTIRE CONTRACT. This Contract, including any attachments, exhibits, and referenced documents, constitutes the complete understanding between the parties. This Contract may be modified only by written agreement properly executed by the parties. SIGNATURE PAGE E TO FOLLOW IN WITNESS WHEREOF, the parties hereto have signed this Contract by their authorized representatives. Attest/Witness: G�kE E RAN 6V Typed or Printed Name and Title ess: WmoA R. MCGILL, AoMINISMTr a ASSISTANT IV Typed or Printed Name and Title Approved as to form: /o- (3- a ttomey /Assistant City Attorney Approved as to execution: �/,- G io -l4 -17 It 8 ttoraey/Assistant City Attomey S. LEWIS LIONBERGER CONSTRUCTION COMPANY B / Presider ice- P r, +d nt; rtn or er �M L L „ ✓e*rz 0 Typed or Printed Name6Dckritle CITY OF RJ9 OKE, VIRGINIA B :;/ Robert S. ( I, Jr., City Manager Appropriation and Funds Required for this Contract Certified DirectodDeputy Director of Finance Date: /DJY3 /1'7 Account #: 0 - Tn 30 - &9 530- HID n -to kj EXHIBIT A CONTRACT BETWEEN THE CITY OF ROANOKE, VIRGINIA AND S. LEWIS LIONBERGER CONSTRUCTION COMPANY FOR DESIGN -BUILD SERVICES FOR A PUBLIC- PRIVATE PARTNERSHIP FOR A COMMUNICATIONS CENTER GENERAL CONDITIONS OF THE DESIGN -BUILD CONTRACT TABLE OF CONTENTS SECTION 1. DEFINITIONS SECTION 2. INDEMNITY PROVISION SECTION 3. LAWS, REGULATIONS, PERMITS, AND IMMIGRATION LAW SECTION 4. CONTRACTORS' AND SUBCONTRACTORS' INSURANCE SECTION 5. "ALL RISK" BUILDER'S RISK INSURANCE SECTION 6. CONTRACT SECURITY SECTION 7. ARCHITECT /ENGINEER'S STATUS SECTION 8. EMPLOYMENTAND CONDUCT OF PERSONNEL SECTION 9. EMPLOYMENT DISCRIMINATION BY CONTRACTOR PROHIBITED SECTION 10. SUBCONTRACTORS SECTION 11. CONDITIONS AT SITE SECTION 12. SURVEYS AND LAYOUT SECTION 13. DRAWINGS AND SPECIFICATIONS SECTION 14. SCHEDULE OF THE WORK SECTION 15. PROJECT MEETINGS SECTION 16. TIME FOR COMPLETION SECTION 17. SUPERINTENDENCE BY CONTRACTOR SECTION 18. CONSTRUCTION SUPERVISION SECTION 19. ACCESS TO WORK 14 SECTION 20. STANDARDS FOR MATERIAL INSTALLATION AND WORKMANSHIP SECTION 21. SUBMITTALS SECTION 22, EQUALS SECTION 23. INSPECTION AND INDEPENDENT TESTING SECTION 24. USE OF PREMISES AND REMOVAL OF DEBRIS SECTION 25. PROTECTING PERSONS AND PROPERTY SECTION 26. DAMAGES TO THE WORK AREA SECTION 27. CHANGES IN THE WORK SECTION 28. PAYMENT FOR WORK SECTION 29. LIQUIDATED DAMAGES SECTION 30. INSPECTION FOR SUBSTANTIAL COMPLETION AND FINAL ACCEPTANCE SECTION 31. WARRANTY OF MATERIAL AND WORKMANSHIP SECTION 32. GUARANTEE OF WORK SECTION 33. STOP WORK ORDER SECTION 34. TERMINATION OF CONTRACT FOR CAUSE SECTION 35. TERMINATION FOR CONVENIENCE OF CITY SECTION 36. PROJECTSIGN(S) SECTION 37. ASSIGNMENTS SECTION 38. CONTRACTUAL DISPUTES SECTION 39. PATENTS SECTION 40. ASBESTOS REMAINDER OF PAGE INTENTIONALLY LEFT BLANK w CITYOF ROANOKE VIRGINIA GENERAL CONDITIONS OF THE DESIGN BUILD CONTRACT SECTION 1. DEFINITIONS Whenever used in these General Conditions of the Design -Build Contract or in the Contract Documents, the following terms have the meanings indicated, which are applicable to both the singular and plural and the male and female gender thereof, and where applicable to any other legal entity such as a corporation, partnership, limited liability company, etc. The section and paragraph headings are inserted for convenience only. Architect Enaineer ArchitecVEngineer or AlE: The term used to designate the duly Virginia licensed persons or entities designated by the Design Build Contractor to perform and provide the Architectural and Engineering design and related services in connection with the Work. Change Order: A document issued by the City on or after the effective dale of the Contact which is agreed to by the Contractor and approved by the City, and which authorizes an addition, deletion, or revision in the Work, including any adjustment in the GMP and/or the Contract Time for Completion. City or Owner: The City of Roanoke, Virginia, or its authorized representative. City Code: Refers to the Cade of the City of Roanoke (1979), as amended. City Engineer: The City Engineer or his authorized representative. City Manager: The City Manager or his authorized representative. Code of Virginia: Refers to the Code Of Virginia (1950), as amended. (Sometimes referred to as Va. Code or Virginia Code.) Construction: The term used to include new construction, reconstruction, renovation, restoration, major repair, demolition and all similar work upon buildings and ancillary facilities, including any draining, dredging, excavation, grading or similar work upon real property. Contract: The written agreement between the City and Design Build Contractor concerning the performance or the Work and consisting of the Contract Documents, Contract Documents: The Contract between City and Design Build Contractor signed by the City and the Contractor and any documents expressly incorporated therein. These documents include, but are not limited to, the Request for Proposal, the Contract, the Bonds or other Security, the Escrow Agreement, the General Conditions, Supplemental General Conditions, Special Conditions, the Specifications, Addenda or Change Orders, the Plans and Drawings, any Supplemental Drawings, and any additional documents incorporated by reference in the above. In the event of conflicts among the Contract Documents, the Contract Documents shall take precedence in the theoGene all Conditions the Special Conditions; he approved specifications l with attachments; and the approved plans. Contract Completion Date: The date by which the Work must be Substantially Complete. The Contract Completion Date is customarily established in the Notice to Proceed, based on the Time for Completion. In some instances, however, the Contract contains a mandatory Contract Completion Date, which shall be slated in the Request for Proposal. Contractor or Design Duild Contractor: The person or entity with whom the City has entered into a contract to do the Work. Contract Price: The total compensation payable to the Contractor for performing the Work, subject FO modification by Change Order. [Not used in Contract with GMP.j Date of Commencement: The dale as indicated in the written Notice to Proceed, the receipt of the earliest Building Permit, or a dale mutually agreed to between the City and Contractor in writing, whichever is the latest. Days : Calendar day(s) unless otherwise noted. Defect, Defective. or Deficient: An adjective or noun which when modifying or referring to the word Work refers to Work or any part thereof that Is unsatisfactory, faulty, or does not conform to the Contract Documents, or does not meet the requirements of any inspections, standards, tests, or approvals referred to in the Contract Documents, Design Build Proposal: The Technical Proposal and the Cost Proposal including modifications submitted by the Design Build Contractor in response to the City's RFP setting forth the design concepts, design criteria, pricing requirements, lafnd other conditions of the Work to be performed. Documentfsl: This term includes, but is not limited to: writings, drawings, items on which words, Symbols, or marks are recorded; electronic data of any type; videotapes, recordings, photographs and negatives, digital or otherwise; and any other form of data, writing, or information compilation, however recorded or stored, and regardless of physical form or characteristics. Drawing: A page or sheet of the Plans which presents a graphic representation, usually drawn to scale, showing the technical information, design, location, and dimensions of various elements of the Work. The graphic representations Include, but are not limited to, plan views, elevations, transverse and longitudinal sections, large and small scale sections and details, isometrics, diagrams, schedules, tables and /or pictures. Emergency: Any unforeseen situation, combination of circumstances, or a resulting state that poses imminent danger to health, life or property. T_—Field order: A written order issued by the A/E which clarifies the requirements of the Contract by a more complete expression of the drawings or specifications or other documents without any change in the design, the GMP, or the Time for Completion. Final Acceptance: The City's acceptance of the project from the Contractor upon confirmation from the City Engineer and the Contractor that the project is apparently complete in accordance with the Contract requirements. Guaranteed Maximum Price ("GIMP"), The amount established as the total maximum amount payable to the Contractor absent a Change Order. Notice: All written notices, demands, instructions, claims, approvals, and disapprovals required to obtain compliance with the Contract requirements. Any written notice by either party to the Contract shall be sufficiently given if delivered to or at the last known business address of the person, firm, or corporation constituting the party to the Contract, or to his, her, their, or its authorized agent, representative, or officer. Notice to Proceed: A written notice given by the City at the City's discretion to the Contractor (with a copy to A/E) fzing the date on which the Contract time will commence for the Contractor to begin the prosecution of the Work in accordance with the requirements of the Contract Documents. Plans: The term used to describe the group or set of project - specific drawings prepared by the Design Build Contractor's A/E and acceptable to the City which describe the proposed Work in sufficient detail and provide sufficient information for the Building Official to determine code compliance and for the Contractor to perform the Work and which are included in the Contract Documents. Project Inspector: One or more individuals employed by the City to inspect the Work and /or to act as Resident Inspector to the extent required by the City. The City shall nobly the Contractor of the appointment of such Project Inspector(s). Project Manager: The Project Manager as used herein shall be the City's designated representative on the Project. The Project Manager shall be the person through whom the City generally conveys written decisions and notices. All notices due the City and all information required to be conveyed to the City shall be conveyed to the Project Manager. The scope of the Project Manager's authority is limited to that authorized by the City. The Contractor shall be on notice that it cannot rely on any decisions of the Project Manager oulstde the scope of his or her authority. Nothing herein shall be construed to prevent the City from issuing any notice directly to the Contractor. The City may change the Project Manager from time to time and may, in the event that the Project Manager is absent, disabled or otherwise temporarily unable to fulfill his or her duties, appoint an interim Project Manager. Provide: Shall mean to furnish and install ready for its Intended use. Site: Shall mean the location at which the Work is performed or is to be performed. Specifications: That part of the Contract Documents prepared by the Design Build Contractor's A/E and acceptable to the Cily which contain the written design parameters and the technical descriptions of materials, equipment, construction systems, standards, and workmanship which describe the proposed Work in sulfcienf detail and provide sufficient information for the Building Official to determine code compliance and (or the Contractor to perform the Work. (The General Conditions, any Supplemental General Conditions, vadous proposal Information and instructions, and blank copies of vadous forms l0 6e used during the execution of the Work are usually bound with the Specifications.) Subcontractor: A person, firm, partnership, corporation, or other entity having a direct contract with the Contractor or with any other Subcontractor for the performance of the Work. It includes one who provides on -site labor, but does not include one who only furnishes or supplies material for the project. Submittals: All drawings, diagrams, illustrations, brochures, schedules, samples, electronic data and other data required by the Contract Documents which are specifically prepared by or for the Contractor, Subcontractor, or Supplier, and submitted by the Contractor to illustrate the material, equipment, or layouts, or some other portion of the Work. Substantial Completion: The date certified by the City Engineer when construction is sufficiently complete, in accordance with the Contract Documents, so the City can occupy or utilize the Work or designated portion thereof for the purposes for which it is intended. Supolemental General Conditions: That part of the Contract Documents which amends or supplements the General Conditions. Supplier. A manufacturer, fabricator, distributor, materialman, or vendor who provides only material or supplies for the project, but does not provide on -site labor. Time for Completion: The number of consecutive calendar days following the Date of Commencement which the Contractor has to substantially complete all Work required by the Contract. Utilities: Utilities include all public and private lines, cables, conduit, pipelines, and appurtenances, whether underground, on the surface, and /or aerial, Thal may exist on the project site and /or adjoining public streets and /or rights -of -way for the purpose of providing communications, gas, Petroleum , electricity, water, sanitary sewer, storm sewer, drainage, energy, signals, or lighting service to the site or adjoining properties. VA811: Virginia Utility Protection Service, Inc. or Virginia 811 (formerly called "Miss Utility of Virginia'), Work or Project: The entire completed construction or the various separately identifiable parts thereof as required by the Contract Documents, and all of which shall be provided by Contractor within the GMP. Work is the result of performing services, furnishing labor, and furnishing and incorporating material and equipment into the construction. SECTION 2. INDEMNITY PROVISION 21 Indemnity: Contractor shall indemnify and hold harmless City, VA811, and their officers, agents, consultants, representatives, and employees against any and all liability, losses, damages, claims, causes of action, suits of any nature, costs, and expenses, including reasonable attorney's fees, resulting from or arising out of Contractor's or its employees, agents, or subcontractors actions, activities, or omissions, negligent or otherwise, on I near City and VA811's property or easement or arising in any way out of or resulting from any of the work to be provided under this Contract, or by or in consequence of any neglect in safeguarding the Work, or through the use of unacceptable materials in the Work, and this includes, without limitation, any fines or penalties, violations of federal, state, or local laws or regulations, personal injury, wrongful death, or property damage claims or suits, breach of contract claims, indemnity claims, and any other damages, losses, and /or claims of any type. 2.2 Hazardous Material: While on City and VA811's property or easement and in its performance of this Contract. Contractor shall not transport, dispose of or release any hazardous substance, material, or waste, except as necessary in performance of its Work under this Contract and in any event Contractor shall comply with all federal, stale, and local laws, rules, regulations, and ordinances controlling air, water, noise, solid wastes, and other pollution, and relating to the storage, transport, release, or disposal of hazardous material, substances or waste. Regardless of City and /or VA811's acquiescence, Contractor shall indemnify and hold City, VA811, and their officers, agents, and employees harmless from all costs, claims, damages, causes of action, liabilities, fines or penalties, including reasonable attorney's fees, resulting from Contractor's violation of this paragraph and agrees to reimburse City and /or VA811 for all costs and expenses incurred by City and /or VA811 in eliminating or remedying such violations. Contractor also agrees to reimburse City and VA811 and hold City, VA811, and their officers, agents, and employees harmless from any and all costs, expenses, attorney's fees and all penalties of civil judgments obtained against the City and /or VA811 as a result of Contraclor's use or release of any hazardous substance or waste onto the ground, or into the water or air from or upon City and /or VA811's premises. (See also Section 20.2 of these General Conditions.) 2.3 Patents: The Contractor shall protect, indemnify, and hold harmless the City and VA811 from any and all demands for fees, claims, suits, actions, causes of action, or judgments based on the alleged infringement or violation of any patent, invention, article, trademark, arrangement, or other apparatus that may be used in the performance of the Contract or the Work. SECTION 3. LAWS, REGULATIONS PERMITS AND IMMIGRATION LAW 3.1 Regulations: The Contractor shall fully comply with all local, stale, and federal ordinances, laws, and regulations, including without limitation all applicable building and fire code sections of the Occupational Safety and Health Act (OSHA), and the Virginia Uniform Statewide Building Code, and obtain all required licenses and permits, including business license, building permits, and pay all charges and expenses connected therewith. Contractor further agrees that Contractor does not, and shalt not during the performance of this Contract, knowingly employ an unauthorized alien as defined in the federal Immigration Reform and Control Act of 1986. 3.2 Permits: The Contractor shall, at its sole cost, obtain all required permits from the appropriate authorities, including a Right of Way Excavation Permit(s) from the City of Roanoke. Contractor shall obtain an additional separate Excavation Permit Bond(s) in accordance with the requirements of the City's Right of Way Excavation and Restoration Standards, Revised July 1, 2013, together with any other documents and /or items that may be required by the City's Department of Public Works and /or Department of Planning, Building and Development. I No delay or extension of time or any claim for Aditional compensation of any type shall be granted for failure to obtain any required permits. The Contractor shall pay for all fees and charges necessary for temporary access and public right -of -way blockage or use, for temporary connections to utilities and for the use of Property (other than the Site) for storage of materials and other purposes unless otherwise specifically stated in the Contract Documents, 3.3 Litter: In accordance with the Virginia Anli -Litter Law, receptacles sufficient to contain workmen's litter and construction wastes capable of being spread by wind or water shall be located on the construction site. The number and size of receptacles required shall be determined by the Contractor. 3.4 Asbestos License: The Contractor, if not licensed as an asbestos abatement contractor or a Roofing, Flooring, and Siding (RFS) contractor in accordance with Section 54.1 -514, of the Code of Virginia, shall have all asbestos related work performed by subcontractors who are duly licensed as asbestos contractors or RFS contractors as appropriate for the work required. 3.5 If the Contractor violates laws or regulations that govern the Work, the Contractor shall lake Prompt action to correct or abate such violation and shall indemnify and hold harmless City, VA811, and their officers, agents, and employees against any fines and /or penalties that result from such violation. To the extent that such violation is the result of negligence or other actionable conduct of the Contractor, the Contractor shall indemnify and hold harmless City, VA811, and their officers, agents, and employees against any third party claims, suits, awards, actions, causes of aclion or judgments, including but not limited to attorney's fees and costs incurred thereunder, that arise or result from such violation. 20 3.6 Certain projects such as renovations and interior modifications of existing buildings will usually have water and electric service to the building. In those instances, water and electric power, if required for the Work under the Contract, will be furnished by the City subject to reasonable use by the Contractor, only to the extent and capacity of present services. The Contractor shall be responsible for providing required connections, temporary wiring, piping, etc. to these services in a safe manner and In accordance with applicable codes. All temporary wire, pipe, etc. shall be removed before the Substantial Completion inspection. Acceptance by the Contractor of the use of City's water and electricity constitutes a release to the City of all claims and of all liability to the Contractor for whatever damages which may result from power and water outages or voltage variations. 3.7 The City shall pay any connection charges for permanent utility connections directly to the utility Supplier. The Contractor shall coordinate such connections with the utility Supplier. 3.8 It is understood that, except as otherwise specifically stated in the Contract Documents, the Contractor, either directly or through his Subcontractors, shall provide and pay for all material, labor, fools, equipment, water, light, power, telephone and other services or facilities of every nature whatsoever necessary to execute completely and deliver the Work within the Contract Time for Completion or before the Contract Completion Date. 3.9 The Contractor shall provide temporary facilities including Contractor's office space, City's Project Inspector office space (if required by the specifications), toilet facilities, and storage space, as required for the operations and the protection of the material and work. Number, sizes and locations shall be subject to approval of the City. Sanitary facilities shall be plumbed into an approved waste treatment system or shall be an approved type of chemical toilet and shall be regularly serviced. SECTION 4. CONTRACTOR'S AND SUBCONTRACTOR'S INSURANCE Neither the Contractor nor any subcontractor shall commence work under this Contract until the Contractor has obtained and provided proof of the required insurance under this Section to the City, and such proof has been approved by the City. The Contractor confirms to the City that all subcontractors have provided the Contractor with proof of insurance, or will do so prior to commencing any work under this Contract. Contractor further warrants that proof of coverage as provided to the City responds on a primary basis in the event of an uninsured or underinsured subcontractor. All such insurance shall be primary and non - contributory to any insurance or self - insurance the City or VA811 may have in force. 4.1 For All Contracts, the following minimum insurance requirements apply: a. Workers' Compensation and Emplovers' Liability: The Contractor shall obtain and maintain the following limits: Workers' Compensation Statutory coverage for Virginia Employers' Liability: $100,000 Bodily Injury by Accident each occurrence $500,000 Bodily Injury by Disease Policy Limit $100,000 Bodily Injury by Disease each employee b. Commercial General Liability: Coverage is to be written on an "occurrence" basis and such coverage shall include broad form extension endorsements for both liability and property damage. Completed Operations coverage will be required to be maintained for the life of the Contract. For Limits of Liability see Sections 4.2 and 4.3 of these General Conditions. C. Automobile Liability: Limits for vehicles owned, non - owned, hired or borrowed shall not be less than: • $1,000,000 Bodily Injury and Property Damage combined single limit per occurrence. d. Additional Insurance Reguirements: Additional specific insurance coverage minimum requirements to be provided by Contractor may include the following or as detailed in the Supplemental General Conditions or in other Contract Documents: 1) Builder's Risk: At the discretion of the City, the Contractor, at its cost, shall obtain and maintain in the names of the City, VA811, and lh Contractor "all - risk" builders risk insurance (if approved by the City) upon lhl entire structure or structures on which the Work of this Contract is to be done and upon all material in or adjacent thereto or those that are "Off-site" but which are intended for use thereon, to one hundred percent (100 %) of the completed value thereof. 2) Property Coverage: Installation Floater (and Riggers Form, if applicable) will be required for the installation of contents or equipment, coverage will begin with supplier and continue until equipment/contents has been fully installed. Floater will be valued for the replacement cost value of equipmenUcontents including all costs. The Conlraclor shall provide coverage for portions of the work stored off -site after written approval of the City at the value established in the approval and for portions of the work in transit. 3) Special Hazards: In the event special hazards are evident in the work contemplated, or if required by the Contract Documents, the Contractor shall obtain and maintain during the life of the Contract a rider to the policy or policies required, in an amount not less than that stipulated under the above Paragraphs. Should any unexpected special hazards be encountered during the performance of this Contract, the Contractor shall, prior to performing any work involving the special hazard, immediately obtain this insurance as instructed by the City. In the event the special hazard requiring the additional coverage was not a part of the original proposal, the expense of such insurance shall be reimbursed to the Contractor by the City, otherwise the Contractor shall assume full responsibility for the purchase with no charge back to the City. 22 4) Term: Insurance shall remain in effect for the term of the contract and /or until final payment and at all times thereafter when Contractor may be correcting, removing, or replacing defective work. 5) Limit of Liability: Nothing contained in these insurance requirements is to be construed as limiting the liability of Contractor or Contractor's insurance carriers. City does not in any way represent that the coverages or the limits of insurance specified is sufficient or adequate to protect Contractor's interests or liabilities, but are merely minimums, The obligation of the Contractor to purchase insurance herein shall not in any way limit the obligation of the Contractor in any event and /or in the event that the City or VA811 should suffer an injury or loss in excess of the amount recoverable through insurance. 6) Asbestos: The Asbestos Contractor or Subcontractor, as the case may be, shall provide occurrence -based liability insurance with asbestos coverages if not covered by Pollution insurance, in an amount not less than $1,000,000 and shall name the following as additional insureds: The City of Roanoke, VA811, and their officers, employees and agents; the ArchilecUEngineer (if not the Asbestos Project Designer); and the Contractor (where the asbestos work is being performed by the Asbestos Subcontractor). 4.2 Contracts of $100,000 or More: The following minimum insurance requirements apply in addition to the above requirements: a. Limits of Liability: For the Commercial General Liability policy: • $2,000,000 general aggregate • $1,000,000 products /completed operations aggregate • $1,000,000 personal and advertising injury • $1,000,000 each occurrence Coverage is to be written on an "occurrence" and "per project" basis and such coverage shall include: b. Umbrella Liability Insurance: This coverage shall be written for minimum limit of: • $5,000,000 each occurrence for Personal and Bodily Injury and Property Damage This Policy shall apply in excess and follow the form of employer's liability, commercial general liability, and auto liability. 4.3 Contracts Less Than $100,000: The following minimum insurance limits apply unless specified otherwise in the Supplemental General Conditions: a. Limits of Liability: For the Commercial General Liability policy: • $1,000,000 general aggregate • $1,000,000 products /completed operations aggregate • $1,000,000 personal and advertising injury • $1,000,000 each occurrence 4.4 The Contractor's ArchilecUEngineer responsible for the design portion of the Work shall obtain and maintain in force during the contract period and for a period of 5 years after the final completion of the Work professional liability and errors and omission insurance in the amount of $2,000,000 per claim occurrence and $6,000,000 aggregate combined claims limit. 4.5 Proof of Insurance Coverage: The policies of insurance required by Sections 4.1, 4.2, 4.3, or 4.4 shall be purchased from a reputable insurer licensed to do business in Virginia and maintained for the life of the Contract by the Contractor. Other insurance requirements include the following: a. The Contractor shall furnish the City with the required certificates of insurance showing the insurer, type of insurance, policy number, policy term, and the amount insured for property coverages and the limits for liability coverages. b. The Contractor shall notify the City Engineer and Risk Manager in writing within thirty (30) consecutive calendar days if any of the insurance coverages or policies are cancelled or materially altered and Contractor shall immediately replace such policies and provide documentation of such to the City Engineer and Risk Manager. C. The required insurance policies and coverages, excluding those for Workers' Compensation and Professional Liability, shall name the City of Roanoke, VA811, and their officers, agents, volunteers and employees as additional insureds, and the certificate of insurance shall show if the policies provide such coverage. Waiver of subrogation is required with respect to any policy of workers' compensation and employers' liability insurance required under this Section. The certificate of insurance shall show if the policies provide such waiver. Additional Insured and waiver endorsements shall be received by the City's Risk Manager from the insurer with the certificate of insurance unless the City's Risk Manager agrees to another process. The City's Risk Manager may approve other documentation of such insurance coverages. d. Insurance coverage shall be in a form and with an insurance company approved by the City which approval shall not be unreasonably withheld. Any insurance company providing coverage under this Contract shall be authorized to do business in the Commonwealth of Virginia. SECTION 5. "ALL RISK" BUILDER'S RISK INSURANCE 5.1 Contractor Controlled During Construction: The Contractor, at the Contractor's cost, shall obtain and maintain in the names of the City, VA811, and the Contractor "all- risk" builder's risk insurance (or fire, extended coverage, vandalism and malicious mischief insurance, if approved by the City and the City Engineer) upon the entire structure or structures on which the Work of this Contract is to be done and upon all material in or adjacent thereto which is intended for use thereon, to one hundred percent (100!) of the insurable value thereof (i.e. construction costs, soft costs, FFBE, and the residual value of the existing structure to remain). Such insurance may Include a deductible provision if the City so provides in the Supplemental General Conditions, in which case the Contractor will he liable for such deductions, whenever a claim arises. The loss, if any, is to be made adjustable with and payable to the City, in accordance with its interests, as they may appear. The City, VA811, and their officers, employees and agents, shall be named as an additional insured in any policy of insurance Issued. Written evidence of the insurance shall be filed with the City's Risk Manager no later than thirty (30) days following the award of the Contract. In the event of cancellation Of this insurance, not less than thirty (30) days prior written notice must be sent to the City's Risk Manager. A copy of the policy of insurance shall be given to the City upon demand. 24 5.2 Owner Controlled During Construction: The Owner maintains insurance coverage on its buildings. On re- roofing, renovation, and Interior modifications of existing building projects where the Owner continues to occupy the building, or a portion thereof, while the Work is being performed, the Contractor shall provide "all risk" builders risk insurance, as described above, in an amount equal to one hundred percent (100 %) of the cost of the Work (Le, construction costs, soft costs, and FF &E costs). In those instances, the Contract between the Owner and Contractor for the project shall expressly exclude the project from the requirements of Section 5.1. The Contractor Is responsible for providing any desired coverage for Contractor's or Subcontractors' buildings, equipment, materials, tools or supplies that are on -site. 5.3 The value of the builders risk insurance shall exclude the costs of excavations, backfills, foundations, underground utilities and Silework. 5.4 Any insurance provided through the City or VA811 on buildings, construction, additions or renovations will not extend to Contractors nor Subcontractors' buildings, equipment, materials, tools or supplies unless these items are to become property of the City or VA811 upon completion of the Project and the City or VA811 has assumed responsibility for such items at the time of the loss. SECTION 6. CONTRACT SECURITY 6.1 For contracts with a value exceeding five hundred thousand dollars ($500,000), the Contractor shall deliver to the City or its designated representative, a City of Roanoke, Virginia Contractor's Performance Bond and a City of Roanoke, Virginia Contractor's Labor and Material Payment Bond, each fully executed bylhe Contractor and one or more surety companies legally licensed to do business in Virginfd and each in an amount equal to one hundred percent (100 %) of the accepted proposal if more than one Surety executes a bond, each shall be jointly and severally liable to the City for the entire amount of the bond. Sureties shall be selected by the Contractor, subject to approval by the City. No payment on the Contract shall be due and payable to the Contractor until the bonds have been approved by the City. In order to facilitate review of the bonds by the City, the power of attorney from the surety company to its agent who executes the bond shall be attached to the bond. 6.2 For the purposes of all Contractor's Labor and Material Payment Bonds entered into, the term "subcontractors" as used in §2.2- 4337.A.2. of the Code of Virginia is interpreted to mean any contractors who participated in the prosecution of the Work undertaken by the Contractor (referred to in §2.2- 4337.A.2. of the Code of Virginia as the "prime contractor'), whether such contractor had a direct contract with the Contractor (prime contractor) or whether there were one or more other intervening Subcontractors contractually positioned between it and the Contractor (prime contractor). 6.3 See §2.2 -4338 of the Code of Virginia, for alternative forms of security for payment and /or performance bonds. 6.4 For contracts with a value of less than five hundred thousand dollars ($500,000), the Contractor will not be required to provide a Standard Performance Bond and a Standard Labor and Material Payment Bond as described above unless the Request for Proposal states that such bonds will be required. SECTION 7. ARCHITECT /ENGINEER'S STATUS 7.1 The Design Build Contractor's Architect/Engineer shall be duly and properly licensed by the Virginia Department of Professional and Occupational Regulation to provide these services in Virginia. The Architect/Engineer shall provide the professional services to design the Work in conformance with the applicable standards indicated below. 7.2 The Architect/Engineer shall have authority to endeavor to secure the faithful performance by City and Design Build Contractor of the Work under the Contract. The A/E shall review the Contractor's Submittals for conformance to the requirements of the Contract Documents and return copies to the Contractor with appropriate notations. The A/E shall interpret the requirements of the plans and specifications and issue Field Orders to the Contractor as may be required. The A/E shall recommend to the City suspension of the Work (in whole or in part) whenever such suspension may be necessary to ensure the proper execution of the Contract. The A/E shall have authority to reject, in writing, Work, including material, installation or workmanship, which does not conform to the requirements of the plans and specifications. The A/E shall determine the progress and quality of the Work, subject to the right of the City to make an overriding decision to the contrary. Upon request by the Contractor, the A/E shall confirm, in writing within fourteen (14) days, any oral order or determination made by him. 7.3 The Virginia Department of Transportation "Road & Bridge Specifications," 2002 edition or later, and Virginia Department of Transportation "Road Design Standards," 2001 edition or later, are included by reference and shall be use by the Contractor's A/E as the referenced standards for design of the roads, parking areas, sidewalks, curbs, and other sitework. 7.4 The building design shall conform to the requirements of the Virginia Uniform Statewide Building Code. The current edition of the Virginia Uniform Statewide Building Code which is in effect at the time the construction documents are submitted to the Building Official for Building Permit shall be the applicable Building Code for that phase of the project. 7.5 The ArchitecVEngineer shall have no authority to approve or order changes in the Work which alter the approved plans and specifications which were the basis of the Building Permit without obtaining approval of the Building Official, 7.6 The provisions of this section are included as information only to describe the relationship between the City, A/E, and Contractor. No failure of (he A/E to act in accordance with this section shall relieve the Contractor from the Contractor's obligations under the Contract or create any rights in favor of the Contractor. 7.7 It is agreed by the A/E and Contractor that two (2) reproducible copies each of the drawings, tracings, construction plans, specifications, maps, and other documents (including electronic data) prepared or obtained under the terms of the Contract shall be delivered to and become the property of the Owner and VA811, and basic survey notes and sketches, charts, computations, and other data shall be made available, upon request, to the Owner and VA811 without restriction or limitation on their use at no additional cost to the Owner or VA811. 20 SECTION 8. EMPLOYMENT AND CONDUCT OF PERSONNEL 8.1 City Residents: The Contractor is encouraged to try to use City residents, and local, Small, Minority- Owned, Women - Owned, and Service Disabled Veteran -Owned businesses, when practical. 8.2 Employee qualifications: Only skilled and reliable workers shall be employed for the Work. Should any person employed on the Work by the Contractor appear to the City Engineer to be incompetent, unable to perform the Work, or disorderly, such person shall be removed from the Work immediately upon proper notice to the Contractor from the City Engineer and such person shall not again be used for this Contract. 8.3 Superintendence: The Contractor shall have a competent foreman or superintendent, satisfactory to the City Engineer, on the jobsile at all limes during the progress of the Work. The Contractor shall notify the City, in writing, of any proposed change in the foreman or superintendent including the reason therefore prior to making such change, 8.4 Drug -free Workplace: During the performance of this Contract, the Contractor agrees to (1) provide a drug -free workplace for the Contraclors 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 Contractor'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 Contractor that the Contractor maintains a drug -free workplace; and (iv) include the provisions of the foregoing clauses in every sbbcontract or purchase order over $10,000 so that the provisions will be binding upon each subcontractor or vendor. , For the purpose of this section, "drug -free workplace" means a site for the performance of work done in connection with a specific contract awarded to a Contractor, the employees of whom are prohibited from engaging in the unlawful manufacture, sale, distribution, dispensation, possession or use of any controlled substance or marijuana during the performance of the Contract. The Contractor shall post a copy of the policy in a conspicuous place at the jobsite and assure that all Contractor, subcontractor, and supplier personnel entering the jobsile are Informed of the policy SECTION 9. EMPLOYMENT DISCRIMINATION BY CONTRACTOR PROHIBITED Every Contract of over $10,000 to which the City is a party shall contain the provisions in Sections 9.1 and 9.2 herein: 9.1 Nondiscrimination: During the performance of this Contract, the Contractor agrees as follows: a. The Contractor will not discriminate against any Subcontractor, 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 Contractor. The Contractor agrees to post in conspicuous places, available to employees and applicants for employment, notices setting forth the provisions of this nondiscrimination clause. b. The Contractor, in all solicitations or advertisements for employees placed by or on behalf of the Contractor, will state that such Contractor is an equal employment opportunity employer. C. 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. 92 Nondiscrimination by Subcontractor or Vendor: The Contractor will include the provisions of the foregoing Subsections 9.1 (a), (b), and (c) in every subcontractor purchase order of over $10,000, so that the provisions will be binding upon each subcontractor or vendor. SECTION I0. SUBCONTRACTORS 10.1 Licensure: The Contractor shall comply with Title 54 .1, Chapter 11, of the Code of Virginia, with respect to licensure of itself and all subcontractors employed to work on the project. The Contractor represents that it has verified that all subcontractors hold all required slate and local licenses, including State Contractor's license and City business license. The Contractor shall verify that any additional subcontractors employed to work on the project, subsequent to the initial verification, hold all required state and local licenses, including State Contractor's license and City business license. Upon request from the City Engineer, Contractor shall provide documentation of compliance with this Section 10.1. Failure to comply constitutes a material breach of the approval of the City Engineer. Contractors Contract with the City. 10.2 Change of Subcontractors: Subcontractors shall not be changed without the written 10.3 Responsibility for Subcontractors: The Contractor shall not employ for the project any subcontractor that the City may, within a reasonable time, object to as unsuitable. The Contractor further agrees that it is as fully responsible to the City and VA811 for the acts and omissions of its subcontractors, suppliers, and invilees on the jobsile and of persons either directly or indirectly employed by them, as the Contractor is for the acts and omissions of persons directly employed by it. 10.4 The City shall, on request, furnish to any Subcontractor, if practicable, the amounts of payments made to the Contractor and Requests for Payment submitted by the Contractor and any other documentation submitted by the Contractor which would tend to show what amounts are due and payable by the Contractor to the Subcontractor. 10.5 The Contractor shall be fully responsible to the City and VA811 for all acts and omissions of the Contractor's agents and employees and all succeeding tiers of Subcontractors and Suppliers performing or furnishing any of the Work. Nothing in the Contract Documents shall create any contractual relationship between City, VA811, and any such Subcontractor, Supplier or other person or organization, nor shall it create any obligation on the part of City to pay for or to see to the payment of any moneys due any such Subcontractor, Supplier or other person or organization, except as may otherwise be required by law. 10.6 The Contractor shall be fully responsible for the Contractor's invitees at the Site and for those of the Contractor's Subcontractors, Suppliers, and their employees, including any acts or omissions of such invitees. 26 10.7 The Contractor agrees that it alone is responsible for all dealings with the Contractor's Subcontractors and Suppliers, and their subconlraclors, employees and invitees, including, but not limited lo, the Subcontractors' or Suppliers' claims, demands, actions, disputes and similar matters unless specifically provided otherwise by the Contract or by statute. 10.8 The Contractor shall, as soon as practicable after the signing of the Contract, notify the City in writing of the names of all Subcontractors proposed for the principal parts Of the Work and of such others as the City may direct. Where the specifications establish qualifications or criteria for Subcontractors , manufacturers, or individuals performing Work on the Project, the Contractor shall be responsible for ascertaining that those proposed meet the criteria or qualifications. The Contractor shall not employ any Subcontractor that the City may, within a reasonable lime, object by written notice to Contractor to as unsuitable. The City shall not direct the Contractor to contract with any particular Subcontractor unless provided in the specifications or Request for Proposals. 10.9 The City may select a particular Subcontractor for a certain part of the Work and designate on the Request for Proposal that the Subcontractor shall be used for the part of the Work indicated and that the Subcontractor has agreed to perform the Work for the subcontract amount stipulated on the proposal form. The Contractor shall include the stipulated amount plus his Contractor markups in the proposal. In such case, the Contractor shall be responsible for that Subcontractor and its work and the Subcontractor shall be responsible to the Contractor for its work just as if the Contractor had selected the Subcontractor. If the Contractor has a reasonable objection to the Subcontractor being assigned, then the Contractor shall note the exception in his bid or proposal and the reason for the exception and maintain appropriate provisions for coordinating the work of the Subcontractor. The City, at its sole discretion, may accept the Contractor's bid or proposal with the exception noted and contract separately with the Subcontractor or assign a different Subcontractor. SECTION 11. CONDITIONS AT SITE 11.1 Existing Conditions: The Contractor shall have visited the site prior to submitting its proposal and is totally responsible for having ascertained pertinent local conditions such as location, accessibility, and general character of the site, and the character and extent of existing improvements and work within or adjacent to the site. Claims as a result of failure to have done so will not be considered by the City and will be the sole responsibility of the Contractor. 11.2 Hidden Conditions: If, in the performance of the Contract, hidden physical conditions of a building being modified are exposed revealing unusual or materially different conditions than those ordinarily encountered or inherent in work of this nature, or if subsurface or latent conditions at the site are found which are materially different from those frequently present in the locality, from those indicated in the Contract Documents, or from those inherent in work of the character required by the Contract, the Contractor must report such conditions to the City and to the Architect/Engineer before the conditions are disturbed. Upon such notice, or upon the A/E's own observation of such conditions, the Architect/Engineer will make such changes in the Contract Documents as the A/E finds necessary to conform to the different conditions. Any change in the cost of the Work or the time needed for completion must be requested pursuant to Section 27 of these General Conditions. 11.3 Suspected Hazardous Material: If the Contractor, during the course of the project, observes the existence of any material which it suspects or knows to be hazardous to human health or the environment, the Contractor shall promptly notify the City. The City will provide the Contractor with instructions regarding the situation. The Contractor shall not perform any work involving the material or any work causing the material to be less accessible prior to receipt of special instructions from the City. SECTION 12. SURVEYS AND LAYOUT 12.1 Surveying Services: All necessary drawings showing the location of property lines, buildings, and other appropriate information shall be furnished to the Contractor through the drawings and specifications. The Contractor shall provide competent surveying and engineering services to verify the given Information and to execute the Work in accordance with the Contract requirements and shall be responsible for the accuracy of Contractor's surveying and engineering services. The Contractor shall immediately notify the A/E and City of any discrepancies and confirm such notice in writing within five (5) calendar days. 12.2 Survey Control: Such general reference points and bench marks on the building site as will enable the Contractor to proceed with the Work will be established in the drawings and specifications. If the Contractor finds that any previously established reference points have been lost or destroyed, Contractor shall promptly notify the City. 12.3 Damage to Survey Control: The Contractor shall protect and preserve the established bench marks and monuments and shall make no changes in locations without written notice to and approval from the City. Any of these which may be lost or destroyed or which require shifting because of necessary changes in grades or locations shall, subject to prior approval from the City, be replaced and accurately located by the Contractor. SECTION 13. DRAWINGS AND SPECIFICATIONS 13.1 The general character and scope of the Work are illustrated by the plans and the specifications prepared by the Contractor's Architect/Engineer. The level of detail shown on the plans and stipulated in the specifications shall be sufficient to clearly demonstrate to the Building Official that the design conforms to the requirements of the VUSBC and CPSM. The Contractor shall carry out the Work in accordance with the plans and specifications and any additional detail drawings and instructions provided by the A/E. 13.2 Measurements or dimensions shown on the drawings for Site features, utilities and structures shall be verified at the Site by the Contractor before commencing the Work. The Contractor shall not scale measurements or dimensions from the drawings. If there are discrepancies, the Archilect/Engineer shall be consulted. If new Work is to connect to, match with or be provided in existing Work, the Contractor shall verify the actual existing conditions and necessary dimensions prior to ordering or fabrication. 13.3 As -Built Drawings: The Contractor shall maintain at the Site for the City one copy of all drawings, specifications, addenda, approved shop or setting drawings, Change Orders and other modifications (collectively referred to herein as "As -Built Drawings ") in good order and marked to record all changes as they occur during construction. These shall be available to the City, VA811, the Project Inspector, the Citys other inspectors and to the City's testing record all variationsvmade dulring construction. ction! The representation oofs ch construction to shall include such supplementary notes, symbols, legends, and details as may be necessary to clearly show the as -built construction. 13.4 Record Drawings: Upon completion of the Work and prior to the final inspection, the Contractor shall deliver to the City two complete sets of "As -Built Drawings" in reproducible form and in electronic format (AUTOCAD or REVIT) and PDF format. SECTION 14. SCHEDULE OF THE WORK 14.1 Scheduling: The Contractor is responsible for the sequencing, scheduling, and coordinating of the Work, for monitoring the progress of the Work, and for taking appropriate action to keep the Work on schedule. The Contractor is responsible for coordinating Contractor's work on the Project with any other work being carried on by the City or by other City consultants or contractors at the site or for the Project. The Contractor shall prepare 30 and submit to the City Engineer a schedule for accomplishing the Work based upon the completion time slated in the Contract and submit such to the City Engineer at the pre- construction conference. No progress payments will be made to the Contractor until after Contractor has submitted a schedule which is acceptable to the City Engineer. All schedules under Section 14 shall be in both paper and electronic form unless otherwise directed by the City Engineer. 14.2 Within two (2) weeks after the Contractor signs the Contract between City and Contractor, unless otherwise extended by the City at the timpe of the signing, the Contractor shall prepare based upon the Time fore Cormple i1,1 one stated in the C nl act. The Preliminary schedule shall be in sufficient detail to show the sequencing of the various trades for each Floor level, wing or work area. The City will notify the Contractor of its acceptance of or objections to the preliminary schedule within fifteen (15) days of receipt by the City. A fully complete Project schedule for accomplishing the Work must be submitted in like manner no later than sixty (60) days after the Contract is signed by the City. 14.3 The City's failure [o reject or its acceptance of any schedule, graph, chart , recovery schedule, updated schedule, plan of action, etc. shall not constitute a representation or warranty by the City, including but not limited to a representation or warranty [hat the schedule Is feasible or practical nor shall any such acceptance or failure to reject relieve the Contractor from sole responsibility for completing the Work within the time allowed. 14.4 No progress payments will be payable to the Contractor unlit after it has submitted a norlany subsequent payment shall payable t City, the second until t haprogress bmitte payment fully complete Project schedule acceppted by the City. Nor shall subsequent progress payments be payable to the Contractor finless and until he submits the monthly bar graphs or status reports required by Section 174.9 herein or unless and until he provides any recovery schedule pursuant to Section 14.10 herein. 14.5 Failure to provide a satisfactory preliminary or fully complete Project schedule within the time limits stated above shall be a breach of contract for which the City may terminate the Contract in the manner provided in Section 34 of these General Conditions. 14.6 The fully complete Project schedule for accomplishing the Work shall be of the type set forth in subparagraph (1) or (2) below, as appropriate: (1) For Contracts with a price of $1,500,000 or less, a bar graph schedule will satisfy the above requirement. The schedule shall indicate the estimated starting and completion dates for each major element of the work. See (14.7) below. (2) For Contracts with a price over $1,500,000, a Critical Path Method (CPM) schedule shall be utilized to control the planning and scheduling of the Work. The CPM schedule shall be the responsibility of the Contractor and shall be paid for by the Contractor. See (14.8) below. 14.7 Bar Graph Schedule: Where a bar graph schedule Is required, it shall be time - scaled in weekly increments, shall indicate the estimated starling and completion dates for each major element of the Work by trade and by area, level, or zone, and shall schedule dates for all salient features, including but not limited to the placing of orders for materials, submission of Architect/Engineer, r, the manufacture and delivery f material the testing sand the Installation of materials, supplies and equipment, and all Work activities to be performed by the Contractor. The Contractor shall allow sufficient time in his schedule for his A/E to conduct whatever associated reviews or inspections as may be required under the A/E's contract with the Contractor. Each Work activity will be assigned a time estimate by the Contractor. One day shall be the smallest time unit used. It is the Contractor's responsibility to submit a schedule that shows Substantial Completion of the Work by the Contract Time for Completion or the Contract Completion Date and any interim deadlines established by the Contract. 14.8 CPM Schedule: Where a CPM schedule is required, it shall be in the time - scaled Precedence formal using the Contractor's logic and time estimates. The CPM schedule shall be drawn or plotted with activities grouped or zoned by Work area or subcontract as opposed to a random (or scattered) format. The CPM schedule shall be time - scaled on a weekly basis and shall be drawn or plotted at a level of detail and logic which will schedule all salient features of the Work, including not only the actual construction Work for each trade, but also the submission of shop drawings and other Submittals for approval, approval of shop drawings by the Contractor's A/E, placing of orders for materials, the manufacture and delivery of materials, the testing and installation of materials and equipment, and all Work activities to be performed by the Contractor. Failure to include any element of Work required for the performance of this Contract shall not excuse the Contractor from completing all Work required within the Time for Completion, Contract Completion Dale and any interim deadlines established by the Contract. The Contractor shall allow sufficient time in his schedule for his A/E to conduct whatever associated reviews or inspections as may be required. Each Work activity will be assigned a lime estimate by the Contractor. One day shall be the smallest time unit used. It is the Contractor's responsibility to submit a schedule that shows Substantial Completion of the Work by the Contract Time for Completion or the Contract Completion Date and any interim deadlines established by the Contract. When completed, the CPM schedule shall be submitted to the City for review. The CPM schedule will identify and describe each activity, slate the duration of each activity, the calendar dales for the early and late start and the early and late finish of each activity, and clearly highlight all activities on the critical path. 14.9 Progress: The Contractor shall review the progress of the Work not less than each month, Contractor shall collect and preservpee information onhChange Orders, including ncluding ex ensions of time. The Contractor shall evaluate this information and update the schedule monthly to finish within the contractually allowed time. The Contractor shall submit the updated schedule with each progress payment request. The scheduled completion date shall be within the period of time allowed by the Contract for completion of construction, except as amended by any Change Orders. The Contractor shall submit to the City along with his monthly request for payment a copy of the bar graph schedule annotated to show the current progress. For projects requiring a CPM schedule, the Contractor shall submit a monthly report of the status of all activities. The bar graph schedule or monthly status report submitted with each periodic request for payment shall show the Work completed to date in comparison with the Work scheduled for completion, including but not limited to the dates for the beginning and completion of the placing of orders; the manufacture, testing and installation of materials, supplies and equipment. The form shall be approved by the City; however, a bar graph or a CPM schedule marked, colored or annotated to reflect the above will usually satisfy this requirement. If any elements of the Work are behind schedule, regardless of whether they may prevent the Work from being completed on time, the Contractor must indicate in writing in the report what measures he is taking and plans to take to bring each such element back on schedule and to ensure that the Time for Completion or Contract Completion Date is not exceeded. 14.10 Delay and Recovery Schedule: Should there be any delay, the City Engineer may require the Contractor to prepare, without increase to the GMP, a plan of action and a recovery schedule for completing the Work by the contractual completion date: (1) The Contractor's monthly project report indicates delays that are, in the opinion of the City, of sufficient magnitude that the Contractors ability, to complete the Work by the scheduled Time for Completion or the Contract Completion Dale is brought into question; (2) The CPM schedule sorted by early finish shows the Contractor to be thirty (30) or more days behind the critical path schedule at any time during construction up to thirty (30) days prior to scheduled Substantial Completion date; (3) The Contractor desires to make changes in the logic (sequencing of Work) or the planned duration of future activities of the CPM schedule which, in the opinion of the ArchilecBEngineer or the City, are of a major nature. The plan of action and recovery schedule shall explain and display how the Contractor intends to regain compliance with the original schedule. The plan of action and recovery schedule, when required, shall be submitted and approved by the City Engineer prior to Contractors submission of the next monthly construction estimate. The City may withhold progress payments until such schedule is submitted and approved. 14.11 Early Completion of Project: The Contractor may attempt to achieve Substantial Completion on or before the Time for Completion or the Contract Completion Date. However, such planned early completion shall be for the Contractors convenience only and shall not create any additional rights of the Contractor or obligations of the City under this Contract, nor shall it change the Time for Completion or the Contract Completion Date. The Contractor shall not be required to pay damages to the City because of its faliure to achieve Substantial Completion by its planned earlier date. Likewise, the City shall not pay the Contractor any additional compensation for achieving Substantial Completion early nor will the City owe the Contractor any compensation should the City, its officers, employees, or agents cause the Contractor not to achieve Substantial Completion earlier than the date required by the Contract Documents. If the Contractor seeks to change the Time for Completion or the Contract Completion Date to reflect an earlier completion date, he may request or propose such a change. The City may, but is not required lo, accept such proposal. However, a change in the Time for Completion or the Contract Completion Date shall be accomplished only by Change Order. If the Contractors proposal to change the Time for Completion or the Contract Completion Date is accepted, a Change Order will be issued slating that all references in the Contract, including these General Conditions, to the Time for Completion or the Contract Completion Date shall thereafter refer to the date as modified, and all rights and obligations, including the Contractors liability for actual damages, delay damages and /or liquidated damages, shall be determined in relation to the date, as modified. 14.12 Blackout Dates. Not used. SECTION 15. PROJECT MEETINGS 15.1 The intention of this Section is that the Contractor and the City have timely exchange of information and cooperate to accomplish the Work as required by the Contract Documents. The Contractor is responsible for managing the Work, obtaining approvals and requesting clarifications on a timely, reasonable basis. The City is responsible for making a reasonable effort to provide timely responses to the Contractor. M 15.2 Preconstruction Meeting: Prior to the start of construction and no later than fourteen (14) calendar days after the Notice to Proceed, a " Precons0uclion" meeting shall be held with attendees to include the City's Project Manager and Project Inspector, VA811's Project Manager, the ArchitectlEngineers project manager and representatives of each design discipline involved in the Project, the Contractor's project manager and superintendent (and scheduler, if Contractor desires), and representatives of the Contractor's major Subcontractors. The purpose of the meeting is to clarify and discuss the specifics related to, but not limited to, the following: (1) Persons involved from each entity and their chain of authority including the names of persons authorized to sign Change Orders and any limits to their authority. Name of Contractors on -site certified Responsible Land Disturber. (2) Names, addresses. e-mail addresses, telephone numbers and FAX numbers to be used for Requests for Information (RFI), Requests for Clarification (RFC), Requests for Proposals (RFP), shop drawings, Submittals, and notices. (3) Contractors proposed construction schedule and City's sequencing requirements, if any. (4) Procedures for shop drawings, product data and Submittals. (5) Procedures for handling Field Orders and Change Orders. (6) Procedures for Contractors request for time extension, if any. (7) Construction Site requirements, procedures and clarifications to include: - Manner of conducting the Work - Site specialties such as dust and erosion control, stormwaler management, project signs, clean up and housekeeping, temporary facilities, utilities, security, and traffic - Quality control, testing, inspections and notices required - Site visits by the A/E and others City's Project Inspector duties (8) Procedures and documentation of differing or unforeseen Site conditions (9) Monthly Pay Requests (10) Assignment of responsibility for generation of meeting minutes of all project meetings. (11) Project Close -Out requirements and procedures (12) Project records 15.3 Weekly Meeting: In addition to City, VA811, and Contractor representatives, the following representatives, at a minimum, should be available to allend portions of the meeting, as applicable or necessary: * City's Project Inspector c Contractors project superintendent o A/E representative 34 The following topics should be included, as a minimum, in the weekly meeting: (1) Observations of status, quality, and workmanship of Work in progress (2) Conformance with proposed construction schedule (3) Outstanding Requests for Information, Requests for Clarification and Requests for Proposal (4) Submittals with action pending (5) Status of pending Change Orders (6) Status of Running Deficiencies (7) Discussions of any problems or potential problems which need attention 15.4 Other Meetings: Requirements for other meetings, such as progress meetings, coordination meetings, pre - installation meetings and /or partnering meetings, may be included in the Contract Documents. SECTION 16. TIME FOR COMPLETION 16.1 The Time for Completion for the project including any dates for completion of any desjgnated Phase or Sub -phase shall be as slated in the (Design Build Contract as agreed upon by the City and Contractor, subject to Change Orders or wrillen mutual agreement of City and Contractor. The Work must be substantially completed by the Time for Completion or Final the Contract Completion Date. Unless otherwise specified, the Contractor shall achieve 16.2 The Time forl'Completion shall (30) days in date Of between City Design Build Contractor and shall become a binding part of the Contract upon which the City may rely in planning the use of the facilities to be constructed and for all other purposes. If the Contractor fails to substantially complete the Work within the Time for Completion or Contract Completion Date, as set forth in the Contract, the Contractor shall be subject to payment of actual damages incurred by the City for liquidated damages, if provided for in the Contract. 16.3 The Contractor, in submitting the Contractor's proposal, acknowledges that the Contractor has taken into consideration normal weather conditions. Normal weather does not mean statistically average weather, but rather means a range of weather patterns which might be anticipated based on weather data for the past ten (10) years, (i.e., conditions which are not extremely unusual). Normal weather conditions shall be determined from the public historical records available, including the U.S. Department of Commerce, Local Climatological Data Sheets, National Oceanic and Atmospheric Administration / Environmental Data and Information Service, National Climatic Center and National Weather Service. The data sheets to be used shall be those for the locality or localities closest to the site of the work. No additional compensation will be paid to the Contractor because of adverse weather conditions; however, an extension of time for abnormal weather will be considered by the City under the following conditions, all of which must be strictly complied with by the contractor: a. The request for additional time shall be further substantiated by weather data collected during the period of delay at the Site. Said data must demonstrate that an actual departure from normal weather occurred at the Site during the dales in question. b. The extension requested must be supported by a delay in completion of the entire Project shown on the Project Schedule. Extensions will be granted only for delays in completion of the Project. C. A request for extension of time based on abnormal weather must be made in writing within fourteen (14) calendar days of the completion of the calendar month during which abnormal weather is claimed at the Site. d. All of the evidence and data supporting the request (including both historical data and the recordings at the Site during the time of delay) must be furnished to the City before any consideration will be given to the request. That supporting data shall be submitted by the end of the calendar month following the month for which the request is made. 16.4 The failure by the Contractor to comply with any and all of the conditions in Section 16.3 shall constitute a waiver of claims for the extension of time for abnormal weather. 16.5 The Contractor represents and agrees that the Contractor has taken into account in the Contractor's proposal the requirements of the proposal documents, the Contract Documents, local conditions, availability of materials, equipment, and labor, and any other factors which may affect the performance of the Work. The Contractor agrees and warrants Ihal the Contractor will achieve Substantial Completion of the Work by the Time for Completion or the Contract Completion Dale. The Cori tractor agrees and warrants that the Contractor will achieve Final Completion of the Work (the entire completion of all Work, including "punch list" items), not later than thirty (30) days after achieving Substantial Completion. SECTION 17. SUPERINTENDENCE BY CONTRACTOR 17.1 The Contractor shall have a competent foreman or superintendent, satisfactory to the City, on the Site at all limes during the progress of the Work. The superintendent or foreman shall be familiar with and be able to read and understand the plans and specifications, and be capable of communicating orally and in writing with the City's inspectors and the Contractor's workers. The Contractor shall be responsible for all construction means, methods, techniques, sequences and procedures, for coordinating all portions of the Work under the Contract except where otherwise specified in the Contract Documents, and for all safety and worker health programs and practices. The Contractor shall notify the City, in writing, of any proposed change in superintendent, including the reason therefore, prior to making such change. 17.2 The Contractor shall, at all times, enforce strict discipline and good order among the workers on the Project, and shall not employ on the Work, or contract with, any unfit person anyone not skilled in the Work assigned to him, or anyone who will not work in harmony with those employed by the Contractor, the Subcontractors, the City, VA811, or the City's separate contractors and their subcontractors. 17.3 The City may, in writing, require the Contractor to remove from the Site any employee or Subconlraclofs employee the City deems to be incompetent, careless, not working in harmony with others on the Site, or otherwise objectionable, but the City shall have no obligation to do so. SECTION 18. CONSTRUCTION SUPERVISION 18.1 The Contractor shall be solely responsible for supervising and directing the Work competently and efficiently, devoting such attention thereto and applying such skills and expertise as may be necessary to perform the Work in accordance with the Contract. The Contractor shall be solely responsible for the means, methods, techniques, sequences and procedures of construction and for coordinating all portions of the Work under the Contract, except where otherwise specified in the Contract Documents. The Contractor, in performing as the Design Build Contractor, shall also be responsible to the City far the design or selection of any specific means, method, technique, sequence or procedure of construction which is indicated in and required by the Contract Documents, The Contractor is solely responsible to the City [hat the finished Work complies with the Contract Documents, 18.2 The Contractor shall be solely responsible for health and safety precautions and programs for workers and others in connection with the Work. No inspection by, knowledge on the part of, or acquiescence by the Architect or Engineer, the Project Inspector, the City, the City's employees and agents, or any other entity whatever shall relieve the Contractor from its sole responsibiHly for compliance with the requirements of the Contract or its sole responsibility for health and safety programs and precautions. 18.3 The Contractor shall be fully responsible to the City and VA811 for all acts and omissions of all succeeding tiers of A/E's, Subcontractors, and Suppliers performing or furnishing any of the Work just as the Contractor is responsible for the Contractor's own acts and omissions. Nothing in the Contract Documents shall create any contractual relationship between the City and any Subcontractor, Supplier or other person or organization, nor shall it create any obligation on the part of the City to pay for or see `o payment of any moneys due any such Subcontractor, Supplier, or other person or orgaanization except as may otherwise be required by law. SECTION 19. ACCESS TO WORK The City, VA811, the Project Manager, the City's Inspectors and other testing personnel, inspectors from the City of Roanoke, and others authorized by the City, shall have access to the Work at all times. The Contractor shall provide proper facilities for access and inspection. SECTION 20. STANDARDS FOR MATERIAL INSTALLATION AND WORKMANSHIP 20.1 Material and Equipment: Unless otherwise specifically provided in this Contract, all equipment, material, and accessories incorporated in the Work are to be new and in first class condition. The Contractor shall furnish to the City Engineer for approval the name of the manufacturer, the model number, and other identifying data and Information respecting the performance, capacity, nature, and rating of the machinery and mechanical and other equipment which the Contractor contemplates incorporating in the Work. Machinery, equipment, material, and articles installed or used without required approval may be subject to subsequent rejection by the City. 20.2 Hazardous Substances: Unless specifically approved by the City or required by the specifications, the Contractor shall not incorporate any material into the Work containing asbestos or any material known by the Contractor to contain a substance known to be hazardous to human health. If the Contractor becomes aware that a material required by the specifications contains asbestos or other hazardous substances, it shall notify the City and the City Engineer immediately and shall take no further steps to acquire or install any such material without first obtaining City approval. (See also Sections 2.2 and 11.3 of these General Conditions.) 37 20.3 Workmanship: The workmanship shall be of the highest quality found in the building industry in every respect. All items of Work shall be done by workmen skilled in the particular task to which they are assigned. In the acceptance or rejection of work, no allowance will be made for lack of skill on the part of workmen. Poor or inferior workmanship (as determined by the City Engineer, the City, or other inspecting authorities) shall removed and otherwise acorected to to conform satisfaction highest f the City Engstandards neer,, the City, or other inspecting authority all at the Contractor's sole expense, 20.4 Instructions for Installation: Under the various sections of the specifications, where specified items are supplied with the manufacturer's printed instructions, recommendations, or directions for installation, or where such instructions, recommendations, or directions are available, installation of the specified items shall be in strict accordance with the manufacturer's printed instructions unless those instructions contradict the drawings or specifications, in which case the City Engineer will be notified by Contractor for an interpretation and decision. 20.5 Installation Procedures Without Instructions: Where neither the manufacturers printed instructions are available for installation of specific items, nor are specific code or standards given by reference to govern the installation of specific items; and where there is doubt concerning the installation procedures to be followed or the quality of workmanship to be maintained in the installation of specific items, the Contractor shall consult the City Engineer for approval of the installation procedures Contractor proposes to follow or the specific standards governing the quality of workmanship Contractor proposes to maintain during the installation of the items in question. 20.6 Codes and Standards: Under the various sections of the specifications, where reference is made to specific codes or standards governing'the installation of specified items, installation shall in all cases be in strict accordance with the referenced codes and standards. Where no reference is made to specific codes or standards, installation shall conform to the generally recognized applicable standards for first -class installation of the specific item to be installed. Contractors are expected to be proficient and skilled in their respeclive trades and knowledgeable of the National Fire Protection Association (NFPA), the current edition of the Virginia Uniform Statewide Building Code (USBC) and its referenced technical codes and standards, Occupational Safety and Health Act (OSHA) and other codes and standards applicable to installations and associated work by its trade and /or that are applicable to the Work. 20.7 Testing: During and /or at the completion of installation of any items, the tests designated in the plans or specifications necessary to assure proper and satisfactory functioning for its intended purpose shall be performed by the Contractor or by its Subcontractor responsible for the completed installation. All costs for such testing are to be included in the Contract Price. If required by the Contract Documents, the Contractor shall furnish prior to final inspection the manufacturers' certificates evidencing that products meet or exceed applicable performance, warranty and other requirements, and certificates that products have been properly installed and tested. SECTION 21. SUBMITTALS 21.1 Shop drawings, setting drawings, product data, and samples generated by the Design Build Contractor shall be known as submittals. Three copies of all submittals shall be provided to the City when generated. 21.2 Submittals shall be approved by the Design Build Contractor and its licensed professional designer for conformance with the required codes, standards, and provisions of the Contract. Three copies of all approved submittals shall be provided to the City. One copy of 38 the "Approved" shop drawings / submittals shall be on file in the construction trailer for use by inspectors. 21.3 Any submittal material, assembly, or product which deviates from the approved Building Permit Documents shall be submitted to the Building Official for VUSBC and CPSM approval prior to installation. 21.4 The Work shall be in accordance with approved Building Permit Documents as detailed by the approved submittals. SECTION 22. EQUALS 22.1 Brand names: Unless otherwise stated in the Request for Proposals, the name of a certain brand, make or manufacturer denotes the characteristics, quality, workmanship, economy of operation and suitability for the intended purpose of the article desired, but does not restrict the Contractor to the specific brand, make, or manufacturer, it is set forth to convey to the Contractor the general style, type, character and quality of the article specified. 22.2 Equal materials, equipment or assemblies: Whenever in these Contract Documents, a particular brand, make of material, device or equipment is shown or specified, such brand, make of material, device or equipment shall be regarded merely as a standard. Any other brand, make or manufacturer of a product, assembly or equipment which In the opinion of the City is the equal of that specified, considering quality, capabilities, workmanship, configuration, economy of operation, useful life, compatibility with desiggn of the Work, and suitability for the intended purpose, will be accepted unless rejected by the City as not being equal. 22.3 Substitute materials, equipment or assemblies: The Contractor may propose to substitute a material, product, equipment, or assembly which deviates from the requirements of the approved plans and specifications but which the Contractor deems will perform the same function and have equal capabilities, service life, economy of operations, and suitability for the intended purpose. The proposal must include any cost differentials proposed. If the proposed substitute is acceptable to the City, a Change Order will be proposed to the Contractor to accept the substitute and to deduct the proposed cost savings from the GMP. The City shall have the right to limit or reject substitutions at its sole discretion. 22.4 The Contractor shall be responsible for making all changes in the Work necessary to adapt and accommodate any equal or substitute product which it uses. The necessary changes shall be made at the Contractor's expense. 22.5 Availability of Materials. If a brand name, product, or model number included in the Contract Documents is not available on the present market, alternate equal products or model numbers may be proposed by the Contractor for approval by the City. Also submit data to the Building Official for approval of products, materials, and assemblies regulated by the VUSBC. SECTION 23. INSPECTION AND INDEPENDENT TESTING 23.1 Inspection and Testing: All material and workmanship shall be subject to inspection, examination, and testing by the City Engineer, Project Manager, authorized inspectors and authorized independent testing entities at any and all times during manufacture and /or construction. The City Engineer shall have authority to reject defective material and workmanship and require its correction. Rejected workmanship shall be satisfactorily corrected and rejected material shall be satisfactorily replaced with proper material without charge therefore, and the Contractor shall promptly segregate and remove the rejected material from the premises. If the Contractor fails to proceed at once with replacement of 39 rejected material and/or the correction of defective workmanship, the City may, by contract or otherwise, replace such material and /or correct such workmanship and charge the cost to the Contractor, and /or may terminate the right of the Contractor to proceed as provided in Sections 34 or 35 of these General Conditions, the Contractor and surety being liable for any damage to the same extent as provided for in those Sections. 23.2 Payment for Inspection, Testing, and Certification: a. Jobsite inspections, tests conducted on site, or tests of material gathered on site which the Contract requires to be performed by independent testing entities shall be contracted and paid for by the City. The Contractor shall promptly furnish, without additional charge, all reasonable facilities, labor, and material necessary for making such tests. Except as provided In Section 23.3 below, whenever such examination and testing finds defective material, equipment, or workmanship, the Contractor shall reimburse the City for the cost of reexamination and retesting. b. The City will not contract and pay for tests or certifications of material, manufactured products or assemblies which the Contract, codes, standards, etc. require to be tested and /or certified for compliance with industry standards such as Underwriters Laboratories, Factory Mutual or ASTM. If there are any fees to be paid for such tests and certifications, they shall be paid by the Contractor, C. The Contractor shall also pay for all inspections, tests, and certifications which the Contract specifically requires it to perform or pay, together with any inspections and tests which it chooses to perform for its own quality control purposes. 23.3 Where Work is related to or dependent on the Defective Work, the Contractor shall stop such related or dependent Work unfit (he Defective Work or deficiency is corrected or an alternative solution is presented that is satisfactory to the City. Where Work is rejected because of defective material or workmanship, the Contractor shall stop like Work in other areas or locations on the Project until the matter is resolved and the City has approved corrective measures. 23.4 Examination of Completed Work: Should it be considered necessary or advisable by City or the City Engineer at any time before final acceptance of the entire Work to make an examination of any part of the Work already completed, by removing or tearing out portions of the Work, the Contractor shall on request promptly furnish all necessary facilities, labor, and material to expose the Work to be tested to the extent required. If such Work is found to be defective in any respect, due to the fault of the Contractor or its Subcontractors, Contractor shall pay for all the expenses of uncovering the Work, of examination and testing, and of satisfactory reconstruction. It, however, such Work is found to meet the requirements of the Contract, the actual cost of the Contractors labor and material necessarily involved in uncovering the Work, the cost of examination and testing and Contractor's cost of material and labor necessary for replacement shall be paid to the Contractor and it shall, in addition, if completion of the Work has been delayed thereby, be granted a suitable extension of time. Notwithstanding the foregoing, the Contractor shall be responsible for all costs and expenses In removing and replacing the Work if the Contractor had covered the Work prior to any inspection or test contrary to the instructions of the AJE, City, or Project Inspector. 23.5 Suspension of Work: The City may suspend the Work when in its judgment the drawings and specifications are not being followed. Any such suspension shall be issued in writing and continued only until the matter in question Is resolved to the satisfaction of the City. The cost of any such Work stoppage shall be home by the Contractor unless it is later determined that no fault existed in the Contractors Work. 23.6 Project Inspector: Failure of the Project Inspector to note or require correction of improper or defective work does not relieve the Contractor from its responsibility to correct such improper or defective work. The Project Inspector has no authority to and shall not: a. Authorize deviations from the Contract Documents; b. Enter into the area of responsibility of the Contractors superintendent; C. Issue directions relative to any aspect of construction means, methods, techniques, sequences or procedures, or in regard to safely precautions and programs in connection with the Work; d. Authorize or suggest that the City occupy the project, in whole or in part; or e. Issue a certificate for payment. 23.7 The duties of the Project Inspector are for the benefit of the City only and not for the Contractor. The Contractor may not rely upon any act, statement, or failure to act on the part of the Project Inspector, nor shall the failure of the Project Inspector to properly perform his duties in any way excuse Defective Work or otherwise improper performance of the Contract by the Contractor. SECTION 24. USE OF PREMISES AND REMOVAL OF DEBRIS 24.1 Jobsite Coordination: The Contractor shall perform the Contract in such a manner as not to interrupt or interfere with the operation of any existing activity on the premises or with the work of any other contractor. 24.2 Storage of Material: The Contractor shall store apparatus, material, supplies, and equipment in such orderly fashion at the site of the Work as will not unduly interfere with the progress of its Work or the work of any other contractor. 24.3 Load: The Contractor shall place upon the Work or any part thereof only such loads as are consistent with the safety of that portion of the Work. 24.4 The Contractor expressly undertakes, either directly or through his Subcontractor(s), to effect all cutting, filling or patching of the Work required to make the same conform to the plans and specifications, and, except with the consent of the City, not to cut or otherwise alter the Work of any other separate contractor. The Contractor shall not damage or endanger any portion of the Work or Site, including existing improvements, unless called for by the Contract. 24.5 Jobsite Appearance: The Contractor expressly undertakes, either directly or through its Subcontractor(s), to clean up frequently all refuse, rubbish, scrap material, and debris caused by the Contractor's operations, to the end that al all times the jobsile shall present a neat, orderly, and workmanlike appearance. No such refuse, rubbish, scrap material, and debris shall be left within the completed Work nor buried on the building site, but shall be properly protected and removed from the site and properly disposed of in a licensed landfill or otherwise as required by law. 24.6 Final Cleaning: The Contractor expressly undertakes, either directly or through its Subcontractor(s), before final payment, to remove all surplus material, false work, temporary structures, including foundations thereof, and debris of every nature resulting from its operations and to put the site in a neat, orderly condition, to thoroughly clean and leave reasonably dust free all finished surfaces including all equipment, piping, etc., on the interior of all buildings included in the Contract: and to thoroughly clean all glass installed under the Contract including the removal of all paint and mortar splatter and other defacements. If a Contractor fails to clean up at the completion of the Work, the City may do so and charge for costs thereof to the Contractor in accordance with these General Conditions. 24.7 Erosion Control: During and at completion of the Work, the Contractor shall prevent site soil erosion, the runoff of sill and /or debris carried by water from the site, and the blowing of dust or debris off the site in accordance with the applicable requirements and standards of the Virginia Erosion and Sediment Control Handbook, latest edition, and of the Contract Documents and the requirements of the City's Department of Planning, Building and Development. SECTION 25. PROTECTING PERSONS AND PROPERTY 25.1 Protection on Site: The Contractor expressly undertakes, both directly and through its Subcontractor(s), to take every reasonable precaution at all times for the protection of all persons and property which may come on the jobsile or be affected by the Contractors operation in connection with the Work. 25.2 Safety and Health Precautio s: The Contractor shall be solely responsible for initipting, maintaining, and supervising ali safely and health precautions and programs in connection with the Work, including but not limited to provision of appropriate sanitation facilities, if applicable. 25.3 Protecting the Public: The Contractor shall in all cases protect the public and the Work, during its execution, by posting and maintaining, at its expense, appropriate signs, barricades, barriers, lights, gagmen, and other safety devices in accordance with the current edition of the "Virginia Work Area Protection Manual." 25.4 Protecting the Work and Adjacent Property: The Contractor shall continuously maintain adequate protection of all the Work from damage and shall protect the City's property from injury or loss arising in connection with this Contract. The Contractor shall adequately protect adjacent property to prevent any damage to it or loss of use and enjoyment by its owners. The Contractor shall provide and maintain all passageways, guard fences, lights, and other facilities for protection required by public authority, local conditions, any of the Contract Documents or erected for the fulfillment of its obligations for the protection of persons and property. 25.5 Emergencies: In an emergency affecting the safety or life or persons or of the Work, or of the adjoining property, the Contractor, without special instruction or authorization from the City Engineer, shall act, at Contractor's discretion, to prevent such threatened loss or injury. Also, should Contractor, to prevent threatened loss or injury, be instructed or authorized to act by the City Engineer, Contractor shall so act immediately, without appeal. Any additional compensation or extension of lime claimed by the Contractor on account of any emergency work shall be determined as provided by Section 27 of these General Conditions. 25.6 The provisions of all rules and regulations governing health and safety as adopted by the Safety Codes Commission of the Commonwealth of Virginia, issued by the Department of a= Labor and Industry under Title 40.1 of the Code of Virginia, shall apply to all Work under this Contract. 25.7 When necessary for the proper protection of the Work, temporary healing of a type compatible with the Work must be provided by the Contractor at the Contractor's expense, unless otherwise specified. 25.6 The Contractor shall comply with the provisions of the Virginia Underground Utilities Damage Prevention Act, Section 56- 265.14 at seq. of the Code of Virginia. SECTION 26. DAMAGES TO THE WORK AREA 26.1 Damage to the Work: The Contractor shall have charge of and be solely responsible for the entire Work and be liable for all damages to the Work including, but not limited to any of the damages hereafter mentioned, and to any property In the vicinity of the Work, until its completion and acceptance by the City Engineer. a. Where the work involves alterations, renovations, or modifications to any existing building, the Contractor shall familiarize itself with the structural condition of such building before proceeding with any work. It shall be the Contractor's responsibility to take all necessary safeguards to protect and maintain all parts of the building in a safe condition at all times during the process of construction and to protect from damage those portions of the building that are to remain. b. Under no condition shall any load be placed on any part of a building, whether new or existing, in excess of the load the structure will safely support, and no ptruclural member(s) shall be cul or altered without the written consent of the City Engineer. C. The Contractor shall conduct all operations in such a manner as to avoid damage to existing work and surfaces within any existing building that are to remain. Any and all damaged work and surfaces shall be repaired, replaced, or restored to their original condition at the time when this work was started, and the expense of such work shall be home by the Contractor. 26.2 Damage to Utilities: The respective Utility Company shall be given a minimum of forty- eight (46) hours' notice prior to any adjustment of utilities, and the Contractor shall comply with the provisions of the Virginia Underground Utilities Damage Prevention Act, Section 56- 265.14 at seq., of the Code of Virginia. Damages that may occur to the utilities during the Work shall be the sole responsibility of the Contractor. 26.3 Relocation of Utilities: Should any utilities require adjustment during the Work, it shall be the Contractor's responsibility to have such utilities relocated as a part of the Work and to contact and cooperate with the respective Utility Company In performance of such operations. 26.4 Damage to Other Work and Existing Structures: The Contractor shall take into account all other work which shall be done by other parties on the jobsile, either now known or which may became necessary during the progress of the Work, and shall be responsible for any damage done to the other work. Damage to concrete curbs, gutters, sidewalks, or any existing facility that may occur during the construction shall be repaired or replaced by the Contractor, at its sole expense, as directed by and to the satisfaction of the City Engineer. 26.5 Weather Damage: Damage with respect to the Work caused by the weather shall be the responsibility of the Contractor. 43 26.6 Blasting: Any damage that may occur due to blasting shall be the sole responsibility of the Contractor. SECTION 27. CHANGES IN THE WORK 27.1 Changes in the Work: No change with respect to the Work, except in an emergency situation threatening life or property, shall be made by the Contractor without the prior written approval of the City. The Contractor shall deliver any request for a change in the Work, GMP, and /or completion time in writing to the City Engineer within ten (10) calendar days of the occurrence requiring the change. The Contractor shall be required to certify the cause of the change order and, if appropriate, length of time involved. Payment for such changes approved by the City Engineer shall be as set forth in Section 27.7. This written request is a condition precedent to the consideration of any such request by the City. There will be no monetary adjustment to the GMP under this Contract except when the Scope of Work has been modified by the City by a Change Order and as allowable under the other provisions of this Contract. All other changes required to complete the Work shall be the sole responsibility of the Contractor. 27.2 Delays: In the event a delay is caused by the City, the City Engineer, any other separate contractor employed by the City, or any party For whom the Contractor deems the City responsible, or the agents and employees of any of them, the Contractor shall inform the Cily and the City Engineer immediately at the time of the occurrence by the fastest means available and shall give written notice within a reasonable lime, not to exceed ten (10) calendar days. The Contractor's notice to the City Engineer shall specify the nature of the delay claimed by the Con tractor, the cause of the delay, and the impact of the the on the Contractors work schedule to the fullest extent possible. The City will within a reasonable time, not to exceed ten (10) calendar days, respond to the Contractors notice with a resolution, remedy, or direction to alleviate the delay or with a notice rejecting the claim for delay alleged to be caused by the City or parties for whom the City is responsible. If the delay is not then resolved, the Contractor may then submit a request for change order in accordance with Sections 27.1 and 27.3. In the event of other delays, the Contractor shall give the City and City Engineer written notice within ten (10) calendar days of the occurrence causing the delay. If and to the extent that a delay Is caused by or due to the City or A/E taking any actions permitted or required by the Contract, the Contractor shall be entitled to an extension of time or additional compensation only for the portion of the delay that is unreasonable, if any. No extension of time or compensation shall be allowed for a delay if the Contractor failed to give notice in the manner and within the time prescribed in Subsection 27.2(a). Furthermore, no exlension of time shall be given or additional compensation allowed for any delay unless a claim therefore is made in writing to the City, with a copy to the Ci(y Engineer, within ten (10) calendar days of the occurrence causing the delay. The claim shall stale the cause of the delay, the number of days of extension requested, and any compensation of by the Contractor. The Contractor shall report the termination of the delay to the City and City Engineer not less than ten (10) calendar days after such termination. Failure to give notice of either the inception or the termination of the cause of delay or failure to present a claim for extension of time and /or monetary compensation within the times prescribed are conditions precedent I o the assertion of any such claims by Contractor and shall constitute a waiver by Contractor of any such claims for compensation or extension based upon that cause. Requests for compensation for delays must be substantiated by itemized data and records clearly showing that the work delayed was progressing according to the 44 approved schedule and that the costs are directly attributable to the delay in the Work claimed. The Contractor shall provide written schedules demonstrating how the Work being delayed affects the approved schedule. d. No extension of time, additional compensation, or change in the GMP shall be allowed for any delays caused in whole or in part by the Contractor, any subcontractors, or any supplier. (For unavoidable justified delays, see Section 27.7 of these General Conditions.) 27.3 Change Orders: All change orders shall clearly define changes to the Work, the Contract amount or price, and the Contract Time for Completion. Incomplete or partial change order requests may not be considered by the City Engineer. All change orders must indicate that the Contract Time for Completion is not changed or is either Increased or decreased by a specific number of days. Any change or requested change in the GMP shall also be included in the change order request. The Contractor must provide written justification for an extension of the Time for Completion to the City Engineer. The written justification must demonstrate an anticipated actual increase in the time required to complete the Work beyond that allowed by the Contract as adjusted by prior change orders or amendments to the Contract, not just an increase or decrease in the time needed to complete some portion of the total Work. City Engineer- approved increases or decreases in time required to complete the Work shall be added or deducted, respectively, to the Time for Completion. The change to time or GMP allowed by each change order shall include all time and monetary impacts of the change, whether the change order is considered alone or with all other changes during the course of the Project. Failure to include a change to time and /or GMP in a change order shall waive any claims the Contractor may have for any change to the time and /or GMP unless the parties mutually agree in writing to postpone a determination of the change to time and price resulting from the change order. However, the Contractor shall continue with the Work as may be directed by the City Engineer and shall not stop work on the Project unless directed to do so by the City Engineer. 27.4 Extra Work: The City reserves the right to make alterations or changes in the Work as the Work progresses. When any work is necessary to the proper completion of the pro )'act which was not provided for in the Contract, the Contractor shall do such work, but only when and as ordered in writing by the City Engineer. Payment for such extra work shall be made as hereinafter provided in Section 27.5. 27.5 Payment Methods for Extra Work: The extra work done by the Contractor as authorized and approved by the City Engineer shall be paid for in the manner hereinafter described; and the compensation thus provided shall be accepted by the Contractor as payment in full for all labor, material, tools, equipment, incidentals, all superintendents' and timekeepers' services, all insurance, bonds, and all other reasonable overhead expenses incurred in the Fpedormance of the extra work. Payment for extra work may be made by one of the methods, as agreed on in writing by the City Engineer and the Contractor before said extra work is commenced, subject to all other conditions of the Contract: Unit prices; or b. Lump sum price; or C. The cost of change in work plus ten percent (10 %) of allowable costs. Allowable costs for purposes of this paragraph shall only include labor, material, sales tax, the rental of power tools and equipment actually used, or a reasonable price for the use of power tools and equipment owned by the Contractor based upon their life expectancy and purchase price, utilities, pro rata charges for foremen, and all payroll charges such as employer's FICA contribution, Public Liability and Workers' Compensation Insurance, but only if all such costs are incurred as the direct result of the changes in the Work. The change in cost for labor and material bonds and for 45 performance bonds relative to the value of the extra work shall be allowable cost but shall not be marked up. 27.6 Disputed Claims for Extra Work: If one of the payment methods set forth in Section 27.5 Is not agreed on by the City Engineer, the City may retain either an independent contractor to perform such extra work or use its own forces to perform such extra work and the Contractor shall cooperate fully with the independent contractor or City in its performance of the extra work. However, the City Engineer may also direct Contractor to perform such extra work and any dispute will be handled as set forth in Section 38 of these General Conditions. 27.7 Change in Contract Time for Completion or GMP: The Contractor may request an extension of time or change in the GMP should the Work be obstructed or delayed by any justified unavoidable delays not caused in whole or in part by the Contractor, any subcontractor, or suppliers. However, delays caused by weather conditions will not be considered justified unavoidable delays unless they are caused by unusual weather as set forth in Section 16.3 of these General Conditions, in which case only an extension of time may be considered by City, but no additional compensation will be allowed for unusual weather. Furthermore, Contractor agrees that for any delays not caused by the City or any delays beyond the control of the City, no additional compensation will be due the Contractor and no change in the GMP will be allowed by the City, only an extension of the Contract Time for Completion will be considered by the City. The Contractor shall deliver requests for changes in the GMP and /or completion time in writing to the City Engineer within ten (10) calendar days of the occurrence requiring the change. Approved changes that alter the time of the Contract shall extend the completion time by a period equivalent to the certified time lost by such occurrence. No change in GMP and/or completion time shall be allowed if the above notice has not been properly given, such notice being a condition precedent to any such'request by the Contractor. However, the Contractor shall continue with the Work as may be directed by the City Engineer and shall not slop work on the Project unless directed to do so by the City Engineer, 27.8 Accordingly, the GMP shall only be increased if there is a substantial addition requested by City to the Scope of Work and increased cost to the Contractor. The GMP shall be decreased for any City requested reduction to the Scope of Work. 27.9 Cost for A/E Services: a. There will be no monetary adjustment to Architect/Engineer Services under this Contract except where the Scope of Work has been modified by the City as noted above. The A/E component of such Scope of Work changes will only be adjusted when the City- requested change requires a duplication of Work that has already been accomplished, causes an appreciable increase in direct labor, material or other costs to work included under the A/E component, or requires new labor, material or other direct costs of work not included under the existing A/E component. All other changes required to properly complete the Work will be the responsibility of the Contractor. b. Adjustment in the A/E component will be based upon the extent of change to the Work and not upon a percentage of construction costs. The City will negotiate an adjustment on the basis of the costs per discipline for the production of drawings, calculations, specifications, estimating and other services. Prior to negotiations, the Contractor shall submit an Estimate of Fee for Modification of Design. 46 27.10 The acceptance by the Contractor of any payment made by the City under a Change Order shall be and operate as a release to the City of all claims by the Contractor and of all liability owing to the Contractor for all things done or furnished in connection with the Work described in the Change Order. The execution of any Change Order by the City shall not be an acceptance of any Work or materials not in accordance with the Contract Documents, nor shall it relieve the Contractor of responsibility for faulty materials or workmanship or operate to release the Contractor or his surety from any obligation arising under the Contract or the Standard Performance Bond or Standard Labor and Material Payment Bond. SECTION 28. PAYMENT FOR WORK 28.1 Monthly Construction Estimates: Monthly construction estimates shall be submitted to the City Engineer, Noel C. Taylor Municipal Building, 215 Church Avenue, S.W., Room 350, Roanoke, Virginia 24011, no more than once every thirty (30) calendar days. 28.2 Preparing Progress Payment Requests: In preparing construction estimates, the Contractor may request a progress payment based on the actual percentage of work completed during the preceding month. The estimate shall contain a breakdown of the total Contract amount, to include a separate breakdown of all approved change orders, into principal items of construction, showing the estimated quantity, unit price, and total for each item. In preparing progress payment requests, the material delivered on the site and preparatory work done may be taken into consideration, if property documented, or as may be required by the City Engineer so that quantities can be verified. In addition to material delivered on the site, material such as large pieces of equipment and items purchased specifically for the project, but stored off the site, may be considered for payment, provided prior written approval is given by the City Engineer. 28.3 Progress Payments: The City will make a progress payment to the Contractor on the basis of a duly certified and approved progress payment request for the work performed under the Contract and in compliance with Virginia Code § 2.2 -4352. In the event that the City disagrees with the monthly construction progress payment request submitted by the Contractor, or in the event the As -Built Drawings are not being kept current, the City may withhold all or a portion of the progress payment until such dispute is resolved to the satisfaction of the City. If there are any objections or problems with the progress payment request, the City will notify the Contractor of such matters within twenty days after the City receives the progress payment request, as required by Virginia Code § 2.2- 4352.. If the progress payment request is approved by the City, payment will be made by the City to the Contractor not more than thirty (30) calendar days after such request has been approved. However, if there is an objection or problem with a progress payment request, the Contractor shall continue with the Work as may be directed by the City Engineer and shall not stop work on the Project unless directed to do so by the City Engineer. Any such disputes shall be handled as set forth In Section 38 of these General Conditions. 28.4 Retainage: To ensure proper performance of the Contract, the City shall retain, unless stipulated otherwise, five percent (5 %) of each progress payment until Final Acceptance of all work covered by the Contract. The Contractor may request that such retainage be paid into an escrow account on certain Contracts, pursuant to Section 2.2 -4334 of the Code of Virginia. 28.5 Ownership of Material and Work: All material and work covered by progress payments shall become the property of the City. This provision shall not relieve the Contractor from the responsibility for all material and to maintain all completed work and to repair all damaged work. The Contractor shall not deem a progress payment as a waiver to complete the terms of the Contract or shift the risk of loss from the Contractor to the City. The 47 Contractor warrants that Contractor has good title to all material, equipment, and supplies which Contractor uses in the Work or for which Contractor accepts payment In whole or in part. 28.6 Payments to Others by Contractor: The Contractor agrees that Contractor will comply with the requirements of Section 2.2 -4354 of the Code of Virginia regarding Contractor's payment to other entities and that Contractor will take one of the two actions permitted therein within seven (7) calendar days after receipt of amounts paid to Contractor by the City. The Contractor agrees that Contractor shall indemnify and hold the City harmless for any claims resulting from failure of the Contractor to make prompt payments to all persons supplying him equipment, labor, tools, or material in prosecution and completion of the Work provided for in the Contract. 28.7 Final Payment: After the Final Acceptance of the Work by the City, and after Final Payment is requested in writing by the Contractor, and the City Engineer has received and approved the items listed below, the City shall pay the Contractor the Final Payment, less all prior payments, damages, setoffs, liquidated damages, any amounts withheld from retainage, or any other amounts Contractor may owe the City for any reason whatever. If the sum of all progress payments and the final invoice is greater than the GMP, the final invoice shall be adjusted so that the sum of all progress payments and the final payment is not greater than the GMP. Such final payment is subject to the City Engineer receiving and accepting all documents to finalize the Work or Project, such as, but not limited lo: a. As -Built drawings, operation and maintenance manuals, written warranties (if applicable). b. Affidavit of Payment of Claims. C. Certificate of Final Acceptance. d. Such other documents or items as the City Engineer may request in writing from the Contractor. 28.8 Payment and Acceptance: No payment, final or otherwise, nor partial or entire use, occupancy, or acceptances of the Work by the City shall be an acceptance of any work or material not in accordance with the Contract, nor shall the same relieve the Contractor of any responsibility for any errors or omissions or faulty material or workmanship or operate to release the Contractor or its surety from any obligation under the Contract or the Performance Bond or the Labor and Material Payment Bond. 28.9 Right to Audit and Maintenance of Records: The Contractor agrees that the City, VA811, and any approving Federal or State Agency or any of their duly authorized representatives, shall have access to any books, documents, papers, records, schedules and electronic data of the Contractor which are pertinent to this Project for the purpose of making an audit, examinations, excerpts, copies, or transcriptions and that Contractor will provide copies of such Items to City upon City's request, at no cost to City. Contractor shall maintain all books, records, electronic data, and other documents relating in any way to this Contract or Project for a period of five (5) years after Final Acceptance. SECTION 29. LIQUIDATED DAMAGES If liquidated damages are provided for by the Contract, the following provisions shall apply: a. Subject to the provisions of the General Conditions for extension of time allowed for completion of the Work, If the Work is not substantially completed by the date required in the Contract, the Contractor shall owe to the City , not as a penalty but as liquidated damages, the sum stated in the Contract for liquidated damages for each and every calendar day of delay in substantial completion. 48 b. Once the Work is substantially complete, the accrual of liquidated damages shall stop and the Contractor shall have thirty (30) calendar days in which to achieve Final Acceptance of the Work. C. Provided, however, if Final Acceptance of the Work is not achieved by the thirtieth (301h) calendar day after substantial completion, and if any extension of time is not granted by the City, the Contractor shall owe to the City, not as a penalty, but as additional liquidated damages, the sum staled in the Contract as liquidated damages for each and every calendar day of delay in Final Acceptance. All such liquidated damages set forth in this Section 29 are in addition to any other damages the City may be entitled to recover from the Contractor. SECTION 30. INSPECTION FOR SUBSTANTIAL COMPLETION AND FINAL ACCEPTANCE 30.1 Substantial Completion: The Contractor shall notify the City, in writing, that the Work will be ready for inspection to determine if it is substantially complete and ready for testing on or after a certain date, which date shall be stated in the notice. The notice shall be given at least ten (70) calendar days in advance of said dale and shall be forwarded through the City Engineer. Inspection and testing shall take place at a time mutually agreeable to the Contractor, City, and City Engineer. The inspection and testing shall determine if substantial completion has been accomplished. If so, the City Engineer will issue a Certificate of Substantial Completion and attach a written list of unfinished Work and defective Work, commonly referred to as a "punch list," which must be finished and corrected to obtain Final Acceptance. After successful completion of the inspectioq and testing and the Archilecl/Engineer determines that, in its opinion, the Work, either in whole or in part, is substantially complete, the ArchitecNEngineer shall notify the City, in writing that the Work, or a specified portion thereof, is recommended to be declared substantially complete. The City shall notify the Contractor, in writing, of the date the City accepts the Work, or the specified portion thereof, as substantially complete or the City shall notify the Contractor of the deficiencies to be corrected or completed before such Work will be accepted as substantially complete. 30.2 Request for Final Acceptance: The Contractor shall notify the City Engineer, in writing, that the Work will be ready for final inspection and testing on or after a certain date, which dale shall be slated in the notice. That inspection and any necessary testing shall be conducted in the same manner as the inspection for substantial completion. When the Work is finally and totally complete, including the elimination of all known deficiencies, the Work shall be finally accepted by the City and final payment shall be made in accordance with Section 28.7 of these General Conditions. 30.3 Final Inspection: The City Engineer will conduct the final inspection, and may elect to have other persons of his/her choosing also participate in the inspection. If one or more reinspection is required, the Contractor shall reimburse the City for all costs of reinspection or, at the City's option, the costs may be deducted from payments due to the Contractor. 30.4 As -Built Drawings: No Contract retainage will be released prior to receipt of all approved As -Built Drawings. 30.5 Final Acceptance: Upon successful completion of the final inspection and all Work required by the Contract, including, but not limited to, the delivery of the following documents and items; As -Built drawings; operation and maintenance manuals; written warranties; Certificate of Substantial Completion; and Affidavit of Payment of Claims; the City Engineer 49 will furnish a Written Certificate of Final Acceptance of the Work to the Contractor. The City Engineer may accept the Work for occupancy or use while asserting claims against the Contractor, disputing the amount of compensation due to the Contractor, disputing the quality of the Work, its completion, or its compliance with the Contract Documents, and the like. 30.6 Release By Contractor: The acceptance by the Contractor of the final payment or a payment designated as such shall be and does operate as a release by the Contractor of all claims by the Contractor against City and of all other liability of the City to the Contractor whatever, including liability for all things done or furnished in connection with the Work or the Contract. SECTION 31. WARRANTY OF MATERIAL AND WORKMANSHIP 31.1 The Contractor warrants that, unless otherwise specified, all material and equipment incorporated in the Work under the Contract shall be new, in first class condition, and in accordance with the Contract Documents. The Contractor further warrants that all workmanship shall be of the highest quality and in accordance with the Contract Documents and shall be performed by persons qualified at their respective trades. 31.2 Work not conforming to these warranties shall be considered defective. 31.3 These warranties of material and workmanship are separate and independent from and in addition to any of the Contractor's other guarantees or obligations in this Contract, or that may arise by law. SECTION 32. GUARANTEE OF WORK 32.1 One Year Warranty: The Contractor further guarantees and warrants the Work against defects or deficiencies in the Work and as to all material, equipment, and workmanship for a period of one (1) year from the date of Final Acceptance. However, any manufacturer's guarantees or warranlies or any other guarantees or warranties required by the Contract Documents shall be for the period of time provided for therein. 32.2 The Contractor shall obtain and furnish to the City and VA811 any available guarantees and warranties from manufacturers, installers, subcontractors, or others and any guarantees and warranties called for in the Contract and have such guarantees and warranties issued to the City and VA811, or transfer such guarantees and warranties to the City and VA811, in a timely manner. All guarantees and warranties shall be subject to the reasonable approval of the City and VAB11 However, any such approval or disapproval does not relieve the Contractor of any of Contractor's guarantees and warranties. To the extent possible, Contractor shall use its best efforts to ensure that all such guarantees and warranties do not contain any indemnity requirements from the City and/or VA811, any limitation of liability, any reduction or the applicable statute of limitations, any venue or forum selection other than the City of Roanoke, Virginia, or any requirement for mediation or arbitration. Any such language in a guaranty or warranty shall be deemed to be void and the Contractor along with the entity providing the guaranty or warranty shall be responsible for such guaranty or warranty with any such items being deemed deleted. All such guaranties or warranties shall be provided to the City and VA811 before or within ten (10) days after Contractor's completion of the Work and the City may withhold payments to the Contractor until receipt of all such guaranties and warranties, 32.3 All guarantees and warranties from the Contractor or others, whether set forth above, in other parts of the Contract or other documents, or that may arise by law, shall be cumulative so as to maximize City's and VA811 guarantee and warranty protection. The City and VA811, by accepting any of the guaranties or warranties provided for in the Contract does not waive, and specifically reserves any legal rights and remedies that the City may have for breach of the Contract and /or breach of any such guarantees or warranties. 32.4 Defective Work: The Contractor agrees it shall repair or replace, at Contractor's sole expense, and to the satisfaction or the City Engineer, any work, material, equipment, or part that is found, by the City Engineer, to be defective. 32.5 Repairs: If, within any guarantee period, defects are noticed by the City Engineer which require repairs or changes in connection with the guaranteed work, those repairs or changes being in the determination of the City Engineer rendered necessary as the result of the use of material, equipment, or workmanship which is defective, inferior, or not in accordance with the terms of the Contract, then the Contractor shall, promptly upon receipt of notice from the City Engineer, such notice being given not more than four weeks after the expiration of any such guarantee period, and without any expense to the City and VA811: a. Place in satisfactory condition all guaranteed work and correct all defects therein; and b. Make good all damage to the structure, site, equipment, or contents thereof, which in the determination of the City Engineer is the result of the use of material, equipment, or workmanship which are inferior, defective, or not in accordance with the terms of the Contract; and C. Make good any work or material or the equipment and contents of structures or the site disturbed in fulfilling any such guarantee. 32.6 Warranty Extension: In any case, where in fulfilling the requirements of the Contract or any guarantee embraced in or required thereby, the Contractor disturbs, damages or repairs any work guaranteed under the Contract, Contractor shall restore such work to a condition satisfactory to the City Engineer and guarantee such restored work to the same extent and for a like additional period of time as it was originally guaranteed under this Contract. 32.7 Correction of Defects: If the Contractor, after notice, fails to proceed promptly, but in no event longer than thirty (30) calendar days after such notice, unless otherwise agreed to by the City Engineer, to comply with the terms of the guarantee and /or correct the Work, the City and VA811 may have the defects corrected by its own forces or another contractor and the Contractor and its surety shall be liable to the City and VA811 for all costs and expenses incurred in doing so. Contractor, however, shall not be obligated to reimburse the City for any repairs, replacements, modifications, or alterations made by the City or its forces before providing Contractor the opportunity to cure within the timeframe set forth herein unless Contractor provides advance written authorization. 32.8 Nothing contained in this section shall be construed to establish a period of limitation with respect to any other obligation which the Contractor might have under the Contract Documents or the law of Virginia, including liability for defective work. 32.9 The guarantee of this Section shall be in addition to and not in fieu of all other warranties, express or implied, applicable to or arising from this Contract or by law. s, SECTION 33. STOP WORK ORDER In the event that conditions exist such that no work can or should continue, other than the routine closing of the site, the Contractor may submit to the City Engineer a request to stop work or the City Engineer on his /her own may issue a Stop Work Order. The City Engineer will, if he /she approves the request or issues the order himself /herself, deliver a written "Stop Work Order" to the Contractor stipulating the effective date and the Contract time remaining. The Work, other than the routine closing of the site, and Contract time shall not again be started until a written "Resume Work Order' is received by the Contractor from the City Engineer. When the Work is slopped at the request of the Contractor and through no fault of the Contractor, the Contractor may only recover from the City payment for the cost of the Work actually performed, together with reasonable overhead and profit thereon up Ic that lime, but profit shall be recovered only to the extent that the Contractor can demonstrate that it would have had profit on the entire Contract if it had completed the Work. The Contractor may not receive profit or any other type of compensation for parts of the Work not performed, including, but not limited to, home office overhead or any other such costs. The Contractor may also recover the actual cost of physically closing down the jobsite, but no other costs of the Stop Work Order. The City may offset any claims it may have against the Contractor against the amounts due to the Contractor. In no event shall the Stop Work Order to the Contractor relieve in any way the obligations of the Contractors surety on its payment and performance bonds. When work is stopped by the City Engineer due to any fault of the Contractor, the Contractor may not recover any of the above costs or Items or any other costs, profits, expenses, or damages of any type. SECTION 34. TERMINATION OF CONTRACT FOR CAUSE 34.1 Termination for Cause: If the Contractor should file a petition for relief as a debtor under any applicable bankruptcy law or should be adjudged bankrupt, or if it should make a general assignment for the benefit of its creditors, or if a receiver should be appointed on account of its insolvency, the City may terminate the Contract. If the Contractor should refuse or should fail, except in cases for which extension of time is provided, to supply enough properly skilled workmen or proper material, or if it should fail to make prompt payment to subcontractors or suppliers of material or labor, or disregard laws, ordinances, or the written instructions of the City Engineer, or otherwise fails to comply with any of the terms or provisions of this Contract including, but not limited to, poor services, work or material, then the City may terminate this Contract. In no event shall termination for cause terminate the obligations of the Contractor's surety on its payment and performance bonds. 34.2 Possession of Work: Upon termination of the Contract, the City may lake possession of the premises and of all material, tools, and appliances (hereon and finish the Work by whatever method the City may deem expedient. In such case the Contractor shall not be entitled to receive any further payment of any type. If the expense of finishing the Work, including compensation for additional managerial and administrative services, shall exceed the unpaid balance of the GMP, the Contractor shall pay the difference to the City, together with any other cost or expenses of terminating the Contract and having it completed by others, together with any and all other damages the City may be entitled to from the Contractor. 34.3 Alternative Termination: If it should be judicially determined that the City improperly terminated this Contract for cause, then the termination shall be deemed to be a termination 52 for the convenience of the City, and the Contractor's rights and remedies shall be solely limited to those provided by Section 35 of these General Conditions, 34.4 Termination Rights: Termination of this Contract under Section 34 or Section 35 is without prejudice and in addition to any other rights or remedies of the City against the Contractor. Any actions by the City permitted herein shall not be deemed a waiver of any other right or remedy of the City under the Contract or under the law. The City may offset any claims it may have against the Contractor against the amounts due to the Contractor. The provisions of this Section shall survive termination of the Contract. SECTION 35. TERMINATION FOR CONVENIENCE OF CITY 35.1 Termination for Convenience: The City, at Its discretion, may terminate this Contract at any time without cause, in whole or in part, upon giving the Contractor written notice of such termination. Upon such termination, the Contractor shall immediately cease work and remove from the jobsite all of its labor forces, equipment, and material as the City elects not to purchase or to assume in the manner hereinafter provided. Upon such termination, the Contractor shall take such steps as City may require to assign to the City the Contractors interest in all subcontracts and purchase orders designated by the City. After all such steps have been taken to the City's satisfaction, the Contractor shall receive as full compensation for termination and assignment only the following: a. All amounts then otherwise due under the terms of this Contract for actual work performed and approved by the City; and b. Reasonable compensation for the actual cost of demobilization incurred by the Contractor as a direct result of such termination. The Contractor shall not be entitled to any compensation for lost profits or for any other type of contractual compensation or damage, other than those provided by the preceding sentence, including any on site or home office overhead. Upon payment of the foregoing, the City shall have no further liabilities or obligations to Contractor of any nature. The City may offset any claims it may have against the Contractor against the amounts due to the Contractor. Upon payment of the foregoing, City shall have no further obligations to Contractor of any nature. The Contractor agrees to waive all claims against the City for any consequential damages that may arise from or relate to the City's termination of the Contract including, but not limited lo, damages for loss of revenue, income, profit, business, reputation, or bonding capacity. 35.2 Termination Effect on Surety: In no event shall termination for the convenience of the City terminate the obligation of the Contractors surely an its payment and performance bonds. 35.3 Any actions by the City permitted herein shall not be deemed a waiver of any other right or remedy of the City under the Contract or under the law. The provisions of this Section shall survive termination of the Contract. SECTION 36. PROJECT SIGN(S) The Contractor shall supply, erect, and maintain Project Sign(s) in accordance with the City of Roanoke Standard Detail. The sign(s) shall be located as directed by the City Engineer. The Contractor shall not display any other signs or advertisements. SECTION 37. ASSIGNMENTS 53 The Contractor shall not assign or transfer this Contract in whole or in part except with the prior written consent of the City, which consent shall not be unreasonably withheld. If consent to assign is given, no such assignment shall in any way release or relieve the Contractor from any of the covenants or undertakings contained in this Contract and the Contractor shall remain liable for the Contract during the entire term thereof. SECTION 38. CONTRACTUAL DISPUTES 38.1 Contractual claims, whether for money or for other relief, including any disputes as to change orders or extra work, shall be submitted, in writing, no later than sixty (60) calendar days after final payment or payment designated by the City as a final payment; however, written notice of the Contractors intention to file such claim must be given at the time of the occurrence or beginning of the work upon which the claim is based. Such notice is a condition precedent to the assertion of any such claim by the Contractor. A written decision upon any such claims will be made by the City Manager or his /her designee (hereafter City Manager) within thirty (30) calendar days after submittal of the claim and any practically available additional supporting evidence required by the City Manager. The Contractor may not institute legal action poor to receipt of the City's decision on the claim unless the City Manager falls to render such decision within one hundred twenty (120) calendar days from submittal of its claim. The decision of the City Manager shall be final and conclusive unless the Contractor within six (6) months of the date of the final decision on a claim or from expiration of the 120 day time limit, whichever occurs first, initiates legal action as provided in Section 2.2 - 4364, of the Code of Virginia. Failure of the City to render a decision within said one hundred twenty (120) calendar days shall not result in the Contractor being awarded the relief claimed nor shall it result in any other relief or penalty. The sole result of the City's failure to render a decision within said one hundred twenty (120) calendar days shall be Contractors right to immediately institute legal action. No administrative appeals procedure pursuant to Section 2.2 - 4365, of the Code of Virginia, has been established for contractual claims under this Contract. 38.2 In the event that a dispute, claim or controversy between the City and the Contractor arises regarding the requirements of the Contract, the performance of the Work, payment due the Contractor, the terms of any Change Order, or otherwise, the Contractor shall not stop, suspend or delay the Work or any part of the Work to be performed under the Contract, or under any Change Order, or as ordered by the City. The Contractor shall continue in diligently prosecute the Work to completion, including work required in any Change Order or as directed by the City. 38.3 The remedies provided in these General Conditions, including costs, expenses, damages or extensions of time, shall be the Contractor's sole remedies for the acts, omissions or breaches of the City, which shall survive termination or breach of the Contract. SECTION 39. PATENTS The Contractor shall obtain all licenses necessary to use any invention, article, appliance, process or technique of whatever kind and shall pay all royalties and license fees. The Contractor shall hold (he City, VA811, and their officers, agents and employees, harmless against any loss or liability for or on account of the infringement of any patent rights in connection with any invention, process, technique, article or appliance manufactured or used in the performance of (he Contract, including its use by the City and VA811, unless such invention, process, technique, article or appliance is specifically named in the specifications or plans as acceptable for use in carrying out the Work. If, 54 before using any invention, process, technique, article or appliance specifically named in the specifications or plans as acceptable for use in carrying out the Work, the Contractor has or acquires information that the same is covered by letters of patent making it necessary to secure the permission of the patentee, or other, for the use of the same, he shall promptly advise the City. The City may direct that some other invention, process, technique, article or appliance be used. Should the Contractor have reason to believe that the invention, process, technique, article or appliance so specified is an infringement of a patent, and fail to inform the City, he shall be responsible for any loss or liability due to the infringement. SECTION 40. ASBESTOS 40.1 This subsection applies to projects involving existing buildings where asbestos abatement is not a part of the Work, when the scope of the project has been reviewed and a comprehensive survey conducted by an individual licensed by the Virginia Department of Professional and Occupational Regulation to conduct building inspections for asbestos containing materials in buildings, and where the City has attempted to remove or encapsulate all asbestos containing material that may become friable or damaged during this Project. Prior to commencement of Work, the results of the comprehensive survey or any other asbestos survey shall be made available to the Contractor, who shall be responsible for performing his Work so as not to disturb any remaining asbestos, encapsulated or otherwise, identified in such survey or surveys. If the Contractor discovers or inadvertently disturbs any material that he knows, should have known or has reason to believe, may contain asbestos that has not been previously identified, was overlooked during the removal, was deemed not to be friable or was encapsulated, the Contractor shall stop Work in the area containing or suspected to contain the asbestos, secure the area, and notify the City immediately by telephone or in person with written notice as soon as possible. The City will have the suspect material sampled. If the sample is positive and must be disturbed in the course of the Work, the City shall have the material repaired or removed and shall pay for the bulk sample analysis. Except as provided in §11 -4.1 of the Code of Virginia, if the material disturbed is not within the Contractor's authorized Work and /or Work area or under this Contract, the Contractor shall pay for all associated sampling and abatement costs. 40.2 If asbestos abatement is included as a part of the Work, the Contractor shall assure that the asbestos abatement work is accomplished by those duly licensed as described in Section 3 of these General Conditions and in accordance with the specific requirements of the Contract and all applicable laws and regulations. 40.3 If asbestos abatement is included as part of the Work, the licensed asbestos Subcontractor shall obtain the insurance required under Section 4 of these General Conditions. END OF GENERAL CONDITIONS. 55 DRAFT 4.9.2018 EXHIBIT D Detemninations made by VLJPS and the City 23 Va 01I.Com y.` 'P • CAltt March 19, 2018 Sherman M. Stovall Assistant City Manager for Operations 215 Church Avenue SW, Room 364 Roanoke, VA 24011 Mr. Stovall, 'Fhe VABI l Board meeting was held on Tue>day, March 13, 2018 in Springfield. Virginia. During the Board meeting the VA811 Finance and Audit Committee made the following motion: The VA811 Finance GAudd Committee elide a 'nation to begin consinictiou of the joint 8111911 building rdilizin8 f ie fivanciny seronria K3 from the Iran mmlysis as a nwans, f finance." This motion was approved unanimously by the VA411 Board of Directors. Scenario 43 is to utilize approximately $4,000,000 from the current investment account and finance a pproximately $2,000,000. VARtI is petitioned to move forward with our paMership with Iho joint E911 / RI I public safety building. Sincerely i Rick Pevarskl President & CEO, VA811 City's Determination to be added after the City Council Meeting on Monday April 16, 2018 DRAFT 4.9.2018 EXHIBIT E The general location and boundaries of the VA811 Unit, the E911 Unit, the common elements and limited common elements 24 KNOW ALL MEN BY THESE PRESENTS TO WIT: THAT CRY OF ROANOKE, VIRGINIA 15 THE FEE SIMPLE OWNER OF THE PARCEL OF LAND SHOWN HEREON BOUNDED BY CORNERS 1 THROUGH 9 TO 27 TO 28 TO 1. INCLUSIVE, AND BEING A PORTION OF THE LAND CONVEYED TO SAID OWNER BY INSTRUMENT RECORDED IN THE CLERK'S OFFICE OF THE CIRCUIT COURT OF THE Cltt OF ROANOKE. VIRGINIA BY DEED BOOK 1493, PAGE 830, THAT CITY OF ROANOKE. VIRGINN IS THE FEE SIMPLE OWNER OF THE PARCEL OF LAND SHOWN HEREON BOUNDED BY CORNERS 5 TO 10 THROUGH 26 TO 9 THROUGH 5, INCLUSIVE, AND BEING A PORTION OF THE LPND CONVEYED TO SAID OWNER BY INSTRUMENT RECORDED IN THE CLERK'S OFFICE OF THE CIRCUIT COURT OF THE CITY OF ROANOKE, VIRGINIA BY DEED BOOK 1493. PACE 830. THE SAID OWNER HEREBY CERTIFIES THAT THE PLAT OF THE LAND AS SHOWN HEREON. AS REQUIRED BY SECTION 152 -2240 THROUGH 15.2 -2229 OF THE CODE OF VIRGINIA (1950) AS MENDED. AND THE SUBDIVISION ORDINANCE OF THE CITY OF ROANOKE, VIRGINIA; IS ENTIRELY WITH ITS OWN FREE WILL AND CONSENT AND IN ACCORDANCE WITH THE DESIRES OF THE OWNERS OR PROPRIETORS OF THE LAND AND THE TRUSTEES IN MY DEED OF TRUST, OR OTHER INSTRUMENT IMPOSING A LIEN UPON SUCH LAND. IF ANY THERE BE, IN WITNESS WHEREON ARE HEREBY PLACED THE FOLLOWING SIGNATURES AND SEALS CITY OF ROANOKE, VIRGINIA PRINT NAME STATE OF VIRGINIA OF I. A NOTARY PUBLIC IN AND FOR THE AFORESAID STATE 00 HEREBY CERLEY THAT . WHOSE NAME IS SIGNED TO THE FOREGOING INSTRUMENT, HAS PERSONALLY APPEARED BEFORE ME AND ACKNOWLEDGED THE SAME ON THIS DAY OF 20_, REG. # MY COMMISSION EXPIRES LINE TABLE %N&V 68 - /81 L45LYL DEARLY N L1 S460008 11959 R2 N260041 18790 LJ S11'5919 59.96 L( 1112131 21552 LS 5504055 f9. J5 [6 NI91905 115.19 Ll N77'453M 4796 L8 74l J5 5516 L9 N66'O3JS 11251 LIO TO 19)5 9219 L11 N56'2605 149.27 LI1 S1111(8 184.91 L1J N69'Jlll 120.49 LI( SJT06J2 5609 LIS NI12734 24299 L)6 N21J204 150.61 Liz MESS 50 44 J1 LIB A65'3607 /16 AB 719 N4B' I SJJB (20 NJS'065J 5701 L21 N5SOJ 02 291.10. APPROVED'. mR dog ti$E oW / NOTES: 1. OWNER OF RECORD' CITY OF ROANOKE, VIRGINIA DEED BOOK 1493. PAGE 830 MAP BOOK I, PAGES 2166 -2167 T.M. #7280104 - TRACT 613-1A 2, OWNER OF RECORD: CITY OF ROANOKE, VIRGINIA DEED BOCK 1493, PAGE 830 MAP BOOK 1, PAGES 2166 -2167 T.M. #2320102 - TRACT 68-1B 3. THIS PLAT WAS PREPARED WITHOUT THE BENEFIT OF A CURRENT TILE REPORT AND THERE MAY EXIST ENCUMBRANCES WHICH AFFECT THE PROPERTY NOT SHOWN HEREON. 4. PROPERTY MAY CONTAIN UNDERGROUND UTILITY SERACE LINES. 5, IMPROVEMENTS NOT SHOWN HEREON AS THIS PLAT IS FROM RECORDS. THE RECORDATION OF THIS PLAT OF SUBDIVISION DOES NOT CONSTITUTE A CONVEYNCE OF LAND, ANY LOTS. PARCEL OR TRACT OF LAND SHOWN HEREON THAT IS INTENDED FOR SALE AND /OR CONVEYANCE MUST BE CONVEYED BY DEED AND SAID DEED MUST BE RECORDED IN THE OFFICE OF THE CLERK OF THE CIRCUIT COURT OF THE CITY OF ROMOKE. LEGEND 0 - PLATTED CORNER FROM RECORDS O - IRON PIN SET NIF %N&V 68 - /81 L45LYL DEARLY 9R /45A FT, esr IXFT 12GI610!" /AaE9r ww/m TN ."Ll -01 -1900 SEC12W 2 - GBEI[ DAY CO PR l FC 12 (FINE 0) ROTS [OT6 [OT 1 (WB (A9LOT 10 (OT NB9'9111 5J601Y02 /H/)]p' /56'25 J9 [18 (S3 '131/ ICJ 13J00I'.// (X /RIMY.'ED PU[ ��� '� N2p1 N6 1, FL 1114 RAM RE IL&8 OQQN 1®WIII Aw wx RX9T Lr Tx 17 MIN � R 6nalbes 8 I0 A IN.40L1]I Jl to F6 ]0 9 /O 8 N/! 'Al R 61 OB 968, fG IP Fu 1ano4- 9 / -36a9 LOT IJ ReF 0 (25 Al 16) _ r,N IN THE CLERK'S OFALE OF THE CIRCUIT COURT OF CITY OF ROANOKE, VIRGINIA, THIS MAP WITH THE CERTIFICATE OF ACKNOWLEDGMENT THERETO ANNEXED IS ADMITTED TO RECORD AT O'CLOCK .M. ON THIS DAY OF 20_. IN INSTRUMENT # TESTE: BRENDA 5 HAMILTON CLERK DEPUTY CLERK 200' D' 100' 20'J' 400' 600 SCALE: 1° =200' %N&V 68 - /81 LNe of (8 A 9) 9R /45A FT, esr 26370 ACRa ARAM fifll /AaE9r ww/m AyylY3 _ LAPP btl -1B 149'1504 Y L18(BmP97 / � Y `� Lit / MJR) NB9'9111 NC H� /56'25 J9 IN THE CLERK'S OFALE OF THE CIRCUIT COURT OF CITY OF ROANOKE, VIRGINIA, THIS MAP WITH THE CERTIFICATE OF ACKNOWLEDGMENT THERETO ANNEXED IS ADMITTED TO RECORD AT O'CLOCK .M. ON THIS DAY OF 20_. IN INSTRUMENT # TESTE: BRENDA 5 HAMILTON CLERK DEPUTY CLERK 200' D' 100' 20'J' 400' 600 SCALE: 1° =200' E05W 40 RIE S AC.TRS 697 A ENGR1 9R /45A FT, esr L u8 LPG 1324 AyylY3 Cl 4009 95 BT_ 149'1504 Y L18(BmP97 / � Y `� Lit / MJR) NB9'9111 NC H� /56'25 J9 [18 (S3 '131/ ICJ 13J00I'.// at,' ''N41fp 1V n /.zs,9 IANFi11. ��� '� N2p1 u9 (31 MJ1) RR, (G, m sr) Llo, 711 1 19266 / 2 Wz`44'OR 11J24' RiypN 2T'T / h K --s-195-999 N20'4J02 filJl' 69D$T 4p 95 12 2 3 .16 IN THE CLERK'S OFALE OF THE CIRCUIT COURT OF CITY OF ROANOKE, VIRGINIA, THIS MAP WITH THE CERTIFICATE OF ACKNOWLEDGMENT THERETO ANNEXED IS ADMITTED TO RECORD AT O'CLOCK .M. ON THIS DAY OF 20_. IN INSTRUMENT # TESTE: BRENDA 5 HAMILTON CLERK DEPUTY CLERK 200' D' 100' 20'J' 400' 600 SCALE: 1° =200' THESE PROPERTIES DO NOT LIE WITHIN THE LIMITS OF A 100 YEAR FLOOD BOUNDARY AS DESIGNATED BY CURRENT MINA MAPS. PROPERTY IS IN ZONE X UNSHADED SEE MAP 151161CO159C (REVISED DATE: SEPTEMBER 28. 3007) COORDINATE LIST (ASSUMED) FA A ENGR1 1 L L A C A Cl 4009 95 BT_ 149'1504 Y UAO 65'4129 1563 L2 60.00 >6J 81 NB9'9111 1]] <1' /56'25 J9 297.55 ICJ 13J00I'.// N(TM� )3116 6PJJOl' 19266 14 1)6999'1412.15 2 Wz`44'OR 11J24' .D6 2T'T 15 VO500'fiL6T' --s-195-999 N20'4J02 filJl' 69D$T 4p 95 THESE PROPERTIES DO NOT LIE WITHIN THE LIMITS OF A 100 YEAR FLOOD BOUNDARY AS DESIGNATED BY CURRENT MINA MAPS. PROPERTY IS IN ZONE X UNSHADED SEE MAP 151161CO159C (REVISED DATE: SEPTEMBER 28. 3007) COORDINATE LIST (ASSUMED) Point Nofthing Easlin 1 5221.838 A565.953 2 1 6 4479.924 mr /Prob1120( 5169.765 4X9549 4 51]0.198 FINE CO 5 5209.228 41 .2 ] 5664.822 39T91 15 2 .1 916,256 58 403 . 40 1 --s-195-999 41 ,819 11 415.031 3844. 03 12 2 3 .16 41.9 I 14 5756,296 3605231 15 5 4511 72 16 5800 4.699 I ,222 2 2 ) 18 M64 51 5964.514 332].149 1 924.191 1 8 2 5883.]3] 009.88] 20.056 2.404 2 6962.01 2]36.353 838724 1 ----706 70-7 ]445324 94092 25 W89 377 ,942 26 5 65521 . 2 27 5628.994 42 0.682 5584F263 484723 29 SGa.a 3730.358 30 59 1 7 3]62.)38 32 5968,544 J90B 4 .224 39 1 Or, ee real VICINITY MAP NO SCALE QB ! � l Exrs2vic w's9FE L3N7 `I/ a 6 C6. L Y8 ; N,S 2166 -Ilbl 6 .! D[F 'LaG �i INRT /IlLW6JIJ < /S`� 6 �' TV 1126010/ e Dren: sca F CHK JRM Balzer I HEREBY CERTIFY THAT THIS 'I PLAT IS FROM RECORDS AND IS CORRECT TO THE BEST OF MY KNOWLEDGE AND BELIEF RESUBDIVISICN PLAT FROM RECORDS FOR CITY OF ROANOKE, VIRGINIA BEING THE RESUBDIVISON OF TRACTS 6B-IA AND 68-1B AS SHOWN ON "PLAT SHOWING THE 9JBOINSION OF TRACT 6B -1, (33.803 ACRES) ROANOKE CENTRE FOR INDUSTRY AND TECHNOLOGY MAP BOOK 1, PAGE 1324 BEING THE PROPERTY OF CITY OF ROANUKE.Il VIRGINIA DEED BOOK 1493, PAGE 830 - RECORDED IN MAP BOOK 1, PAGES 2166 -2167 CREATING HEREON TRACT 6B -IA1 (7.483 ACRES) k TRACT 66 -101 (26.320 ACRES) SITUATE ALONG BLUE HILLS CIRCLE, N.E. CITY OF ROANOKE, VRGINIA DATED MARCH 15, 2018 JOB #0317004OA0 -RESUB SCALE: 1� =200' TEL N/F N/E Clry OF gOf�6 NRCMN AM.4N ✓ BURFCCL JER -PMT PFCPEq]lfS /AC MB 1, PG 1216 MD, 126bLW663 mr /Prob1120( EXRCER 6G /IG. ...... 6200 ZY "TO 01 -15X /y, 11289102 FINE CO AO, C0 ! � l Exrs2vic w's9FE L3N7 `I/ a 6 C6. L Y8 ; N,S 2166 -Ilbl 6 .! D[F 'LaG �i INRT /IlLW6JIJ < /S`� 6 �' TV 1126010/ e Dren: sca F CHK JRM Balzer I HEREBY CERTIFY THAT THIS 'I PLAT IS FROM RECORDS AND IS CORRECT TO THE BEST OF MY KNOWLEDGE AND BELIEF RESUBDIVISICN PLAT FROM RECORDS FOR CITY OF ROANOKE, VIRGINIA BEING THE RESUBDIVISON OF TRACTS 6B-IA AND 68-1B AS SHOWN ON "PLAT SHOWING THE 9JBOINSION OF TRACT 6B -1, (33.803 ACRES) ROANOKE CENTRE FOR INDUSTRY AND TECHNOLOGY MAP BOOK 1, PAGE 1324 BEING THE PROPERTY OF CITY OF ROANUKE.Il VIRGINIA DEED BOOK 1493, PAGE 830 - RECORDED IN MAP BOOK 1, PAGES 2166 -2167 CREATING HEREON TRACT 6B -IA1 (7.483 ACRES) k TRACT 66 -101 (26.320 ACRES) SITUATE ALONG BLUE HILLS CIRCLE, N.E. CITY OF ROANOKE, VRGINIA DATED MARCH 15, 2018 JOB #0317004OA0 -RESUB SCALE: 1� =200' TEL -- A- xs/ '5NUa 11 A11 96616 ,u 5. -. M,5768_MI 7.183 ACRE J LICW20'FUE 2 , Kh 1 / 1114 � CI a9. Am REAMS - rnvrx ire --{�. . .AY ! � l Exrs2vic w's9FE L3N7 `I/ a 6 C6. L Y8 ; N,S 2166 -Ilbl 6 .! D[F 'LaG �i INRT /IlLW6JIJ < /S`� 6 �' TV 1126010/ e Dren: sca F CHK JRM Balzer I HEREBY CERTIFY THAT THIS 'I PLAT IS FROM RECORDS AND IS CORRECT TO THE BEST OF MY KNOWLEDGE AND BELIEF RESUBDIVISICN PLAT FROM RECORDS FOR CITY OF ROANOKE, VIRGINIA BEING THE RESUBDIVISON OF TRACTS 6B-IA AND 68-1B AS SHOWN ON "PLAT SHOWING THE 9JBOINSION OF TRACT 6B -1, (33.803 ACRES) ROANOKE CENTRE FOR INDUSTRY AND TECHNOLOGY MAP BOOK 1, PAGE 1324 BEING THE PROPERTY OF CITY OF ROANUKE.Il VIRGINIA DEED BOOK 1493, PAGE 830 - RECORDED IN MAP BOOK 1, PAGES 2166 -2167 CREATING HEREON TRACT 6B -IA1 (7.483 ACRES) k TRACT 66 -101 (26.320 ACRES) SITUATE ALONG BLUE HILLS CIRCLE, N.E. CITY OF ROANOKE, VRGINIA DATED MARCH 15, 2018 JOB #0317004OA0 -RESUB SCALE: 1� =200' TEL NOTES: 1. OWNER OF RECORD: CITY OF ROANOKE. VIRGINIA DEED BOOK 1493, PACE 830 MAP BOOK 1, PAGES 2166 -2161 T.M. #7280104 - TRACT 6E -IA 2. OWNER OF RECORD: CITY OF ROANOKE. VIRGINIA DEED BOOK 1493. PACE 830 MAP BOOK I, PAGES 2166 -2167 T.M. #7320102 - TRACT 68-IB 3. THIS EXHIBIT WAS PREPARED WITHOUT THE BENEFIT OF A CURRENT TITLE REPORT AND THERE MAY EXIST ENCUMBRANCES WHICH AFFECT THE PROPERTY NOT SHOWN HEREON. 4, PROPERTY MAY CONTAIN UNDERGROUND UTILITY SERVICE LINES. 5, IMPROVEMENTS NOT SHOWN HEREON ARE PROPOSED. 6. THESE PROPERTIES DO NOT LIE WITHIN THE LIMITS OF A 100 YEAR FLOOD BOUNDARY AS DESIGNATED BY CURRENT PEMA MAPS. PROPERTY IS IN ZONE X UNSHADED. SEE MAP #51161CO159G (REVISED DATE- SEPTEMBER 28, 2007) 60 0' 30 60' 120 240' SC4f /' - 60' N/! HlaT R &TS4R0 09 ARE. k 111 IM 103904 -01 -MO9 WE CO N/F WE J BI/RBF(L INS' Ix"am5 I4 103964-01-620 W. CO -LL LINU O - PROPOSED CORNER FROM RECORDS . VUPS VA611 . COMMON ELEMENTS . E -911 SERVICES E -911 SERVICES LIMITED COMMON ELEMENT COMMON ELEMENT (EXTERIOR TO BLDG.) e IPIRR _... _. _. v; AMUR 6B -IS ASS (M 1)110 ACMS 1 4.B 1, ASS 1166 -11611 R 1, 2 216 Y.B 1, PCS 1/66 -1161] IM /J1GDRX IM (1310101 S CRY OF. CITY Or ROWO.YC PC 83 OR li9J, K. &M OR 1191, P4 BJO 45.8] N4 4'T504 E -911 SERVICES o FMwOiN LIMITED COMMON ELEMENT Tai O S? /,'TALI CT 6U -lAl 21.321.35E Z48J ACRES N89Y] "OR I I 156'15 J9 Y R � I C3 13001 348 ]] N4T44OB p °O 000 °< M�jIa1Y 0 0 isOSr C4 JO500 p \� 8L]] 6'335] 4095 TRACT 68 -191 26.320 ACRES y BOO MAP ROOK 1. PAGE IJ24 132 JCR-PM POOREEIICS AT B BEING THE PROPERTY OF CITY C ROANOKE VIRGINIA _E MP /100 "m � EATOAO 10' RUE NttLs 6IX! C0.9P ® Ofl 904, vG 37J (R.YE CO) // INN /7C)", 03/23 I \ CURVE A L CURVE G4 AUS ARC LENGTH 1 CH BEARING CHORD IENG H O A L N! LI 40.00 45.8] N4 4'T504 4340 65'41 T9 1583 CT 60.00" !6311 N89Y] "OR 11]41' 156'15 J9 18]55' C3 13001 348 ]] N4T44OB 3JZ ]8 60110] I9T 66 C4 JO500 8L1T N10'47OT 8L]] 6'335] 4095 cl SEE BUILDING DETAIL mw MRS U, / nl l` V dVSI /7WI01T > V SC P1bom1 '" vOOQ v l 1.d BUILDINGOETAIL UTILITYROOMGAND � CONDOMINIUM GENERATORYARD ENTRY COMMON ELEMENT VUPS VAAL I GARAGE 1.98260 BE AND STORAGE 0 0p o0 1.401.iI BE SH NG Sn OWING PROPOSED NEW Ill SERVICES WPB VAST AMIN SITE AND GALL B-1 TRACTS 6B -1 AI ANO 6B -1B1 SUITE DOOR 4.938.51 BE ].883.91 9E % s \ 891.235E 10,3 94 05 BE cl SEE BUILDING DETAIL mw MRS U, / nl l` V dVSI /7WI01T > V SC P1bom1 '" vOOQ v l 1.d COVERED FRONT � CONDOMINIUM p ENTRY EXHIBIT PLAT FROM RECORDS FOR 000 CORSI8F CITY ROANOKE, VIRGINIA 0 0p o0 SERVER ROOM AND SH NG Sn OWING PROPOSED NEW p p O EXTERIOR PATIO COMMON ELEMENT B-1 TRACTS 6B -1 AI ANO 6B -1B1 VUPS VA811 CALL D FLOOR 891.235E 10,3 94 05 BE PROPOSED BUILDING PRO -RATA PLAN 3.370,10 BE PROPOSED COMMON AND LIMITED COMMON AREAS ROANOKE CENTRE IN INDUSTRY TECHNOLOGY N/F y BOO MAP ROOK 1. PAGE IJ24 132 JCR-PM POOREEIICS AT B BEING THE PROPERTY OF CITY C ROANOKE VIRGINIA _E MP /100 "m � EATOAO 10' RUE IA f0J9.10 -01 -1569 ® MR 1, R: 1214 R'E' ca 03/23 I \ MAP BOOK 1, PAGES 2166-2167 E J HN - ' SJT48'37£ 45814' —� CITY OF VIRGINIA RLNNO.YC COUNTY OAffO MARCH MARCH 2 201B F cm' olRwrv9xE JOB #031700 O- EXHIBIT ` - -- N/! 1- 1 "-60 SCALE: 1 " =60 i p/Y 0! , N,{YY/CI I F1, s KG G Y6 1 P 1116 8I FAFC(( 6C ORN: SCO TEL: 540-172 -9580 FAA 840- 772 -UR $1 I.M jJT60101 cHK: ARM PLANNERS AR— NG ENGINEERS SURVEYORS E -Btt SERVICES# Y BOlzer k Aeaocioiee. Inc. 1208 Corpomle Cv<le Roanoke V. 24018 1208 VUPS VA8115ERVICES COMMON ELEMENT 2]2,802.1 SF }e^ cl SEE BUILDING DETAIL mw MRS U, / nl l` V dVSI /7WI01T > V SC P1bom1 '" vOOQ v l 1.d � CONDOMINIUM p EXHIBIT PLAT FROM RECORDS FOR 000 1 CITY ROANOKE, VIRGINIA 0 0p o0 SH NG Sn OWING PROPOSED NEW p p O B-1 TRACTS 6B -1 AI ANO 6B -1B1 D PROPOSED BUILDING PRO -RATA PLAN PROPOSED COMMON AND LIMITED COMMON AREAS ROANOKE CENTRE IN INDUSTRY TECHNOLOGY BOO MAP ROOK 1. PAGE IJ24 132 PATH OF BEING THE PROPERTY OF CITY C ROANOKE VIRGINIA _E � A DEED BOOK 1493. PAGE 830" ® RECORDED 1N 03/23 I \ MAP BOOK 1, PAGES 2166-2167 E J HN - SITUATE ALONG BLUE HILLS CIRCLE N.E. CLvI 0 002 D CITY OF VIRGINIA OAffO MARCH MARCH 2 201B F N/! JOB #031700 O- EXHIBIT ` 0(OE HIX(5((C 1 "-60 SCALE: 1 " =60 INS' /110006111 s IM /)180101 ORN: SCO TEL: 540-172 -9580 FAA 840- 772 -UR cHK: ARM PLANNERS AR— NG ENGINEERS SURVEYORS BOlzer k Aeaocioiee. Inc. 1208 Corpomle Cv<le Roanoke V. 24018 1208 J DRAFT 4.9.2018 EXHIBIT F Design Build Contractor's Budget 25 fbm nilbnl n�lf 9115 \'AX111 n zs In eoi zIx . r.e ew.u.....eo.ay.... un.. xn mm ne e.ea.3 rm 3 in, nr 5 r.n un 3 un nrm ® S n Inv ¢[mm 3 Rru 3 3 S enw 3 n3•�rv. c¢me ue� r uu.�eum...Vxrvc:xnr ern ym,'r•¢emnuel 1 __ -.. ,. 5 •n. 3 . S rl The Roanoke Times Roanoke, Virginia Affidavit of Publication s-leaMAN M STOVALL, ASSISTANT CITY MGR C10. R. Brian Tovmsen0 Aaa, firl City Manage, for Cori ty DevelopnIenl 215 CHURCH AVE SW ROOM 364 ROANDKE. VA 24011 Account Number 6017304 Date April Or 2018 Dale Calagary Description Ad Size To1el Coal raft Sf2018 Legal Notices N(11 'ICE OF PUBLIC HEARING The Clay of Roanoke (City) a 1 x 127 L 649.12 Publisher of the Roanoke Times I, (the undersigned) an authorized representative of the Roanoke Times, a daily newspaper published in Roanoke, in the State of Virginia, do certify that the annexed notice NOTICE OF PUBLIC HEARING was published in said newspapers on the following dates: 0410912018 The First insertion being given... 0410912018 Newspaper reference: 0000731714 Il in presentative L i Sworn to and subscribed before me this Monday, April 9, 2018 I' NdJfary Pu6pc rr rulnrrrr. State of Virginia l� .•��P MCENNFr' City /County of Roanoke ,�P: •'"ol f,PY My Commission expires ti r FUSL{C '� L FEB 4332664 '. FiYGOMKiI$SIOG �` THIS IS NOT A BILL. PLEASE PAY FROM INVOICE. THANK NOTICE OF PUBLIC HEARING vnr ml ,.slain Coe. nl 11 11 the City of encrust, Wal hard rirg an the above mailer at ynn.."a to be "IF e l 115 2018, he "IF at ac the matter may In the Council Chamber•Ich VAet 1, pmPOSeil revhdivison Plal, aotl me nroppsetl nNmanc., will be aiabe at me ity Clerk's oince, Rrin 455. Not C. Taylor Munieiaal Bullding, 2t5 Church Avenue SW., gpanokn, starIll. 24011, oh and Cap Monday, April 9. 2018 Far further Irformaoon on tof malt.. yea may 11111[1 the CC¢. of tire Cy Clerk i the Proped description, (i) amend the All parties And Interested entries nay prove,, for resonance the Joint ACpact an the Abwe dale a,allmeto Comm,mc.ions Center be heard on the above matter . apndomlolam, and (,if) Provide for tire sail of d I, aaomioiam un it in ale Jnml If an or, with A A111idty aa[ emadalions Communications Center to VA011 end needs aeon Icr this an,,t.hd Apartment, The Iran 9 hearin 9,, m City Clerk's tleseripllon 'a" be am ("a) 853 1511 I' O,,I of (s4e) 0201:. 13'.00 It nreaubdiviswn of the Pmperiy and the Prto And rrin en TAUrsday. April lP, ID18 . , April adiacenl parcel, which r zu'G In An in proact, of one total area,¢ of tie GrvEM1 anchor mV hand this 911 on, or Property film Approdmetely 6Fred Ald Ac C. act es to ap pro 1 malely 7483 acres of and. The rtnothi slop was pro it In Sector, 11 all, Mynol@ ardor lP m e pounds to the Cis Pick Pron far sio ervalerpu,pos.s- 730:51 VA81 arc the City dens, 11 prni F; n instruction of the Joint Pmjecl. The C @/ shall ,lamp the Facility and the Property to the Virginia Paraommmrt Act fixbons 55 -09par coal feet of SPaa ('oil part Ia9Aher wiiM1 Irearman elements. limited terms, elements, and such other ondd ans, re,triclions, and ."Fra: .y NOTICE OF PUBLIC HEARING The City of Roanoke (City) adopted Ordinance No. 40828 - 051517 to authorize an agreement (Original Agreement) regarding the development of a proposed joint communications center (Facility) for (i) an 811 Center to be owned and operated by Virginia Utility Protection Service, Inc. (VA811); and (ii) an E -911 Center to be owned and operated by the City (Joint Project). The City has entered into a contract for the design/build of the proposed Facility to be located on certain real property, presently owned by the City, situated at 0 Blue Hills Circle, N.E., Roanoke, Virginia 24012, bearing Official Tax Map No. 7280104, containing approximately 6.5928 acres (Property). the City and VA811 propose to enter into a First Amended and Restated Agreement to amend certain terms of the Original Agreement to (i) amend the Property description, (ii) amend the process for establishing the Joint Communications Center as a condominium, and (iii) provide for the sale of a condominium unit in the Joint Communications Center to VA811 (Restated Agreement). The Property description will be amended to account for a resubdivision of the Property and adjacent parcel, which results in an increase of the total acreage of the Property from approximately 6.5928 acres to approximately 7.483 acres of land. The resubdivision was required in order to maximize benefits to the Property for stormwater purposes. VA811 and the City desire to proceed with construction of the Joint Project. The City shall submit the Facility and the Property to the Virginia Condominium Act (Sections 55 -79.39 through 55- 79.103, Code of Virginia (1950), as amended) as a condominium consisting of two (2) units, one unit for the VA811 operations, consisting of approximately 9,713.35 square feet of space, more or less (VA811 Unit) and the other unit for the E -911 operations, consisting of approximately 7,863.97 square feet of space (E -911 Unit), together with common elements, limited common elements, and such other conditions, restrictions, and agreements acceptable to the City and VA811. Upon completion of the structure, VA811 shall purchase the VA811 Unit, upon terms and conditions set forth in the Restated Agreement, which terms include a purchase price equal to the sum of (i) $148,500; and (ii) assumption of VA811's pro -rata share of all costs associated with the design and construction of the Facility. VA811 will be solely responsible for the cost of all up -fit and finish work within the VA811 Unit and the City will be solely responsible for all up -fit and finish work within the E-911 Unit. Pursuant to the requirements of Sections 15.2 - 1800(8) and 15.2 -1813, Code of Virginia (1950), as amended, notice is hereby given that the City Council of the City of Roanoke will hold a public hearing on the above matter at its regular meeting to be held on Monday, April 16, 2018, commencing at 7:00 p.m., or as soon as the matter may be heard, in the Council Chamber, 4 °i Floor, Room 450, Noel C. Taylor Municipal Building, 215 Church Avenue, S.W., Roanoke, Virginia, 24011. Copies of the proposed First Amended and Restated Agreement regarding the Design, Development, Construction and Operation of a Joint Communications Center by and between the City and VA811, proposed resubdivision plat, and the proposed ordinance, will be PH for J.1M Communiw[ions CeMe1 -0ty & VA811 (4.16.18) available at the City Clerk's Office, Room 456, Noel C. Taylor Municipal Building, 215 Church Avenue, S.W., Roanoke, Virginia, 24011, on and after Monday, April 9, 2018. For further information on the matter, you may contact the Office of the City Clerk at (540)853 -2541. All parties and interested entities may appear on the above date and time to be heard on the above matter. If you are a person with a disability who needs accommodations for this hearing, please contact the City Clerk's Office at (540) 853 -2541, before 12:00 noon on Thursday, April 12, 2018. GIVEN under my hand this 9th day of April, 2018. Stephanie M. Moon Reynolds City Clerk. Note to Publisher: Please publish in full once in the Legal Section of the Roanoke Times, on April 9, 2018. Please send affidavit of publication to: Stephanie M. Moon Reynolds, City Clerk 4 °i Floor, Noel C. Taylor Municipal Building 215 Church Avenue, S.W., Room 456 Roanoke, Virginia, 24011 Please send bill to: Sherman Stovall, Assistant City Manager for Operations 3`s Floor, Noel C. Taylor Municipal Building 215 Church Avenue, S.W., Room 364 Roanoke, Virginia 24011 Phone: (540) 853 -2333 PH N.h,e -A,,.m t forloint COmmuniiations C,,,C,y & VAR11 (4 .16.18) 4ud-a 61kad Roanoke City Parks and Recreation Advisory Board Peter Eshelman, Chairman 215 Church Avenue SW Roanoke, Virginia 24011 Han. Sherman P. Lea, Sr., Mayor and Roanoke City Council Members 215 Church Avenue SW Roanoke, Virginia 24011 September 15, 2017 Dear Mayor Lea and Members of Roanoke City Council, In our role as advocate for community parks and recreation related issues, the Roanoke City Parks and Recreation Advisory Board (PRAB) is empowered to make recommendations on behalf of the community concerning how our parks and recreation resources are managed. Because of that mandate, PRAB members were disappointed that they were not asked to provide official input regarding the fate of the Fishburn Park caretaker's cottage, and other park properties whose future is in question. It is our understanding that one of our primary purposes is to facilitate communication between citizens and elected officials by making recommendations about issues such as a proposed sale of city park lands and buildings. At the September 14, 2017 meeting of the Roanoke City Parks and Recreation Advisory Board, the members present voted unanimously to request from City Council the opportunity to consult and advise on future parks and recreation related issues, especially proposed sales of park property. Additionally, should City Council choose to again defer action on the sale of the Fishburn Park caretaker's cottage, PRAB would welcome the chance to provide input on the proposed sale. A special meeting of PRAB could be called with a week's notice to give us the opportunity to review proposals and make a recommendation. The PRAB recognizes that we are an advisory board only and that we are not empowered to make final decisions. Nevertheless, members agree to serve under the belief that they will have the opportunity to express opinions and make formal recommendations. While recent history has shown PRAB to be relatively insignificant, current membership has expressed a desire to be more proactively involved with projects and decisions that directly impact parks and recreation in the city. We are working with Director Michael Clark to develop ways to make PRAB more relevant and we would welcome City Council's guidance and advice on how PRAB can be a more useful and effective partner as future parks and recreation related issues arise. Sincerely, Peter Eshelman, Chairman Joshua T. Dietz, Vice - Chairman Roanoke City Parks and Recreation Roanoke City Parks and Recreation Advisory Board Advisory Board JTD /pe cc. Anita Price, Vice Mayor Michelle Dykstra, Council Member David Trinkle, Council Member Ray Ferris, Council Member John Garland, Council Member Bill Bestpitch, Council Member Michael Clark, Director, Roanoke City Parks and Recreation Department ROANOKE CITY COUNCIL RECESSED SESSION APRIL 26, 2018 7:00 P.M. CITY COUNCIL CHAMBER AGENDA Call to Order -- Roll Call. All Present 2. Invocation. Mayor Sherman P. Lea, Sr. 3. The Pledge of Allegiance to the Flag of the United States of America will be led by Mayor Lea. 4. Welcome and Statement of Purpose. Mayor Lea. NOTICE Tonight's public hearings will not be televised live, nor will there be closed captioning for the hearing impaired. However, the public hearings will be video streamed through Facebook Live at facebook.com / /RoanokeVa. Lastly, the public hearings will be replayed on RVTV Channel on Sunday, April 29 at 4:00 p.m., and Monday, April 30 at 4:00 p.m. 5. Public Hearings: a. Recommended Fiscal Year 2018 - 2019 City of Roanoke Budget. b. Proposed Real Estate Tax Rate Increase due to Increased Assessments. C. Recommended 2018 - 2019 HUD Funds Budget and 2018 -2019 Annual Update to the 5 -Year Consolidated Plan. 6. Adjourn: 7:55 p.m. City Council will adopt the Recommended FY2018 -2019 Budget, along with other related measures during a Recessed Meeting on Monday, May 14 at 2:00 p.m., in the City Council Chamber. 1 The Roanoke Times Roanoke, Virginia Affidavit of Publication CITY OF ROANOKE -DEPT Or I RANCE Attn TESTA VANBUREN STEPHANIE M MOON REYNOLDS. CITY CLERK NOLLC TAYLOR MUNICIPAL BUILDING. ROOM 456 215 CHURCH AVE SW ROANOKE. VA 24011 Account Number 6012830 Date April 18, 2018 Date category Deiiinlr ion Ad Size Total Cost 04/24/2018 Any - Virginia ROA RECOMMENDED 2018 -2919 BUDGET 3x 15001N 1,91]20 Publisher of the Roanoke Times I, (the undersigned) an authorized representative of the Roanoke Times, a daily newspaper published in Roanoke, in the State of Virginia, do certify that the annexed notice RECOMMENDED 2018 -2919 BUD was published in said newspapers on the following dates: 04!18/2018 The First insertion being given... 04/1812018 Newspaper reference: 000073762 5U', I Billing Representative Sworn to and subscribed before me this Wednesday, April 18, 2018 / VNotary F ubl c Virginia M�ENy ' State of � P 'NOTAPV F '. City /County of Roanoke j� pUoL1G'9 My Commission expire REG.»�2'64. MY CnMACI5GCD : THIS IS NOT A BILL. PLEASE PAY FROM INVOICE. THANK YOU '18 P I I 1 , I :I Wr ...) not REVENUE ESTIMATES General Fund. General Pr-, i, 11 d 836 36" Gthe ocnl tr.i..., :q 188,008 Fd u.;e.nr.: 9'J2 IlD: :11 r d 025 (fil R " r, 1880100 1 1 r R .08328- ,e.er -. •_. /J8100 Nor -0epervnenlel , a- I 699 OOJ Peu,nnor, Funds: cJls ',,012 1 cif.. Ir I v Clvlc f a_ ryes' a -d n 1 Ian. l r r' e$ . r,IJ e r o- t�. r 1 w,a $'17z1,ea:. Schnul Fund. 1 d �I m, 1 -.e.. G '11vn -wu1 ra :: rnr C CL Pr 1tl.r ] _.CIIkeNan- 0 1 v�,li c ,II, l m na,� pn m p _ _ - 1 FM3r Tr ,Inl ,�lr I If a nm exceed u � -1 11 I e-al -f rI,.. Th I' r I 191 J 1 I V, s:egofms 1O1rr h FI.en le firIn MnC -PIF d' rr 11 _o1nP- I vna I, r I r,1.J.rr. r ... II REVENUE ESTIMATES General Fund. General Pr-, i, 11 d 836 36" Gthe ocnl tr.i..., :q 188,008 Fd u.;e.nr.: 9'J2 IlD: :11 r d 025 (fil R " r, 1880100 1 1 r R .08328- r 1 in •_. /J8100 Nor -0epervnenlel 6�32 6119 Turn_ n r nlr.v I 699 OOJ Peu,nnor, Funds: cJls ',,012 • Fnrerprie, rands: In 1, I'll nor Clvlc f a_ ryes' a -d $'.31 I Parki'r0 a $, 893.000 op6p60pOn �Fr.n 1 w,a $'17z1,ea:. Schnul Fund. G '11vn -wu1 $1e19aa,00 -, rood s.,,ar.,. d $m2lnd.nm General Fund: mon -rnyx Fd u.;e.nr.: 83,052,388 ood Goo., reom 18 412391 l mal S" vic, 3! ;82),5',5 h fras0uct 21,856 431 l vahillty 16.021,016 Nor -0epervnenlel 5 638,763 ou[sid -r At" 1, 1 eo fl. '38,01 -1 I cad services rend cJls ',,012 rr )TAI -(;r NF RAI II)h In 1, I'll nor Prsrieeary Funds: • Enrorprso Ivnds_ O:vlc Faclllrios Fund $2315,721 °arkvg Fund $3,899 OBO Sbrrnvlaier Funtl $6050000 W{yn ey &r I, F,�na_5: R1sk Mar aI.... 1 Fmnr $19])',,880 School Funtl: General Fund i 50 000 000 I cad services rend $10,000000 Given under mg hand ihs Ism day of Apnl 2019. Sophania M. Moan Reynolds, l Co,Cler'a k�U'J✓ 0 NOTICE OF PUBLIC HEARING CITY OF ROANOKE :COMMENDED 2018 -19 BUDGET Pursuant to Section 15.2 -2506, Code of Virginia (1950), as amended, notice is hereby given that on Thursday, April 26, 2018 at 7:00 p.m., or as soon thereafter as the matter may be heard, Roanoke City Council will hold a meeting in City Council Chamber, Noel C. Taylor Municipal Building, 215 Church Avenue, S.W., Roanoke, Virginia, for the purpose of holding a public hearing on the recommended 2018 -19 City Budget. All persons shall be afforded an opportunity to speak and state their views concerning all aspects of the budget within such reasonable time limits as shall be established by City Council. Written comments of interested citizens also will be received by the City Clerk at any time prior to the hearing. If you are a person with a disability who needs accommodations for this public hearing, please contact the City Clerk's Office, (540) 853 -2541, by noon, Monday, April 23, 2018. Complete copies of the recommended budget will be available for public inspection on and after Tuesday, April 17, 2018, at the City Clerk's Office, Room 456, and the Department of Management and Budget, Room 357, both offices located in the Noel C. Taylor Municipal Building, 215 Church Avenue, S.W., Roanoke, Virginia, the Main Public Library located at 706 S. Jefferson Street, Roanoke, Virginia, and at www.roanokeva.gov. The amounts presented forthe revenue estimate for the Charges for Current Services category and the recommended expenditures forthe Non - Departmental category are increased by approximately $100,000 based on the proposed changes to the EMS fees. The adopted budget will not exceed the revenue and expenditure category amounts. The recommended 2018 -19 Budget with the estimate noted for the categories of Other Revenue and Non - Departmental expenditures is summarized in the following revenue and expenditure category amounts as follows: REVENUE ESTIMATES: General Fund: General Property Taxes $118,836,366 Other Local Taxes 80,188,000 Permits, Fees & Licenses 902,000 Fines and Forfeitures 1,025,000 Revenue from Use /Money & Property 288,000 Intergovernmental Revenue — State /Federal 74,089,234 Charges for Current Services 15,738,400 Other Revenue 632.000 TOTAL - GENERAL FUND $291 699 000 Proprietary Funds: • Enterprise Funds: Civic Facilities Fund $2 315 721 Parking Fund 13A9_9 000 Stormwater Fund $6-0 60 000 Internal Service Funds: Risk Management Fund $17 774 880 School Fund: General Fund Food Services Fund RECOMMENDED EXPENDITURES: General Fund Economy Education Good Government Human Services Infrastructure Livability Non - Departmental Outside Agencies Safety TOTAL- GENERALFUND Proprietary Funds: • Enterprise Funds: Civic Facilities Fund Parking Fund Stormwater Fund Internal Service Funds: Risk Management Fund School Fund: General Fund Food Services Fund Given under my hand this 13th day of April 2018. 5180 000 000 510 000 000 $1,952,432 83,052,388 18,442,394 39,827,545 27,866,434 16,027,018 25,638,763 9,738,014 69.154.012 $291 699 000 52.315.721 53 899 000 56 060 000 517 774 880 5180 000 000 510 000 000 Stephanie M. Moon Reynolds, MMC, City Clerk NOTE TO PUBLISHER: Please publish in full, block style, with 18 point type for the heading and 12 point type for the body, once in The Roanoke Times Virginia Section on Wednesday, April 18, 2018. Please send publishers affidavit to: Stephanie M. Moon Reynolds, MMC, City Clerk City of Roanoke 215 Church Avenue, S.W. Room 456, Roanoke, VA 24011 (540) 853 -2541 Please send bill to: Lesha VanBuren, Budget Analyst City of Roanoke 215 Church Avenue, S.W. Room 357 Roanoke, VA 24011 (540) 853 -6800 City Of Roanoke Attn: Stephanie Moon, City Clerk 215 Church Ave. SW, Run 456 Roanoke, VA 24011 Date: 04/20118 Inv. #C -14986 2318 Melrose AVehe Roanl�./AV V1110�'�54 3-0326 •Fax LL 736E Making and Recording Black History Since 1939 Any questions in reference to this invoice contact Stan Hale 343-0326 - Net I1 Please return one copy of invoice with payment or include invoice # on check within 30 days. Thanks!! Caption Dates 2018 Runs Size Size I/O Number Net Rate Net Total Notice of... Budget 0411912018 11 4 col. x 20.0" 1 80.0" 1 $7.20 $576.00 Any questions in reference to this invoice contact Stan Hale 343-0326 - Net I1 Please return one copy of invoice with payment or include invoice # on check within 30 days. Thanks!! American Academy y- of Pediatrics . POLICY STATEMENT CIJJ BMne) kuhLl Ohpd mal 11111C toles m n i'll and Dd.n. the t l „Id Hevhh (an c,u, in .end -or al... in, Halm I. (:M1ddren Firearm - Related Injuries Affecting the Pediatric Population The absence of guns from children's homes and communities is the most reliable and effective measure to prevent firearm related inju- ries in children and adolescents. Adolescent suicide risk is strongly associated with firearm availability Safe gun storage (guns unloaded and locked, ammunition locked separately) reduces children's risk of injury. Physician counseling of parents about firearm safety appears to be effective, but firearm safety education programs directed at children are ineffective. The American Academy of Pediatrics con- tinues to support a number of specific measures to reduce the de- structive effects of guns in the lives of children and adolescents, including the regulation of the manufacture, sale, purchase, owner- ship, and use of firearms, a ban on semiautomatic assault weapons, and the strongest possible regulations of handguns for civilian use. SCOPE OF THE PROBLEM Although rates have declined since the American Academy of Pediatrics (AAP) issued the original policy statement in 1992, firearm related deaths continue as 1 of the top 3 causes of death in American youth.' As shown in Fig I, the firearm associated death rate among youth ages 15 to 19 has fallen from its peak of 273 deaths per 100 000 in 1994 to 114 per 100000 in 2009, driven by a decline in firearm homicide rates 1 No single study has adequately explained the decline in Firearm related homicide rates. Postulated reasons include improved Seem economic conditions, violence prevention programs, decline in the crack /cocaine market, changes in legislation, declines in firearms availability for other reasons, and community policing- Nevertheless, firearm - associated death and disability rates remain unacceptably high. Of all injury deaths of individuals 15 through 19 years of age in the United States in 2009, more than 1 (28.7 %) in 4 were firearm related, and of those younger than 20 years, nearly 1 (19.5 %) in 5 were firearm related These firearm deaths result from homicide, suicide, and unintentional injury (Fig 2). Black Americans are particularly affected, injuries from firearms were the leading cause of death among black males 15 through 34 years of age In 20091 Although national data cannot fully document urban and rural differences in the patterns of injuries from firearms that involve children, local data indicate that children in rural areas as well as in urban areas are at risk for firearm related mortality.` -5 .1418 FROM THE AMERICAN ACADEMY OF PEDIATRICS COUNCIL ON INJJBy, VIOLENCE, AND POISON ELEVEN ION EXECUTIVE COMPeTIEE REY WORDS chilo . adolescent violence, homicide, suicide, Injury, cpldemlmoQy, ponce ABBRIMATIOMS AAP— American Academy of Pediatrics NVDRS— 'afional violent Death R,poiting System This tlomment la enoptioned and Ie property of um Penrod, Academy of pediatrics and Its Board of Directors. All au; hors have Aide mnelct of Interest statements with the American A omody of ?,did!.... Any cornets held been 111DIed through a process approved by the Rear. of Director. lee Americar Academy of Pediatrics Las neither sdli..led nor returned any commercial mi,cl eme it In the development e` the content of 'his pechrobioo. All policy statements from the American Academy of Pedhsntu autematimlly armed 5 years after pet hicafion unless deffibrom revised or refired at or before that time whew. radian ridv.org /cei(daJ101642IDeds2012 -248` dot h 0.1542ards2012 -2481 PEDIATRICS ASSN Nombcrs. Print, 0031 405 Funny, 10984275). Copyright © 2012 by the American Academy of Pedie:rics a, k o! IbwNoodrd from 11,11, podintrir, uv11"ohle morn n, by guest an Are 26, 2019 0 4'^ A 'IF, e O ly Ifle 4 Year FIGURE 1 Firearm related death rates per 100 000 people t5 through 19 years of age In the United States, ha 2000- (Adapted from National Center for Injury Prevention and Control. US Centers for Disease Control and Prevention. Web9ased Injury Stated= Query & Reporting System VMSQARS) Inlury Mortal lty Reports. 1880 2000, for national, regional, and states [May, 20121 Available at hop // Webappa.cae.gdv /sasweb /ncipd/. Accessed June 8.2m2i. mmnemmn- Ali Ades "'2 %° 1% Vn0ires -1 E w ai .a s, ow legal 0 -19 Years _ ummene sell I"abennon a% 1% Jejefamerand 1w swede 8% Namtilde saw FIGURE ; Injury Intent. US 2000 firearm rel ated deaths, for all ages in - 31 593) and In in, ldren from brttM1 through 10 years of age !n= 2966) (Adapted fro in National Center for Injury Prevented and Control, US Centers for Goal Control and Prevention. Web Based Injury Stabstcs Query & Reporting System tWISQARS) Injury Mortality Reports, 1999-2009, for national, regional, and states [May 20121 Available at M1toll,viompo dogav /sasweb /nmpcl Accessed June 8, 2012) The National Violent Death Reporting all violent deaths in participating states. System (NVDRS), administered by the The NVDRS system uses sources of data Centers for Disease Control and Pre- to allow analysis of each death bond vention, provides detailed surveillance of does, suicides, and others), including PEDIATRICS Volume 130. Number 5, November 2012 the detailed history and circumstances of the fatal incident. Data concerning mental health, substance abuse, race, age group, previous history, method of injury, and relationship of suspect to victim are included. Suspects and mul- tiple victims can be studied together, allowing for comparisons of victim and perpetrator characteristics I The NVDRS can provide useful information concern- ing childhood mortality from firearms, limited raw data from this system are now available online.' INTERNATIONAL COMPARISONS The United States has the highest rates of firearm related deaths (including homicide, suicide, and unintentional deaths) among high income countries" For youth 15 to 24 years of age, fire- arm homicide rates, as documented by Richardson and Hemenwaya were 35.7 times higher than in other countries. For children 5 to 14 years of age, firearm suicide rates were 8 times higher, and death rates from un- intentional firearm injuries were 10 times higher in the United States than other high income countries. The off Florence in rates may be related to the ease of availability of guns in the United States compared with other high income countries. This is particu- larly true for suicides, as guns carry a high cased) li[y rate 10 Suicides among the young are typically impuF sif and easy access to lethal weapons largely determines outcome. ECONOMIC COSTS OF FIREARM - RELATED INJURY Corso and colleagues" calculated the financial cost to society resulting from gun related assaults and homicides in 2000. The amount totaled $17.4 bil- lion, including $0.8 billion in direct medical costs and $16.6 billion in lost productivity. In the same year, self - inflicted firearm injuries and suicides cost society $16.4 billion, including TbwnluedcJrrom 1,11V by eucslod Apnl 26,2018 0417 ll as = vI me _ 2e suame a 20 r -- - -_ _..__ odnenvrww,. so 0 4'^ A 'IF, e O ly Ifle 4 Year FIGURE 1 Firearm related death rates per 100 000 people t5 through 19 years of age In the United States, ha 2000- (Adapted from National Center for Injury Prevention and Control. US Centers for Disease Control and Prevention. Web9ased Injury Stated= Query & Reporting System VMSQARS) Inlury Mortal lty Reports. 1880 2000, for national, regional, and states [May, 20121 Available at hop // Webappa.cae.gdv /sasweb /ncipd/. Accessed June 8.2m2i. mmnemmn- Ali Ades "'2 %° 1% Vn0ires -1 E w ai .a s, ow legal 0 -19 Years _ ummene sell I"abennon a% 1% Jejefamerand 1w swede 8% Namtilde saw FIGURE ; Injury Intent. US 2000 firearm rel ated deaths, for all ages in - 31 593) and In in, ldren from brttM1 through 10 years of age !n= 2966) (Adapted fro in National Center for Injury Prevented and Control, US Centers for Goal Control and Prevention. Web Based Injury Stabstcs Query & Reporting System tWISQARS) Injury Mortality Reports, 1999-2009, for national, regional, and states [May 20121 Available at M1toll,viompo dogav /sasweb /nmpcl Accessed June 8, 2012) The National Violent Death Reporting all violent deaths in participating states. System (NVDRS), administered by the The NVDRS system uses sources of data Centers for Disease Control and Pre- to allow analysis of each death bond vention, provides detailed surveillance of does, suicides, and others), including PEDIATRICS Volume 130. Number 5, November 2012 the detailed history and circumstances of the fatal incident. Data concerning mental health, substance abuse, race, age group, previous history, method of injury, and relationship of suspect to victim are included. Suspects and mul- tiple victims can be studied together, allowing for comparisons of victim and perpetrator characteristics I The NVDRS can provide useful information concern- ing childhood mortality from firearms, limited raw data from this system are now available online.' INTERNATIONAL COMPARISONS The United States has the highest rates of firearm related deaths (including homicide, suicide, and unintentional deaths) among high income countries" For youth 15 to 24 years of age, fire- arm homicide rates, as documented by Richardson and Hemenwaya were 35.7 times higher than in other countries. For children 5 to 14 years of age, firearm suicide rates were 8 times higher, and death rates from un- intentional firearm injuries were 10 times higher in the United States than other high income countries. The off Florence in rates may be related to the ease of availability of guns in the United States compared with other high income countries. This is particu- larly true for suicides, as guns carry a high cased) li[y rate 10 Suicides among the young are typically impuF sif and easy access to lethal weapons largely determines outcome. ECONOMIC COSTS OF FIREARM - RELATED INJURY Corso and colleagues" calculated the financial cost to society resulting from gun related assaults and homicides in 2000. The amount totaled $17.4 bil- lion, including $0.8 billion in direct medical costs and $16.6 billion in lost productivity. In the same year, self - inflicted firearm injuries and suicides cost society $16.4 billion, including TbwnluedcJrrom 1,11V by eucslod Apnl 26,2018 0417 $16.3 billion in lost productivity and $0.1 billion in direct medical costs. The analysis found that average direct medical cost per case for nonfatal fire arm assaults and self -inflicted injuries resulting in hospitalization were $24353 and $7234 respectively" The method for calculating the medical costs includes ambulance transport costs, coroner/ medical examiner costs, emergency de- partment costs, hospital readmission costs, and inpatient hospitalization and/ or nursing home costs.° Work loss costs were calculated by the net present value of future wage earning and losses in household productivity. HOMICIDE In 2009, 84.5% of all homicides of people 15 through 19 years of age were firearm related. Deaths of male individuals outnumber deaths of fe- male individuals (Fig 3) . Young black men from 15 through 34 years of age have the highest rates of firearm related homicide .I In 2010 in the United States, 67.5% of all homicides were committed with a firearm, and in 68.5% of those cases, a handgun was used as the murder weapon." Firearm homicide rates were higher in major urban areas than in the nation as a whole (52 per 100000 vs 4.2 per 100000). Within the 50 largest metropolitan areas, they were highest in the central cities (9.7 per 100000)? An understanding of the characteristics of firearm related homicides is impor- tant when interventions are being planned. Most homicides occur during interpersonal conflict, typically be- tween relatives, friends, or acquain tances.11 Recognized risk factors for violence involving children and ado- lescents include exposure to family violence, history of antisocial behavior, depression, suicidal ideation, drug/ alcohol use poor school performance, bullying, and isolation from peer groups i4 The occurrence of shootings 15 -19 Years 6° $ 50 aN) 8 so I o 20 I P 10 zn;_ i - I , cralel Male, se 09 ]6 339 137 I Wall Females 529 47. 0.39 0 aere.Males 132 6 66 043 oWfiim Females 196 102 007 002 FIGURE 3 Firearmi',I.t,d death rates per 100 000 Mack and whie people 15 threugh 19 years of age In the United States, 2009. /Abutted from National Canter for Injury Prevention and Control, US Centers for Disease Control and Prevention. Web Base Injury Statistics Query A, Reporting System IWISQARSI Injury Mortality Reports, 1999 -2009, for national, regional, and states [May, 20121. Available at Cup .Ilwebappa.noC.govlsaswebinmpOL Accessed June 8,2m21- in schools, although rare, deserves serious study and calls for local and national responses. SUICIDE Suicide Risk Among Adolescents and Firearm Availability In 2009, suicide was the third leading cause of death for American youth 15 to 19 years of age. Firearms remained the most common method used for suicide in this age group, accounting for 736 deaths (3.4 per 100 000) 1 Of all common methods used for attempting suicide, firearms are the most lethal, with approximately a 90% mortality rate " Adolescents are at a relatively high risk of attempting suicide as a consequence of their often impul sive behavior. Choosing a highly lethal method such as a firearm to attempt suicide leads to higher suicide fatality rates overall, in part because most survivors of serious suicide attempts do not die of renewed atternifi la Thus, easy access to firearms con tributes to an increased risk of sui- cide among youth this age. Although handguns are used in most youth firearm suicides, long guns (shotguns and rifles) are also used in a large .1019 FROM [HE AMERICAN ACADEMY OF PEDIAt111C8 percentage of suicides in rural areas, where they are more widely avail - able .1718 Strong evidence suggests that the presence of firearms in the home increases the risk of suicide among adolescents. A review of exist- ing data from case control studies and ecological data found that firearm availability plays a large role in in creasing the risk of youth suicide.19 Several individual level and ecologic studies, including nationally repre sentative studies, have corroborated these earlier findings 20 -24 The asso- ciation of a gun in the home and increased risk of suicide among ado- lescents has been well documented. From a clinical perspective, it is Up Contact to note that this association is significant even in those teens without a previous psychiatric diagnt is.7u6 The odds of suicide are particularly high if the gun is kept loaded ?ass Data concerning the effects of laws restricting firearm ownership show varying results27 29 Interestingly, laws reducing child access, which primar- ily requires safe storage, appear to be associated with lower overall ado- lescent suicide rates, whereas pur- chase restrictions did not result in this reduction 19 Other studies have 11ovo awlI d hOp y+pnill -11-1 sP by punt on split Z6, 2019 established the finding that safe storage of firearms reduces the risk of adolescent suicide's UNINTENTIONAL FIREARM - RELATED DEATHS In 2009, 114 children and adolescents younger than 20 years died as a result of unintentional firearm related injuries .1 Perhaps surprisingly, 66 of these 114 unintentional deaths occurred in the 15 to IS year age group. Fatal shootings are usually inflicted by other children or youth, typically friends or sieling&1112 There are few recent systemically col- lected data concerning the precise cir- cumstances of unintentional firearm injury deaths amongthese 114 children. NONFATAL FIREARM - RELATED INJURIES According to data from emergency departments in the 66 hospitals in the National Electronic Injury Surveillance System All Injury Program, an estimated 73 505 people of all ages were treated for nonfatal firearm related injuries in US hospital emergency departments in 2010, among them 15576 children and adolescents younger than 20 years) Of those, 6236 (40 %) required hospitals zation for their injuries. Adolescents 15 to 19 years of age had nonfatal firearm injury rates nearly 3 times that of the general population (629 vs 239 per 100000) 1 Most (79 %) of the nonfatal injuries to adolescents were attribut able to assault, and assault- related injuries were responsible for 84.5% of hospitalizations) ADOLESCENT CHARACTERISTICS AND ACCESS TO GUNS The 2011 National Youth Risk Behavior Surveillance reported that 5.1% of students in grades 9 through 12 had carried guns during the past month, with boys more likely to report car rying guns than girls (86 %vs 14 %)S3 PfaIA1PICS volume 130, Number 5. November 2012 Well established behavioral risk fee stored a gun unlocked, and 8.3% tors for carrying guns include gang membership, use of alcohol and other drugs, victimization by violence, and perpetration of violence. 4 66 As with other risk behaviors, adolescents sub- stantially overestimate the percentage of their peers who carry guns, and interestingly, gun carrying is highly associated with that normative per ception 55 Adolescence is marked by a search for identity, independence, and autonomy. Accompanying charac- teristics may be curiosity, the strong influence of the peer group, rites of passage, belief in invincibility, impul- siveness, immaturity, mood swings, and substance abuse. The perception of danger by adolescents may be influenced by many factors, including the media, as well as the reality of their own lives. A view of the world as a dangerous place during this partic ularly vulnerable developmental period may lead to conflict, injury, and death, especially when access to guns is easy. GUNS AND GUN OWNERSHIP It is estimated that 57 million Amer- icans owned 283 million firearms in 2004, representing 38% of all households and 26% of all adults having or owning at least 1 gun. Of these, 60% were long guns and the remaining 40% were handguns.'' Of the handguns, 50% were revolvers, 35% were semiautomatic pistols, and 15% were other types." More recently, there has been a troubling increase in serious and disabling injuries resulting from high velocity nonpowder guns 58 Prevalence of gun ownership by household varies significantly Bob graphically, with an estimated low of 52% in the District of Columbia to 62.8% of all households in Wyoming's In a study of gun owning Americans with children under 18 years of age, 21.7% stored a gun loaded, 31.5% stored at least 1 gun unlocked and loadedue Household firearm owners with adolescents 13 through 17 years of age report leaving their firearms unlocked 41.7% of the time, compared with only 28.8% of household firearm owners with children 0 through 12 years of age.4s Most gun owners report the leading motivation for ownership is recrea- tional; however, nearly three quarters of handgun owners said self -protection was the primary reason for owning a gun 41 Research in several US urban areas indicates that a gun stored in the home is associated with a three- fold increase in the risk of homicide and a fivefold increase in the risk of suicide 02 44 Evidence from Philadelphia suggests that firearm possession increases the risk of being shot in an assault. In a carefully conducted case central study, Brands and colleagues found that people possessing a gun were more than 4 times more likely to be shot in an assault than those not in possession of a firearm 45 LEGALISSUES A 2008 Supreme Court decision struck down the handgun ban in the District of Columbia, concluding that the second amendment to the US Constitution establishes individual rights to gun ownership4o In the subsequent 2010 Supreme Court case of McDonald v the City of Chicago, the Court ruled that the 14th Amendment extends the 2nd Amendment protections of the federal government to states and localities against laws that infringe on "the right to keep and bear arms. "67 Because Chicago was the only locality in the country to possess an outright handgun ban, the McDonald ruling did not have an immediate effect on state and local gun laws outside the Chicago area The ruling set the stage Jwwnkedod form lie, eoacrosz ..e, ,• by ue,, on dnN 26. 2018 ¢1418 for Second Amendment legal chal- lenges to local and state gun laws, however, including laws requiring the safe storage of firearms and trigger locks, as well as laws aimed at pro- tecting children from firearms. There have been and will likely continue to be a number of state and local legal challenges to restrictions on firearm acquisition and use in the United States- These include challenges to measures specifically pertaining to access to firearms by children. Pedia- tricians should, nonetheless, continue to provide anticipatory guidance to children and their families regarding keeping children safe from injury, including restriction of access to guns. IMPLICATIONS OF DATA FOR PREVENTION STRATEGIES The following summary of data sug- gents a number of intervention strat- egies: is Firearm related injuries are often fatal, primary prevention is essen- tial. is Suicide fatality rates increase if guns are present in the home. • Access to guns increases the num- bar of conflict related deaths and injuries. • Access to guns and unsafe storage practices creates risk of serious unintentional injury and death. is Most firearm related injuries and deaths of children and adolescents involve a handgun, but long guns are involved a large number of unintentional injuries and suicides, especially in rural areas. Preventing Firearm Injuries In Children A number of design options have been proposed to decrease the likelihood of unintentional injury by a firearm, as well as limiting access by un- authorized users. These include trig- ger locks, lock boxes, personalized safety mechanisms, and trigger pres- surer that are too high for young children ^A A multisite study found that keeping a gun locked and keeping a gun unloaded have protective effects of 73% and 70%, respectively, with regard to risk of both unintentional injury and suicide for children and teenagers. These findings were con- sistent for both handguns and long guns (rifles and shotguns) 5r Gun avoidance programs are designed to educate children as a way of reducing firearm injury (fig, Eddie Eagle, STAR), however, several evalua- tion studies have demonstrated that such programs do not prevent risk behaviors "' " and may even increase gun handling among children?5 In contrast, results of a large national randomized controlled trial demon- strated that brief physician counsel- ing directed at parents, combined with distribution of gunlocks, may be effective In promoting safer storage of guns in homes with children " A re- cent randomized controlled trial found that a safe storage campaign with gun safe distribution was both feasible and effective at limiting household exposure to unlocked and loaded gurn,53 A number of factors may be important in reducing exposure to violence and the results of that exposure in children and adolescents. Some curricula tar geting younger children and those at low risk of violence have been eval- uated and have shown positive results Resiliency based violence prevention strategies in preschool children have shown improvement in teacher interactional skills supporting children's resiliency and improvement in children's prosocial behaviors ss Other studies have shown that both family support and early childhood 0420 FROM THE AMERICAN ACADEMY OF PEDIATRICS education result in recursions in de- IinquencysE; however, one study has shown that, for seventh grade chil- dren exposed to high levels of violence as victims or witnesses, a conflict resolution class produced more anxi- ety, depression, and aggression sr School curricula aimed at reducing violence should be specific to the population and include evaluation components to determine their effec- fivenesssN The AAP statement on youth violence prevention suggests many ways in which pediatricians and communities can respond to violence" This policy endorses use of the Connected Kids Safe, Strong, Secure violence prevention program. This program provides coun- seling suggestions concerning a num- ber of violencerelated topics and parent information brochures specifi- cally related to reducing unintentional injuries to young children and suicide risk among adolescents. The Connected Kids program was developed on the basis of expert opinion and focus groups of parents around the United States.- G] The clinical guide and parent information material provides parents with factual information from which they can make their own deci- sions. For parents of young children, handgun storage is placed in the con- test of preventing child access to other dangerous household products. Parents of adolescents have counseling and written materials that describe the re- lationship between the availability of lethal weapons and fatal teen suicide attempts. These concepts have been incorporated in the new Bright Futures toolkit, and pediatricians will find items concerning gun safety incorporated in- to relevant previsit questionnaires." The AAP also advocates for reduction of television viewing by children, because media exposure results in increases in childhood and youth violence. In par- ticular, media tends to romanticize the D -1—dod InN.hup , .rirpidds,Lii,, ,r,, by tueat on Apnea. 2019 use of firearms as a means of resolving 2. Health information for parents. conflicts. The AAP policy statement on media violence provides specific back- ground information and recommenda- tions for pediatricians ar Pediatricians can benefit from know- ing local community resources that assist with guidance when patients and families are at high risk of firearm related injury. Pediatricians may partner with other community mom hers and community -based organ zations to identify and publicize these resources. SUMMARY AND RECOMMENDATIONS Firearm related injury to children is associated with death and severe morbidity and is a significant public health problem. Child health care professionals can and should provide effective leadership in efforts to pre- vent gun violence, injury, and death. The AAP recognizes the importance of a variety of countermeasures (ed- ucational, environmental, engineering, enactment, enforcement, economic incentives, and evaluation) to dra- matically curb the number of firearm related injuries to children. The AAP makes the following recommenda- tions, which reaffirm and expand on the 1992 and 2000 policy statemeni: 1. The AAP affirms that the most of fective measure to prevent suicide, homicide, and unintentional firearm related injuries to children and adolescents is the absence of guns from homes and communfties. Al- though the US Supreme Court rul- ing in the case of McDonald v City of Chicago struck down compre- hensive local and statewide fire- arm bans, pediatricians should continue to advocate for the stron- gest possible legislative and regu- latory approaches to prevent firearm injuries and deaths. PEDIATRICS Valuma 130. curia, 5. Nawmbar 2012 a. Pediatricians and other child health care professionals are urged to counsel parents about the dangers of allowing children and adolescents to have access to guns inside and outside the home. The AAP recommends that pediatricians incorporate ques- tions about the presence and availability of firearms into their patient history taking and urge parents who possess guns to prevent access to these guns by children. Safer storage of guns reduces injuries, and phy- sician counseling linked with dis- tribution of cable locks appear to increase safer storage. Never- theless, the safest home for a child or adolescent is one with out firearms. b- The presence of guns in the home increases the risk of Is that suicidal acts among adoles- cents. Health care professionals should counsel the parents of all adolescents to remove guns from the home or restrict ac- cess to them. This advice should be reiterated and reinforced for patients with reach disorders, substance abuse problems (in- cluding alcohol), or a history of suicide attempts. The AAP urges that guns be sub- ject to consumer product regu- lations regarding child access, safety, and design. In addition, the AAP continues to support law enforcement activities that trace the origins of firearms used in the commission of crimes and that these data be used to enforce regulations aimed at preventing illegal sales to minors. a. Evidence supports the effective ness of regulation that limits child access to firearms. b- The AAP supports efforts to re duce the destructive power of handguns and handgun ammu- nition via regulation of the man- ufacture and importation of classes of guns. Engineering efforts (eg, personalized safety mechanisms and trigger locks) may be of benefit and need fur- ther study. Trigger locks, lock boxes, gun safes, and safe stor- age legislation are encouraged by the AAP. Other measures aimed at regulating access of guns should include legislative actions, such as mandatory waiting periods, closure of the gun show loophole, mental health restrictions for gun our chases, and background checks. c. The AAP recommends restock lion of the ban on the sale of assault weapons to the gen- eral public. The AAP supports the funding of research related to the preven- tion of firearm injury, including surveillance through the NVORS, accurate evaluation of health care based screening and inter- vention; and local, regional, and national efforts to identify and disseminate violence prevention resources. 5. The AAP supports the education of physicians and other professionals interested in understanding the effects of firearms and how to re- duce the morbidity and mortality associated with their use. Ir ieS M. Damse Praia MD, MPH Robert D -Sege. MD. PhD 111iEli 11 -..ula H Garry Gardner MD, Chairperson Kyran P Quinlan. MD, MPH. Chairperson elect Michele Burns Ewald, ME TAwnlwaea Rom hill, I, fi,n �:eggeiN, noo, em El, pi,t on,lpia 26, 2018 e14211 Beth E. Fbei, MO. MSc, MPH Richard Ileherslem MO Marlene D- M,IZ,r- large. MO Joseph U'NFL, MD, MPH Wendy J. Pomerantz. MU ME planar C- Powell, MD Seto J. Scherer, MD, MPH Cary A. Smith. MO, DrPH REFERENCES 1. 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Peedmers. 1992: 89(4 of 2):109 -790 66- Committee an usury and Pace, Pre- vention. American Academy of Pediatrics. Firearm +statetl ,Joel es afadmg the ped stric population. Pediatrics. 2000;105 (4 of 1) 888 -895 IXrwdo.'Joil Imam bin• 1.d, u- e.oppnbllah,, -1, ro by west on April 26. CURB e14M Firearm - Related Injuries Affecting the Pediatric Population COUNCIL ON INJURY, VIOLENCE, AND POISON PREVENTION EXECUTIVE COMMITTEE Pediatrics 2012;130;e 1416 DOL 10.1542Jpeds.2012 -2481 originally published online October 18,2012; Updated Information & including high resolution figures, can be found at Services hup./: pediaoics .auppubliculinnsofglanucm! 1305,c141e References This article cites 55articles, 20ol which you can access for free at: http 130/slc14l6.tul1#uf -list I Subspecialty Collections This article, along t +ah others on similar topics, appears in the following collecuon(sy. Current Policy Itltp 11111111 pcdiau III mtppublieatl n I];dgli collect....: aurcnl—po lice Council on Injury. Violence, and Poison Prevention hup clas,J)cdiaolrI:utppublicau n <la'Cgrcollcction CO.. lt,c on_mjury_ciolonac und_lm'on —lu y"rioa Injury, Violence & Poison Prevention help d.ISSi C. pcdiau lcs.aappuMinm n of beiko11alion/i njun_riol cncc_ _Iwl.on_prcccntion_ alb Firearms hup claslil aado1IlcctloNlirrunus _ s III, Permissions & Licensing fnfonnanon about reproducing this article in parts (figures, tables) or in its entirety can be found online at hup,.:; shop.aap.or_ 11c,ti ' mu- permission+ Reprints Information about ordering reprints can be found online: hup.sdasic. pcd,t ...... uppubl,it... a.nrgiontenacpunt, Pediatrics is the official journal of the American Academy of Pediatrics. A monthly publication, it has been published continuously since. Pedialnes is owned, published, and trademarked by the American Academy of Pediatrics, 141 Northwest Point Boulc ... d, ElkGmve Village, Illinois, 60007, Copynght,P 2012 by the Amencan Academy of Pediatrics. All rights reserved. Pont ISSN:. r American Academy of Pediatrics DI DI CA'I'[D 10 HFALIH Or AL I. CHIC. D Rt N W— od'dlrom M1.e "I"","-aappuNh,I1.omoe, by,-1,o Ap.120, 2018 Firearm- Related Injuries Affecting the Pediatric Population COUNCIL ON INJURY, VIOLENCE, AND POISON PREVENTION EXECUTIVE COMMITTEE Pediatrics 2012;130;e 1416 DOI: 10.1542/peds.2012 -2481 originally published online October 18,2012; The online version of this article, along with updated information and services, is located on the World Wide Web at http: / /podiatrics.aappu blications. org /content/ 130 /5 /e 1416 Pediatrics is the o((icial journal of the American Academy of Pediavies. A monthly publication, it has been published continuously since. Pediatrics is owned, published, and trademarked by the American Academy of Pediatrics, 141 Northwest Point Boulcvanl, Elk Gmvc Village, Illinois, 61X)07 . Copyright © 2012 by the Amenwn Academy of Pediatrics. All rights reserved. Print ISSN:. American Academy of Pediatrics DI.Do'A FD TO HE HEALTH OF ALL r'.HH DRFN F?aminluled Flom M1Up h}gncA on April 26,2018 SCHOOL- TO-PRISON PIPELINE /m% Defending Liberty Pursuing Justice PRELIMINARY REPORT February 2016 Authors Professors Sarah E. Redfield & Jason P. Nance The School -to- Prison Pipeline Task Force is a project of the Coalition on Racial and Ethnic Justice, Criminal Justice Section and Council for Racial & Ethnic Diversity in the Educational Pipeline. This draft report is subject to further review and modification by the Joint Task Force. The content of this report has not been presented in its entirety to, or approved by, the American Bar Association House Delegates or the Board of Governors, and therefore should not be construed as representing ABA policy, unless adopted pursuant to the bylaws of the Association. AMERICAN BAR ASSOCIATION JOINT TASK FORCE ON REVERSING THE SCHOOL -TO- PRISON PIPELINE TABLE OF CONTENTS AmericanBar Association ............ ...._....... ._ .................. - .... ... ... - .................................... ... ............................. .... ... 1 Joint Task Force on Reversing the School -to- Prison Pipeline ........ .... .... .... .... .... .... ...._...... ...... ............................. 2 Tableof Contents . .... .... - ..... -- .... ............. _. ..... _. .... -- ........ .... .............................. ......... ........................... ..... _....._..2 Table of Figures 111.......1........ ...... Acknowledgements......._ ........... ............................... _............... .......- ....................... _............. _......... _....................6 Notice..... .................. ...1111............ .. _ ........................ 1111......... . _1111. _........ .................... _1111.. _.6 Noteon References.......... - ....... ....... ................ ......... .................. . ........._....................6 Preliminary Report and Recommendations. .... .... ... ........ ............. ........ ... ..........._ .........._._... ..........7 Preface.... 1111........ _... ...1.........111 ...... _. _......... 1111 _ ................ 1111. _1111. ........._ _1111... 7 joint Task Force on Reversing the School -to- Prison Pipeline (2StPP) ............................ _._...._.__...__..__.._9 Founding Task Force Members..._ ......................................-.......--..........._......_................. ..............................9 AdvisoryCommittee Members.... .... — ........................ ................. ...... --- ...... ............... — ........................ 9 ABAEntity Founding Support, ......................... ................... _. ..... ........._....- ....... ... .................................... .......9 TaskForce Reporter_ ................ ................. ..._............. ..1.1....11.............................. .............9 Executive Summary of Findings and Recommendations............_ ........................._....... .._-- .............__....._.. .10 Recommendations........................... _.. .... -- .... .... ..,. ............... ................ ._.................._.._...................................... 12 ABA and Partners: Convenings and Training ..... -..... ........... .... ...... ._...................... ............. ........... .............. 12 Legislationand Polio ..... 1.1 ...... 1.1 ....... .....11.11 ...... ...... ........... 11.....11 ................. .............................. 13 Overview of the School -to- Prison Pipeline Problem.. .............. ..... . 1 ....... -- .... ...... ................ 14 Introduction ............... ............... ...... ........ 14 1 he Context ......... . ........ ............................................ .........._..._........................._............ ........__........._.........15 TheManifestations._ .. ..................... ............... ............. .. ._1..._111.. . .............................24 Disproportionzhty, manifests itself all along the pipeline where students of color are poorly served. .111....1 ....... ......... —.11I.— ..... . ....................... ....1 -- .. ........... .... .... - - ... _. _1111.25 For students with disabilities, disproportionality manifests itself all along the pipeline in areas similar to those outlined in the preceding section on students of color . .................. --- .... .................... ............... ..34 Similar disproporttonalities and difficulties impact LGBTQ and GNC young profile—, ..................... -._40 These same disproportionalities experienced in school plague the Juvenile justice system. .......... ---Al Societal Consequences for Imprisoning Youth.... ..................... - ......... ....... ................. - -- ...... ......... - ....... 47 Causes of the School -to- Prison Pipeline .. ............1— ...... ............ ....... .... ...................... ..........................50 Criminalization of School Discipline ...1 ..........111. . ............ .-- ....... . .............................50 The Increased Presence of Law Enforcement Officers in Schools ................................ _ - 111 ..... 1.. ................. . 51 2 The Role of Imp] cit Bias and Related Unconscious Associations/ Decisions .......... . .. . .................. .... 54 Acknowledging that prior intervention has not proven sufficient . ................ .......... ......._............. -.......56 Summary of implicit bias research and its implications for the school -to- prison pipeline . ........... _...57 Summary of group dynamics research and its implications for the school -to- prison pipeline .......... 58 Summary of micromessaging research and its implications for the school -to- prison pipeline .......... 60 Putting Implicit together to understand the pipeline. . ..... __ ..... - ..... . - .... - ...... __ ..................... _ .. ......... 61 New Response to the School -to- Prison Pipeline: A Focus on Implicit ......_............- . .............................63 Overview of Town Hall Meetings. .......................... ... ... ......... _ .... ....... ..... ........ - .......... __ ........ ....... __64 Background Information Provided for 2014 -15 Town Halls._ . .................... ..... ........ .................... ........ ......... t i4 Chicago Town Hall Meeting - February 7, 2014 ............ ..... .... ............... ........ .... .... ... ........... ......... ... .... .....65 Boston Town Hall Meeting - August 8, 2014 ...... ... ..... ._ .... ........ ...._.. .... _.. ............... ......... ..... ....... ....... __ ..... 68 Houston Town Hall Meeting- February 6, 2015 .................................... ......................... . .. ..... ............_.......... 69 Arizona State University Town Hall Meeting - March 27, 2015 ....... ...... ..- .... .......... ...................... - ...... . ... 72 New Orleans Town Hall Meeting - April 14, 2015 ......_ - .... ........ ........ ........ ............................... .............. .....74 Honolulu Town Hall Meeting - April 18, 2015 ...... ................ .... .................... .... .-.. .... .- .................. .......... _...76 Miami Town Hall Meeting - May 14, 2015 . ........ ..........._. ................. - ............... - .... .... ................ ..................... 77 Chicago Roundtable Discussion - July 31, 2015 ................. ... ....... ........... .- .... ................ ......... .... ___ ............. 78 Appendix A. Selected Current Legislative Initiatives ... .... .... .... .... ..................................... .... ......... .. ............ __.80 Legislation eliminating criminalizing student misbehavior that does not endanger others ........ ......_.....80 Legislation eliminating the use of suspensions, expulsions, and referrals to law enforcement for lower- leveloffenses ............. ........... ................. ...._.... ........._....... ..... .... ...... ....... 80 Legislation to Support school policy and agreements that clarify the distinction between educator discipline and law enforcement discipline ............ ...... -..................... ..... ... ....... ..... ............ .... ........ _... ............ 81 Legislation requiring and providing financial support for training of SROs and police dealing with youth on appropriate strategies for LGBTQ students and students with disabilities- ___._...__....__._...81 Legislation supporting alternative strategies to address student misbehavior, including Restorative 11w9rr I __ .................82 Legislation supporting continued and more detailed data reporting relating to school discipline and juvenile detention and dispropor0onalits ................- .. .......................................... ___ .... .... .........82 Appendix B. Recommended Programs ................. ...._..... ...... ..... .... .... ._. ..... .......................... ....._..84 1. Implicit Bias'Fraining (All) ................. ............._... .... .......... ... ......... _____ .... .....84 2. Checklist lmplementa tfon(Pima County, Arizona) ............... ... ..... .... ........ ...... ...... .... ............... .............. 84 3. Law Student /Lawver Intervention (Sufeo, Massachusetts Model) ................. ........... ........ . ... ...... .. ..... 99 Massachusetts SUFEO Stand Up For Each Other 3 4. Restorative Justice (Texas) .............. ................. ..... ... ............. ..._........ ...........................100 TABLE OF FIGURES Figure 1. Juveniles Detained & Placed bV Race & Ethnicity ........ ..._... _........_....... . . _....._..........._...... I I Figure 2. Discipline Disproportionality Minor Offense NC Example. ...... - ..... -- .... ......... .... .......... .... .... ......... 15 Figure 3. U.S. Population by Race & Ethnicity ........ .. ................. _- .... --- ..... ....... ....... ....... ... ................. ............ 15 Figure 4. Disproportionality Illustrated ........ ....... ....... ................ ......... ..... -- .... ._. .... _. ... - ., ............................... 16 Figure 5. U.S. Juvenile Population by Race & Ethnicity ...... ........ ._... .... ..... .. ...... -- ....... ................. ..................... 17 Figure 6. At Least One Out of School Suspension Elementary & Secondary by Group .... .............................17 Figure 6. Discipline Disproportionality Girls ............... ... ....... ......... .- ..... _.. . ................... ............ _ ....................... 18 Figure & Importance of Expectat ion.__ ...................................................._..............._....._...- .........................._..19 Figure9.Juveniles by Offense.... .--- ... .... .................................... .- -- .... ... .. ............._.............21 Figure 10. Discipline disproportionality Illustrated, Bryant 1SD, Texas Example. ........... ................. - .... -.24 Figure 11.. Reading Below Basic by Race & Ethnicity .....- .............. .._ .............. ......... ......... .... ... ..... ........ ..... ... .... .25 Figure12. Retention rates ........... ................... ....................... . .... ._. ..... ............ ........................................................ 27 Figure 13. Discipline Approaches (TX) ....... .......... ..... .......... ......... ............ ........................ 28 Figure 14. CRDC Discipline, by Race & Ethnicity: Suspension / Expulsion ......................... .............................28 Figure 15. CRDC Discipline, by Race & EthnicitV: Preschool Suspension ................. ........... ... ....... .......___.....29 Figure 16. Suspension Disproportionality by Race & Gender MS & FL examples__ ......... .............................30 Figure 17. CRDC Discipline, by Race & Ethnicity: Referral to Law Enforcement _._..._._......._._....__..._. _.31 Figure 18. Graduation Rates by Status ...... -- ....... ................. -- ........ ... ............................ ... .......... ............... _...... 32 Figure 19. Status Dropout Rate bV Race & Ethnicity ............................_.......................... .........._........__.._....... 32 Figure 20. Victimization by Race & Ethnicity .............. ....... ...... ..................................... ............ ..._......_............34 Figure 21. CRDC Students with Disabilities (IDEA) out of school suspensions by race /ethnicity and gender..... .. ...... ... .... .. ... .......................... ... .......................35 Figure 22. Special Education Discipline Disproportionality Disaggregated by Race and Ethnicity, Gender, Grade....................................... ................. ... ....... ....... .36 Figure 23. Special Education by Discretionary Catcgory. ...... ................... _.............._.._ ._......._._._ ................ . 37 Figure. 24. Special Ed, Education Environment by Race & Ethnicity... ............._............. .._........_._................. 39 Figure 25. CRDC Discipline, % Special Education Students Referred to Law Enforcement & Subject to School - related Arrest..... .......... .................. .... ........... . _. ..... .... .... .. ............. ._ ..... 40 Figure 26. Contact Points Juvenile justice. ................... ............. ............................... _. ..... ....... . ...... ........... ... ....... ..42 Figure 27. Juveniles Arrested by Race.. .... ... ................. _............ .... .......... ...... ......... ......_. ......... .._.. ..... ... ....... .. 43 Figure 28. Relative Rates for JJ Cont act ................... ..... ............. ................. ...... .... .... ......... --- ... ... .......... .. ......... 43 Figure 29 juveniles in Residential Facilities by Race & Ethnicity ... ........... ........... - ... .... .... ......... .. ....................... 45 Figure 30. lime Detained by Race & Ethnicity......_ .......... .................. .... ........._ ........ ....._..._ ............ 5 Figure31. Earnings by Status...- ...... .................................... .... ... ................................................ _. ........................... 48 Figure 32. Annual Costs per Inmate/Student ..... .... _. .........-- ........... ...... ......... ...... ---- ...... ............... 49 Figure 33. Reducing the Number of Youth in Juvenile Facilities....._ .................................. ..._.........................50 Figure 34. Security Presence in Schools % Students of Color .... .. ................. ............_......__ ..._.........................52 Figure 35. U.S. Teacher Population by Race & Ethnicity ..... .................................. .... ............... ........ . _. ........ ..._60 Figure 36, Federal Prison Staffing by Race & Fi nucitv .. ..... ..... .............................. .... ........ ................ ........... _...60 R ACKNOWLEDGEMENTS The ABA's joint Task Force on Reversing the School -to- Prison Pipeline would like to express our deep gratitude and sincere appreciation to the following individuals and entities: ABA President Paulette Brown for her unwavering support, assistance and leadership with the issues of the school -to prison pipeline. President Brown's commitment and dedication have helped to improve the lives of so many of our young people. ABA leaders and chairpersons of Association entities that have so graciously provided resources and support: Leigh -Ann Buchanan, current Chairperson; former Chairperson, justice Michael Hyman of the Coalition on Racial & Ethnic Justice; Justice Bernice Donald, Chairperson of the Criminal Justice Section; and Kenneth Standard, Chairperson of the Council for Racial & Ethnic Diversity in the Educational Pipeline, the Section of Litigation, and the Tort Trial & Insurance Practice Section. Members of the ABA Coalition on Racial & Ethnic Justice who so kindly dedicated their resources and volunteered their time to successfully coordinate, plan and implement Town Halls: Kimberly Greeley, Pat Char, Patty Ferguson - Bohnee and her entire staff, and Sumbal Mahmud. Professor Jason P. Nance and his research assistants Anthony Kakoyannis, Samanta Franchim, and Laura Liles at the University of Florida Levin College of Law for their outstanding commitment and hard work. This report would not have been possible without the enthusiastic and excellent help in reviewing the draft from the student team at the University of Memphis Law Review, especially Gregory A. Wagner, Sarah Smith, and Carl Benjamin Lewis. The many experts, speakers and participants in all of our Town Hall Forums deserve our special thanks for their suggestions, insights and continued support and assistance with the work of the joint I ask Force. January 28, 2016 PRELIMINARY REPORT AND RECOMMENDATIONS PREFACE In 2014, the American Bar Association (ABA) Coalition on Racial and Ethnic Justice (COREJ) turned its attention to the continuing failures in the education system where certain groups of students —for example, students of color, with disabilities, or LGB'LQ —are disproportionately over- or incorrectly categorized in special education, are disciplined more harshly, including referral to law enforcement for minimal misbehavior, achieve at lower levels, and eventually drop or are pushed out of school, often into juvenile justice facilities and prisons —a pattern now commonly referred to as the School -to- Prison Pipeline (StPP). While this problem certainly is not new, it presented a convergence of several laws, policies, and practices where the legal community's intervention is critical. Joined by the ABA Pipeline Council and Criminal Justice Section, and supported by its sister ABA entities, COREJ sponsored a series of eight Town Halls across the country to investigate the issues surrounding this pipeline. The focus of these Town Halls was to 1) explore the issues as they presented themselves for various groups and various locales; 2) gather testimony on solutions that showed success, with particular focus on interventions where the legal community could be most effective in interrupting and reversing the StPP; and 3) draw attention to the role implicit bias plays in creating and maintaining this pipeline. This report is a result of those convenings. Also a result was the formation of a Joint "Cask Force among the three convening entities to provide an organizational structure to address Reversing the School -to- Prison Pipeline (RStPP) To analyze the complexities surrounding the school -to -prison pipeline and identify potential solutions to reverse these negative trends, the Joint RStPP Task Force: 1. Organized and conducted eight Town Hall meetings in various parts of the United States during which several area experts and community members voiced concerns, discussed the problems, and proposed solutions. 2. Analyzed and cumulated national data from the U.S. Department of Education's Civil Rights Data Collection and other available local data to gauge the magnitude and scope of the problems. 3. Served as a clearinghouse for information and reports relevant to the RStPP effort and disseminated that information. 4. Examined national and state laws and local school district's policies and practices that have combined to push an increasing number of students out of school and into the justice system. 5. Analyzed laws that several states have enacted to reverse the school -to- prison pipeline. 6. Evaluated evidence -based policies and practices that various schools have implemented to reverse the school -to- prison pipeline. 7. Organized and conducted a roundtable discussion to focus exclusively on mapping out solutions to reverse these negative trends by identifying model programs and successful strategies. 8. Planned for two additional Town Halls focused on LGBTQ (San Diego) and entry points to the pipeline and juvenile justice (Memphis). 9. Drafted this preIIminary report and prepared recommendations for consideration by the larger ABA. JOINT TASK FORCE ON REVERSING THE SCHOOL -TO- PRISON PIPELINE (RSTPP) FOUNDING TASK FORCE MEMBERS Dawn Sturdevant Baum, Senior Attorney Department of the Interior, Indian Education Team Leader, Division of Indian Affairs, Office of the Solicitor (Jointly Appointed) April Frazier - Camara, Special Assistant, Juvenile Defense Unit at Shelby County Public Defender (CIS appointee) Miguel Pozo, Lowenstein Sandler LLP, immediate past President HNBA (COREJ appointee)* Sarah E. Redfield, Professor of Law Emerita, UNIT (COREJ appointee) Matthew F. Redle, County and Prosecuting Attorney, Sheridan County, Wyoming (CJS appointee) Wesley Sunu, Attorney, Sentry Insurance (Pipeline Council appointee) ** Artika R. Tyner, Assistant Professor (Public Policy /Leadership), University of Saint Thomas, College of Education, Leadership & Counseling (Pipeline Council appointee) * Replaced by Salvador A. Dominguez, Assistant U.S. Attorney, Columbus, OH ** Replaced by Diana Sen, Northeast Region Director at Office of Federal Contract Compliance Programs (OFCCP) ADVISORY COMMITTEE MEMBERS Advisory Committee members will be drawn from relevant disciplines and organizations. ABA ENTITY FOUNDING SUPPORT Center for Children and the Law Commission on Youth at Risk Section of Litigation Children's Rights Litigation Committee Conunission on Disability Lights Commission on Hispanic Legal Rights & Responsibilities TASK FORCE REPORTER Jason P. Nance, Associate Professor of Law, Associate Director of Education Law and Policy, University of Florida Levin College of Law EXECUTIVE SUMMARY OF FINDINGS AND RECOMMENDATIONS The school -to- prison pipeline —the metaphor encompassing the various issues in our education system that result in students leaving school and becoming involved in the criminal justice system —is one of our nation's most formidable challenges. It arises from low expectations and engagement, poor or lacking school relationships, low academic achievement, incorrect referral or categorization in special education, and overly harsh discipline including suspension, expulsion, referral to law enforcement, arrest, and treatment in the juvenile justice system. The Joint Task Force on Reversing the School -to- Prison Pipeline has addressed itself to issues of that pipeline by cumulating and analyzing the national and regional data as well as federal, state, and local law and policy. In 2014 -15, the Joint Task Force conducted eight Town Hall meetings to serve as a clearinghouse for information and reports relevant to the RStPP effort and a forum for understanding and evaluating evidence -based policies and practices that various schools and other institutions have implemented to reverse the school -to- prison pipeline. The Task Force has also conducted expert and roundtable discussions to map solutions to reverse these negative trends by identifying model programs and successful strategies. While many have known about the problems associated with the school -to- prison pipeline for years, recent data from the U.S. Department of Education's Civil Rights Data Collection now elucidate their magnitude and that magnitude is unacceptably large and out of proportion to the population of our young people. This disproportionatity manifests itself all along the educational pipeline from preschool to juvenile justice and even to adult prison for students of color, for students with disabilities, for LGBTQ students, and for other groups in particular settings. These students are poorly served at every juncture. Students of color are disproportionately • lower achievers and unable to read at basic or above • damaged by lower expectations and lack of engagement • retained in grade or excluded because of high stakes testing • subject to more frequent and harsher punishment • placed in alternative disciplinary schools or settings • referred to law enforcement or subject to school - related arrest • pushed or dropping out of school • failing to graduate from high school • feel threatened at school and suffer consequences as victims 10 For students with disabilities, disproportionality, manifests itself in similar ways, and race and ethnicity, gender, and disability compound. Students with disabilities (or those who are labeled as disabled by the school) are disproportionately • students of color, especially in discretionary categories under the Individuals with Disabilities Education Act (IDEA) • less likely to be academically proficient • disciplined, and more harshly so • retained in grade, but still dropping out or failing to graduate • more likely to be placed in alternative disciplinary schools or settings or otherwise more likely to spend time out of the regular classroom, to be secluded or restrained • referred to law enforcement or subject to school - related arrest and incarceration. Students who are LG6TQ face similar disproportional negative treatment and are more likely victimized and blamed as victims, and, again, the negatives compound. 'These same differences plague the juvenile justice system where youth of color, youth with disabilities, and LG6TQ youth are typically disproportionately arrested, referred, detained (longer), charged, found delinquent (or transferred to adult court). They are disproportionately confined instead of being placed on probation or into a diversion program. And all along the way, these young people caught in the school -to- prison pipeline are less likely to have access to meaningful education to allow them to graduate from high school and prepare for higher education and work opportunities. Figure 7. luvrnI Ic, I )elainrd & Placed bt 1 &- I tIInI, itv l Juveniles by Race & Ethnicity 60.0% SUA% 40.0% 300/0 White Black Illspanic Asian AIAN NHPI • Total i n luvemle Population •'I'otai DltalMd 'Total;,, Divwsion •Total Adludlcared and place) I fotil Cmrcictcd criminal court These negative disproportionali ties might be understood if removals from school were in fact making schools safer or if confinement in juvenile detention or other facilities led 11 to improved outcomes. This does not appear to be the case in practice or in theory. Nor can the disproportionate treatment of certain students and their overrepresentation in the negatives of our education and juvenile justice systems be explained away because certain groups are more likely to be engaged in bad or delinquent behavior. The causes of the school -to- prison pipeline are many, complex, and interrelated. These include criminalization of school discipline and the increased presence of law enforcement officers in schools. Throughout these causes runs evidence of implicitly biased discretionary decisions, which, unintentionally, bring about these results. RECOMMENDATIONS the school -to- prison pipeline is a complex problem with no easy or simple solutions. At their core, solutions should focus on ways to (a) improve academic achievement and increase the likelihood that students will remain in school, graduate, and prepare to become positive, contributing members of our society, (b) decrease the number of suspensions, expulsions, and referrals to law enforcement; and (c) decrease disparities along racial and other lines relating to discipline and academic achievement. While completely dismantling the school -to- prison pipeline is a task that our entire nation must take on, there are affirmative steps that the American Bar Association is well positioned to take to reverse these negative trends. Based on its national investigation, including the information gathered at the national Town Hall meetings and roundtable discussions and the extensive review of the current research, the Task Force recommends that the ABA take steps to: ABA AND PARTNERS: CONV ENINGS AND TRAINING 1. Adopt AB.A pol iii / and specifre resolutimrs ns npproprialr to hupleniew these mounneudatiomos 2. Join hniHr okherlmrbrers to cnutirwe addiftonal of Torun Hnlh disc�s+ingsoLdionsarni n/frring tnoinhrg ou irnplemrutafiou 3. Support legal representation for students at point ofereusimt Ito ills, hoot, tncLuling development of nmrtel hest p,,, tit,, training uwdules (nr lamyrrs nud irtro shutrnts fin representation for stedeuls facing sushi nsinu or erpulsiou 4. Supportougonlit eonoeuings ashen•"hool ors. 5t lmol Resmure Officers, hot, euforr euoent, and hmetdle justice densiou nuokcrs join together to llrvelop strategies to reverse the School- to-Prisfo - Pipelinr 5. Dentop tratning,,iodides for training ofSROs and police dmliogwith youth on appropriate strategies for I GBTQ students and shodetrls intth disabilities o, Droelcplraintng ill rluleson lwplirit Biasaud De- Biastug for tie, isiou,,mkenalong the SIPP bolo luog teachers mod adimitistrators, shoo/ msounr officers, police, juvenile judges and others dealing astir p ve,,des, to redun dispropmtimmhties 7. Euannnge it, ,,oe,,rhereMConlihuo- • engnge,,hval to yomotht uoeottoring initiatives R. Support relntrd legislatice and policy initatioes 12 LEGISLATION AND POLICY 9. Reniovc zero-tolerance polities from ximols 10. Support legislation elinimalingcrimmaltzing studen l misbehavior thatdoes uolenda,ger otiwrs I7. supportlegislation eliminating the use ofsuspensious, expulsions, and refirols to lain enfon tone,t for lower -level otfenses 12. Support dennoustrated altarnaCroe strategies to address sludenI misbehavior, including Restorative prsti, e 13. Provide model policy and support school policy and agreements Pont clarify the dislindimn beteoeeu educator discipline and lam eninrceurent diset plow 14. Provide appropriate training lot St aol Resou rce Ofmrs 15. Identity y hiding and provide srfe harbor for pancf ipanls in cealuataw rise ir,h on implicit bins and de- Musing training Yti. Provide for c off finmell and more detaleil data reputing rchiling to school discipline mid juvenile detention find disproportiouality 13 OVERVIEW OF THE SCHOOL -TO- PRISON PIPELINE PROBLEMZ INTRODUCTION A sheriffs deputy summoned to handle four -year old elementanj student with ADHD, admittedly having temper tantrum, handcuffs the boy. Mien his mother arrives at the school she learns that he has already been taken to the sheriffs office where handcuffs have been replaced with shackles. The mother says that her son "deserves to go to school and feel safe and know that he'll come back home to his mammy. He won't be carted off like a criminal." I But it seems that this child and far too many more of our young people will indeed be carted off like a criminal. The school -to- prison pipeline —the metaphor encompassing the various issues in our education system that result in students leaving school and becoming involved in the criminal justice system —is one of our nation's most formidable challenges.+ It arises from low expectations, low academic achievement, incorrect referral or categorization in special education, and overly harsh discipline including suspension, expulsion, referral to law enforcement, arrest, and treatment in the juvenile justice system. While many have known about the problems associated with the school -to- prison pipeline for years, recent data from the U.S. Department of Education's Civil Rights Data Collection ( "CRDC ") now elucidate their magnitude. According to the CRDC, during the 2011 -2012 school year, schools referred approximately 260,000 students to law enforcement, and approximately 92,000 students were arrested on school property during the school day or at a school- sponsored event.' Local data provide additional sobering evidence of this problem,6 especially in light of the substantial evidence that many of these referrals to law enforcement were for minor offenses.? The number of student suspensions and expulsions have also dramatically increased in recent years.s According to the CRDC, approximately 3.45 million students were suspended at least one time during the 2011 -2012 school year, and approximately 130,000 were expelled from school during that same time period9 As with referrals to law enforcement and school -based arrests, data also indicate that the majority of these suspensions and expulsions resulted from only trivial infractions of school rules or offenses, not from offenses that endangered the physical well -being of other students.10 Numbers are similar for those detained in the juvenile justice system.' 14 I iguir 2. I)iscipIinc I)isproportionaIity tMinur ( )ffensc Nis Ixamplel' The Context This report discusses data and issues that cause and maintain the school -to- prison pipeline. Some general aspects of the issue offer a frame for the particular, and go a long way toward explaining the way young people enter and remain in the pipeline. These overarching topics are reviewed here to provide context and developed further in later sections. Concepts discussed include the meaning of disproportionality; differences in relationships and expectations as they relate to the exercise of discretion. Also of particular significance is the research that debunks two common misperceptions and demonstrates instead that the disproportionalities along the school -to- prison pipeline are not simply attributable to bad (worse) behavior of certain groups and that excluding students from their regular school setting and /or detaining them in juvenile or other facilities does not necessarily contribute to either a safer or better environment or to more successful outcomes for those students. Figure ?. 0 5. Population be Ra,o t; 1 thnicIlvl' 0.3% 1.3% Population White Black or African Amerian American Indian and Alaska Native Asian Native Hawaiian and Other Pacific Islander Hispanic 15 eat Not t)mt . e '.,J "He., 'an, IN ■! aNni to { ■ th- / on«. +: •■■ k BItt1 wtnte Cell Pow¢ Dress Code Dintydw Dani of Aft.. The Context This report discusses data and issues that cause and maintain the school -to- prison pipeline. Some general aspects of the issue offer a frame for the particular, and go a long way toward explaining the way young people enter and remain in the pipeline. These overarching topics are reviewed here to provide context and developed further in later sections. Concepts discussed include the meaning of disproportionality; differences in relationships and expectations as they relate to the exercise of discretion. Also of particular significance is the research that debunks two common misperceptions and demonstrates instead that the disproportionalities along the school -to- prison pipeline are not simply attributable to bad (worse) behavior of certain groups and that excluding students from their regular school setting and /or detaining them in juvenile or other facilities does not necessarily contribute to either a safer or better environment or to more successful outcomes for those students. Figure ?. 0 5. Population be Ra,o t; 1 thnicIlvl' 0.3% 1.3% Population White Black or African Amerian American Indian and Alaska Native Asian Native Hawaiian and Other Pacific Islander Hispanic 15 • The Meaning of Disproportionality Disproportionality refers to the difference between a group's representation in the population at large and its over or under representation in specific areas." African - American students offer an illustration, which is expanded with additional data throughout the report. Figure 4. Pisproportionality Illustrated Disproportionality African American school bawd air t referred CO lmv enlorce neol r "�>t27e �� �.. one om of school suspension �5®yY:ks�^Ytl'� t :`. �'F In: drool suryet i n 4K; <a+'etiN,."+r ;irz' :. %L, population � LO 40 GO African - American students comprised only sixteen percent of the student population during the 2011 -2012 school year, but they represented thirty -two percent of students who received an in- school suspension; thirty -three percent of students who received one out -of- school suspension; forty -two percent of students who received more than one out -of- school suspension; and thirty -four percent of students who were expelled.15 During that same time frame, African - American students represented twenty-seven percent of the students who were referred to law enforcement, and thirty -one percent of students who were subject to a school -based arrestJ6In addition, although African - American children represented eighteen percent of preschool enrollment, they represented forty -eight percent of the preschool children who received more than one out -of- school suspension.17 16 Figure 5- U S. Iu%onle Population I'N Rece & I thnicity Ia Population Under 18 II I Oelad alone i?Asian alone ■ALAN ■NIIPI 0 Hlspani< While disproportionality is most often discussed in terms of Black boys,w the problem is not limited to this group. Operative variations and disproportionalities exist within each broad category and across geographical areas.20 While other groups may not have been studied as deeply,21 the disproportionalities and concerns are real. For example, disproportionality is evident in differential treatment by gender where African- American girls are more often and more severely disciplined than other girls, 22 most often, for "subjectively defined behaviors, or behaviors considered inappropriate by educators. "23 -this is true further along the pipeline as well where the data shows that the proportion of female youth arrested and entering the juvenile justice system for law violations has increased from 1980 -2010 across the spectrum of crimes from less to most serious." 24 There are also group differences when the data is reviewed by age '° Pigur" 6 :11 [tiast Unc ()ut 0["( hool Suspension I lementary K Secoildar- hA Group Nationwide Suspension Rates at U.S. Schools (2011 -12) Also significant in considering the data is the tendency of negatives of groups to compound where a student is part of more than one group, e.g., students of color who are also students with disabilities or LGBTQ students.27 17 Figure 6. Uisciplinr I )isproportiona l it% Gili1'^ 60% _... ■Tardiness 50% - _ 0 in proper dress Disobedient 40% 40% - — - - - ■ Defiance' ■ Truancy 30% ',- i Profane to student 20% i Profane to adult Fight w /student 10% ;- Threat to student Itl - Encourage to fight 0% Black Hispanic White E5CH00 L POPULATION • Differences in relationships and expectations relate to the exercise of discretion, and both can be damning. Relationships are one of the most significant factors in student learning; where those relationships are lacking or based on low expectations, learning will be damaged.29 Differences in expectations and engagement influence teaching and learning; 30 they influence the quality of instruction," and the feedback students receive 32 The so -called Pygmalion effect —a self - fulfilling prophecy or expectation effect where when teachers expect good performance they get it and vice versa —has long been known in education.33 Such self - fulfilling expectations, together with related depletion,3 can be a primary cause for racial disparities relating to academic achievement and subsequent pipeline events.3t 18 Figure S. Importance of Expectation`^ Where labeling of young people is virtually omnipresent — Limited English Proficiency, emotionally disturbed, intellectually disabled, troubled, trouble- maker, noncompliant, insubordinate, delinquent, from a bad family— decisions and actions flow from these labels and expectations they engender among both educators and students ?7 A recent study of school personnel found that less than one -third of teachers believe that schools should expect all students to meet high academic standards; and most do not believe that at risk students would respond to these high expectations and work harder.'" As a study of teachers and administrators on this particular point found, strong and high - level expectations often remain least present where they are most needed, leading one education expert to observe: "The biggest resistance to improving high schools is a deep- seated belief that many of our students cannot learn much. We've created a system that allows them to validate that .... "39 Researchers have empirically demonstrated that teachers with negative attitudes towards ethnic minorities viewed those students as less intelligent and less capable of obtaining promising post-career prospects; and student achievement differences between ethnic minority students and other students were larger in classrooms with prejudiced teachers than with teachers who held less prejudicial attitudes.3 In such a system, the exercise of discretion is crifical.41 Discretionary decisions place students in tracks or locations where those identified as "low- performing students' go to low level, unchallenging classes.'z Discretionary decisions place students disproportionately in certain special education categories.43 This foreshadows, or perhaps reflects, the related finding that many students "expressed sadness that they were not challenged more and that the classes and teachers were not inspiring `� Estimates place the impact of such negative teacher perceptions at "almost 3 times as 19 great for African Americans as for whites," larger for poor and female students, and "cumulative across disadvantages or stigmas. "45 Discretionary decisions also determine if a parent is called or a student is sent to the office, or referred to law enforcement's These decisions are often made without basis in fact, as the researchers reviewing school discipline in Texas put it: Instead, the determining factor is how teachers and administrators interpret and apply these codes of conduct. What behaviors, for example, amount to "classroom disruption "? Should a student immediately be removed from the classroom for any sign of it, and, if so, which of the various possible consequences listed in the code of conduct should be imposed? How school administrators interpret these codes, and their responses to violations, varies enormously47 And discretion shows in the results. In the Texas discipline data, African- American and Hispanic children have been found to be "slightly" more likely to be sent to the office and "substantially" more likely to be suspended or expelled48 Even when sent to the office, there are differences in the kind of triggering behavior —for African - American students, the more subjective "disrespect, excessive noise, threat, and loitering` and White students, the more objective "smoking, leaving without permission, vandalism, and obscene language. "'y Harsher treatment also occurs for relatively minor "offenses," again, disproportionately so: "suspensions frequently occur in the absence of any physical violence or blatant verbal abuse.... [Rjemoving a student from class is a highly contextualized decision based on subtle race and gender relations ... "Sn Discretionary decisions will also determine if a student is arrested, detained or diverted.' • Had or worse behavior is not the explanation for disproportionality. Disproportionate treatment of students and their overrepresentation in the negatives of our education and juvenile justice systems cannot be explained away because certain groups are more likely to be engaged in bad or delinquent behaviorSz According to the U.S. Department of Educations Office of Civil Rights, discipline and other disparities are based on race and cannot be explained by more frequent or serious misbehavior by minority students.53 As the Department recently stated, quite emphatically and unambiguously, "in our investigations we have found cases where African - American students were disciplined more harshly and more frequently because of their race than similarly situated white students. In short, racial discrimination in school discipline is a real problem "� Substantial empirical research corroborates the U.S. Department of Education's conclusion.,5 School discipline records and students self- reports also show that the concerning differences and disproportionality are not simply attributable to the 20 stigmatized group behaving "badly' relative to their peers or to socioeconomic factors.�6The Discipline Disparity Collaborative reports: The crux of the matter then, is whether African American students engage in more seriously disruptive behavior that could justify different rates and severity of consequences. A number of different methods have been used to test the idea that differential punishment is due to different rates of misbehavior. Regardless of the method, such studies have provided little to no evidence that African American students in the same school or district are engaging in more seriously disruptive behavior that could warrant higher rates of exclusion or punishments' In the juvenile justice system, studies are similar. Here, in what the Annie B. Casey Foundation labels as a "tragic irony;' many of the young people detained are held for status offenses such as running away, truancy, incorrigibility, or and technical violations such as violations of probation, parole, or valid court orders —not for violent crimes. 58 I i,�uro o. juccrilc' by 11ffcnse ' Offenses Residential Placement Overall 2011 4% • Property cnu,, Index' Violent Cif me Index' Weapons [hug Simple nssaul[ &other personal came StAtus oFlense TediNCal offense other public order 4% • W... property crime Violent property: Includes burglary, theft, auto theft, and arson. Violent Crime: Includes criminal homicide, violent sexual assault, robbery, and aggravated assault. Technical: Includes violations of probation, parole, and valid court order. Status: Includes running away, truancy, incorrigibility. Whatever the offense, racial and ethnic data remain disturbing, but, as with school data explained above, the data cannot support the view that this is because these young 21 people are more criminal. Recognizing that "[ sjome have argued that this overrepresentation of youth of color in the justice system is simply a result of those youths committing more crimes than White youth," The National Council on Crime and Delinquency summarizes that "a true analysis is much more complicated" and does not support this conclusion.60 • Exclusion and detention do not achieve better outcomes for students. As some of the leading researchers in the field have concluded, "High Suspension Rates Do Not Improve Learning Conditions. "61 It perhaps goes without saying that time spent learning is among the strongest predictors of achievement.62 Results of being out of school directly disadvantage the students and the impact is likely circular and cumulative.63 Student underachievement often leads to student misbehavior in the classroom. Empirical studies confirm that it is common for low- performing students to misbehave out of frustration or embarrassment when they are unable to learn the academic material and meet grade -level expectations s For example, research shows that when students are retained in grade, this does not improve their subsequent academic achievement 65 As many educators well understand, when students begin to comprehend that the educational process is not working for them —that they will not be admitted to college, have access to a good - paying job, or enjoy a promising career — they have fewer incentives to obey school rules and take school seriously,56leading to disciplinary exclusion, often for trivial violations of school rules.67 And student misbehavior and discipline often lead to student underachievement,68 in a "downward spiral of academic failure, disengagement from school, and antisocial behaviors. °69 As leading researchers put it, If we ignore the discipline gap, we will be unable to close the achievement gap. Of the 3.5 million students who were suspended in 2011-12,1.55 million were suspended at least twice. Given that the average suspension is conservatively put at 3.5 days, we estimate that U.S. public school children lost nearly 18 million days of instruction in just one school year because of exclusionary discipline.20 Several empirical studies support these conclusions. Analyzing longitudinal data from Florida, scholars Robert Balfanz, Vaughan Byrnes, and Joanna Hornig Fox found that the odds of a student dropping out of school increased from sixteen percent to thirty - two percent the first time that a student was suspended in the ninth grade and increased each additional time that student was suspendedT' Further, when controlling for other factors such as student demographics, attendance, and course performance, they found that each suspension decreased the odds that a student would graduate 22 from high school by twenty percent and decreased the odds of a student attending a postsecondary institution by twelve percent.72 Similarly, analyzing longitudinal data from texas, scholar Miner P. Marchbanks III and his colleagues discovered that when a student received some type of exclusionary discipline, including an in- school suspension, out -of- school suspension, expulsion, a disciplinary alternative placement, or a juvenile justice placement, that student was 23.5 percent more likely to drop out of school after accounting for other salient factors. Marchbanks claimed that even this was a conservative measure,73 and that "[w]hen a student was suspended or expelled, his or her likelihood of being involved in the juvenile justice system the subsequent year increased significantly' 74 And once students so disciplined they are significantly more likely to find themselves moving further along the pipeline toward prison. Once involved with the juvenile justice concerning results continue.75 At the prison end of the pipeline educational opportunity is severely limited in most states.76 Nor do schools with high levels of exclusionary discipline attain a higher level of academic achievement for the school as a whole: "Perhaps more important, recent research indicates a negative relationship between the use of school suspension and expulsion and school -wide academic achievement, even when controlling for demographics such as socioeconomic status. "n What is more "when harsh exclusionary policies are discontinued in schools, referrals to juvenile correctional facilities also decrease. 78 Once in the juvenile justice system and prison part of the pipeline, the results are the same. Detention /incarceration does not accomplish one of its primary objectives, which is to deter criminal behavior. Evidence of improved outcomes from detention is similar in terms of reasons for arrest and detention and results similarly unimpressive: as the Annie B. Casey report summarized: "The vast majority of studies find that incarceration is no more effective than probation or alternative sanctions in reducing the criminality of adjudicated youth, and a number of well- designed studies suggest that correctional placements actually exacerbate criminality." 79 In a comprehensive meta - analysis examining 7,304 juveniles across twenty -nine studies over a thirty -five year period, scholars Anthony Petrosino, Carolyn Turpin - Petrosino, and Sarah Guckenburg found that juvenile justice processing did not effectively deter delinquency; instead, it actually increased delinquency and future involvement in the justice system.80 In short, the research overwhelmingly demonstrates that the "official processing of a juvenile law violation may be the least effective means of rehabilitating juvenile offenders. "81 • Nor are the schools safer.H2 The negative disproportionalities might be understood if indeed removals from school were in fact making schools safer, or, if indeed, confinement in juvenile detention or other facilities led to improved outcomes. This does not appear to be the case in practice 23 or in theory.83 As researchers Dan Losen and Russell Skiba summarize, `There is no evidence that frequent reliance on removing misbehaving students improves school safety or student behavior. "m In school situations, many removals are for behaviors that do not invoke real safety concerns; "s the vast majority of suspensions -95 % of the 3.3 million children suspended from school each year —are for nonviolent offenses such as violating the dress code or "disruptive" behavior.ft9 Figure 10. Disc. -ip tine disproportiona l itv Illuatratcd& Bryant IS I), Icxas1 xall, I,[ "C tickets" are given in Texas by School Resource Officers for discipline infractions. The total here includes the subsets of disorderly and disruptive. 60% 50% -Y -- - - - ■Enrollment 30% 20% Total C tickets 10% , .r i r_, 0% ® Disorderly conduct- -SP Language ¢ eQ P� ■Oismption Bass d Ps`¢ As researcher Daniel Losen summarizes: "Contrary to popular belief, most suspensions are not for guns, drugs or violence.... Accordingly, the high rates of disciplinary removal from school currently seen in American schools cannot reasonably be attributed to the necessary responses to unlawful or dangerous misbehavior. "N8 Many removals stem from the application of the zero tolerance concept89 The concept of zero tolerance, which calls for automatic discipline in every case of the specified behavior, was spawned by the requirements of the Gun Free School Zone Act in 1.994'4' and grew to include other behaviors." A zero tolerance approach limited discretion, though research eventually revealed that discretion continued and the approach was not especially effective.92 The American Psychological Association ( "APA ") Zero Tolerance Task Force concluded that these policies neither not bring about improved school safety. On the contrary, "data on a number of indicators of school climate have shown the opposite effect, that is, that schools with higher rates of school suspension and expulsion appear to have less satisfactory ratings of school climate, less satisfactory school governance .... "53 THE MANIFESTATIONS 24 Disproportionality manifests itself all along the pipeline where students of color are poorly served a' • Students of color are disproportionately lower achievers and unable to read at basic or above. Pigurc 11. Reading Beloo. Basic be Race K I thnicit� 0% Reading Below Basic by Race & Ethnicity eo 50 50 47 49 40 30 21 20 20 10 whR, BIA, n.5 „30IC nWl MAN 4th Below Basic 8th Below basic 120h Below Bvsic The overall achievement gap between African - American, Hispanic, and American Indian Alaskan Native (AIAN) students and their White and Asian peers has been a subject of concern since at least 1966 when the U.S. Department of Health Education and Welfare commissioned the Equality of Educational Opportunity, Study (Coleman Report).96 Because reading is one of the most critical skills for every student and citizen and relates to many other academic and societal skills, one's ability to read offers a clear example of a primary academic concern. 7 Differences in reading skills begin early and endure.9” At kindergarten, African- American and Hispanic children are significantly less likely to know their letters or recognize beginning and ending sounds than their White and Asian peers.99 For example, 50% of Hispanic children recognize the letters of the alphabet when they enter kindergarten compared to 57% of African- American, 71 % of White, and 80% of Asian American children.'"" At the end of the third grade, most gaps identified in preschoolers persist.101 Significantly, a student who is not a "modestly skilled reader by the end of third grade is quite unlikely to graduate from high school. "102 The percentage of American Indian students reading below grade level at fourth grade is 53 %; for African - American students, 51 %; for Hispanic students, 49 %; for White students, 22 %; and for Asian Pacific Islanders (ASPI), 20%.103 African - American and Latino 17- year -olds, on average, read at the same level as White 13- year- olds.104 By twelfth grade, there is an almost 30- 25 point difference in scale scores on the National Assessment of Education Progress (NAEP).105 These differences remain evident notwithstanding decades of varied strategies and interventions.' b Summarizing the data on this intractable problem, leading literacy researchers conclude: Nationally reported data point to four conclusions: (1) There are differences in the emerging literacy knowledge and performance of young children entering kindergarten from various racial/ ethnic and socioeconomic backgrounds; (2) the gap is greater for children who enter school with a combination of multiple risk factor (e.g., ... whether the primary language spoken in the home is not English); (3) by grade 4, there is a significant discrepancy between the reading comprehension proficiency of European - American, non - Hispanic students and their African American and Hispanic peers, and this discrepancy continues through grade 12; and (4) these gaps have stable for more than a decade.107 Other subject areas show similar discrepancies. IM This is hardly surprising considering that these same students have fewer engaging educational experiences, "n fewer experienced highly qualified teachers, 110 less access to rigorous and high level coursework, and experience lower expectations from their teachers.' 11 • Students of color suffer disproportionately because of lower expectations and lack of engagement.t12 Engagement of a young person with his /her teachers or school or other adults is critical,113 but many adults in these systems are not engaged. As discussed in the context section, many school officials and teachers who work with minority students living in poor neighborhoods have a stronger tendency to adopt a lower level of expectations for their students.114 There is troubling empirical evidence suggesting that some teachers and school officials believe that some students, particularly African - American males, are "bound for jail' and "unsalvageable.' 115 • Students of color are disproportionately retained in grade or excluded because of high stakes testing. In early years and beyond, minority students are disproportionately held back. For American Indian - Alaskan Native students, 7% are held back in kindergarten, for Native Hawaiian Pacific Islander students, 8 %, as compared to African - American students at 5 %, White and Hispanic students at 4 %, and Asian students at 2%.116 Similar patterns continue into later grades; for example, in sixth grade, American Indian - Alaskan Natives are still held back at twice the rate of Whites, and African - American students at three times that rate; and twelve percent of African - American students are retained in ninth grade, which is nearly double the rate of all students retained.117 26 I igmr L. Retention rates Retention % Male 'Female 30.0 15.0 20.0 150 10.0 5.0 0.0 It k White Illxk HISI)afIIC Asian AIAN - , High stakes testing exacerbates these concerns. Students are disproportionately impacted by high school exit exams."' Further, federal and state education accountability laws also may create a perverse incentive to push low - performing students out of school.120 Federal and state accountability laws require students to regularly test students and impose consequences on schools that fail to meet certain standards.121 Many fear that school officials sometimes suspend, expel, or refer low - performing students to the juvenile justice system to avoid having their low scores count against their schools.'u • Students of color are disproportionately subject to more frequent and harsher punishment. School discipline runs a continuum from in -class interventions, in- school suspensions, out -of- school suspensions, placement in disciplinary alternative education programs, and to expulsions and on to the juvenile justice system and beyond. 123 27 Figure 13. I)isci pIine.\ pproaches(I,A) �' a.ewaur - ....e,�.�...w. ... The CRDC shows that African- American and American Indian- Alaskan Natives students are most disproportionately disciplined. Figure 11_ CRI X I )iscip li nc:. ha Ran• & I lthnicity: Suspensi oil /I Xpulsion' rna yam +waxwn 28 American Indian- Alaskan Natives were only 0.5% of the student population, but accounted for 3% of expulsions, 2% of multiple out of school suspensions, 2% of single out of school suspensions, and 0.2% of in school suspensions. African- American students who represented 16% of the student population in the CRDC data, are a much higher percentage of students suspended or expelled: 34% expelled, 42% subjected to multiple out of school suspensions, 33% to single out of school suspensions, and 32% to in school suspensions. In comparison, White students in the CRDC data showed a similar range between 3-40% of students suspended or expelled, but from 51 % base.126 Similarly, African- American children are 18% of the preschool population, and they represent 48% of preschool children suspended (out of school) more than once; White students, who are 43% of the preschool population, are only 26% of the children so disciplined.127 All other reported groups show preschool suspensions very close to their proportion of the population. I figure 1_5 C RIX Pi" Aline, by Race & Iithluoh: Prese111101 Suspcnsinnl 'Phis kind of disproportiona ity is especially evident for offenses that are not serious and that call for subjective judgment.129 Among students who were seriously disciplined — that is suspended for more than five days, removed from school with no services, or placed in disciplinary alternative education settings —only about 1 % of the cases involved firearms or explosives.M By comparison, insubordination accounted for 42.5% of the serious discipline caws.]'] For discipline with less serious consequences— particularly out of school suspension —the most common offenses also included insubordination together with disruption, and physical or verbal aggression.' 12 Multnomah County, Oregon, data further Illustrates this problem. With a population of 28,115 White students and 23,950 students of color, data show that in the categories that mostly involve discretion in identifying facts or interpretation of behavior, students of color (46% of population) accounted for 61% of the discipline incidents and White 29 - - - W4oM1xfixl 5uspensnn (sngln) -- . Oulotxl,wl auspBnsiOn (mu11i01e1 100% i �It } i t Tlr. ldbl�41(I �F' Y �GI ��� B0% I FI Two o, Mwa ReurB )O% �� BO% 3611 - - -, HISPOmULeuro 60 "b � Blyek Or AlekHn Ameeieen 40% 'AIL N.. H aweian OBwr acific w P ]0% 421 4B% , blwgar pK 1B% .�PYwI 10% :k e'�•4S ', "ii' ._. Yt !6ii:..`.`.. �MMIIC�I Mg1�1RA1�YaN�.� 'Phis kind of disproportiona ity is especially evident for offenses that are not serious and that call for subjective judgment.129 Among students who were seriously disciplined — that is suspended for more than five days, removed from school with no services, or placed in disciplinary alternative education settings —only about 1 % of the cases involved firearms or explosives.M By comparison, insubordination accounted for 42.5% of the serious discipline caws.]'] For discipline with less serious consequences— particularly out of school suspension —the most common offenses also included insubordination together with disruption, and physical or verbal aggression.' 12 Multnomah County, Oregon, data further Illustrates this problem. With a population of 28,115 White students and 23,950 students of color, data show that in the categories that mostly involve discretion in identifying facts or interpretation of behavior, students of color (46% of population) accounted for 61% of the discipline incidents and White 29 There has never been a school shooting stopped by an armed teacher or a citizen conceal -carry owner Article Compiled by Mary Beth Baxter from New Yorkers Against Gun Violence The closest case I ever found was of a school staff member (and Army reservist commander) who went out to their car and got a gun, but the shooting was over by that point, the shooter was out of ammo and was driving out of the parking lot (the only reason he was stopped was that the shooter crashed his car, allowing the staff member to get to him and hold him under arrest. However, there HAVE been plenty of cases where gun owners, legally carrying guns on school grounds, have CAUSED incidents on campus., including incidents that wound children, other adults, or themselves. Here is a list of those incidents that I have found, which will be updated as I find more. So far, it is up to TWENTY TWO incidents, resulting in the wounding of five children and five adults. Fourteen incidents were caused by police officers or security guards. March 13, 2018: A teacher and reserve police officer was giving a class on gun safety in his high school classroom in Seaside, CA, when he unintentionally fired his gun toward the ceiling. Bullet fragments wounded a 17 -year old boy in the neck. Other students were injured by debris falling from the ceiling. March 13, 2018: A school resource officer unintentionally discharged his handgun inside an Alexandria, VA, middle school. Luckily no one was injured. February 28, 2018: A high school social studies teacher in Dalton, Georgia, barricaded himself in a classroom and fired a shot from a hantlgun. Luckily, no one was injured, and he was taken into custody. He had a history of mental problems and violent behavior that had led, at one time, of having his guns removed. February 5, 2018: A police officer was at an elementary school in MaplewooQ MN, "building relationships" with 3rd and 4th graders when one little boy reached over and pulled the trigger on the officer's holstered handgun. The gun fired into the floor. Luckily, no one was injured. September 13, 2016: A school teacher at Cumberland Christian School, in Chambersburg, PA, left a loaded, unsecured handgun on a toilet in a bathroom. Four children, ages 6 to 8, went in the bathroom before one of the children reported the gun. Luckily, none of them fired the gun. February 19, 2015: A school resource officer at Western Wayne School District in Pennsylvania unintentionally fired his handgun in the school. Luckily, no one was injured. September 11, 2014: A leacher was in the bathroom of a school in Taylorsville, Utah, when she unintentionally shot herself in the leg with her own hantlgun. January 18, 2014: An armed security guard left his weapon unattended in the bathroom, fully accessible to K-8 students, despite being a retired police weapons instructor January 18, 2014: Two police oficers serving as school resource officers decided to dean their guns while on the grounds of an Akron, Ohio, high school. One of them unintentionally discharged his gun. Luckily, no one was injured. October 24, 2013: A police officer left his loaded AR -15 assault nffe strapped to his motorcycle while visiting an elementary school. A boy pulled the trigger, firing the weapon and leading to a shrapnel injury of three kids. August 24, 2013: A SWAT police officer was giving a presentation at an elementary school in Lodi, California, when a 6.8 year old boy fired the officers holstered gun, hitting the officer in the leg. May 15, 2013: A Winchester, PA, police officer boarded a special needs school bus to calm a student. After the officer set next to him, the child reached over and pulled the bigger on the officers handgun, discharging a round into the bus seat and floor. Luckily, no one was injured. May 14, 2013: A school staffer with a conceal carry permit was offering a ride to a student, in the parking lot of a high school in Aurora, Colorado, when he unintentionally fired his legally concealed handgun, hitting the student in the leg. April 16, 2013: A Boy Scout troop leader, who was also a retired police officer and conceal carry permit holder, dropped a fanny pack containing his gun while attending a scout meeting inside a Des Plains, Illinois, grade school. The gun discharged, striking him in the leg. No one else was injured. March 6, 2013: A recently- started armed resource officer program at schools in Highland, New York, was suspended after one of the security guards unintentionally fired his weapon in school. Children were present, but luckily no one was injured. March 1, 2013: During a conceal carry training class, on school grounds, which was part of a new program to arts school staff, a school maintenance worker who was a student in the Gass unintentionally fired his weapon, wounding himself in the leg. January 17. 2013: A charter school in Lapeer., Michigan, decided to start having an armed guard on campus. Three days after hiring a guard, the man left his weapon in a school bathroom where kids could have found it October 8, 2012: A man with a concealed handgun visited an elementary school classroom in Moore, Oklahoma, to help the teacher with her computer. His gun fell out and he left without it, only realizing it was missing after the media reported it Small children were present in the room at the time March 22, 2012: A volunteer track coach at John Mall High School in Walsenburg, Colorado, unintentionally shot himself in the leg with his new .40 caliber Glock handgun, nearly bleeding to death. He was in his vehicle in the parking lot of the school sports complex. December 8, 2011 -. A janitor with a conceal carry permit was working on ceiling tiles in a preschool classroom in Waterbury, Connecticut, when he took off his gun belt. He then left the loaded gun in the classroom and forgot about it Monday morning, teachers came in the room and found the gun, only moments before 3- and 4 -year olds entered the room. September 12, 2011: An armed security guard, patrolling schools at night in Salem, Oregon, unintentionally lost his loaded firearm somewhere during his rounds. The gun was never found. May 12, 2011: A school resource officer was cleaning his gun, while in the school building, and unintentionally fired the gun. The round went through the wall and into the nurse's room where there were two student, the nurse, and another adult. Luckily, no one was injured. Email inquiries MafVbeth(a)nvacv orc ....::::,« .............I—.,......—.„........__.........,.,... ...,..................._....... Is the school district going to be responsible for liability, neglect, and lass of life if a child is injured or killed by an armed guard? What will the insurance costs be associated with armed guards in schools? Who will pay for training armed guards? STUDENTS, POLICE, AND THE SCHOOL -TO- PRISON PIPELINE Jason P. Nance' ABSTRACT Since the terrible shootings at Sandy Hook Elementary School in Newtown, Connisloul, lawmakers and school officials continue to deliberate over new laws to keep students safe, including pulling more police officers in schools. Yet not enough attention has been given to the potential negative consequences than these new laws may have on students and the school -to- prison pipeline. In the past, certain lower- level, common offenses that occurred at school, such cis fighting or threats without use of a weapon, traditionally were handled only by educators, not by police offcerv. Drawing on recent rewricled data from the U.S. Department of education, this Article presents an original empiru al analysis revealing that a police officer s regular presence at a school significantly increases the odds than school officials will refer students to law enforcement for various offenses-, including these lower -level offenses that should be addressed using more pedagogically -sound methods. This bend holds true even after, onlrolling for (/) .stale statutes that require schools to report certain incidents to law enforcement; (2) general levels of criminal activity and disorder that occur at the school; (3) neighborhood crime; and (4) other demographic variables. The consequences of involving students in the criminal justice system are severe, especiallyfor students of color, and may negatively affect the trajectory of .students' lives. Therefore, lawmakers and school officials should consider alternative methods to create safer learning environments. ' Associate Professor of Law, University of Florida Levin College of Law. 1 D., University of Pennsylvania Law School, Ph. D_, M. A_, Educational Administration, The Ohio State University . I would like to thank the following individuals for the helpful feedback and assistance they provided for this Article. Tamar Birckhead, Derek Black, Kevin Brown, June Carbone, Nancy Dowd, Jamison Fargo, Barry Feld, Robert Garda, Jr., Marsha Garrison, Michael Heise, Danielle Holley- Walker, Darren Hutchinson, E. Lea Johnston, Tom C.W. Lin, Sharon Rush, Chris Slobogin, D. Daniel Sokol, John Stinnemal, Larry Winner, Robin Fretwell Wilson, Michael Allan Wolf, and Marcia Yablori I also appreciate the helpful comments provided by faculty members during presentations of earlier versions of this work at the University of Georgia School of Law, the 2014 Lawand Society Association Annual Meeting; the Central States Law Schools Association 2014 Scholarship Conference; the Southeastern Association of Law Schools 2014 Annual Conference; the 2015 Annual Meeting of the Association of American Law Schools, and the 2015 Harry Krause Emerging Scholars Workshop at the University of Illinois College of Law_ 1 received excellent research assistance from Leah Henrich, Dustin Mauser- Claassen, Marla Spector, and John Van Hise. I am grateful for the summer research grant provided by the University of Florida Levin College of Law_ Finally, I would like to thank the U.S. Department of Education for providing access to the restricted -use data for the 2009-2010 School Survey on Crime and Safety and for its permission to disseminate the results ofthis empirical analysis. WASH. U. L. REV. (forthcoming) [Vol, 931 TABLE OF CONTENTS INTRODUCTION ..................... _.......................... _ ......... -.... _...... - .... ..... 2 1. THE RISE OFTHE SCHOOL-TO-PRISON PIPELINE .............................8 A. Zero Tolerance Laws and Policies_.. _......._.. _.__._._.___.. II B. Federal and State Statutory Reporting Requirements.......... 13 C. Students' Lilnited Consittutiortal Protections at School...... 15 D. High - Stakes Testing Laws .... ............ - ... - ...... ............... ..... -17 E. The MindsetofEducat ors ...................... _........................... 18 11. LAW ENFORCEMENT OFFICERS IN SCHOOLS ... ................ ....... - .... 11 111. THE IMPACT OF THESE LAWS, POLICIES, AND PRACTICES ON STUDEN'T'S......... ............ ........................ ......... .__............27 IV. EHE EMPIRICAL STUDY ... .... _ ..................... .. ......_...... ....... ..._.....31 A. The Data._ ..... ...... ...... .................._....... ............................... 32 B. Dependent Variables . ...... .................. . ....._....._....._....._..... 33 C. Independent Variables ..... ..... _.. __..__..... ..... _............. .... 34 D. Models and Empirical Methodology_ ........ _... ...... _._....._39 E. Resultsofthe EmpiricalAnabvsi.s._ ... ._ ................. ...__...__40 F. Limitations of the Empirical Study ... ................__..... 46 V. DISCUSSION AND RECOMMENDATIONS ............. ............................. 47 A. Discussion of Empirical Findings .. .._....._....._................. 47 B. Recommendat ions_.__...__.__..._._..__.. _._.........__....__... 50 CONCLUSION.............................. _.................... ............................... .................. 54 APPENDIX.. ... _.... - ....................... ..... _........................ ....... ....... ...... 55 Although the phrase ".school -to- prison pipeline' has become part of the national lexicon, it has yet to enter the lexicon of our courts.._ It is no doubt correct that early and positive intervention by famil y and educators will best realign [a student's] errant behavior and most likely lead m a productive life. That should be the educational goal of our school swstem in dealing with 'students]. It should be a societal goal.' INTRODUCTION On September 18, 2007, Pleajhai Mervin, a 16- year -old student, dropped some birthday cake on the school cafeteria Hour.' This seemingly small incident escalated quickly when Pleajhai failed to clean up the cake to the satisfaction of a police officer stationed at a high school, became involved in a scuffle with the officer, and subsequently was arrested for this conduct.' A fourteen- year -old ' Hawker v. Sandy City Corp., _ F3d _ (10th Fir- 2014) (Lucero, 1., concurring). E Ann M. Simmons, HighYchool Senflte Exposes a Racial Rift, L.A TPaFi;, Oct I I, 2007, hnp. / /articles latimes -eom/ 2007 /oct /I IAocal /me- palmdalel1. 'Id. 2015 SCHOOL- 1'O-PRISON PIPELINE student recording the incident was also arrested when he failed to hand over the camera and became involved in the scuffle" Both students were charged with battery.' Referring students to law enforcement for offenses that were once handled only by educators using pedagogically -sound measures is an increasingly common feature of our public school system.6 The anecdotal evidence of police officers mishandling student disciplinary problems abound. For example, police officers stationed at schools have arrested students for testing, passing gas in class, violating the school dress code, stealing two dollars from a classmate, bringing a cell phone to class, arriving late to school, or telling classmates waiting in the school lunch line that he would "get them" if they ate all of the potatoes.' In 2007, the police even arrested six - year -old Desre'e Watson for throwing a temper tantrum in an elementary school in central Florida.s The police had to place the handcuffs around Desre'e's biceps as the police escorted her to the police station because her wrists were too small.' Students' increased involvement with the justice system is part of a growing concern that many dub the "school -to- prison pipeline . "10 The term "school -to- prison pipeline" ( "Pipeline ") connotes the intersection of the K -12 public education system and law enforcement and the trend of referring students directly to law enforcement for Id . ld. a See Hawker, F 3d at : see also Ben Brown, Understanding and Assessing .School Police Officers: A Com epllml and Melhodologiral Collunenl, 341 CIUM_List 591, 591 (2006). '.See Matthew T. Theriot, School Resourre Officers and the Crininaliwlion of Student Behavior, 37 J. OF CICIJ Jus'r 280, 281 (2009) (describing arrests for trivial offenses), Shad' Durhams, 7iroa Lao Student Arrested. Pined After Repented lesling. MILWAIJKISI J. SI:NI1NUl, Feb_ 18, 2009, at B8, NBC Newscom, Student Arrested for `Passing Gas" at Fla. School (Nov. 24, 2008), hap'. / /www_nbcnewsscom /id1278 98395 /ns/us news-weird _news/Ustudent- arrested- passing - gas -fla- school /'4 VFIEEPnF98L, Am. Civil . 1,1131k]IIs UNION, CRIMINAI1/1W 1111 CLASSROt)m: Tia OVI R-POl -ICIN6 OF Slim YORK CITY SCHOOLS 6, 14 (2007), available at http'. / /www.nyclu orl/pdfs /criminalizing the clmsroom_report_pdf (describing the arrests of students resulting from bringing cell phones to school and bang late to class). s See Bob Herbert, 6 Year Olds Under Arrest, N. Y. TIMU, Apr. 9, 2007, at A17. "In, O S'ee, e.,g., Christ Parsons, Obasna Naas m Slop'S'rhoob to Prison Pipeline' for Minorities, L.A_ Timis (Feb. 11, 2014, 3:00 AM), http: / /www_lav mes. co m/natlon/politics /pot iti csnowd a-pnabama- stop- school- prison- pipeline - 2 01 4 02 1 0- story .had (discussing President Obamn's "plans to launch an initiative aimed at improving the lives of young black and Latina men" by stopping the school -to- prison pipeline), Durbin Holds Hearing on Ending the .school -to Prison Pipeline, Dick Durbin, US Senator for Illinois (Dec. 12, 2012) http'. / /www.durbin. senate. gov/ public/indexsfm /pressreleases91D= 7dcaee2b- b40e- 4199- bt20- 557b4bIbc650 (explaining Senator Durbin's position in favor of "reforms to better discipline our students without forcing them out of the classroom and into a courtmom" ). WASH. U. L. REV. (forthcoming) [Vol. 931 committing offenses at school or creating conditions that increase the probability of students being wrested, such as suspending or expelling them.11 Although some may believe that arresting students may "scare them straight," on the contrary, an arrest usually does not achieve the desired reformative effect, and the negative consequences that often occur instead are quite severe. Empirical studies demonstrate that aresting a student substantially reduces the odds that the student will graduate from high school, especially if that student appears in court. 12 It also lowers the student's performance on standardized tests, decreases Future employment opportunities, and increases the likelihood of future involvement in the criminal justice systeln.13 Furthermore, the Pipeline does not impact all racial groups equally. Abundant empirical evidence demonstrates that students of color are affected disproportionately throughout every stage of the Pipeline. For example, minority students are disciplined more often and more severely than white students for committing similar offenses, 14 and have higher arrest and conviction rates when they are referred to the justice system.` See Hmvker, F 3 at _ (quoting Jason P. Nance, School Surveillance and the Fourth Amendment, 2014 Wis. L. REV. 79, 83), U.S. DPY'l OF Jusnee& U.S. DFP'T OP EDUC, DEAR COLLLAGUG LL TER ON NONDISCRUATNATORY ADMINIs'i RAI ION OF SCI TOOL DISCIPLINE OF SCHOOL DISCII'I.MF. 4 (Jan. 8, 2014), available at http.//wwv2ed_gov/ about /offices/ list /ocrdetters /colleague- 201401- title -vt pdf [hereinafter Dwi COLLEAGUE Le'rTFR]_ 12 .See CA I3ID;RMIi Y. KIM, DANI6i, J. LoKhN & DAMDN T. HEWITT, THE SCHOOI: 3O- PRISON PR'P.1.MEI STRUCTURING LP.GAL REFORM 113 (2010), Gary Sweeten, Who [Null Graduate? Disruption of High School LGrs,alion by Arrest and (,'ours hmolvernent, 23 JDsl Q. 462, 473, 478 -79 (2006), ADVANCENIdN I PROntC1, EDUCATION ON LOCKW WN: TIIE SCHOOL1100m.. iO JArLHO11SF TRACK 12 (2005) [hereinafter ADVANCI MFNF PROR!C'r, EDUCA'OON oN L(KKDOWN], availableW http'. //b.3cdn. net/ advancement /535ll8Oe24cb] 66,102 mlbrggxlh_pdf C See Kivu, TOWN, & HEWI'rT, supra note 12, at 113_ " .See. e.g, Susanne E. Eckes & Kevin Brown, African American DisproporlionaliN in School Discipline: The Divide Bemveen ]test Evidence and Legal Rearedv, 54 N.Y.L. SCH_ L. REv. 1071, 108"9 (2009/2010) (describing the empirical evidence of racial disproportional try of school discipline); Theresa Glennou, Looking for Air. lscavaling Destn¢'live Educational and Racial Policies to Huild So, ccessful School Conmmnines, in JUSTICF FOR Kris l KEEPING KIDS Out oP rut: JIIVLNII J: JUST W1 SYSI Flo 107, 110-11 (Nancy F.. Dowd ad, 2011) (citing studies that demonstrate that minority students are disciplined disproportionately). Is See Nancy E. Dowd, It'hal Men ?'lhe Essentialist L7ror of the "End of Men," 93 B . L. RFv_ 1205, 1222 -23 (2013) (observing that that disproportionate no nonty confinement "is present throughout the juvenile justice system, reflected in disparate and harsher treatment, as well as disproportionate and unnecessary entry and penetration into the j uvende j ustice system," and "is not due to differential offending"), Jason P. Nance & Paul P.. Madsen, An Empirical Analysis of Diversity in the legal Prolevsion, 47 CONN_ L. REv. 271, 293 -94 (2014) (citing empirical evidence of higher conviction rates for minorities for similar offenses)_ 2015 SCHOOL -TO- PRISON PIPELINE The Pipeline's deleterious impact on the lives of students and our society has not gone unnoticed, and there have been several calls to action to change its negative trajectory. For example, in March 2012, prominent education and judicial leaders from around the country gathered at a conference to discuss ending the Pipeline. 16 That smnrtdt sparked several other gatherings. 17 In addition, the U.S. Department of Education's Office of Civil Rights (ORC) and the U.S. Department of Justice have conducted several compliance reviews and have filed actions to ensure that schools do not discriminate on the basis of race by disciplining minorities more frequently or harshly than similarly - situated white students." Further, in December of 2012, the Senate Judiciary Subcommittee on the Constitution, Civil Rights and Human Rights held a hearing to discuss ending the Pipeline for the first time in our nation's history.19 Nevertheless, only two days after that historic U.S. Congressional hearing, a tragic event took place that has since served as a catalyst for new laws and practices that may significantly exacerbate the Pipeline. Specifically, on December 14, 2012, Adam Lanza brutally massacred twenty children and six educators at Sandy Hook Elementary School in Newtown, Connecticut, provoking deep feelings of sadness, anger, and fear. 211 Similar to prior responses after high- profile incidents of 1° .See National [.enders /rip Summit on School bolke Partnerships, Niw YORK UNIFIED COURT SYSIEM, hfps / /www.nycoum govl p/ justiceforchildren /schooljusticeshtm] (last visited Dec. 29,2014). 17 See. eg., Keeping Kids in Schaal & Our of Court, CAIAFORNIA COURIS, Keeping Kids in School and Out of Court Summit, http / /www.wurts cagov/23902him (last visited Aug- 7, 2014), Nltw YORK STATE UNII'IED CUt1RI SYSIrm, httles / /www. nycouns govt p/ jusficefomhildrm /sehooljashceshlml (last visited Aug. 7, 2014). n" .See U S. Dep't of Edue Office for Civil Rights, Recent Resohrdons, 1mp:// www2 .ed.gov /about/offices4ist /ocr/ dots /investigaiions/index html#nde6r ev (last visited Sept 5, 2014) (listing numerous compliance reviews with school districts), U.S_ Dep't of Justice, Justice Department Piles Consent /Decree to Prevent and Address Racial Disrrrmination in S'ttalent Diseiptine in Meridian. Ws. (Mar. 22, 2013), Imp.Uwwwjustice. gov /opa/prh�tice- depanment -files- consent- decree - prevent - and - address- racial - discrimination- student (repotting that the Justice Department entered into a consent decree with Mendian Public School Dismet to prevent and address racial discrimination in disciplinary actions against students). 'v S'ee finding the SO haol- ta- Prismt Pipeline: Hearing Re %ore the S'nhemmrt. at the Conslimtion. Civil Rights, and Hanna Rights of the S roams. Oa the Jadietars, 112th Cong_ (2012), available at hrtp / /judiciary . senate.gov/ meetings /location- change- ending - the - school -to- prison- pipeline: Susan Ferriss, School to Prison Pipeline Hit on C'aptiol Hill, FIR_ FOR Plin INILGRIIv (J. 24, 2013, 600 AM), hap d/www_pubGcintegno, org/2012/12/13/1192 I /school - prison - pipeline -hit- capitol -hill. "' See. e.g., Tom Raum & Jennifer Agiesta, Poll: Americans Angrier Abom Sandy Hook than 9111 Attacks, CNSsi (Jan. 16, 2013), hap'. / /cnsnews. com/news/article/poll-americms-angrier-about-s=dy-hook- WASH. U. L. REV. (forthcoming) [Vol. 931 school violence, many Americans demanded that lawmakers and school officials intensify school security measures and increase the presence of law enforcement officers in our nation's schools.cl While some criticized those demands, the federal government and several state legislatures responded by introducing or passing laws that provide more money to hire law enforcement officers and install greater security measures in schools 21 Such laws were introduced or passed without adequate research regarding whether these very expensive measures actually will improve school safety. 2' But perhaps more importantly, there has been too little empirical attention given to the potential negative consequences of using these strict measures, including their effects on fueling the Pipeline. This Article illuminates this important discussion in at least two ways. First, drawing on a large, national, restricted- access daloset recently released by the U.S. Department of Education, this Article presents an original empirical analysis of sensitive data relating to conditions under which schools refer students to law enforcement for various offenses that occur on school grounds. The empirical analysis reveals that, even after controlling for (1) state statutes that require schools to report certain incidents to law enforcement, (2) general levels of criminal activity and disorder that occur at the school, (3) neighborhood crime, and (4) other demographic variables, a police officer's regular presence at a school significantly increases the odds that school officials will refer students to law enforcement for Nations offenses, including seemingly minor offenses." This finding has serious implications as lawmakers and school officials continue to deliberate over whether to use their limited resources to hire more law enforcement officers to patrol school grounds. Second, this Article urges lawmakers and school officials to use their resources to adopt alteril measures to promote school safety shooting -91 I- attacks (reporting the anger Americans felt over the Newtown shootings). sI .See. e.q, Remarks from the ARA Pre" (.'oathrence on Sandv Hook Sc6oal Shaotinq, WASH. Post (Dec. 21, 2012), avuilabl, m Imp' / /www. washingtonpost.com/polit es/remarks- from- the- nra- press- conferenceon- sandy- hook - school - shooting- deliveredon- dee- 21 -2012- transcript/ 2012 /12 /21/hd1841fe- 4688- I1e2- a6a6- aebac85e8036_story him[ (calling for all schools to be staffed with armed guards). ` See. e.g,, Thomas J. Masson, John L Brent, & Aaron Kupchik, School Crime and S,,.rav, in HANDB(X)K ON MFASORISNU,NI IS.SUIiS IT CRIMINOLOGY ANT) CRIMINAL hisimt 5 -6 (Timothy S. Bynum & Beth M. Nuebner eds, forthcoming) (describing criticisms launched at the NRA's suggestion to staff every school with an armed guard). v See infra Pan B. za NATHAN JAMLS& GA I.MCCAI.I.ION, CONG. RFSFAR(_H SFRV., RL 7 -5700, SCJa sa, RFSOIIRCII GPPIciRks LAW ENI'ORCEMENI 0I'17ICEIAS IN SCH(X)I S 10-11 (2013); see also Mowen, Brent, & Kupchik, supra note 22, at 9 ( "Of the research that exists, there is no clear evidence that the presence of armed guards or SROs can effectively prevent school violence u See nlfra Part IV. 2015 SCHOOL- TO-PRISON PIPELINE instead of resorting to measures that rely on coercion, punishment, and fear. 'his is especially important when such measures tend to push students out of school and into the juvenile justice system, which can have such devastating, long- lasting consequences on the lives of studentS.26 A growing body of research suggests that programs that promote a strong sense of community and collective responsibility enhance school safety much more effectively than police officers and other strict security measures without degrading the learning environment.' And while these alternative measures may not prevent a determined, deranged individual from harming members of the school community, the rarity of these events cannot justify the enormous amount of resources that would be needed to protect students at all times and in all places while they are at school. Indeed, in the wake of highly - publicized acts of school violence, the public often forgets that schools remain among the safest places for children.'-" "this Article proceeds in five Parts. Parts 1 through III provide the contextual background for the empirical analysis. Part I describes the laws, policies, and practices that have contributed to the creation of a pathway from school to prison for many students. Part II focuses specifically on the growing use of law enforcement to handle disciplinary problems that school officials traditionally handled internally in years past, which has significantly aggravated the Pipeline. It further describes the recent escalation of police presence in schools, despite the movement towards reform, in the wake of the Newtown shootings. Part III discusses the detrimental impact of the Pipeline on youth. Part IV presents an original empirical analysis examining the relationship between a police officer's regular presence at a school and the odds that school officials will refer students to law enforcement for committing various offenses. Part V evaluates the concerns presented in the empirical findings and recommends measures to address those concerns. Specifically, it urges lawmakers and school officials to adopt alternative methods to enhance school safety without degrading the learning environment It also recommends 2b See infra Part W. See infra Part V_ s" See Anne Duncan, Reaouroes for Schools lo Prepare for and Recover from C'rivis, OttiCiAr BLrxl U.S. DLF'i Euuc (Dec. 17, 2012), latee //w S, ed. gov/blog/ 2012 /12/resources- for - schools -to- prepare- for -md- recover- from - crisis/ ( "Schools are among the safest places for children and adolescents in our country, and, in fact, crime in schools has been trending downward for more than a decade" ), see also BARLARA FFDDERS, JASON LANGULRG & JI.WPIIR STORY, SCHOOI. SAI'l'TY IN NORIII CAROLINA_ RFALITTFs, RlCOMMI1NDAIIONS & Ri!soirnci 9 4 (May 2013), available at hip 7,ww. issuelab.org/ resource /school_safety in north _carohna_ realities rec ommendations_and resources ( "School violence that results in death is extremely rare. Young people are much more likely to be harmed in the home or on the streets than they are in schools ") (citations omitted), Randall R. Beger, The "Wars( of Both Worlds' .School .Secarlry and the Disappearing Fourth Amendment Rights of Smdems, 28 Cium lust. RFv. 336,338 (2003) ( "Contrary to popular belief, schools remain among the safest places for children." ). WASH. U. L. REV. (forthcoming) [Vol. 931 that, if lawmakers and school officials do rely on police officers to protect students, police officers and school officials receive more training regarding how to appropriately discipline students and, additionally, enter into memorandums of understanding to avoid involving students with law enforcement for lower -level offenses. I. THE RISE OF THE SCHOOL -TO- PRISON PIPELINE Over the last three decades, there has been a distinct shift among many lawmakers and school officials regarding how to discipline children for violations of school rules. While at one time it was common to send students involved in a fight to the principal's office for assessment and discipline, in too many schools today it is just as common to refer those students to law enforcement for arrest and prosecution. 29 Several scholars have referred to this shift as the °criminalizition of school discipline ... 'o The reasons behind the criminalization of school discipline are complex." Several scholars have observed that the criminalization of school discipline has emerged parallel to and in connection with the criminalization of social problems generally in the United States:" For is See, e.g., FIT) ADVISORY COMM_ ON JLLV, JUST'., ANNIJAL RFFORF 10 (2010), FLORIDA STAN COMTRENCF NAAPC, ADVANCF.MFN'r PROJECT, & NAACP LEGAI. DrA NSE AND EDUC. FUND, INC, ARRL511NG DiNH OPMFNT. ADDRESSING DIF SCHOOL DISCIPLINE CRISIS M FLORIDA 6 (2006) [hereinafter ARRESTING DEVLLOPMIINI], available at hap //b.3cdn. net / advancement/ e36d17097615e7c612 _bbm6vubOw.pdf (observing that in the state of Florida during the 2004 -2005 school year, there were 26,990 school - related referrals to the Florida Department of Juvenile Justice, and seventy -six percent of those referrals were for misdemeanor offenses such as disorderly conduct, trespassing, and fighting without a weapon), JDSacE POLICY VI , EDUCAHON UNDLR ANSI sr. Too CASE AGAINST POLICE IN SCHOOLS 15 (2011) [hereinafter prior At UNDER ARREST], available at hap /IoD,vjustieepoliey- org/uploads /JusbeepoGey /documents /edueationunderar rest _fullreport .pdf (stating that during the 2007 -08 school year in Jefferson County, Alabama, ninety -six percent of students referred to juvenile court were for misdemeanors that included disorderly conduct and fighting without a weapon) i° See Kathleen Nolan & Jean Anyon, Learning to Do Time_ Willis E Model ofCuhural Reprodru-tion in au lira of Posaindusttialiern. Globalization, and Mass lncareeratioq in LFARNING To LABOR M NEw TIMFS 133, 136 (Nadine Dolby et al_ eds_, 2004), Henry Giroux, Raeiat lavislue and Disposable Youth in the Age of Zero 'l'olermtce, 16INI'I. J. QUN.HADVL Sim) 553, 557 -58 (2010), Paul J. Hirschfield, Preparing for Prison? the Crirninalitation of School Di oplrue in the USA, 12 111FORE'rlcn1. CrvNmOI,oNY 79,88 (2008), Theriot, supra note 7, at 280, Kernn C. Wolf, Arrest Decision Making by School Resource Offuers, YOU'nt VU LI NCE AND JUV_ JUSI. I, 3 (2013). " ,See Derek W. Black, The Comailulionat Limit of Zero Tolerance in .Schooh, 99 MINN. L. REV. 823,837 (2015) (observing the complexity of the motivations and theories behind harsh discipline policies). 32 See, e.g., Donna M. Bishop & Barry C, Feld, Juvenile Justice in the Get lough lira, ENCYCI OPI:DIA oFCIMIN01,(XtY AND CRIMTNAT. JUS'1ICE 2766, 2770 (Gerben Bminsma & Davis Weisburd eds -, 2014), KADI[ F:P.IJ No[ AN, PoucF IN 2015 SCHOOL -TO- PRISON PIPELINE lawmakers, declaring a "war on drugs" and "getting tough on crime" proved to be politically- popular positions in response to the unstable economic and social conditions that plagued urban environments:" During the last three decades, legislative bodies throughout the country passed harsh laws such as mandatory minimum prison sentences laws,'4 habitual offender laws ( "three strikes" laws),ss and truth in sentencing laws." These policies resulted in a dramatic increase of the prison population and time served in prison, especially among urban minorities,39 while also providing an economic stimulus in certain communities." When violent crime rates for juveniles increased from TIDE HALLWAYS DIsCIPLINF IN AN URIIAN Moil SCHOOL. 22-24 (2011), Giroux, supra note 30, at 557 -58; Hirschfield, supra note 30, Nolan & Anyon, repro note 30 ' See Hirschfield, supra note 30, at 89, Nolan & Anyon, supra note 30, at 138, see also Bishop & Feld, supra note 32, at 2770, William J. Stuntz, Unequal .Lrstice, 121 HAIiV L. REv. 1969, 1997 -2010 (2008) (explaining that politicians supported punitive policies governing crime because the opposing parties had done so and "because changing course seemed politically risky ") "See. e.g, The Sentencing Reform Act of 1984, Pub. L. No 98473, 98 Stat. 1987 (codified as amended at 18 US . §§ 3551 -59, 3561-66, 3571 -74, 3581- 86, & 28 U S §§ 991 - 98 (1988)), N.Y. PLNAL LAW §§ 220.00.65, 221,00 - 55 (1973) (describing the Rockefeller Drug Laws that mandated harsh minimum sentences for controlled substances). The Rockefeller Drugs Laws spawned similar legislation in many other states Nolan & Anyon, supra note 30, at 138. ".See, e.g, CAL. PLNALCoDE § 667 (2012). According to Joanna Shepherd, "[djuring the 1990s, 26 states and the federal government enacted three - strikes legislation, with similar bills introduced in a number of other states." Joanna M. Shepherd Pear oflhe PirsLSlrnke. The Poll Deterrent Effect of( allforn" % 7ba and Three Strikes legislation, 31 J. LFGAI. STUD. 159, 159-60 (2002). '6 In the 1980s and 1990s; the majority of states enacted laws that required persons convicted of comes to serve not less than eighty -five percent of their prison sentences- .See PAULA M_ Dr PION & DoRa IAmais WiLs'oN, U & DEPT 01' JusiaJli, BORIIAIJ OI JUSI'RJI'. SIAIISTICS SPECIAL. REPORT. TRUTH IN STNrENCING M STAIT: PRISONS 3 (1999), available at http: /Ibj s. gov /content/pub /pditssp. pdf '7 See Noi.AN, supra note 32, at 24, BLAUCE WES'rRWJ, VINCHNI SCHIRALDI & JASON ZIEDIWINasi, EDUCAHON & 1NCARCtlRAl10N 4 (2003), available at hate fl vww.jusucepoficy.org/images/upload/03- 08 REP_ Educationlncarcemtion_AC- BB.pdf See also John J. Donohue III & Steven D_ Levitt, the hnpacl of Race on Policing and Arrests, 44 1.L. & Ecom 367, 367 (2001) ( "African Americans, who compose 12 percent of the U.S. population, account for 47 percent of felony convictions and 54 percent of poson admissions. Studies suggest that one -third of African - American males aged 20- 29 are under the supervision of the criminal justice system on any given day") It is important to note, however, that stale prison populations have fallen in recent years. See, e.g., Reid Wilson, State Prison Popldalions Damn to L.omew Paint in I /Decade, WASH. PosT, Dec. 31, 2014, http_// www. washinbrtonpostconWlogs /govbeat/wp /2014 /12/31 /state - prison- populations- down -to- lowest- paint -in -a- decade /. 's For example, many white rural communities benefitted from an economic stimulus in the form of building prisons, hiring prison guards, and hiring additional law enforcement officers_ .See Nolan & Anyon, supra note 30, at 138; Hirschfield, supra note 30, at 89. Urban communities also experienced economic benefits from these policies. For example, the campaign of arrest and 10 WASH. U. L. REV. (forthcoming) [Vol. 93] the mid -1980s to 1994, particularly among minority youth in the inner cities, elected officials felt political pressure to respond in a fashion similar to how they responded to the increase in adult crime. -i° In addition, although juvenile crime rates have steadily declined since 1994,'0 a series of recent, high- profile school shootings further propelled lawmakers to act 0.1 Consequently, lawmakers passed a series of harsh laws against juveniles who committed offenses at school''- and against juvenile offenders generally." Indeed, focusing on ways to remove dangerous and disruptive students from school was a less expensive and more politically feasible alternative to hiring more teachers, counselors, and mental health professionals to help troubled students succeed in school.4° Unfortunately, many school officials appear to have adopted the same punitive mindset as politicians when crafting disciplinary policies for their districts and schools. 4' Also facing pressure to respond to high - profile incidents of school violence,3fi many school officials have embraced strict, heavy -handed imprisonment enabled urban developers to strategically redevelop downtown areas designed as "safe zones "See Hirschfield, .supra note 30, at 89. 's See Groux, supra note 30, at 561 (observing that the zero tolerance policies so schools were modeled on minimum sentencing and "three strikes" laws); Hirschfield, supra note 30, at 89-90, Pedro A. Noguera, The Frouble with Black Botts: The Role and Lnflaence of Environmental and Cultural Lamers on the Academic Perfortuanre ofAfrh an American Males, 38 UR13AN Emic 431 (2003). 41 .See 1151'FtoY A. BU'1 -I s, VIoi. NT YOIJT I CRtMF. PI.IIMMIiTS I OA30-YiiA Low (2012), available at hup / ,johnjayresearch org/ rec /files/2012 /11 /databit201211. pdf, JAcoo KAN<i- BROWN ut AL., VLRA INST. OF Pis'L, A GEM:RNNoN LAIER WIIAF WF'VF LEARNFD AHom ZERO TOi.FRANci IN ScooziFs 2 (2013), available at http'. / /www.versorg/si tes /defaul Nfi les /resources /downloads/zero- tolerance -in- schools- policy -brief pdf " See Elizabeth S. Seen, Miller v. Alabama and the fPaa and) Enture of Juvenile Crane Regulation 31 L. & INEQUAILI'rY 535, 541 (2013) (observing that although serious acts of school violence are rare events, after the Columbine shootings "legislatures across the country rushed to pass stud zero tolerance laws, making it a crime to threaten violence in school") 4' See infra Sections 1.A —E. 4' For example, laws were passed that facilitated transferring more juvenile defendants to criminal courts to be tried as adults Bishop & Feld, supra note 32, at1440 -1442. Form analysis ofthe evolution ofthese laws, see generally Bishop & Feld, supra note 32 and Elizabeth S. Scott, Children Are Diferenl: Consfinaional Vnhae and barite Policy, 1 I Oluo. Sr J. OF CRIM. L 71,92 94 (20 13) "S, Hirschfield, supra note 30, at 90. 4' .See, e;_[., HOIIS_ 1N. , SCH. Dust CODF OFS'I UDEN1 CONDUCT 14 (2013), available m trip / /www.houstonisd org/ cros/ lib2 /TX01001591 /Cenmcity/Domaiw30485 /201 3 -2014 Code of Student_Conductpdf, MIAMI -DADF CO IJMY PIm_ SCHS, CODF OF STUDENT CONDUCT — SECONDARY 57 -73 (2014), available at hap H ehandbooks. dadeschools. net/policies /90/CSC_sec_I4- 15.pdf. 0s .See Kevin P_ Brady, Sharon Balmer & Deinya Phenix, School Police Partnership Effectiveness in urban Schools, 39 Elai( & URBAN SOC 455, 456 (2007) ( "An increasing fear of school violence coupled whh the public's misperceptions of the actual degree of violence in our nation's schools has caused 2015 SCHOOL -TO- PRISON PIPELNE disciplinary methods to enhance their credibility among parents and the general public 4' The end result is a series of laws, policies, and practices that involve more students in the justice system to their detriment. This Part will discuss the laws, policies, and practices that have converged over approximately the last three decades, resulting in the creation of a pathway from school to prison for many students. Some of these laws, policies, and practices stem directly from the "tough on crime," punitive mindset described above. Others are less related to that mindset, but still contribute to Pipeline by motivating school officials to remove low - performing students to avoid penalties under the high - stakes testing laws, or by reducing students' constitutional protections, thereby facilitating students' removal or unrest. A. Zero Tolerance Laws and Policies Perhaps no other `tough on crime' law or policy affecting students has received more attention than zero tolerance laws and policies. 48 As a condition for receiving federal funds, the Federal Gun -Free Schools Act of 1994 requires states to pass laws that compel schools to expel students for at least one year for bringing a firearm on school grounds 49 The Gun -Free Schools Act signaled an important validation by the federal government of the concept of "zero tolerance" in school disciplinary practices. "" Borrowed from an approach to drug enforcement," zero tolerance "mandates the application of school officials, especially those located in urban areas, to implement more punitive -based school discipline policies and practices for responding to and preventing student crime and violence 'T i1 Hirschfield, supra note 30, at 91. '" See. e.g., Am Psych_ Assn Zero Tolerance Task Force, Are Zero Tolerance Policies Effective in Schools? An Evidentiary Review and Recamnmcndatious, 63 AM. PsYcn. 852 (2008) [hereinafter Are Zero roterance Porkies effeetwe in Schools ?I, ADVANC6MENl PaoIEC'r, TEs'i, PUNISH, AND PUSH Cell HOW "ZERO TOLI'.RANCI!" AND HIGH- S'IAKF$ TESTING PINNIII, YOUHI INTO 111F SCHOOL 'ro- PRISON PIFELINE (2010) [hereinafter ADVANCEMENT PROJECT, TI i51, PHNISH, AND PUSH OIFFI, available al latte 76.3cdn. net /advancemem /d05cb2181 a4545d607_r2im6cage.Litt, KANG- BROWN 1,1 Al._, supra note 40, Black, supra note 31. 4" See 20 U S.C. §7151(b)(1). This law is softened somewhat by permitting superintendents to modify the expulsion requirement on a case -by -case basis. see id.; tee alsn Federal luw on Ciant in S,hools, LAW CENTER 10 PRItlVENI GI1N ViolVNC1i, (May 21, 2012), Imp://smangualaws-org/fedeml- law -on- guns -in- schools/ (last visited on Oct 24, 2014). b0 See Udi Ofer, Cri,drari, -inq the Classroom: ]he Rise of Aggres,me Policing and Zero 'Ibleronce Lio(ipliae in New York City Public Schools, 56 NYL. RD_ L Rev. 1373, 1376 (2011/12). " .See Russell 1. Skiba & M. Karega Rausch, Zero 'IMeraw e. Suspension. and Irapuldon: Question of liquiry and Effectiveness, in HANDBOOK Of CLASSROOM MA meml'N'I': RESEARCH, PRACTICE:, AND CON EMPoRARY ISSUES 1063, 1063 (2006) ( "Zero tolerance emerged from armorial drug policy of the 12 WASH. U. L. REV. (forthcoming) [Vol. 931 predetermined consequences, most often severe and punitive in nature, that are intended to be applied regardless of the gravity of behavior, mitigating circumstances, or situational context"" - Many states and schools have adopted laws and policies modeled after the Federal Gun -Free Schools Act by creating strict rules that impose predetermined consequences for certain acts, such as suspension or expulsion, irrespective of the surrounding circumstances 53 These laws and policies have extended well beyond bringing a firearm to school." States and localities have applied zero tolerance to a multitude of offenses, including possession of drugs, alcohol, or tobacco; fighting; dress -code violations; truancy; and tardiness.ss Scholars and youth advocacy groups have strongly criticized zero tolerance policies, arguing that they are both ineffective and counterproductive. 16 Not only is there no evidence that zero tolerance policies have made schools safer, s7 these policies have pushed more students out of schools and have created conditions laces and manages severe punishments, typically out -of- school suspensions and expulsion, for both serious and relatively minor infractions."). " See Are Zero 7bletou a Policies Effective in Schools ?, N"Pro note 48, at 852, see also KIM, LOSLN, & HFVITT, supra note 12, at 80. 5' See Deborah Gordon Klehr, Addressing the Unintended Cau.eequences of No Child Left Behind and Zero 7bieran ce: Peace SVategiesfor.Safe Schools and .Sarress ii l Students, 16 GLO_ J. ON POvLRi Y L. & Pon 7Y 585, 589 (2009). " See Michael R Krezmien et al_, Juvenile Court Referral,v and the Public Schools: Nature and Fxoenl of the Practice in I ive Slates, 26 J. CONII!MP. Ceald Jus'i'. 273, 274 (2010) (explaining that zero- tolerance policies have extended to minor disciplinary infractions). ` See KIM, LOST N, & HF.WITr, supro note 12, at 80. Professor Barry Feld explains that zero tolerance policies are similar in nature to "broken window" theories, which hypothesize that failure to respond to minor infractions will lead to more serious infractions- See Barry C. Feld, T.L.O_ and Redding 'c Unanswered (Misanswered) Fourth Atneudmenl Questions: New Rights and Fewer Remedies, 80 MISS_ L . 847, 886-87 (2011), see also Ofer, supra note 50, at 1378. 56 See, eg AmleroTolerance Policies Effecdve in Schools ?, supra note 48, at 857 (finding that the overwhelming research available on zero tolerance contradict the assumptions on which those policies are based); Black, supra note 31, at 837 -41 (arguing that zero tolerance policies have not achieved their intended purpose). " See ADVANCFMFNT PROJFCt AND Nij: CIVIL RI6111's PROJECI AT HARVN2D UNTVFRSITY, OPPORCUNrnF9 SUsmitasic) Fin. DFVASIAI'IN6 CONSFQIIFNCIiS Or ZERO TOLFRANCF AND SCH(F➢. DISCIPLN .. PomciFs 14 (2000) [hereinafter OPPORIUNIIJLS SUSPLNDIiIJ], available at hup.//civIrightsprojectucla.edu/research/k,12- education /school- discipline /opportunities- suspended- the - devastating- wnsequences -of -zero- tolerance- and - school- discipline - policies /erpropponunities- suspended -zero- tolerance- 2000.0 f (stating that after four years of implementation, schools that used zero tolerance policies were less safe than those that did not use them), Are Zero Tolerance Policies Iffiecrive in Schools ?, supra note 48, at 857 (fording that "zero tolerance policies have not provided evidence that such approaches can guarantee safe and productive school climates"), Krezmien et al., supra note 54, at 274. 2015 SC1HooF 'rO- PRISON PIPELINE 13 whereby more students become involved in the juvenile justice system59 B. Federal and State Statutory Reporting Requirements Other "tough on crime" laws that have contributed to the Pipeline include federal and state statutes that mandate reporting certain school misconduct to law enforcement. Pursuant to the Gun -Free Schools Act, the federal government obligates all local education agencies (i.e., school districts) that receive federal funds under the Elementary and Secondary Education Act to have "a policy requiring referral to the criminal justice or juvenile delinquency system of any student who brings a firearm or weapon to a school. "" Thus, as virtually every public school district receives federal funds under the Elementary and Secondary Education Act, virtually every school district is required to have a policy in place that compels school officials to refer students who brings weapons to school to law enforcement.0' Furthermore, many state legislatures have enacted statutes mandating that school officials refer students to law enforcement for various offenses that occur at school that do not involve a weapon. 61 For example, a search of all fifty states' statutes reveals that twenty- seven states require school officials to refer students to law enforcement for incidents relating to controlled substanees,52 fifteen states require referral for incidents involving alcohol," eight states se See KIM, L)SEN, & HFWN I, supra note 12, at 78. iB 20 U.S.C. § 7151 (hall fir see, e.g., Fla. Star. § 1006.07 (2014) (mandating that any student who brings a firearm or weapon to any school function will be referred to thejuvende justice system). ci In fact, one might classify these mandatory reporting laws also as "uro tolerance" policies because they require school officials to report certain activities that occur on school property to law enforcement authorities regardless of the surrounding circumstances . a' see ALA. CODE § 16- 1- 24.1(2014); ALASKA STAT_ §§ 14 33 130 (b)(2), 11 81.900 (2014), CAL. EDIO. CoISE § 48902(b) (West 2013), CONN GEN. STAT. § 10 -221 (2010), Del_ CODE ANN. in 14 § 4112(c) (20120, FLA S Al § 1006.09 2013), GA CODE_ ANN_ § 20 -2 -1184 (West 2014), HAW. REV. S'rnT_ § 302A- 1002(1)(2014);]DrubCorE§33- 210(1);1051LL. Coma Sixi 127/2 §2(2005); IND. CODE § 20-33 -9 -6 (2005), IOWA CODE § 280.24 (1997), KAN_ SIM § 72- 89b03(b) (2013), KY. RE.V. S'IA'C § 158.154 (1998), LA. REv. STAG § 17:4163 (1991); MIcn. COME. LAWS § 380.1308 (1999), MISS. CODE § 37 -11- 29(1), (6) (1997), Mo_ STAL § 160.261(10) (2013), NEa_ REV. STAT. §§ 79 -293, 79- 267(6) (2013), N.Y_ EDUC LAW § 2801 (McKinney 2012), N.C. GrN SIAL § 115c -288 (West 2015), OKiA_ S I A'r_ tit 70, § 24 -132 (2001), 24 PA. CONS. STAT. § 13-1303 - A (201 I); TEX Elsr CODL ANN. § 37 015(a) (West 2014), VA CouE ANN_ § 22.1 -2793 1 (West 2014), MD. CODE RLGS. 13A.08.01 08 (2014); IN . ADMIN. COLL'. 6A:16 -63(a) (2014), MIaECAN DI!F "r OF EDUC, MICHIGAN SCIICxn. SAIILIY RESI'ONSL 611ID17, 21 (1999), available at blip: / /www.an chigan gov /documents/schsfty_8356_7.pdf ".See ALA CODE. § 16 -1 -24.1 (2014), ALASKA S'IAI §§ 14.33.130(6)(2), 11.81.900 (2014), CAI_ EDUC. Coin: § 48902(b) (West 2013), CONK. GEN_ STAT_ 14 WASH. U. L. REV. (forthcoming) [Vol. 931 mandate referral for theft,' eight states for vandalism of school property,ss and eleven states for robbery without using a weapon .(d, Some states have statutes that provide a specific list of offenses that school officials must report to law enforcement. 61 Other states have generalized reporting statutes. For example, Alabama requires school officials to report any "violent disruptive incidents occurring on school property during school hours or during school activities conducted on or off school property after school hours. -6' Illinois requires school officials to report "each incident of intimidation of which he or she has knowledge.i6J To induce compliance, several states impose criminal liability or other punitive actions on school officials who fail to report certain offenses to law enforcement.'' Several states also grant school § 10- 221(2010); ELA. S FAT_ § 1006.09 (2013); HAW_ RAv_ S I A I_ §302A-1002(l) (2014): luAl to Cone. § 33- 210(1) (2014), 105 IowA coot: § 280 24 (1997); KAN. S AT. § 72- 89b03(b) (2013), MtcE. Comm, LAWS § 380.1308 (1999); NIB. Rev. STA'C §§ 79 -293, 79- 267(6) (2013); N Y. Enuc LAW § 2801 (McKinney 2012), 24 PA CONS. Sl'AI § 13- 1303 -A (2011); VA. Cope ANN. § 22.1 -279 3:1 ](West 2014), Ma CoohRhcs_ 13A 08.01.08 (2014); MICHIGAN DFr'T of EDuc, suprn note 62, at 24 r,<.See ALASKA STAT §§ 14 33 130(b)(2), 11.81900 (2014); GA. Cone ANN. § 20 -2 -1184 (West 2014); HAw. Rtiv. STAT. § 302A- 1002(1)(6) (2014), KAN. STAG § 72- 89b03(b) (2013); MICR. COW. LAWS § 3801308 (1999), Nun_ Ruv. SI AI'_ §§ 79- 293, 79- 267(2) (2013), N.H. RFv. STAT. § 193- D.4(a) (2014); IN EDuc. LAW § 2801 (McKinney 2012), MICHIGAN DF.P'T Or E11uC., supra note 62, at I8. 1 define theft as the unlawful taking of personal property without using force, such as violence or the threat of violence. rye See ALASKA STAT. §§ 14.33.130(6)(2), 1191,900 (2014), GA Com: ANN. § 20 -2 -1184 (West 2014), HAW. Rr:v. Sim. § 302A- 1002(1)(B) (2014); KAN. Sl -At. § 72- 89603(6) (2013); MICIL COMA LAWS § 380.1308 (1999), NFS. RFv. STAT. §§ 79 -293, 79- 267(2) (2013), N H. REv. S'IAI. § 193- D'.4(a) (2014); N.Y. EDuc LAW § 2801 (McKinney 2012); MiciIIDAN DAP° i DI ENT 1C., supra note 62, at 23 ne See AI ASKA STA r. §§ 14 33.130(b)(2), I1 81,900 (2014), DHI_ Coor ANN. tit 14 § 4112(a) & (b) (2012), GA CODE ANN_ § 20 -2 -1184 (West 2014); HAW_ RI !v. S AI: § 302A- I002(1)(B) (2014), 720111. COMP. S A 1 5/12 -6 (2014); KAN. STAT. § 72- 89b03(b) (2013), MICR_ COMP. LAWS § 380.1308 (1999), MB. RAv_ S I A] §§ 79- 293, 79 -267 (2013); NO 11. REv. STAT. § 193 -D:4 (2014), N.Y. Enuc. LAW § 2801 (McKinney 2012); RC CoDli ANN_ § 59 -24 -60 ( 1994); MICHIGAN DD:P'T oP EDuc, oae. note 62, .1 14 1 define robbery without a weapon as taking property by force or threat of force. 51 See, e,g, GA Colm ANN. § 20 -2 -1184 (West 2014), HAW. Rt1v_ S I A I § 302A-1 002 (2014), Miss. CooE § 37 -11 -29 (1996), MO. STAT_ § 160 261 (2013); Nun. RLv_ STAT § 79 -293 (2013), TFx. EDuc CODE § 37.015 (West 2003), VA CODE ANN_ § 221- 279.3.1 (West 2014)_ ALA. CODA § 16- 1 -24(b) (2014). es 105 ILL COMB STAT: 5/34 -84a.1 (2014). Acts of intimidation include inflicting harm on another person, threatening another person, physically restraining a person, and exposing another person to hatred contempt, or ridicule. .S'ee 72011 I, COW STAT.5 /12 -6 (2014). '° See ALA. Coot: § 16- 1 -24(e) (2014); ARK. CODI% § 6- 17- 113(d) (West 1999). DEt CODA et. 14, §4112(e) (2012); GA Coot: ANN. § 20- 2- 1184(d) (West 2014), HAW_ RiA S'IAC § 302A- 1002(3) (2014), 105 ILL. COMB $'CAT. 5/10 - 2ZIA(b) (2011), KAN. STAT_ § 72 -89604 (2013); Miss . CoNv § 37 -11 -290) 2015 SCHOOL -TO- PRISON PIPELINE 15 officials or other school employees immunity from lawsuits when reporting offenses to law enforcement in good taidti I It is important to note that many local school districts have their own reporting policies, even though there may be no statutory obligation to report certain offenses to law enforcement. 72 C. Students' Limited Constitutional Protections at School Despite the Supreme Court's ambitious pronouncement that students do not "shed their constitutional rights ... at the schoolhouse gate, "'s students' constitutional protections with respect to investigation, detainment, interrogation, and punishment at school are quite limited.'4 For example, over the last few decades, courts have weakened students' Fourth Amendment rights in schools in order to support school officials in their efforts to promote safety and discipline within schools." This movement in the law has emboldened school officials to rely on intense surveillance methods to maintain control. Before conducting a search, school officials need not obtain a warrant, show probable cause, or have an individualized suspicion that a student violated a school rule.'6 Consequently, school officials may rely on a (1996), Mo. S'Ar. § 167 117(5) (2013), N H_ Ruv. S'TAT. § 193 -D'6 (2014), S.C. Coot! ANN_ § 59 -63 -335 (2014), Tux. PENAL Cone § 38.171 (West 2003)_ " See ALASKA STAL § 14.33.140 (2014); CAL. EDOe. CODE §§ 49334, 48902(d) (West 2013); Drl.. CODE tit, 14, §4112(t) (2012); GA CODE ANN_ § 20- 2- 1184(c) (West 2014), HAW_ Rrv. SI AT § 302A -1003 (2014); 105 ILL_ COW SIM 5/10-27 IA(b) (2013), KAN. STA'1'_ § 72- 89603(h) (2013); MICii. Cow, LAWS § 380.1313(2) (1999); MISS. CODE § 37 -I1 -29(5) (1996), Mo. SIAT. § 167.117(4) (2013), NPR REV. S1 AT § 79- 293(2) (2013); OKLA. S'FAT. tit . 70, § 24- 132(6) (2001); OR R)V. S'IAI § 339 315(b) (2012), Tix_ EDUC CODL § 37 0150 (West 2013); U Ai I Couu § 53A- I 1 1 0 101(2) (West 1994)_ 72 See e.g., Hous. IKD. Scn. Disc, supra note 45, at 14 (maintaining that dre principal must notify the police when she has reasonable grounds to believe that a student has committed a criminal offense at school); MIAMI -DADI! COUN I Y PUB. Scns., supra note 45, at 57 -73 (stating that certain behavior, 'by Board Rule, be reported to appropriate police authorities and to the Miami -Dade Schools Police") " Tinker v. Des Moines Ind. Curry . Sch. Dist., 393 U.S. 503, 506 (1969). 14 See Cathenne Y. Kim, Policing School Disripline,77 BR( })K. L. REV_ 861, 861 (2012) (observing that "courts routinely defer to school officials in cases involving investigation and punishment of youth'). v See Jason P. Nature, .Students. S'eruriry, aad Race, 63 EMORY L.J. I, 7 -13 (2013) [ hereinafter .Student%..Sentrio, and Rare]; Jason P. Nance, Random, Susparonless Searches of Smdeno Belongings_ A Legal, hmpincal, and Nmrna we Analvsis, 84 U. COLD. L RiA, 367, 367 (2013) [hereinafter Nance, Random..Roph ionles,Sean has]; James E. Ryan, The Supreme Court and Public Schools, 86 VA L_ Riv. 1335, 1415 (2000) (stating that `Line Court's decisions regarding student searches rest on the value -laden view that maintaining discipline is necessary to preserve the educational process of schools") "See Venemna Sch_ Dist. 47J v. Acton, 515 U.S. 646, 653 -54 (1995); New Jersey v. T.L.O., 469 U.S. 325, 340 -41 (1985)_ Further, although outside of the scope of this article, the increased presence of law enforcement in schools has 16 WASH. U. L. REV. (forthcoming) [Vol. 931 host of suspicionless search practices in schools to uncover violations of school rules. For instance, school officials may use metal detectors, 77 search through students' lockers," conduct random sweeps for contraband, 79 and install surveillance cameras in the hallways and public rooms throughout the school. "o In fact, many schools throughout the country routinely rely on these strict measures to monitor students." In addition, school officials may interrogate students without providing Miranda warnings, regardless of how serious the suspected offense might be or the possibility that the student might be referred to law enforcement for wrongdoing. 12 Some courts have even held that it is unnecessary to provide these constitutionally -based protections when a police officer participates in the investigation.%d complicated this analysis See Michael Pinard, From the Classroom to the Courtroma: Reassessing Fourth Amendment Standards in Public School Searches Involving rare Enforcement Authorities, 45 ARIz. L Rev_ 1067, 1070 (2003) (advocating that courts should apply the probable cause standard when school searches involve law enforcement officers or when school officials are required to turn evidence of criminal violations over to the police), Lisa H. Thurau & Johanna Wald, Controlling Partners: When law Enforcement Meets Uisciplare in Public S'rhaols, M N.Y.L. Scu_ L Rav_ 977, 982-86 (2009/10) (discussing the disparate court holdings when analyzing student searches involving law enforcement officers)_ "See, e.g.. Hough v. Shakopee Pub. Sch_, 608 F. Supp- 2d 1087, 1104 (D. Minn. 2009}, II re F.B., 726 A 2 361, 366 (Pa 1999), In re Latasha W., 70 Cal. Rptr 2d 886, 886 -87 (Ct App. 1998), State v. J.A., 679 So. 2d 316, 319-20 (Fla Dist. Cl. App. 1996). 71 See e.g.. State v. Jones, 666 N W 2 142, 150 (Iowa 2003), In re Isaiah B_ 500 N. W 2d 637, 641 (1993), In re Patrick Y., 746 A 2 405, 414 15 (Md. 2000) However, there is a substantial disagreement among courts regarding whether students possess an expectation of privacy in their lockers. See KIM, Loslw, & FILM 11, supro note 12, 115 -17, Feld, supra note 55, at 933 -37, Nance, Random, Suspiciwdess .Searches, supra note 75, at 411 -12 and accompanying notes. 79 See Nance, Students, .Security, and Race, supra note 75, at 12 - -13_ R0 See, eg., United States v. Taketa 923 F2d 665, 677 (9th Cir. 1991) (`Videotaping of suspects in public places, such as banks, does not violate the [ Flourth [Almendment _ " ). However, courts do not permit surreptitious video surveillance in certain locations such as student lockers rooms or bathrooms. See Brannum v. Overton Cary_ Sch. bid_, 516 F 3d 489, 499 (6th C'ir 2008) (holding that surreptitious video surveillance of a student locker room violates the Fourth Amendment)_ u Jn S & MCCAI LION, supra note 24, at 23, Nance, Suulents. 5'eovin, and Race, supra are 75, at 12 -13, Nance, Random .SYspk ionless Searches, supra note 75, at 409. s2 See, e.g., Commonwealth v_ Snyder, 597 NE .2d 1363, 1369 (Mass. 1992) (holding that a school official that is not acting on behalf of the police is not required to give Miranda warnings), State v. Tinkham, 719 A 2d 580, 583 IN 1998) (concluding that a school official was not required to advise the student of his right to remain silent and his right to counsel prior to questioning). .See a /so Kim, supra note 74. at 861: Paul Holland, Schooling Miranda: Policing Interrogation in the 'llvemy -first Century Schoolhouse, 52 Loy, L R) v. 39, 59 n.90 (2006). "' See, e.g., State v. Schloegel, 769 N 2d 130, 133 -34 (Wis_ Ct App_ 2009) But see J.D.B. v. North Carolina, 131 S. Ct. 2395 (2011) (holding that the 2015 SCHOOL -TO- PRISON PIPELINE 17 These methods, especially when coupled with the zero tolerance policies, end up pushing more students out of school or directly into the juvenile justice system, 84 Likewise, the procedural protections for disciplinary matters afforded to students under the Due Process Clause of the Fourteenth Amendment are weak. In Goss v. Lopez ,8i the Supreme Court affirmed that students do have a legitimate property interest to a public education provided under a state constitution, and that interest could not be taken away without minimal procedures.8` However, the Court also concluded that students were entitled only to minimal protections for short -term suspensions of ten days or less.8' But perhaps more significantly, although students theoretically are entitled to more robust procedural protections before receiving long -term suspensions or expulsions,88 scholars agree and school officials admit that these disciplinary proceedings typically are not deliberative, collaborative, or aimed at accuracy, justice, or helping the student; rather, due process is too often only a routine hoop through which a school must jump to produce a favored result.A9 Thus, as long as school officials follow the prescribed routine, schools' disciplinary decisions are presumed valid and courts will uphold them.9e D. High - Strikes Testing Laws Another category of laws affecting the Pipeline, albeit indirectly, is federal and state school accountability laws. These laws obligate schools to test students and may inflict severe consequences on schools court must take into consideration the student's age when determining whether a student was in custody for Miranda purposes when being questioned by a police officer at school), In re T.A.G_, 663 5 2d 392, 396 (Ga. Lt. App. 2008). See generally Kim supto note 74, at 865. 84 See Feld, supra note 85, at 884 -95 (discussing how the combination of SROs, students' diminished constitutional rights, school accountability laws, and zero tolerance policies contribute to the Pipeline). es 419 U - 565 11975) "0 /d. at 574. Id, With respect to short suspensions of ten days or less, the Court held thin students are not entitled to secure counsel, cross examine witnesses or call their own witnesses_ Rather, they are entitled only to "some kind of notice and afforded some kind of hearing" which could consist of an "informal give -and- take" consisting of simply informing the student of the misconduct and providing the student with an opportunity to explain what happened. Id, at 582, 584. ".see Id- at 584 ( "Longer suspensions or expulsions for the remainder of the school term, or permanently, may require more formal procedures. "). X9 See Black, supra note 31, at 846; see also RicunRD ARUM, Iulx;mG School. DISCIPLINE THE CRISIS OF MORAL AtHTIORITY 5 (2003), 11IDrrH KAFKe, Tue HlsioRY ov "ZeRo To1.LI cL" w ArwRIcAN PunLIG ScuWt,s 6 (2011). Scholars have posited reasons for why the routine process very often only results in a sham. For example, the Court did not articulate what these more robust procedural protections might be or a standard to measure their adequacy. See generally Black, supra note 31, at 841 -47 (describing the shortcoming of (;oss). w Black, supra note 31, at 859. 18 WASH. U. L. REV. Horthcoming) [Vol. 931 that do not meet certain standards. For instance, under the No Child Left Behind Act (NCLBA),Y1 schools that receive federal funds must administer various tests to students at different stages during grades three through twelve, 92 The NCLBA requires schools to demonstrate improvement in student test scores across all student sub- groups to avoid receiving a negative label, being placed on probation, or eventually being taken over by the state.93 To avoid such sanctions, many scholars worry that school officials push low - performing students out of their schools by suspending, expelling, or referring low - performing students to the juvenile justice system According to Professor James Ryarl, "the temptation to exclude low - performing students, enhanced by the NCLBA, can hardly be denied: one less student performing below the proficiency level increases the overall percentage of students who have hit that benchmark."' E. The Mindset of Educators Another important contributing factor to the Pipeline is how educators choose to handle disciplinary issues. This is a salient component of the Pipeline because, although federal and state laws 91 20 U. S C § 6301 et seq. 92 See testing: Irequemly Asked Questions, U.S. DFY'T OF EFerC, at hup: / /wwv2edgov /nclb /accountability /ayp /testing -faq hurt (last visited on Oct 28, 2014), see also Torm Monahan & Rodolfo D_ Torres, Introduction, is SCLOOLS UNDLA SURVEILLANC 1., 1, 5 (Turin Monahan & Rodolfo D_ Torres eds., 2010). 9' Monahan & Torres, supra note 92, at 5. In fact, the U.S. Department of Education recently granted a waiver to nearly all of the states for failing to meet the standards under No Child Left Behind, which required one hundred percent of students to achieve proficiency in math and reading by 2014. see Sam Dillon, Overeldng a Key 1A6u'mion taw, N.Y. TIMLa, Aug. 8, 2011, at Al2. The U.S. Department of Education waived requirements for states that accepted new requirements, which still included a testing and accountability program lor; see W.. Derek W. Black, Federalizing Edtuanon by Waiver, _ VA i) L. Rrv_ 1, 1 (forthcoming). L4 See e.g., ADVANCEWFIF PROULCT, Ir3T, PIIMSII, AND PUSIi DIa, supra note 48, at 28 -33 (discussing that the NCLBA puts pressure on schools to push out low performing students): Mowen, Brent, & Kupchik, supra note 22, at 28; Linda Darting- Hammond, 10 RACE, ETHNICITY, & EIxIC. 245, 252 -255 (2007); Kiehl, sngrro note 53, at 602 -03, James E. Ryan, The Perverse Incentives f7h, No Child Left Behind Act, 79 N.Y. U. L ILty. 932, 969 -70 (2004), Kreermen at a1, supra note 54, at 274 T,rhe high - stakes assessments associated with No Child Left Behind Act left lisle room in schools for student misbehavior "). 95 Ryan, supra note 94, at 969. see also NAACP LFGc . Di i i Nsu & EDUC FUND, DLS,Mn ILINO nns SCHOOL -1O- PRISON PMFLRSF. 5 (ad) (explaining that accountability laws encourage schools to exclude students from school whom school officials believe may bring down the school's test scores), Darling - Hammond, supra note 94, at 252 (`Perhaps the most adverse, unintended consequence of NCLB's accountability strategy is that it undermines safety nets for struggling students rather than expanding them. The accountability provisions of the Act actually create large incentives for schools that can to keep such students out and to hold back or push out students who are not doing well. "). 2015 SCHOOL -'r0- PRISON PIPELINE 19 require educators to expel, suspend, or refer a student to law enforcement for certain offenses, many educators choose to employ such harsh measures for more trivial matters, such as minor disturbances in the classroom, even when not required to do so by state or federal law." Unfortunately, many educators have adopted a harsh, punitive mindset towards disciplining students for relatively minor infractions, especially minority students who live in poor, inner -city, areas. The reasons for these attitudes are multi- layered and complex. Perhaps the punitive laws and policies promulgated by lawmakers have influenced educators' mindsets and attitudes to a certain degree. It also seems plausible that some teachers and school officials summon police officers already patrolling the school hallways to handle a classroom disturbance out of convenience. In addition, there is troubling empirical evidence suggesting that some teachers and school officials believe that some students, particularly Afiiean- American males, are "bound for jail" and "unsalvageable. "" But there is another powerful, systemic, driving force at work as well: the failure of our nation to provide adequate resources for schools to properly educate the growing number of students with acute needs.'" Educators, particularly those who work in schools located in impoverished areas, serve large percentages of students who face language barriers, have health problems, are neglected, live in abusive, w' See FLA. D6r'i OF JUVFMLF Jl1S "ITCI, OFFICE FOR PROGRAM ACCQIINTABILIIY, DELINQIIF.NCY PI MORIDA'S SCHOOI5 A SI'.VIN-YLIAR S'rnroY 8 (2011), available at trip _ / /www_djj -state It us /does /research2/2010 -11- delinquency -in- schools- analysis.pdf?sfvrsn =0 (observing that "disorderly conduct" was the second most common school- related delinquency referral in Florida schools from 2005 - 2011), S.C. DEi� r OF JuVFNn.E Jus'ncF, 2012 -2013 ANNUN, STATISTICAL RI'.PORI 5 (2013), available al http: / /www state sc us/djj/pdfs/2012- 13% 20An nual %20Statistical%20Repoa pdf (stating that the third most frequent offense associated with referrals to family court in 2012 -2013 was "disturbing schools") " .See Michelle Fine st al, Cwh, Luanne: T /Ie Color and Clow o/Henaval, 106 TIACIIFRS C0 FFJiFE RFc 219 (2004) (finding that students believed that their teachers considered them to be "animals," "inmates or "killers "), Hirschfield, supra note 30, at 92 ( "Owing to a dominant image of black males as criminals and prisoners, many school authorities view chronically disobedient black boys as `bound for jail' and 'unsalvageable' "), Noguera, . vupra note 39, at 448 (observing that black students were less inclined than white students to believe that their teachers were concerned about and supported them). "' As many scholars have observed, legislators have diverted needed funds for education to the criminal justice system. See, e.g., Garrett Albert Duncan, Urban Pedagogies and llle Ceiling o/Adoleacenis o /Calm, 27 Sac Jusl 29,33 34 (2000) (explaining that from 1993 to 1995, Caldomia decreased spending for primary mid secondary schools by over seven percent and for higher education institutions by j ust under five percent but increased its spending on corrections by over forty-three percent), Giroux, ayn-a note 30, at 559 (noting that operating budgets for public education institutions in New York between 1988 and 1998 dropped by 29% while funding for prisons increased by 76 %). 20 WASH. U. L. REV. (forthcoming) [Vol. 931 dysfunctional home environments, suffer from malnutrition, lack early learning opportunities, and have severe learning disabilities.'9 Indeed, the effects of poverty on children are devastating.10e Several empirical studies demonstrate that growing up in poverty is significantly correlated with severe cognitive impairments and poor academic achievement .1..1 Yet, educators working in these distressed environments more often have fewer resources to adequately teach their students. `2 Education scholar Pedro Noguem maintains that it is the acute needs of students and the inability of schools to meet those needs that cause students to become disruptive and sometimes dangerous at school. 113 Consistent with this observation, empirical studies confirm that it is common for low - performing students to misbehave out of frustration or embarrassment when they are unable to learn the concepts taught, are behind academically, and cannot meet grade -level expectations. 1 " As many educators well understand, when students begin to comprehend that the educational process is not working for them —that they will not be admitted to college, have access to a good- paying job or a promising career —ibey have fewer incentives to obey school rules and take school seriously."" ° Pedro A. Noguera, Schools, Privom, and Social Implication of Punishteeur: Rethinking Uiseiplinan praeriees, 42 TIiFARy INTO PRAC 341,342 (2003), see also GARY ORFaiLD & CHUNGbdI LL, RACIAL HuyusPORN AIION AND '111h CHANGING NATURE OF SFGREGArIGN 29 -30 (2006), available at hop_Hfiles enc edgov /fulltext/ED500822_pdf "'.see Dowd, supra note 15, at 1217 (detailing the harmful effects of poveny on children, including cognitive impairment, malnutrition, and health problems). 101 See. e.g., id. at 1210 —I6 ( "Poverty impacts early development, which is central to later functioning "), Martha J Farah et al_, Childhood /'overly: Specific Associations with Netn'ocgquitive /Jerelopmeut, 1 110 BLW N RESL'ARCH 166,166, 169 (2006), available of but /angpsy skku ac krewb- data/data/newaitele/farah 2006.pdf (finding that childhood poverty results in "disparities in working memory, cognitive control and especially in language and memory "). •w. See LINDA DARLING- HAnaMON1 ,Tri,FLATWORIDANDEDUCA]ION27- 65 (2010) (explaining that disadvantaged students often have unequal access needed resources), Gary Orfield, the G'romth of Segregation: African- Ameneans. LaIna . and Unequal llducation, in DIsMANT LING DLsEGREGATtON: TIE QrnFT RhvtssA oT BRowN v_ BOARD of EDUCATION 53, 67 8 (1996) (observing that "disadvantaged students face more barriers and receive less reinforcement to succeed m school") •n' Noguera, myna note 99, at 342_ I' Yee MAI'1III W P. Si INJILRCT III AL., STUDENr AND TEACHER SAYE I Y IN CHICAGO PUBLIC SGI IOCILS THE Roiis OF CONCYR LAITY CONTEXT AND SCIIOOL. SOCIAL ORGANIZATION 46 (2011), available at halt / cost uchicago. edu /downloads/8499safetym cps -pdf (observing that low - performing students are less likely to be engaged in school and more likely to be frustrated and misbehave)_ • "' td., see also id. at 27 31 (2011) (finding that students' academic skills are highly correlated with overall safety at the school), PAUL Wirris, U!ARNING To LArsoi: How WORKING CT Ass KIDS GL WORKING Cl ASS JOHs 72 (1977) (maintaining that "teachers' authority becomes increasingly the random one of 2015 SCHOOL -TO- PRISON PIPELINE 21 School officials and teachers are aware that students who are on dead -end educational paths or have acute needs tend to be more disruptive at school .10.. And while there are many dedicated teachers facing these conditions who work tirelessly to divert as many students as possible Gom the criminal justice system, there are others who believe that they lack the resources to meet the needs of all their troubled, disruptive students and have adopted an exclusionary ethos to preserve their limited resources for the students who they believe have a better chance of success. 10' Accordingly, schools serving large numbers of academically unsuccessful students, many of whom attend inner -city schools and are low- income or minority students, often use extreme forms of discipline, punishment, and control, leading to more students being involved in the criminal justice system.10" Sociologist Paul Hirschfield sums up the issue nicely: "[As] teachers are often bereft of not only sufficient resources but also a cogent narrative of opportunity that can help them gain voluntary compliance from students ... it is understandable that teachers and administrators often perceive little choice but to summon repressive means to swiftly remove disruptive students from the classroom and the school. Criminal justice offers a useful template and accessible tools for this purpose.s109 11. LAW ENFORCEMENT OFFICERS M SCHOOLS A key, yet understudied, component o£the Pipeline is the increased presence of law enfomement officers in schools. Law enforcement officers have interacted with and provided services to schools for decades.l a However, the practice of having law enforcement officers, the prison guard, not the necessary one of the pedagogue" when students think that the knowledge, skills, and credentials acquired in school are irrelevant). 10° Noguera, .supra note 99, at 342. [d. at 342, see also NAACP LH(iAL Ea I IVNW & EDI ( FUND, supra note 95, at (" H]he lack of sufficient resources in our schools also creates perverse incentives for school officials to remove children from school."); Hirschfield, supra note 30, at 92 (observing that some educators rely on extreme methods of punishment and control because they believe that they `Jack the resources to reverse the downward trajectories of the most troublesome students without compromising the quality of teaching and services aimed at more deserving or promising students). Ios NAACP LISAr DF.II NSF & EDI V FUND, supra note 95, at 5, Noguera, supra note 99, at 342. "v Hirschfield, supra note 30, at 93. See also Noguera, spipra note 99, at 345 (observing that schools that serve large numbers of academically unsuccessful students often operate more like prisons than schools, using extreme forms of discipline, punishment, and control)_ "" S'ee JAMES & MCCAJ.10N, supra note 24, at 2, Paul 1. Hirschfield & Katarzyna Celinska, Bevond Fear Sociological Penpeaives on the Criminalizafion of School Discipline, 5 S(w COMPASS 1, 1 (2011). These 22 WASH. U. L. REV. (forthcoming) [Vol. 931 or school resource officers (SROs),1t1 regularly present in schools on a large scale is a relatively new phenomenon and is part and parcel of the larger overall movement towards criminalizing school discipline. 112 In the late 1970s there were fewer than one hundred police officers in our public schools,"' but this number grew significantly in the years that followed. According to the Bureau of Justice Statistics' Law Enforcement Management and Administrative Statistics survey, in 1997 there were approximately 12,300 SROs employed by local law enforcement agencies nationwide. 114 In 2003, the number of full time SROs jumped to a high of 19,900. ns In 2007, the number of SROs dropped slightly to 19,088.116 SRO programs vary from state to state, county to county, and even district to district.11' In some states and counties, police agencies assign SROs to schools, either by request of school district officials or by the police agencies. "a In a handful of states, school districts have the authority to create school district -run police departments.' 19 traditional services include visible patrols, criminal investigations, and responses to calls for service BARBARA RAYMOND, US DL:P "r OF Jusice On ict: OP CM1Y_ GRIBN IlD POLICING 31RV$., ASSIGNING POLICE OFFICERS TO SCHOOI.s 1 (2010), available of Imp: / /www. popcenterorg/Responses/pdfs /school _pohce_pdf 11' According to the Community Oriented Policing Services (COPS) program and the Safe and Drug Free Schools and Community Act, an SRO is a "career enforcement officer, with swom authority, deployed in community - oriented policing, and assigned by the employing police department or agency to work in schools and community-based organizations" 42 U.S.C. §3796dd -8 (2012), 20 U.S.C. §7161(2012). 112S,, JAMBS & MCCALt10N, supra note 24, at 2, RAYMOND, supra note 110, at I . Krezmien et a1, supra note 54, at 275, Theriot, supra note 7, at 281. Hs See Brady, Balmer, & Phenix, sepro note 46, at 457, Hirschfield & Cehnska supra note 110, at 1. ' JAM[ s & MCCALLIDN, .supra note 24, at 19. 115Id; see aho'rherim, supra note 7, at 281 ( "While it is difficult to know the exact number of school resource officers, it is estimated that there might be more than 20,000 law enforcement officers patrolling schools in the United States. "). 116 JAMBS & MCCAU.ION, oWro note 24, at 5, fig 1. 117 See Brown, supra note 5, at 591, TIIBCOUN(ILOF S'I AI'LL G0V lzRNM1 N i S JUST ICL CLNIBR, OITICF,Rs IN SCH( %)LS[ A SNAFSIIOT OF Li'GISLAlivL ACTION 1 (2014) [hereinafter A SNAPSHOT OFLEGISI.AIIVE ACTION], available a! hUpl /esgiusdcecenter org/wp- content /uploads/ 2014 /03/NCSL- School - Police- Briefpdf. "'See Brown, supra note 6, at 592; A SNAPSIIDI OF LDG1SI.A1IVI! AC"IION, supra note 117, at 1 -2. 1 is See Brown, supra note 6, at 592, A SNAP91101 OF Li GISLAiive ACDON, supra note] 17, at 2, see also CATI IERIM? Y. K¢N & L INDIA GLRONNO, ACLU, POLCING IN SCtNxx.s. DFVEIOPMG A GOVERNANCE DOCUWN'f FOR SCHOOL RIsouRC'I. OFFICERS IN K -12 Sen(l)ls 5 (2009), available ar hops-/ /www.aclu.org/fles/pdfs/racialj ust ice/ whitepaperyolicinginsehools_pdE (explaining that SROs are sworn police officers typically employed by the police department and assigned to work in schools full -time, but in larger 2015 SCHOOL -I O- PRISON PIPELINE 23 SRO programs are very expensive.' 2" A rough estimate of the cost of employing 19,088 full time SROs is almost $619 million a year.' 21 To put an SRO in every public school, as some recommend, I= would cost approximately $3.2 billion each year 123 Despite this high cost, federal and state governments have encouraged the use of law enforcement and other strict security measures in schools by passing laws granting money for these purposes. For example, the U.S. Department of Justice's Community Oriented Policing Services (COPS) program and the Safe and Drug-Free Schools and Communities Act have provided millions of dollars for law enforcement, metal detectors, surveillance cameras, and other deterrent and security measures in schools.124 Several states also have their own programs to fund these strict measures in schools, even prior to the Newtown shootings. 1 ' These federal and state funding initiatives often are supported and promoted by powerful networks of criminal justice professionals." Although lawmakers, police departments, and school officials expanded SRO programs to enhance school safety in the wake of rising juvenile triune rates and high - profile school shootings, 127 they made these decisions without thoroughly evaluating the effectiveness of SRO progmms.128 In fact, very few studies have reliably evaluated whether SRO programs actually enhance school saftty.I'v According to a recent Congressional Research Service Report, The body of research on the effectiveness of SRO programs is noticeably limited, both in terms of the number of studies published and the methodological rigor of the studies conducted. The research that is Jurisdictions such as Los Angeles or Houston, SROs might be employed by the school districts). 10 JAWS & MCCAI.I,ION, supra note 24, at 20. 121 Id. 122 See supra note 21 _ IZ JAWS &MCCALLION, supra note 24, at 20 The average minimum salary for an entry-level police officer is $32,412_ Id. 124 See 20 U C §§ 7115(b)(2)(E)(ii) & (vi) (2012) (authorizing funding for metal detectors, electronic locks, surveillance cameras, and SROs); 1vaLs & MCCALLION, supra note 24, at 7 -8; U.S. Lit PST OI JusL, OFFICE Ol' ciorY_ OMINII!D POLICING SERVs., 2011 Secure Our Srhools Prokrmn I, hup 1 /www.cops. usdoj.gov /pdf /201 IAwardDocs/CSPP-SOS- CH P /SOSMethodology. pdf 125 .See. ec, ALA. COIN i § 41- I513-2.2 (2012), On Cout_ ANN. § 20 -2 -1185 (West 2012); 24 PA SIM ANN. § 13- 1302 -A (West 2012). 126 See Hirschfield & Celinska, supra note 110, at 6. °' See JAMES & MCCAI LION, .supra note 24, at 5; Brown, supra note 6, at 591; Thenot, supra note 7, at 280. 12% See JAM'S & MCCALLION, supra note 24, at 9; Brown, supra note 6, at 592 (observing that despite the enormous expense associated with SRO programs, it is not clear whether SROs enhance student safety); Thenot, supra note 7, at 280_ °' .See JAMES & MCCALI.[ON, supra note 23, at 9, Thenot, supra note 7, at 280. 24 WASH. U. L. REV. (forthcoming) [Vol. 931 available dmws conflicting conclusions about whether SRO programs are effective at reducing school violence. In addition, the research does not address whether SRO programs deter school shootings, one of the key reasons for renewed congressional interest in these programs.l'o In addition, SRO programs were expanded despite the potentially harmful effects that SROs may have on the educational setting. 131 For example, strict security measures in and of themselves can harm the educational climate by alienating students and generating mistrust, 132 which, paradoxically, may lead to even more disorder and violence.13i Further, SROs may aggravate the Pipeline by involving more students in the criminal justice system, even for low -level violations of the school behavioral code. "N Indeed, perhaps the most significant challenge of having SROs in schools is that while SROs may be in schools primarily to enhance school safety, many SROs also become involved in student disciplinary matters that educators traditionally have handled and should continue to handle. "' It is easy to see how this happens. Most SROs spend their time each day patrolling buildings and grounds, investigating complaints, minimizing disruptions, and maintaining order. 136 When SROs observe students being disruptive "" 1A"` S & MCCALUON, supra note 24, at 10, Theriot, supra note 7, at 280 ( "Empirical evaluations of these various security strategies are limited, have varying levels of methodological rigor, and often report conflicting findings" (internal citations omitted))_ 13 See Brown, supra note 6, at 592 (lamenting that such little attention has been devoted to measuring the impact SROs have on the school environment), Theriot, .supra note 7, at 281 (observing that the research on SROs rarely discusses crimmalization of school discipline or provided data about arrests). 112 See Paul Hirschfield .Sdrool.Surveiltanee in America, in SClloots UNDIIR SNiVRn. LANCH CULFURPS OF CONTROL IN PutoN: EDOCArION 38, 46 (Torn Manahan & Rodolfo D. Torres eds., 20 10) (observing that strict security measures are"a frequent cause ofdisumty or discord within the school community"), Beger, supra note 28, at 340 (concluding that "aggressive security measures produce alienation and mistrust among students") ti' See Clifford H. Edwards, Sludeal Violence and the Moral Dinunvimns of Pdlualwn, 38 PsYCHoi._ Scils'_ 249, 250 (2001) (stating that "intrusive strategies are likely to undermine the trust needed to build cooperative school communities capable of really preventing violence'), Pedro A Nomi Prevenling and Prodw ing Violence: A Critical Analysis of Responses to Srhool Violence, 95 HARv_ Eotic. Riw 189, 190-91 (1995) (observing that the "get tough" approach undermines school safety because coercive measures create mistrust and resistance among students), Matthew 1. Mayer & Peter E. Leone, A .Strr¢rumt Analevis of School Violence and Disruption: Implications for Crealing Safer Schools, 22 Ei)uc & TRIAIMINI CHILD_ 333, 350, 352 (1999) (finding that student disorder and student victimirntion were higher in schools using strict security measures). 14 5'ee infra Part IV_ 'as See Brown, supra note 6, at 591. 14 See Theriot, supra note 7, at281, JAMFlS & MCCALMON, supra note 24, at 2015 SCHOOL -TO- PRISON PIPELINE 25 and disorderly, they intervene because they view this as one of their duties, even when those duties overlap with the traditional duties of school officials."' Furthermore, SROs apparently have the legal authority to intervene in almost all student disciplinary matters. For example, most states have criminal laws that prohibit assault, disorderly conduct, larceny, and disturbing the peace, 138 and several states have passed statutes that explicitly criminalize the disruption of school activities 139 or talking back to teachers. 140 Accordingly, if a student is involved in a scuffle with another student, talks back to a teacher, yells at another student, steals another student's pencil, or exhibits other types of poor behavior, SROs have legal authority to arrest that student, even a six -year old student who is throwing a temper tantrum. 141 Arguably, then, among all of the factors that contribute to the Pipeline, SROs perhaps are the most significant because SROs essentially become the `new authoritative agents" of discipline in schools."I The problems with SROs handling student disciplinary issues are multifaceted. Whereas teachers and school officials have advanced academic credentials, receive training in child psychology, discipline, pedagogy, educational theory and practice, and are accountable to local school boards, SROs are trained in law enforcement, have little or no training in developmental psychology or pedagogy, and are not accountable to the school board. 144 lbws, an SRO's decision to arrest a student may be based on criteria that are wholly distinct from and even IF' Interestingly, the SRO handbook developed by COPS provides an example of an SRO who "once had to threaten to arrest a principal far interfering With a police officer in the performance of his duty when the administrator was physically barring [the SRO] from arresting a student,' reminding SROs that they have the power to arrest students over the objections of school officials. U.S. DIiP`F OI' JUSI OEPICE OF Ctv1Ty. ORIENIIID POLICING ShRVS., A GUIDE TO DI'VFLOPING, MAINZ ARJING, AFID SUCCI;IIDIN(I wrflr YOUR Scuooi. RESOURCY OF1'ICISR PRO(IRAId 51 (ad -), available at http- Hwww_ cops usdoj _gov/filesfRIC,'CDROMs/Schoo]Safew/Law Enforcemen t/AGuidetoDevelopingMai ntainingSucceeding g pdf "'S11. e.g,, CAI._ PENAL CODE § 241 (West 2014) (prohibiting assault), FLA Sl A r. § 877.03 (West 2014) (prohibiting acts that breach the peace and disorderly conduct), NY, PENAL. § 155.05 (McKinney 2014) (prohibiting larceny); VA. CODv ANN, § 18.2 -415 (West 2014) (prohibiting disorderly conduct). III See ARIL Rl:v. S I AI ANr_ § 13 -2911 (2014), CAI_ PENN- CODs § 415 5 (2014); FLA STrcr. 871.01 (2014); MASS. GeN. LAWS ch. 272, § 40 (2014), NEv. REV. STrcr. ANN_ § 392.910 (2014), S . CODs ANN. § 16 -17 -420 (2014), S.D. CoolFu.D LAWS § 13 -32 -6 (2014), TPx_ EDUc Com. ANN_ § 37.123 (2014), WASII to S CORD: ANN. § 28A.635 -030 (2014); W. VA. Coon ANN. § 61 -6 -14 (2014) 14" .See ARIZ REV. S'IM. ANN. § I5 -507 (2014); ARK. CODE ANN. § 6-17 - 106(a) (2014); IDAHO CODE ANN_ § 18 -916 (2014); MoNi CooL ANN_ §20-4-303 (2014); ND_ CLN3'_ Cola. § 15.1 -06 -16 (2014). 191 See Herbert, supra note 8, at A17 (reporting the arrest of a six -year old student for throwing a temper tantrum at school)_ 142 Brown, supra note 6, at 591. 141 7d. at 592. 26 WASH. U. L. REV. (forthcoming) [Vol. 931 anathema to the best interests of the student or the school as a whole.1* As noted above, the anecdotal evidence of SROs mishandling student discipline problems abound. 145 The negative effect of SROs and other laws, policies, and practices that contribute to the Pipeline certainly have not gone unnoticed by the public, and there were signs that changes could be underway.l'16 Nevertheless, the brutal Newtown shootings have caused lawmakers and school officials to deliberate over new laws and policies designed to protect students from intnrders, but may worsen the Pipeline.14' For example, just over a month after the Newtown shootings, President Obama unveiled a plan to protect children that included providing $150 million to school districts and law enforcement agencies to hire, among other individuals, SROs. 149 Since the Newtown shootings, the U.S. Department of Justice's COPS Hiring Program has continued to provide monetary awards to school districts to hire SROs. 149 In addition, since the Newtown shootings, several states have enacted legislation to put more police officers in schools and provide funding for that purpose."" Further, several states currently are considering legislation that would put more law enforcement officers in schools_IS1 While the outcome ofthese new laws remains unclear, one can examine the data that are currently available to begin to understand the potential hann that these new laws may have on students. 14kd. Of course, this does not imply that educators or school officials always use their training well In fact, over the last few decades, many teachers and school officials have adopted a punitive mindset to discipline children that may also contribute to the Pipeline_ See supra Subsection I.E_ 16 See supra notes 2-9 and accompanying text, we also AAItoN Kulrwx, HomI R(x)ra SHCURRY_ Scn W i. DISC IPI.INIi IN AN Air; OF FI!AR 94 -95, 115 (20 10) (describing an officer's demand for harsher punishment than what was originally imposed by the school official). 1b See supra note 16-19 and accompanying text, see alro Wolf, snprn note 30, at 3 -4 147 See. e.g., Renmrks from the NRA Prey, Conference on Sandy Hook School .Shooting, supra note 21 (calling for all schools to be staffed with armed guards). "s Tlil'. WH1lF House, Now Is lilt, Tlhu 11 (2013) available of hop'. / /www. whitehouse_gav /sites/ default /files /dots /wh- now_is_Ihe time_full,pd f 149 .See Office of Cmty_ Oriented Policing Servs., 2014 Grantee Award Parkage, U S. Dtt, 1 OF JustICr, hop'. / /www cops . usdru gov /Defaultasp4ltem 2739 (last visited Nov. 20, 2014), Office of Cmty. Oriented Policing Servs, 2013 Grantee Award Package, U.S. Devi of hxii¢F, http'. / /www. cops. asdoj gov[Defaultrepill ra -2700 (last visited Nov. 20, 2014). 15a See A SNMSHO't of LGCISI.AINI[ AcIION, supra note 117, at ] -2. See id., see obo Education Week, School Safety Legislation After Newtown, at http://www.edweek.org/ew/ sect ion /multimedia/school- safety- bills- since- newtown_himl (last visited Feb. 13, 2015). 2015 SCHOOL -ro- PRISON PIPELINE 27 111. THE IMPACT OF THESE LAWS, POLICIES, AND PRACTICES ON STUDENTS One cannot measure with precision the combined effect of these laws, policies, and practices on students. Nevertheless, there is objective evidence indicating theirnegative influence. For example, the ntmtber of students suspended or expelled in secondary schools nationwide increased from one in thirteen in 1972 -1973 to one in trine in 2009 - 2010.153 In 2004, there were almost 3.3 million student suspensions and over 106,000 expulsions,15' and many of these suspensions and expulsions resulted from trivial infractions of school rules or offenses.154 There is also evidence that school -based referrals to law enforcement have increased, although national data are not available.15' For example, in North Carolina, the number of school - based referrals increased by ten percent from 2008 to 2013.156 The number of school -based arrests also increased in the Philadelphia Public Schools (from 1,632 in 1999 -2000 to 2,194 in 2002 - 2003),1' Houston Independent School District (from 1,063 in 2001 to 4,002 in 2002),158 Clayton County, Georgia (from 89 in the 1990s to 1.400 in 2004),159 Miami -Dade County, Florida (a threefold increased from 1999 to 2001, and from 1,816 in 2001 to 2,566 in 2004), 1611 and in Lucas 112 KA U -BROWN ET N.., supra note 40, at I. Between 1974 and 1997, the number of suspensions nationally increased from 1.7 million to 3.1 million. NAACP LEGAI, DEFENSE & ED11C. Fur), supra note 95, at 3. 15° KIM, Lost N, & HU WIl 1, supra note 12, at 80; Black, supra note 31, at 8; see nh, Joanna Wald & Daniel J. Loser, Defining and Hedirerting a ,Srhool lo- Proon Pipeline, 2003 NEW DIRECTIONS FOR YOUTH DFVELOPMFNT 9, 10 (2003) (reporting that the number of suspensions has doubled nationwide since 1974). 15J See ABA JUVEN11 F JUSTICE COMM'N, ZERO TOI.FRANCIL POI.ICIIts'. A R17I,)RI 2 (2001), httpr / /w.a.er;canbar.org/con tent /dam/ aba /direcwries/policy /2001_my_103b. authcheckdam.pdf (explaining that students have been suspended or expelled for shooting a paperclip with a rubber band or timing a manicure kit to school), Are lzro 7o/erance J'ala ies F,ffeclive nt Schools ?, supra note 48, at 852 (explaining that a tan - year -old girl was expelled because her mother put a small knife in her Iunchbox to cut up an apple), id. (describing that a student was expelled for talking on a cell phone to his mother who was on deployment as a solider to Iraq and with Whom he had not spoken to for thirty days). 155 See ADvANC FMk:NI PROiLc I, EDUCAnON ON LO(2KI )OWN, supra note 12, at 15. 155 Ac'1'ION POR CHIIDRFN, FROM PIEII OIJ'r 10 LOCK UE[ NORni CAROLINA'S ACCELLItAIID SCIIWGIO- PRISON PIEI':I.INF. 8 -9 (2013), availab /e at hip / /www.ncchild org/wp- content /uploads /2014 /05 /2013_S'£PP- FINALpdf li9 See ADVANC6MEN'I PROJEC I, EDUCATION ON LOCKMWN,'ulna note 12, at 15 -16. "I Jtl Is9Id. at 14 -15. Iw See Sara Rimer, Unruly Students Facblg Arre'l, not Detention, N.Y. TIMFs (Jan. 4, 2004), available at Imp: / /www. nytimes.com/2004 /01 /04/us/unmly- students - facing - arrest -not- detention.himl_ 28 WASH. U. L. REV. (forthcoming) [Vol. 93] County, Ohio (from 1,237 in 2000 to 1,727 in 2002).161 In the only empirical study to compare referrals across multiple states, 162 researchers Michael Krezlnien, Peter Leone, Mark Zablocki, and Craig Wells found that in four of the five states studied (Arizona, Hawaii, Missouri, and West Virginia) referrals from schools comprised a larger proportion of total referrals to thejuvenile justice system in 2004 than in 1995.163 That study also demonstrated that schools from Missouri, Hawaii, and Arizona referred greater proportions of their students in 2004 than in 1995.16' And, similar to the increase of suspensions and expulsions, there is substantial evidence that the vast majority of these school -based referrals were for relatively minor oflenses.165 The negative impact of suspending, expelling, or arresting a student should not be underestimated. Excluding a student from school, even for a short time period, disrupts that student's educational experience and provides that student with more time and opportunities to engage in harmful or illegal activities.166 Ample studies demonstrate that a suspended student is less likely to advance to the next grade level and is more likely to drop out, commit a crime, get arrested, and become incarcerated as an adult. 161 161 rd. 1fi2 See EDOCA11ON DNDFR Amn s i, supra note 29, at 13. "'S,, Krezmiea et a1., supra note 54, at 286. 114 Id at 280_ Schools from the states of South Carolina and West Virginia referred lower proportions of the students in 2004 than in 1995, but there was great vartability in referral rates over that time period_ See id. at 281, fig. 1. 165 See, e.g., FLDHRAL ADVISORY COMM. ON JUV_ JUST, supra note 29, at 10, ACTION FOR CHILDREN, supra note 156, at 9 -10 ( "Students were most commonly referred to the juvenile justice system for low -level offenses "), EDUCADON UNDFR ARRFST, supra note 29, at 14-15 (reporting that in 2007 -08, ninety-six percent of school -based referrals in Jefferson County, Alabama were for misdemeanors), ARRFSTma DFVI'LOPMPNT, .supra note 29, at 6 (explaining that during the 2004-05 school year in Flonda, seventy-six percent of school -based referrals to law enforcement were for misdemeanor offenses such as disorderly conduct) 166 See Ending Ole Schr,1 to Pear, Pipeline. Hearing Be /are the Sat, cornan. on the Constitution. Civil Right, sad Huntm Right, of the S. Comrn. On the Jadiciarv, 112th Cong_ I, 2 3 (2012) (testimony of Laurel G. Bellows, President on behalf of the A. Bar Assn), available at hap 1 /www.americanbar.orgleontont/ dam /abwuncategonzed/GAO/2012decl2 p risonpipeline_s.authcheckdam. pdf (explaining how exclusion is an indirect route to involvement in the justice system) 161Id., see 11.11 OPIYIR11WITRS SUSPENDHI>, supra note 57, at 13 (detailing the negative consequences to children who are arrested). Ina study tracking Texas students from seventh through twelfth grade, researchers discovered that exclusion from school nearly folded a student's chances of being involved in the juvenile justice system within the subsequent year See To.NY FAUELO 10 AL., BRFAKIN0SCIiWIS'RULES' ASIA'lTo7DF.STIIDYOFHOWSrL(xa. DISCIPLINII RELAIES lO STUDENTS' SOCCFSS AM) JUVENII.H JUSIICI! INVOLVINUN't 70 (2011), available at http_ / /esgjustieecenter. org/wp- content /uploads /2012 /08/Breaking_Schools_Rules Report Final,pdf. 2015 SCHOOL -'CO- PRISON PIPELINE 29 Of course, if a student ultimately is arrested and convicted, having a criminal record severely hampers a youth's ability to apply for college, obtain a scholarship or government grant, enlist in the military, find employment, or find housing.Ias But even if the student is not convicted, an arrest still has carries severe consequences. Sometimes schools will refuse to readmit arrested students.ISS If arrested students are readmitted, they often face emotional trauma, embarrassment, and stigma in their schools and among their classmates and teachers. 1711 They may also face increased monitoring from teachers, school officials- and SROs."' These conditions often lead to lower standardized test scores, increased interaction with the justice system, and a higher likelihood that the student will drop out of school.ln As the United States Court of Appeals for the Tenth Circuit recently observed, "[t]he criminal punishment of young school children leaves permanent scars and unresolved anger, and its far - reaching impact on the abilities of these children to lead prosperous lives should be a matter of grave concern for us all.""' Using data from the National Longitudinal Survey of Youth, criminologist Gary Sweeten found that, even after controlling for other relevant factors, a first -time arrest during high school almost doubles the odds that a student will drop out of school, and a court appearance associated with an arrest nearly quadruples those odds."4 In another study involving inner -city students, most of whom lived in minority- dominated neighborhoods in Chicago, sociologist Paul Hirschfield found that those who were arrested in ninth or tenth grade were six to eight times more likely than students who were not arrested to dropout from high school. °5 These results held firm even after controlling for other demographic, behavioral, and academic variables. 176 As one might imagine, the economic costs to society for arresting students, especially if it leads to incarceration or dropping out of school, are staggering. For example, economists from Columbia, Princeton, and Queens College predict that increasing graduation rates "S, AOVANCFMi PROIFC I, EDIICA I ION ON 1,(%'K INIwNsupra note 12, at 12. 1 b9 Id. at 17. 1711 Id., Theriot supra note 7, at 280-81. °1 Id. "S,, KIM, LusrN, & HFwn-r, supra note 12, at 113, 128. "' Hawker v. Sandy City Corp., _ F 3d _ (I Oth Cir_ 2014), see also N.C. v. Commonwealth, 396 S W 3d 852, 863 (Ky. 2013) (reasoning that the "shift away from traditional in- school discipline towards greater reliance on juvenile justice interventions, not just in drug cases, but also in common school misbehavior that ends up in thejuvenilejustice system comes at a significant cost to state agencies and takes the student out of the normal education process 174 Sweeten, supra note 12, at 473_ rr Paul Hirschfield, Another Wav OW: The Impaer of.luvenile Arrests ou High Srhaa[ Dropout, 82 Sox. of Gibe 368, 368 (2009)_ r ° Id, at392 -85. 30 WASH. U. L. REV. (forthcoming) [Vol. 931 substantial] decreases violent, I" y drug, and properly crimes. Those economists also predict that the total lifetime cost- savings for each high school graduate amounts to $26,600, with that amount being significantly higher for African- American and Hispanic males. 179 Further, one must not forget the strain that increased arrests have on our justice system. Judges, public prosecutors, and public defenders have complained that they are devoting scarce resources to handle school arrests that could be handled more effectively and efficiently by school officials.' s Another serious ramification of these laws, practices, and policies is their disproportionate impact on minority smdents. tsc Using a variety of measures, racial disciplinary disparities have been documented using national, state, and local level data at all school levels across all settings.]"' For example, the U.S. Department of Education's Office of Civil Rights Data Collection (CRDC) demonstrates that although African- American students makeup only fifteen percent ofthe students in the CRDC database, they comprise thirty -five percent of students who were suspended once, forty-four percent of students suspended more than once, and thirty-six percent of the students who were expelled from schooLuc These disparities are not explained by more frequent or more serious misbehavior by minority s'tudents.I "' According to the Office of Civil Rights, "in our investigations we have found cases where African- Amencan students were disciplined more harshly and more frequently because of their race than similarly situated white students. In short, racial discrimination in school discipline is a real problem." 114 And while very little data exist ve HENRY LF V IN, CI.I VF fl m.EIFLD, PElLR MUIfENIG, & CECII.IA RAOsL, TIIL COSTS AND BFNEFirs AI' AN Ex('ri Ii R-I EDUCATION EAR ALL UI' AMFIZJCA'S CLILDRIiN 13 (2006), mailable W hup. //w v3.nd -edu/ jwartick/documents /Levin_Belfield Muennig_Rousepdf 1711 Id. at 14 (noting that most of these savings are from lower incarceration and criminal justice costs). p9 See KIM & GIIRonudo, supra note 119, at 13 -14; Wolf, slY ra note 30, at 40 otl See Kim, LOSE N, & Hi %I11, copra note 12, at 80, Are Zero Tolerance Policies Effe( ive in Schools?, supra note 48, at 854 -55; DEAR COLLEAGUri 1.1!1'I FR, supra note 10, at 3 -4. ' "1 Russell J. Skiba, Monello 1. Anedondo, & Natasha T. Williams, More than a Metaphor: 771e Contribution ofP alusionary Discipline to a School m Prison Pipeline, 47 P.QIIEI Y & Exci i IJ:NCI'.IN EDUC. 546, 550 (2014). 1.2 DEAR COLI.I!Aum:: LL I I LL IIR, supra note 1 I, at 3. "' 7d. at 4. As Derek Black points out, few school systems today openly engage in blatant discrimination, instead, racial discrimination often is the result of implicit bias. D12RE'K BLACK, EDUCATION LAW: EQIIN.II Y. FAIRNESS, AND RFJ (wiv 147 (2013), see also Jeny Kang, Trpjan Horses of Rate, 188 HARV. L. RLv_ 1489, 1506-14 (2005) (describing social cognition research demonstrating that the majority of people have implicit biases against racial minorities I' also Michael Rocque & Raymond Paternoster, Undersmnding the Aaa,cdenis of the "School - IoJad' Link' The Relationship Reuveen Rate and SchoolDiv ipliae, 101 J. Cuss L. &CRIMINOLOGY 633, 653 -54 (2011) (finding that African - American students are significantly more likely than whites to be 2015 SCHOOL -TO- PRISON PIPELME 31 demonstrating that SROs arrest minorities more frequently than white students,'s' there are data showing that that youth of color are disproportionately arrested and convicted compared to white youth for similar offenses. 116 IV. THE EMPIRICAL STUDY As in the past, many lawmakers, police departments, and school officials currently seek to put more SROs in schools despite the fact that research on the effectiveness of SRO programs is extremely litrdted.180 But more importantly, too little empirical attention has been given to the potential negative consequences of using SRO programs, including their effects on exacerbating the pipeline.'" This Article's empirical study measures the relationship between a police officer's regular presence at a school and the odds that school officials will refer students to law enforcement for various offenses, including seemingly minor offenses. It differs from prior studies in at least two important ways. First, it analyzes restricted data from the 2009 -2010 School Survey on Crime and Safety (SSOCS), the most recent SSOCS data disciplined even after taking into account other salient factors such as grades, attitudes, gender, special education or language programs, and their conduct in school as perceived by teachers), Russell J, Skiba et al., Race Lv Not Neutral: A National Investigation of African Anleruan and Latino Uisproportianality in School Disdpline, 40 Scu. Psvcnol._ Rtty_ 85,95-101 (2011) (finding significant disparities for minorities with respect to school discipline after examining an extensive national sample)_ "' See ED11CA710N UNDFR ARRI'sl supra note 29, at 21. An exception to this dearth of research is a study conducted by Kerrin Wolf, mtpra note 30, at 25 -26, who found that among Delaware students, African- American students accounted for 67% of arrested students while comprising only 32% of the student body. ise See EDUCAHON UNDLR ARK,s'r, supra note 29, at 21 (citing data), Mark Soler, or al., Juvenile Justice: Ixsson,s for a New Era, 16 GFO. I ON POVLH I L. & POI Y 483, 530 -31 (2009) (observing that African - American youth were nine times as likely to be incarcerated than white youth charged for the same offense when both had no prior admissions). 1tl' See ]VANS & MCCAI I ION, supra note 24, at 9. o'i However, the limited research that has been conducted is telling. Researcher Matthew Theriot took advantage of a natural experiment in which a school district in the southeastern United States assigned full -time SROS to schools residing within the city limits, but not without .See Theriot, supra note 7, at 282. Theriot found that schools with SROs were more likely to arrest students for lower -level offenses such as disorderly conduct than schools without SRCN. but or for more serious crimes. Id. at 284 85. Theriot concedes, however, that his findings may not be generalizable because they are based on a limited sample in only one school district. Id. at 286. A study conducted by researchers Chongmin Not and Denise Gonfiredson contained findings consistent with Theriot s study. Na and Gotthedson analyzed national data from the 2006 -2007 School Survey on Crime and Safety and found that schools with SROs reported higher percentages of no.-serious offenses to law enforcement than schools that did not have SROs. See Chongmin Na & Denise C Goafredson, police Ofjhers in Schools Effects on .SYhool Crirne and the Proressina of Offending Behaviors, 30 Just. Q. 619, 640(2013) 32 WASH. U. L. REV. (forthcoming) [Vol. 93] available. Second, it controls for other important variables that prior studies did not, such as (1) state statutes that require schools to report certain incidents to law enforcement, and (2) general levels of criminal activity and disorder that occurred in schools during that school year, while still controlling for other important demographic variables and school characteristics. A. The Data The data for the empirical analysis carne from the School Survey on Crime and Safety for the 2009 -2010 school year (2009 -2010 SSOCS) published by the U.S. Department of Education's National Center for Education Statistics CNCES).189 It is the most recent data currently available on school safety from the NCES. The dataset is the restricted -access version, meaning that it contains sensitive, detailed information on school crime, such as the number of violent incidents that occurred on school grounds and the number of incidents that schools reported to law enforcement.l" "'I"he restricted dannet recently became available to researchers who met specific conditions. 191 NCES used the 2007 -2008 school year Common Core of Data Public Elementary/Secondary School Universe File (CCD), 192 which is the most complete list of public schools available, as a sampling Ise see NAIL CIR. IOR EDLc. STALS, 9C11001, SLIRVRY ON CRIMI AND SAT KI'Y PRINCIPAL. QI11iSTIONNNRL. 2009 -10 Scturoi. Yi7AR (2010) [hereinafter 2009 -2010 SSOCS QUINEONNAIRL], available of hop '. //pees. ed gov /surveys/ssocs /pdf /SSOCS 2010_ Questionnaire.pdf (last visited Aug_ 6, 2014). "I See SlnlictiOrl Stmviard Pau, rani.' Oeitini4 Siaried, NATAL C1:N1 LIR I'OR EDUC. SWIS11CS, hap'. / /nces -ed gov /statprog /instruct geningstarted.asp (last visited Aug- 6, 2014) The restricted -use data "have a higher level of detail in the data compared to public -use data files.' Id. The restricted -use datasets are not available to the general public However, datasets that contain less sensitive data for prior school vears can be downloaded at han fmces. ed -gov /surveys /woes /daayroducts. asp. 01 NCES provides restricted -use datasets to certain researchers in qualified organizations. Id. In order to quality, "an organization must provide aj ustificaron for access to the restricted -use data, submit the required legal documents, agree to keep the data safe from unauthorized disclosures at all times, and to participate fully in unannounced, unscheduled inspections ofthe researcher's office to ensure compliance with the terns of the License and the Security Plan form" Id.; see also Sunislieal Standard, Program: Applving for a Restricted -Use Data Lice oe, NACL C1NI mt FOR EDI1C. S'IAPS'nrS, http'.//nces. ed.gov /statInmeinstmet_ apply asp7type =d (last visited Aug. 6, 2014) (displaying the guidelines for applying to receive restricted -use datasets). " The Common Core of Data "is an NCES annual census system that collects fiscal and nonfiseal data on all public schools, public school districts and state education agencies in the United Slates" NA'r'1. CFNrFR FOR EDUC. SIAIISItC S, 2009 -2010 SCn001. SURVFY ON CRIMIf AND SN'EtY (SSOCS): RFNTRLCIFD -1Js1': DNA FILe USER MANUAL 8 (2011) [hereinafter 2009 -2010 Rust RICIIiD -USP MANUAL] (on file with author). 2015 SCHOOL -TO- PRISON PIPELINE 33 frantic 9' to select schools to participate in the study. 194 After subdividing the sample frame to ensure that subgroups of interest would be adequately represented,1J5 NCES randomly selected 3,480 schools to participate in the study. 96 Of these public schools, 2,650 submitted usable questionnaires, which is a return rate of seventy-six percent.1y9 NCES collected the data from February 24, 2010, to June 11, 201 Q1Js B. Dependent Variables The 2009 -2010 SSOCS restricted -use dataset provides a unique opportunity to analyze on a national scale the relationship between a police officer's weekly presence at school and the odds that school officials will refer students to law enforcement for various offenses. The 2009 -2010 SSOCS asked principals to record the total number of incidents that occurred at their school during the 2009 -2010 school year and the total number of incidents reported to law enforcement for the following offenses: • robbery (taking things by force) with a weapon • robbery (taking things by force) without a weapon • physical attack or fight with a weapon • physical attack or fight without a weapon • threats of physical attack with a weapon • threats of physical attack without a weapon • theft /larceny (taking things worth over $10 without personal confrontation) • possession of a firearm or explosive device " A "sampling frame" is a list of units that could be selected for study. See R]CHARI) L. SCHEA11TR F At_, fitukt, INtY SURVI'V SAMPLING 43 (5th ed 1996)_ .See 2009 -2010 RESIRIC'rl *.D -US1 MANUAL, supra note 192, at 8. .See id. at 9. The sample was stratified by instructional level leg, elementary school, middle school, high school), locale (e.g., rural, suburb, urban), enrollment size, and region (eg., Northeast, Midwest, South, and Wert). In addition, the sample frame was stratified by percent of combined student population as Black /African American, Hispanic/Latino, Asian, Native Hawaaan/other Pacific Islander, or American IndiateAlaska Native. Id. I" Id. at 10. NCES guidelines for using restricted data require that raw numbers be rounded to the nearest ten_ U.S. DFP'T. OE EDtIC, RESTRICTIiD -USE DATA PRCC]DURIS MANUAL 20 (2011), available al hng // oces_ad.gov /pubs96 /96860rev_pdf 1°' Id. at 1, 9 -13. A response rate of seventy-six percent is excellent and reduces bias in the data EARL BA1nnh, TIT: PRACrtcuoF S0C1AL RES'eARCU 256 (9th ed. 2001). I'e 2009 -2010 Res ❑tic II9) -Usti MANUAL, vgna note 192, at 1. 34 WASH. U. L. REV. (forthcoming) [Vol. 931 • possession of a knife or sharp object • distribution, possession, or use of illegal drugs • distribution, possession, or use of alcohol • vandalism I considered the odds drat school officials referred students to law enforcement for committing the above offenses.lpp If the school reported more than one incident for a particular offense, 1 included each incident as a new variable Ia' C. Independent Variables The 2009 -2010 SSOCS asked principals to report whether sworn law enforcement officers were present at their school at least once a 'ss The 2009 -2010 SSOCS asks principals to include all incidents that occurred at school, regardless of whether students or non - students were involved. See 2009 -2010 SSOCS Q[+xl JONNAIRe, supra note 189, at 11. Thus, it is possible that some of the incidents recorded related to non - students However, while more precise questions are needed to identify exactly how many students were involved, it seems highly likely that the vast majority of cases recorded involved students. 200 While it is possible to calculate for each school the proportion of the offenses referred to law enforcement and use that proportion as the dependent variable, I chose not to do that for two reasons. First, a school referring 4 out of 5 students to law enforcement and another school referring 40 out of 50 students for a certain offense would generate the same proportion (80). However, the later proportion would be more meaningful because more data are embedded within that proportion. Accordingly, by adding each new incident as anew variable, even if it comes from the same school, no data are lost See Karen Grace- Martin, Proportions as Dependent Variables in Regression Mall "Type of Model.', at http,! /www theanalysi sfactor. com /proportions -as- dependent - variable -in- regression- which - type -of- model/ (last visited Sept. 12, 2014). Second, running a regression analysis in which the dependent variable is a proportion creates model fit problems because the relationship is not linear, but sigmoidal. See id., see also Fransisco Cribari -Nero & Achim Zeileis, Bela Regression in R, 34 I- Sim SOR- fwARf. I, 1 -2 (2010), available at hap'. / /cran.r- projectorg/ web/ packagesPoetareg /vignettes/betareg. pdf. Treating the proportion as a binary response and running a logistic regression addresses this problem if a researcher has data for the total number ofmals and successes. See Coace -Mars supra 2015 SCHOOL -TO- PRISON PIPELINE 35 week'... This was the independent variable of primary interest for this study 202 The 2009 -2010 SSOCs also contained a number of other variables, many of which could influence the rate at which schools report students to law enforcement. These variables served as control variables. For example, the general level of crime that exists at a school may influence the rate at which school officials refer students to law enforcement for various offenses 2o' If students engage in many illegal activities, school officials might be more inclined to refer more students to law enforcement to stabilize the en% tronment.2'a Further, because referral rates for certain offenses may change in accordance with the types of offenses that occur at school '211 1 divided the offenses into two categories: "weapon/sex offenses" (rape; sexual battery; robbery with a weapon; physical attack with a weapon; threat of physical attack with a weapon; possession of a firearm or explosive device; and possession of a knife or sharp object), and "non - weapon/non -sex offenses" (physical attack without a weapon; threats of physical attack without a weapon; theft: drug possession; alcohol possession; vandalism; and robbery without a weapon). I categorized the offenses in this manner because our current legislative landscape indicates a strong proclivity to refer juveniles to the justice system for committing sexual crimes 201 2009 -2010 SSOCS QTT Sr1ONNAnte, supra note 189, at 8. Specifically, the 2009 -2010 SSOCS asks principals to report separately the number of -School Resource Officers" which includes "all career law enforcement officers with arrest authority, who have specialized training and are assigned to work in collaboration with school organizations," and the number of "[s]wom law enforcement officers who are not School Resource Officers." Id. I included in my empirical study only schools that indicated that they have either a part-time or full -time school resource officer or swoon law enforcement officer present at their school at least once a week. e" While additional information regarding how much time the SROs spent at the schools would have been useful for this study, unfortunately the 2009 -2010 SSOCS did not contain such information. See 2009 -2010 SSOCS QI,'FS'rIONNAIRF supra note 189, at 8. 20' See Kelly Welch & Allison Ann Payne, Racial 77ireats and Punitive School Disci o1me, 57 Soc Probs. 25, 27 (2010) ( "One factor presumed to be closely associated with school punitiveness and disciplinary practices is the level of school crime and disorder. ")', see also LAWRFNCF F. TRAVIS III & Jul if KiLRNAN CooN, Tin: RUI,P: or LAW ENFORCFMFM M PUBLIC SCH(x)L SAII4I Y'. A NA'110NAI, SuRVFY 20 (2005); Aaron Kupchik & Geoff K_ Ward, Race. Pavern, and h_te6uionary Sdrool Security: An Cnciirical Annlvris of US. hiemenlaro Middle, cord High Sehaals, Yours VIoliNOF & mV. 11 is'r_ (forthcoming) (manuscript at 10), available at hitp'. / /yvl. sagepub. coon /contenUearlyY 2013/ 09/ 16/1541204013503890.full.pdf +ht .L; Nance, .Stur7eNS. .Security, and Race, supra note 75, at33. 204 See Welch & Payne, supra note 203, at 27. Ios For example, consistent with the "broken window" theory, school officials may take a harder line against lass severe offenses in an effort to deter more serious offenses..S'ee Feld, supra note 55, at 886-87 See also gerierally James Q. Wilson & George L. Kelling, Broken Wbrdow.s, A'ILAMIC MONrIILy 31 (Mar_ 1982) (theorizing that broken windows, if not fixed, lead to more crime because they transmit a message of societal indifference to disorder)_ 36 WASH. U. L. REV. (forthcoming) [Vol. 93] and using or bringing weapons on school grounds. 2116 I transformed these variables into rates per one hundred students to account for variations in school size. 207 The general level of school disorder also may influence the rate of referrals to law enforcement. 2°s To control for school disorder, l created an index based on several questions in the 2009 -2010 SSOCS. Principals were asked to rate on a scale of one to five the frequency of various student disciplinary problems such as racial tensions, bullying, sexual harassment of other students, harassment of other students based on sexual orientation, disorder in the classroom, verbal abuse of teachers, acts of disrespect other than verbal abuse, gang activities, and cult or extremist group activities.21Y' I receded the scale so that higher values indicated greater frequency and then computed the mean value of the principals' responses. I also took into account the principals' perceptions of the level of crime near their sehools.210 The 2009 -2010 SSOCS asks principals to rate the level of crime in the geographic area of their schools on a scale of one to three (high, moderate, or low) 2n I receded the principals' responses so that a higher number indicated a higher level of crime. In addition, I included student demographics that are consistent with student marginalization.212 such as the school's student minority 1°s Of course, there are other rational ways to categorize these offenses. I limited my categories to two for purposes of simplicity _ It is important to note, however, that when I tested my models using different categorizations of offenses, those different categorizations did not affect the overall results army empirical study —that a police officer's weekly presence at a school significantly increases the odds that school officials will refer students to law enforcement for various offenses, including lower -level offenses. 20' For example, if the variable were a "I" for crimes using a weapon, that would imply that this school reported one incident for every 100 students during the school year a°" .See TRAVIS & COON, si pra note 203, at 20, Kupchik & Ward, supra note 203, at 10; Nance, .Students, S'en rev. and Race, supra note 75, at 33, Welch & Payne, supra note 203, at 27. .See 2009 -2010 SSOCS QITS'I IONNAIRF, siTra note 189, at 13. 210 5'ee TRAVIS & COON, supra note 203, at 20 (observing that school enure is more common in schools located in crime -prone neighborhoods). 211 .See 2009 -2010 SSOCS QU¢s❑ONNAIR1, supra note 189, at 17. ii2 See DAVID CANIOR & blArFFNA MCKINITY WRIGHT, SCH(.)L CRaval PAFIERNsI A NATIONAI. PROFILE OF U.S. Pm3i,IC HIGti SCB.Ax USING RAn!S 01 CRIME REPORII:D 10 POLICE 8 (2001), available at hups'. // www2. ed.gov /offices /OUS/PES /studies - school -viol ence /school -cri me- pattern.pdf (finding that large high schools located in urban areas serving a high percentage of minority students tend to experience more school came); TRAVIS & C(x)N, supra note 203, at 20 (observing that crime is more common in schools that serve students from disadvantaged backgrounds). 2015 SCHOOL -TO- PRISON PIPELINE 37 population'" and student poverty level.213 1 also included the percentage of students enrolled in special education, the percentage of students with limited English proficiency, and the percentage of students who scored in the bottom fifteen percent on a state assessment exam.21i All of these percentages were reported by the school principals. 216 Further, I included other school characteristics as control variables such as building level (elementary, middle, high, or combined);21' school urbanicity (urban, suburban, town, or rural );211 whether the school was non - traditional (charter school or magnet school); I9 21' NCES provided each school's percentage of the school's student population that consisted of Aftican— Americans, Hispanics, Asian/Pacific Islanders, and American Indian /Alaska Native Students. See SIMONERoBFbs er AL., INDICATORS OF SCHOOL CRIMP AND SAFETY_ 2011, at Iv (2012), available at hup. / /nces ed.gov /pubs2012 /2012002rev_pdf Racial data for the 2009 -2010 SSOCS came from the 2007 -2008 CCD school data file. See 2009 -2010 R1siRic I I N- UseMANUAI, supra note 192, at 29. Although there was atwo -year difference, it is unlikely that a school would undergo a major shift in student demographics over a two -year period. 210 To measure student poverty levels, I used the percentage of students eligible to free or reduced pace lunch, which is a commonly -used proxy_ See. e.g., Michael I lease, Drooled l.earniag. Lan s Loans, and Urban SeHaal Reform Challenges, 85 N . L. REv. 1419, 1441 (2007) (using student eligibility for free and reduced -price lunch as a proxy for student poverty). Principals were asked to report the percentage of their current students were eligible for free or reduced - price lunch_ See 2009 -2010 SSOCS QUESTIONNAIRE, supra note 189, at 16_ 215 .See TRAVIS & COON, copra note 203, at 20, Kupchik & Ward, supra note 203, at 10, Nance, Students. Seeuriry, and Rare, supra note 75, at 33. 215 2009 -2010 SSOCS QUES I IONNAIItr, supra note 190, at 16. "'See CAN IOR & W RIOT, supra note 212, at 8 (finding that the schools that tended to have the most violence included large high schools located in urban areas). NCES categorized a school as an elementary, middle school, high school, or combined school. See 2009 -2010 RHSTRICTFID -USE MANUAL, supra note 189, at 28. These variables were dummy - coded, with the reference group being high school Elementary schools are "schools in which the lowest grade is not higher than 3 and the highest grade is not higher than grade 8 "NA I'L CENTER FOR EDUC STATISTICS, CRIME, VIOLENC'6, D1sca'FINI, AND SAFETY M US. PINLIC SCIRX)Fs FEvDINCS FROM 1111 SCHOOL SORVFY ON CRIMP AND SAFFTYI 2009- 10, at 7 tbl.l n.5 (2011), available or hng Ynces adgov /pubs2011 /2011320.pdf Middle schools are "schools m which the lowest grade is not lower than grade 4 and the highest grade is not higher than grade 9' -Id. High schools are "schools in which the lowest grade is not lower than grade 9 and the highest grade is not higher than grade 12." /d. Combined schools include "other combinations of grades, including K 12 schools "Id, 21" See CANIOR & Wlucltl, supra note 212, at 8. NCES categorized schools as being located in a city, suburb, town, or rural area See 2009 -2010 RESTRICTED -OSE MANuAI, supra note 189, at 47. These variables were dummy - coded, with "urban' as the reference group. 219 2009 -2010 SSOCS QUhSIIONNAOL, suupra note 189, at 17. I categorized these variables into two groups traditional schools and non - traditional schools. 38 WASH. U. L. REV. (forthcoming) [Vol. 931 student population Size;220 and the school's average daily attendance rate 221 Finally. I controlled for whether a school official was statutorily required to report the incident to law enforcement. To do this, 1 located the statutes and regulations in each of the fifty states that mandated that certain incidents that occurred on school grounds be reported to the police during the 2009 -2010 school year. 221 If the statute or regulation clearly and unambiguously required that the incident be reported to law enforcement, I coded that variable as a "l. "22' If the state did not have a statutory reporting requirement or that requirement was unclear or ambiguous, I coded that variable as a -o -220 Because several of the continuous independent variables were positively skewed and may be unduly influenced by outliers, I used the natural logarithm of each of the continuous variables. 221 I report the means, standard deviations, and ranges for each of the variables in Table I below. n" See CARTOR & WRIGIII, supra note 212, at 8. Principals were asked to report their school's total enrollment. 2009- 201OSSOCS000S110N IRF.,supra note 189, at 16. "' Principals were asked to report the school's average daily attendance as the percent of students present at school_ 2009 -2010 SSOCS Q1 YhSTIONNA[Rr supra note 189, at 17. " 1 could not take into account whether a school district had a specific policy to report incidents to the police, as this information was not available to me. Future research might be targeted in this area "' For example, Nebraska requires school administrators to report to law enforcement acts property damage, stealing, and unlawful possession ofdmgs or alcohol..S'ee N6B. RFV. STAT. § 79 -267 (2013)_ a' For example, Illinois requires principals report all incidents of "intmidnom- to law enforcement_ Because it is not clear, for example, that all threats without a weapon would constitute "intimidation" under the statute, I coded Illinois as a "0" under that category _ See Part LA .3 for a complete list of state reporting requirements for each of the various offenses. 225 See Kupchik & Ward, supra note 203, at 11. I added one to each variable before taking its natural logarithm in order to maintain my zero values. (The natural logarithm ofzem is undefined while the natural logarithm ofone is zero.). See id. at 20 n.5. 2015 SCHOOL- TO-PRISON PIPELINE 39 Table 1: Descriptive Statistics for Schools in Sample Mean Std. Dev. Range lndeo. Variables SRO 55 50 0-1 Elementary 26 44 0-1 Middle 34 47 0 -1 khgh 36 48 0 -1 Combined 04 20 0 -1 Urban 27 44 0-1 Suburban 33 47 0 -1 Town 15 35 0-1 Rural 25 44 0 -1 Non - traditional 08 28 0 -1 Minority %(in) 3 20 1.13 0-4.62 Poverty %(In) 3 61 85 0 -4 62 Special Ed. % dn) 2.49 59 0-462 ESL %(In) 1.49 125 0-462 Low Test Score %(In) 2.17 99 0 -4.62 Student Pop. (In) 6.50 73 2 08 -8 38 Attendance %(In) 4.54 21 1.10 -,62 Disorder 189 50 1 -473 Serious Offenses (In) 1.19 28 0-243 Other Offenses (In) 1 35 79 0-4.16 Neighborhood crime 131 58 1 -3 Rob_ (no weap ) Rep. Req. 21 41 0-1 Theft Rep- Req. 15 36 0-1 Drug Rep- Req- .73 45 0 I Alcohol Rep. Req. 39 49 0-1 Vandalism Rep_ Req. 15 36 0-1 Den. Variables Robbery With Weapon 1.00 00 1 -1 Robbery Without Weapon 68 36 0-1 Attack With Weapon 55 41 0-1 Attack Without Weapon 40 41 0 -1 Threat With Weapon 45 43 0 1 Threat Without Weapon 32 43 0-1 Theft 55 44 0-I Firearms .71 45 0-1 Sharp objects 67 47 0-1 Drugs 83 32 o-1 Alcohol .72 43 0 -1 Vandalism 47 46 0-I D. Models and Empirical Methodology 1 modeled the propensity of school officials to refer students to law enforcement for various offenses as a function of whether a police officer is present at the school at least once a week and the control 40 WASH. U. L. REV. (forthcoming) [Vol. 931 variables. The basic from of the models and descriptions of each variable is listed in the Appendix. I estimated all models using survey regression methods that account for observations' survey sampling probabilities. Accordingly, the empirical results provide population -level estimates. Because the dependent variables were indicator variables, I employed logistic regression to fit the models. Logit coefficients are not easy to interpret. To facilitate their interpretation, I transformed the raw logit coefficients into exponentiated coefficients (Exp(Bf. . or odds ratios. 226 E. Results of the Empirical Analysis Figure I compares the percentage of incidents referred to law enforcement at schools having regular contact with SROs against that percentage at schools that do not have regular contact with SROs for various types of offenses 227 nu The exponentiated coefficient, or "Exp(D)," estimates the charge in odds of a school referring a student to law enforcement for the offenses listed for each one -unit increase in an independent variable, or, if the variable is categorical, for the alternative category - See Raymond E. Wright, /ogisiic Regression, in ReADINr AN D UNDIRS I ANDINr NIM.1 I VAR [A I Ii S I A IIS I Cs217,223 (Laurence G. Grimm & Paul R Yamold eds., 1995) ("The odds moo estimates the change in the odds of membership in the target group for a one -unit increase in the predictor. "), For example, hypothetically, if the odds ratio for the independent variable "SRO" were two, then the odds of a student being referred for a certain offense would be twice greater for schools having SROs than for school not having SROs. 227 As explained in Part III D, 1 define regular contact with an SRO as having an SRO or swam law enforcement officer present at the school at least once a week. 2015 SCHOOL- 'ro-PRISON PIPELINE 41 Figure l: Percentages of Offenses Referred to Law Enforcement ■ With SROs Without SROs 85% 73% 75% 75% 51% 135% 4e \4e9q Jd" \40A 46" 1& / oM* I/ / Without taking into account the control variables listed above, there are clear, visible differences in the rates of referral for each of the listed offenses, 228 suggesting that an SRO's weekly presence increases the number of students who will be involved in the justice system. Perhaps most glaring is that the rate of referral for lower -level offenses, such as fighting without using a weapon or making a threat without using a weapon, increases more than two fold when a school has regular contact with an SRO. Table 2 displays the results for the logistic regression model predicting the odds of a school reposing students to law enforcement for each of the various offenses when controlling for other factors that may influence reporting mteac's It displays the exponentiated coefficient estimates, or the change in odds for each one -unit increase in an independent variable, and whether the effects of the independent variables are statistically significant. 221 Using chi -square tests, I determined that there were significant differences between the referral rates for each above offenses- Thep -value was less than 001 total] of these tests except for possession of firearms, which had a p -value of less than 05. 1 also note that I did not include the offenses of rape, sexual battery, or robbery with a weapon because, understandably and predictably, schools referred all or a high proportion of those offenses to law enforcement independent of whether schools relied on SROs. ns The variation imitation factors (VIF), a common statistic to detect multicollineanty, indicated that multicollinearity was not an issue for the models 42 WASH. U. L. REV. (forthcoming) [Vol. 93] Table 2: Logistic Regression Model Predicting Odds of School Referring Students to Law Enforcement for Various Offenses (ExP(B) Reoorted)230 wp<0.05,' "p<0,0).••'p<0001 a. High schools were the comparison group. b. Urban schools were the comparison group. All of the models but one demonstrate that having regular contact with an SRO is a strong predictor of whether a school will refer a student to law enforcement for committing an offense. This is true even after controlling for other important factors that may influence a school's decision to refer a student to law enforcement such as having a state statute that requires referral for committing a certain offense, general levels of criminal activity and disorder in the school, and the general level of crime in the neighborhood in which the school resides. ... The sample sizes for each of the offenses areas follows: robbepv without a weapon (n =840); attack with a weapon (ni attack without a weapon (n- = 35,960), threat with a weapon m- 980), threat without a weapon (n- 19,490); theft (n= 17,530); firearm possession m-250); sharp object possession (n= 3,740); drug possession (n= 9,620); alcohol possession (3,410), vandalism (,8,940). In accordance with guidelines for presenting results from the restricted -use SSOCS database, raw sample numbers are rounded to the nearest ten. U S_ DTP' i or EDUC, RFS'I RICfaU -Usi. DATA Pltrx)PDURBS MANUA] , slgna note 196, at 20. Rob. W. aca o AtWk u1 weu on Attack w/o wm wn 'Ino,u of wca on Ihrem xJO way nn Theft Giros Shure Ohjmis thugs Alcohol Vandalism SRO 3.54 °' 256' 138°' 1.98" 141"' 183 "' 151 135" 191'° 179 "' 154 "' Building lcvcP Elam. 0.77 0.22" 0.35 "' 0.42' 0.35 °' 0.52°' 078 046"' 061 034' 1.03 Middle 1.50 1.02 0.52 "' 062 0.56" 0.81"' 0.33' 0.81' 1.38'° 124 0.75'° Combined 130 023 0.72 "' 118 105 1.97 "' 3.80 078 0.58'° 1.12 0.57° Urbamclty' Suburb 2.05" 1.54 1.11"' 142 1.01 1.00 164 1.22' 126 "' 1.01 127 "' Town 121 3.39 1.27"' 2.25' 1.05 163 °' 4.05' 1.32' 2.57'° 1.11 159 "' Rural 1.34 376' 107 1.82 1.13' 1.35" 2.60 1.22 109 2.11 "' 1.27' Nontraditional 2.52" 0.70 0.78 - 1.64 1.42 "' 101 1.74 0.99 1.58 "' 1.35' 128" Minontvo/ On) 0.55" 0.69 1.00 0.93 0.97 096 091 1.08 0,97 0 79 "' 0.96 Povemp /o (In) 1.4T 093 LOS' 0.87 1 01 1 08" 0.89 0 99 1 01 0.89 0 92' Attcndari In 159 007 294 "' I.10 135 127 036 0.73 211 "` LI7 L19 Special Ed .% On) 086 2 70' 0.92°' 1.06 0 98 0 94' 156 1.12 1 35'° 120 1.09' LEP %(In) 104 1.58" 0.97' 1.13 1.11 "' 1.03 0.82 110' 094` 108 102 Low Test Seem% In 107 1.60' IJI °' 099 0.98 0.99 1.23 1.07 1.05 118'° 1.00 Student P.P. (In) 0.92 369" 115"` 0.92 1.05 1.19"' 141 1.25° 1.09 1.47'° 1.02 Disorder 0.99 1.51` 096 1 O8' 2.27' 1.01 1.14' 108 1.05 Neigh. Crime 1 21 1.42' 1.05 0 99 227 "' 1.25 098 1 24" L 12Weapon/Srn Offenses In) 1.62' 0.20"' 094 102 090 0.86 1.30" 1.37' 1.32`" Non - WeaponNon- SanOffcnscs In 0.72' E871 1.35 0.86 " 084'° 087 1.04 091` 1.01 1.39 n/a n/e 1.13' n/a n/a 0.84'" 0 85 1.13 wp<0.05,' "p<0,0).••'p<0001 a. High schools were the comparison group. b. Urban schools were the comparison group. All of the models but one demonstrate that having regular contact with an SRO is a strong predictor of whether a school will refer a student to law enforcement for committing an offense. This is true even after controlling for other important factors that may influence a school's decision to refer a student to law enforcement such as having a state statute that requires referral for committing a certain offense, general levels of criminal activity and disorder in the school, and the general level of crime in the neighborhood in which the school resides. ... The sample sizes for each of the offenses areas follows: robbepv without a weapon (n =840); attack with a weapon (ni attack without a weapon (n- = 35,960), threat with a weapon m- 980), threat without a weapon (n- 19,490); theft (n= 17,530); firearm possession m-250); sharp object possession (n= 3,740); drug possession (n= 9,620); alcohol possession (3,410), vandalism (,8,940). In accordance with guidelines for presenting results from the restricted -use SSOCS database, raw sample numbers are rounded to the nearest ten. U S_ DTP' i or EDUC, RFS'I RICfaU -Usi. DATA Pltrx)PDURBS MANUA] , slgna note 196, at 20. 2015 SCHOOL -TO- PRISON PIPELINE 43 This relationship is present for various serious offenses such as attacks using a weapon and threats with a weapon. But of more concern, this relationship exists for lower -level offenses as well, such as fighting without a weapon, threats without a weapon, theft, and vandalism. In fact, the odds of referring a student to law enforcement for these lower - level offenses are between 1.38 and 1.83 times greater in schools that have regular contact with SROs than for schools that do not For other non- weapon offenses, such as robbery without a weapon, drug offenses, and alcohol offenses, the odds of referral increase by 154, 1.91, and 1.79 respectively. Although I included the other independent variables as control variables, the empirical analysis reveals other noteworthy relationships, some of which are expected, but others more interesting. For example, one interesting finding is that the number of weapon sex offenses in a school generally is a strong positive predictor of whether a school refers a student to law enforcement for several types of offenses, including several lower -level offenses, except in two instances (attack with a weapon and threat with a weapon) where there were strong negative relationships."' While more study is needed to explore this trend, this may be evidence that many schools do indeed embrace the broken - window disciplinary model. The "broken window" theory suggests that failure to respond to minor infractions will lead to more serious infractions, the same way that a single broken window in an abandoned building will attract more vandalism in that building.232 This empirical analysis shows that schools that experience high levels of serious crimes such as weapon and sex offenses are more likely to refer students to law enforcement for various tower -level offenses, perhaps in an attempt to regain control of the school. Further, the strong negative relationships that exist between the number of weaponisex offenses and referral rates for attack with a weapon and threat with a weapon are also interesting. Because causality and temporal order cannot be detected from the data, one cannot discern whether higher referral rates caused the number of those offenses to decline, or whether the higher numbers of those offenses caused the referral rates to decline, or no causal relationship exists at all. More study is needed to frrther explore this trend. Nevertheless, this trend suggests that when schools experience high levels of serious crimes, they are less likely to refer all of those incidents to law enforcement. While the reasons for this behavior may vary, one possible explanation is that school officials wish to avoid the potentially harmful publicity that comes with a high number ofreferrals to law enforcement. Another possible explanation is that school officials cooperating with law enforcement are strategic regarding which incidents or which students they will refer to law enforcement, "' An odds ratio less than one signals a negative relationship between the independent and dependent variables. 2'2 See Feld, %upra note 55, at 886 -87. 44 WASH. U. L. REV. (forthcoming) [Vol. 93] perhaps because they believe that not all of these incidents justify law enforcement involvement or that law enforcement will not cooperate with school officials if they refer too many students. Another interesting finding is that the number of non- weapon/non- sex offenses a school experiences is also a strong negative predictor of whether a school refers a student to law enforcement for most offenses. Again, causal relationships and temporal order cannot be detected from this dataset. Nevertheless, similar to the explanation above, it is possible that many school officials who cooperate with law enforcement may realize that they cannot refer large numbers of students to law enforcement for lower -level offenses because law enforcement may not appreciate or be able to handle these high numbers, which could cause tension between these entities. Thus, again, perhaps school officials are being strategic regarding which incidents or which students they refer to law enforcement for these lower -level violations. Other control variables also proved to be significant predictors. For example, the odds of referral are greater for high schools than for middle schools or elementary schools. The one exception is that middle schools are more likely than high schools to refer students to law enforcement for drug offenses. The odds of referral are also greater for schools located in suburbs, towns, and rural areas than for schools located in urban areas when controlling for all the other listed factors. This weakens support for the theory that only urban schools invoke heavy- handed, justice - oriented measures to discipline children 23 Further, the data suggest that non - traditional schools such as charter schools and magnet schools are more likely to refer students to law enforcement for certain violations such as robbery without a weapon, threats without weapons, vandalism, drugs, and alcohol, but less likely to refer students for fighting without a weapon. As expected, the odds of referring students to law enforcement were greater in schools with larger student populations for several types of offenses. This suggests that schools with large student populations may lack the resources to address disciplinary problems using pedagogically -sound methods 2" They may not have the resources to hire additional personnel such as teachers, counselors, school psychologists, and behavioral specialists, or to implement alternative programs described below." Also as expected, neighborhood crime tended to be a significant predictor. That is, when school officials " These empirical findings are consistent with the observational findings of Professor Aaron Kupchik, who maintains that harsh disciplinary practices that were once used principally by schools serving primarily low- income minority students are now used in white middle -class schools as well. S'ee Aaron Kupchik, Tdin,gs Are Tough A// Over: Rare. hihniciry, Class. and School Discipline, 11 PIINISHNIT NI AND SO¢' V 291, 291 (2009); see also Kt1PCIIIK, e'upra note 145, at 161. Jd .See supra Part 1. E. =" Are supra Part V_ 2015 SCHOOL- TO-PRISON PIPELINE 45 perceived crime to be higher in the neighborhood in which the school resided, the odds of referral increased. Likewise, for many types of offenses, school disorder was a significant positive predictor of relerrals to law enforcement. Another positive predictor, albeit weak, was the percentage of students in the school with low test scores. Again, because causal relationships and temporal order cannot be detected from this dataset, one cannot discern whether referring more students to law enforcement had a negative impact on the learning environment, whether school officials referred students to law enforcement in an, effort to push low - performing students out of school, or whether no causal relationship exists at all. Nevertheless, with respect to at least some types of offenses, the odds that a student will be referred to law enforcement increase (albeit weakly) when there are higher percentages of low -test takers in the school. Other independent variables, including several student demographic variables, had mixed relationships. For example, the percentage of students qualifying for free or reduced -price lunch was a positive predictor for three non - weapon offenses (robbery without a weapon, attack without a weapon, and theft), but a weak negative predictor for vandalism. The results for the percentage of students enrolled in special education were also mixed. It was a strong predictor for attacks involving a weapon and for drug - related offenses, which may be legally - permissible reasons for temporarily removing students from school who qualify for special services under the Individuals with Disabilities Education Act (IDEA) 236 But this variable had a significant negative relationship with respect to lower -level offenses, which is also consistent with the IDEA, because students who qualify under IDEA receive special protections from removals for longer than ten days 211 Surprisingly, the percentage of minority students a school serves generally was an insignificant predictor with respect to all of the offenses except two, where it was a negative predictor (robbery without a weapon and alcohol offenses). While this finding may seem inconsistent with prior research indicating that students of color are affected disproportionately at every stage of the Pipeline, it must be stressed that these data do not allow researchers to examine the race or ethnicity of the individual students who were actually referred to law enforcement Accordingly, it is entirely possible that the students referred to law enforcement tended to be primarily minority students. 236 See 20 U.S.C. § 1415(k)(1) (allowing school officials to remove students to an interim educational setting for up to forty -five days when a student brings a weapon or drugs to school). 21' See 20 U S_C. § 14150) Further, because suspending special education students is often viewed as complex and rife with litigation, school officials may be hesitant to refer special education students for any offenses that do not involve weapons or drugs, even if removal would be less than ten days. 46 WASH. U. L. REV. (forthcoming) [Vol. 93] More research must be conducted in this area to detect this important relationship. Finally, it is noteworthy that the statutory mandatory reporting requirements proved to be an insignificant predictor for the majority of the offenses, although it was a weak, positive predictor for theft and, curiously, a negative predictor for drug - related offenses. These findings suggest that the reporting statutes do not appear to be the driving force behind referrals to law enforcement, perhaps because they are not enforced or school officials are unaware of them 211 F. Limitations of the Empirical Study A brief explanation of the limitations of this study is warranted. One limitation is that the data do not allow researchers to categorically conclude that having regular contact with SROs causes a school to refer a student to law enforcement for committing an offense. To better assess the impact of SROs on a school, one would need to collect observational data on referrals to law enforcement during a period when a school did not have regular contact with an SRO (the control period), and after that school had regular contact with an SRO (the treatment period).2" Further, observing the incidents as they occur (or at least interviewing witnesses who observed them) rather than relying on written, generic descriptions of the offenses is important to determine if there were other contextual reasons that might explain why one student was referred to law enforcement but another was not for the same offense category. The findings of this empirical study should justify a significant investment of resources to conduct such a study in several schools in several different types of settings before our nation invests more funds in these costly SRO programs. Another limitation of this study is that it is not clear exactly how the school official respondents interpreted the question asking school officials to record the total number of incidents `reported to police or other law enforcement, 11211 The survey question suggests gges[s that school officials should record the total number of students that the school officials themselves referred to law enforcement. But it also seems plausible that school officials included in that report the number of arrests that SROs made while on duty in the school. This is a section of the 2009 -2010 SSOCS Questionnaire that the U.S. Department of Education might consider redrafting to reduce ambiguity. It is also an area for further scholarly research. But this ambiguity does not weaken za It should be emphasized again that many school districts have reporting policies which may have a measurable effect on referral rates, but could not be taken into account in this study Nevertheless it is important to acknowledge that because these policies most likely are formed by school boards or district officials, school officials have greater influence over changing these policies than state or federal reporting statutes. 29 Cf. JAxIr.S & Nk CA11 toN, sripra note 24, at 9. �n 2009 -2010 SSOCS QUES NONNAi Rte, supra note 189, at 11, 2015 SCHOOL -FO- PRISON PIPELINE 47 the importance of these findings —that the odds that a student will be reported to law enforcement increase —from whatever the source — when a school has regular contact with an SRO. Nevertheless, in future studies, it is important to distinguish exactly how the student was referred to law enforcement so reformers have a better sense of where they can direct their resources to institute change. A third limitation of this study is that the data do not contain information regarding what happened to the students after they were reported to law enforcement. Most likely some students were arrested and convicted, some were arrested but not convicted, and some were released without an arrest. More study is needed in this area as well, because an arrest is more detrimental than a referral, and a conviction is far worse than an arrest or a referral. In addition, more research is needed to identity the types ofoffenses and the conditions under which a referral to law enforcement ultimately leads to an arrest and a conviction. Nevertheless, it is important to emphasize that whenever a student is referred to law enforcement, whatever the outcome is, it most likely changes that student's life for the worse. Even referrals can leave permanent scars and unresolved anger; disrupt the student's educational process by leading to suspension or expulsion; lead to embarrassment and stigma among classmates and teachers; incite distrust and negative views towards law enforcement; and tax public resources. 211 Finally, as discussed above, a fourth limitation of this study is that the data do not allow researchers to examine the race or ethnicity ofthe individual students who were referred to law enforcement for the various offenses. Consistent with prior empirical research on student discipline and juvenile arrests generally, if that data were available at the national level, it seems likely that the data would reveal racial disparities in the referral rates as well. IV. DISCUSSION AND RECOMMENDATIONS This Pan discusses the serious concerns raised from the empirical findings. It also proposes several measures that lawmakers and school officials should implement to address the concerns raised in the empirical study. A. Discussion of F,mpirical Findings Although causation cannot be determined, the results of this empirical study support the conclusion that having regular contact with SROs increases the odds that students will be refemd to law enforcement for various offenses. But more disturbingly, these findings suggest that having regular contact with SROS increase the odds that 141 See Hawker v_ Sandy City Corp., _ F 3d _ (I Oth Cir. 2014); N.C. v. Commonwealth, 396 S. W 3 852, 863 (Ky. 2013); Kurt &GF:RONIMO, cups note 119, at 10, "11111, Part III, ngn2 48 WASH. U. L. REV. (forthcoming) [Vol. 93] schools will refer students to law enforcement for lower -level offenses that should be addressed by school officials themselves using Pedagogically -sound disciplinary methods. These findings hold true across many types of schools in many types of settings, even after controlling for variables such as state statutes mandating referral to law enforcement, general levels of criminal activity and disorder, neighborhood crime, and other demographic variables. Importantly, these findings are consistent with two prior studies also suggesting that schools with SROs were more likely to report students to law enforcement for lower -level offenses than schools without SROs, although both of those studies relied on older damsels and employed different models.r4" The reasons why the odds of referral increase when schools have regular contact with an SRO are not clear from this dataset and require further study. Nevertheless, it seems to be a logical outcome. When school officials and SROs develop working relationships with one another, it is reasonable to assume that SROs encourage school officials to refer students to law enforcement for offenses that in the past were handled internally. Along these swine lines, perhaps once SROs have a consistent presence at the school and regularly arrest students, arresting students for certain offenses simply becomes the expectation among school officials, teachers, and parents. In addition, once school officials and SROs establish regular patterns of communication, school officials might rely on SROs as legal consultants. That is, when a student commits an offense, it is possible that school officials seek advice from SROs regarding whether that offense should be reported to law enforcement for processing because they trust that SROs understand the law better than they do 24' Further, some school officials might use SROs as cover when school officials seek to evade the responsibility of working with challenging students by arming those students over to law enforcement. When confronted by angry parents or other community members, school officials can respond that the SROs told them that they should refer a student to law enforcement for processing. Regardless of the reasons behind the increase in odds, these findings should raise serious concerns regarding our nation's SRO programs. These data support the conclusion that a school's regular contact with SROs leads school officials to redefine lower -level offenses as criminal justice issues rather than as social or psychological issues that can be addressed using more pedagogically -sound disciplinary methods or employing mental health treannents.3*i In other words, SRO programs appear to facilitate a criminal justice orientation zaz See sapra note 188 "'This pattern was observed by Professor Aaron Kupchik in his ethnographical study of four high schools. See KuPCnIK, supra note 145, at Q5 ("The principals at the schools I studied each rely on their officer as a legal advisor of sorts "). zu see Knt'cmK, supra note 145, at 115. 2015 SCHOOL -TO- PRISON PIPELINE 49 to how school officials respond to offenses that were once handled internally.245 A logical extension of these findings is that, as more funding becomes available to schools to hire more SROs through post - Newtown legislation, more students may be referred to law enforcement (either by way of school officials or the SROs themselves), and that more students may be arrested and, possibly, convicted. As described above, the consequences of involving students in the criminal justice system are severe and have lasting, negative impacts on the students themselves and society at large.2' Indeed, what is so disturbing about these findings is that despite empirical studies suggesting that more law enforcement in schools leads to more student involvement in the criminal justice system, lawmakers and school officials continue to propose the same solutions and rely on the same methods to enhance school safety in the wake of high - profile acts of school violence. Some may argue that the safety of our children in schools is paramount, which is all the justification needed for funding SROs programs. The safety of children in schools is extremely important. No one can plausibly argue otherwise. However, one must also remember that the current research on the effectiveness of SRO programs in preventing violence is very limited.' In addition, SROs and other strict security measures simply do not and cannot prevent all acts of violence from occurring in schools. For example, in a Washington, D.C. school that had metal detectors, perimeter fencing, and guards, a student was shot by another student inside the school2% The Columbine massacre also occurred in a school that used metal detectors and employed guards 2" But far more importantly, even if SROs and other strict measures do deter some from bringing weapons to schools, these measures do not support long -term solutions to help students develop socially responsible behavior, understand collective responsibility, and resolve conflict peacefully. 2" Rather, reliance on these strict measures may exacerbate underlying tensions by creating adversity and mistrust within the school climate.2" Further, investing millions of dollars in SROs and other security equipment diverts scarce resources away from pedagogically -sound methods to improve school 245 hd Lob See .sateen Pan III_ 217 See swtera Pan IL 211 .See Sara Neufeld & Sumado Reddy, Violets Week Renews Metal Detector Debate, BAT .T_ SUN, Oct 14, 2006, at IA_ 219 See Amanda Terkel, Columbine High School Had Armed Gaard Dori g Massacre in 1999, HUFF11GTON POST (Dec 21, 2012, 1107 PM), bftP / /wwwlhuffingpostcom/2012/12 /21 /columbine- anned- guards_n_2347096.him1; Marcus Wright, F. perts.Savintrmvive .S'ertvitvat Public &hoods Reprodtoes .Sorial i egndity, MICH_ CITIZEN (Nov. 15, 2012), hap' / /michigancitizen.com /dps- eau- fighter- security/, 250 .See Nance, Snuients. .Secaor,, and Rare, supra note 75, at 24 25 ' /d.; see also note 133 and accompanying text. 50 WASH. U. L. REV. (forthcoming) [Vol. 93] safety that enhM=e the ICMM llg CoVirUmnem.252 And while these alternative methods may not prevent a deranged individual from harming members of the school community, it should not be forgotten how rare these Newtown -like events are 211 Schools still remain among the safest places for children generally.'m As Professor Aaron Kupchik observes, "I find that the presence of police in schools is unlikely to prevent another school shooting, and that the potential for oppression for students especially poor and racial /ethnic minority youth is a more realistic and far mote common threat. "2ss B. Recommendations It is crucial to recognize that there are better, more pedagogically - sound methods to address school violence and help students maximize the educational opportunities available to them. For example, rather than spending exorbitant amounts of money hiring SROs and installing other strict security measures to promote school safety, we should use our resources to provide students with more mentoring programs; counselors; mental health services; programs that build a strong sense Of community, character, collective responsibility, and trust; and programs that help student develop anger management skills and teach students how to resolve con fliet.21c In fact, there are abundant alternative methods to enhance school safety more effectively than implementing measures that rely on coercion and fear." Indeed, school safety experts and educators have long reew6mized that creating a safe environment depends largely on creating a positive school climate based on trust, respect, and open communication among members of the school eommunity.2251 252 See Nance, Studenrs. SeewiN, and Race, supra note 75, at 24. 2s' Scott, supra note 42, at 541 (observing that serious acts ofschool violence are rare) 214 See supra note 28. zss KIII'OIIIK, supra note 145, at 82. 'S° See Nance, Rmrdorn. Suspic(onless .S'earrhes, supra note 75_ at 400 -401, Nance, Sbtdenrs. Se, urtiv, and l?w e, supra note 75, at 48 -55. "See Nance, Snulenrs, Security. and Rare, supra note 75, at 48-55; we also generally U.S. DkP'T OP EDtICMION, GUIDING PRINCIPLPSI A RI'S01incri I oR IMPROVING SCHOOI, CIAMATP AND Discw INL (2014) [hereinafter GUIDING PRINCIPLCsj_ While 1 will introduce the alternative programs and strategies here, I provide much greater detail in a forthcoming ankle. See Jason P. Nance, 7be School -to- Prison Pipeline- Problems and ,Solutions, _ ARIz._ S'f. NJ, _ (forthcoming) [hereinafter the School lo Proon Pipeline]. zs See GUIDING PRINCIPLPS, supra note 257, at 5 (maintaining that positive school climates can enhance school safety), RoaRRI A. FEIN F I A , U.S. Se;aul SFRVICL & U.S. DiR'i OF EAVAIION, TIIRI!AI ASSBssMIiNT IN SciR. Ls: A Griiai TO MANAGING TuRFATFNING SITOAIIONS AND 10 CRFATING SAPT. SCHOOL C[.IMAIIIS 1 I -12 (2002) ("in educational settings that support climates of safety, adults and students respect each other. A safe school environment offers positive personal role models in its faculty . It provides aplace for open discussion where diversity and differences are respected, communication between adults and 2015 SCHOOL -TO- PRISON PIPELINE 51 One very effective initiative to build safer schools is called Positive Behavioral Interventions and Supports (PBIS). It is a data - driven initiative that provides educators and students with strategies to define, teach, model, and support appropriate behavior that helps create an optimal learning climate'''s PBIS sets out a decision - making framework to help educators choose and implement evidence -based practices, develop a set of behavior interventions and supports, use data to address school issues, and create environments to prevent behavioral problems from developing 210 This program has been successful in promoting school safety in all settings, including the juvenile justice system. 211 In fact, several studies empirically demonstrate substantial improvement in student behavior, school climate, and overall academic achievement when schools implement the PBIS program261 Another effective practice in reducing school violence is restorative justice. Restorative justice initiatives are dispute resolution -based tools that involve both the victims and offenders "T It focuses on "repairing the harm, engaging victims, establishing accountability, developing a community, and preventing future actions. "264 Schools can employ a students is encouraged and supposed; and conflict is managed and mediated constructively 211 See Catherine P. Bradshaw et al., Altering School Clinical, Through School Wide Positive Behavioral laterveulions cod Supports: Findings from c Group Randomized Efferliveness Trial, 10 PRLVI NI]ON SCI 100, 100 (2008) (finding improved organizational health and safety in schools that implemented PBIS), Matthew I_ Mayer & Peter E. Leone, School Violence and Disruleion Revisited: Equity and Safety in the School House, 40 FOCUS ON E%CFPTIONAI. C1111.1)., Sept 2007, at 13 (observing that PBIS can 'transformll the school environment to support overall student success, behaviorally, socially, and academically "). Zee See PBIS PAQS, PoSIIIV17 BFIIAV, INTERVFNHONS & SUPI'ORIS, hop / /www.pbis org/school /swpbis- for - beginners /pbis -faqs (last visited Dec 12, 2014). 211 Id., see also David Dmacmci & James Forman Jr, What It Takes to Transform a School Inside a Juvenile Jusliee Facility: The Stop of the Maya Angelo A(ademv, PI JUSTICE FOR Kips: KEFPWrf KIDS OUT OF 1115 JUVENII H hlsiict. SYsiI'M 283, 290 (Nancy R Dowd ed., 2011) (successfully using a modified Version of PBIS in a school inside a juvenile] ustice facility to improve student behavior). 262 See, e.g., Cynthia M. Anderson & Donald Kincaid, Applying Behavior Analysis 10 Schacl Violence and Dio ipline Nohlenes: Schoolwide Positive Behavior Sltppmt, 28 TI IS BRHAVIOR ANALYST 49, 57 -58 (2005) (describing several empirical studies that demonstrate improvements in student behavior and school climate); James K. Luiselli et al_, IVhole- School Positive Behaviour ,Support: Effects on .Smndent Discipline Problems and Academic Performance, 25 EDtic. Psycii 183, 183 (2005) (empincally demonstrating improvements in student behavior and academic achievement after implementing PBIS). N' See N Y. Civil, LI65R1155 UNION, SAFFIY wlrH DIGNI I v: AISFRNAI I VES I011it OVHR- POLICING OF SCI I(X)I S 8 (2009)_ Zen Thalia N . Gonzalez & Benjamin Cairns, Moving Beyond GrLoicn: integrating Restorative Prartices and bupaciag School Culture in Denver Public Schools, in JUSTICE I'OR KIDS: KRIIPING KIDS OUT OF TI II=: IOVFIJII.19 NsIICF SYSTSid 241, 241 (Nancy E. Dowd ed., 2011)_ 52 WASII. U. L. REV. (forthcoming) [Vol. 93] variety of restorative practices ranging from on- the -spot responses to misbehavior to community conferencing involving parents, students, and teachers 26s During conferences, victims share with offenders how they have been harmed, and offenders are given the opportunity to apologize and make amends.266 This practice teaches students to share feelings, which can humanize the victims and transform the dynamics of the relationship to prevent further wrongdoing. 267 As with PBIS, schools that have implemented restorative justice practices have improved school safety and student discipline. For example, after the first year of implementation, West Philadelphia High School, formerly known as one of Philadelphia's most dangerous schools, experienced a decrease in violent offenses by fifty -two percent 2" After the second year of implementation, violence incidents decreased by an additional Cory percent.2" Several other schools implementing restorative justice practices likewise have significantly improved student behavior 211 PBIS and restorative justice initiatives are but a few of the many programs and initiatives available to school officials to enhance school safety while strengthening the learning climate.''' Perhaps- the most effective way to enhance school safety is to improve the quality and strength of the educational program schools offer 272 When teachers have well - planned lessons, employ a varied - instructional approach that includes hands -on learning activities to target different learning styles and student needs, establish clear behavioral expectations, and help students understand how the material is useful, teachers engage students and behavioral problems dissipate.2" Such a learning environment provides students with a 's` GUIDING PRINCIPLES, supra note 257, at 24, n.25, us Id, see also Nonce, Students. Security. and Race, slepra note 75, at 51. my Nance, Students, S'ecurlly. and Race, supra note 75, at 52. ` See INCJ. INSi FOR Fn s[ORAllVli PINCIICP,S, IMPROVING SCOWL CL.IMAIIG FINDINGS FROM SCIiWIS IMpit tai NIING RESTORATIVE: PRAcrlcFs 6 (2009), available at htip://www.iirp.edu/pdf/IIRP- Improving- School- Climatepdf zav Id. 270 Id. at 9-31, see its,, Gonrnlez & Cairns, sabot note 264, at 252 -53 (describing the benefits of restorative justice) 271 .See centrally GUIDING PRINCIPLES, .sgna note 257, .eee also DANIBI. J. Lost N & JONAIIIAN GILL.ISPIE:, OPPORTUNIIIF.S SUSPFNDLU)I THE DISPARA'lli IMPACT OP DISCIPLINARY EXCLUSION FROM SCHOOL. 35 -37 (2012), available at hap / /crohightsproj ectinto edu /resources /projects /center- for - civil- nghts- remedies /school -to- prison- folder /federal - reports /upcoming- ecu- researchAosen- gillespie- opporlrmity- suspended- 2012.pdC, Nance, Students, .5'ecarav, and Race, supra note 75, at 48 -55, Nance, The School -to - Prison Pipeline, supra note 257. 272 LOSIN & G1LLesPtF .supra note 271, at 26, see also Nfica E:L ESKCNA ,I, GII,I.IAN EDDINS & JOIIN M_ BEAM, EQT ITY OR EKCLGSION'. TRLDYNAMJcl of RFSOURCEs, DEMW kitPHICS, NJO BEIIAVIOR IN TJIF NFw YORK CITY PUDIAC ScuWls 2 (2003) (observing that teacher qualifications have a strong positive effect on student behavior) 27> See ESKFNedl, EJAXNS & Bt, M, supra note 272, at 36, LOSFN & GIIIESPin , opra note 271, at 36, FEI)DFais, LANCBPRG, & STORY, stipra note 28, at 9 2015 SCHOOL -TO- PRISON PIPELINE 53 sense of purpose, commitment, and personal responsibility. Students want to be in the classroom and fully participate in the educational experience offered to them. They feel that the educational process will work for them if they commit themselves and establish positive relationships with other members of the school community 214 These alternative approaches for reducing school violence are not easily implemented, but they are certainly possible for all schools. Six New York City schools serving at -risk students demonstrate that it is feasible. All six of these schools have successfully created safe, constructive learning environments without relying on strict security Measures 2" These schools focus on promoting dignity and respect among all members of the school community; strong lines of communication among students, teachers, and school officials; strong and compassionate school leadership; and clear, fair rules and disciplinary methods 27' None of them relies on an SRO. And despite the fact that these schools serve primarily disadvantaged students, each school experiences above - average attendance rates, graduation rates, and significantly lower than average suspension and crime rates 27' To be clear, I do not propose that school officials should never rely on SROs under any circumstances. While schools should not use SROs as a first -order response to address school crime and disorder, perhaps there are unusually dangerous environments where it would be appropriate to use them 2 ' If school officials decide to rely on SROs to promote school safety, the following two recommendations should be adopted to ameliorate the ill effects of SRO programs. First, as suggested by the U.S. Department of Education, lawmakers and school officials should provide regular training to teachers, school officials, and SROs regarding how to support positive behavior and engage students without usingthejustice system 270 Many school communities desperately need more systematic training regarding how to employ pedagogically -sound measures to support positive behavior and avoid refening students to law enforcement, especially for lower -level offenses. Included in this training should be an emphasis regarding equity and fairness for all students, particularly with respect to racial minorities. 280 1" See Nance, Students, Security, and Race, supra note 75, at 53. 28 N.Y. CIV_ LInLRruS UNION, SAFF 1 Y WITH DIGNITY_ AI TPRNA'TIVHS lU 'HIE OVLR- POLICING OF SCHIX)IS 7 8 (2009), avai(aG1e at hine / /www_nyclu.org/files/Safety_with- Dignity pdf arc /d. at 7. Id. at Z crr.S'ee Hirschfield & Celinska, supra note 110, at 9 (acknowledging that failing to appropriately respond to dangerous and disruptive students may also have an adverse effect oa fear, trust, and the school climate). "'Sol GITANG PRINCIPI I S. supra note 257, at 7 -8 211 /d. at 8, see a /sa Pit I FR FINN & JACK MCDF.Vp-I, NATIONAL ASSFSxNCNI OI SCHOOt, RF$amGE OFFICER PRocii Ms FINN. PRO]FCT REPORT 44 (2005) (recommending training for SROs and stating that "any delay in training can be a 54 WASH. U. L. REV. (forthcoming) [Vol. 93] Second, schools relying on SROs should consider crafting written agreements or memorandums of understandings (MOUs), ideally before establishing an SRO program, to ensure that SROs and school officials understand that SROs and other law enforcement should not become involved in routine- discipline matters 211 There may be philosophical differences between school officials and SROs that need to be addressed before SROs begin working inside schools."' This MOU should clearly delineate all actors' roles and responsibilities 211 A report that evaluated nineteen SRO programs stated that `[w]hen SRO programs fail to define the SROs roles and responsibilities in detail before—or even after —the officers take up the posts in the schools, problems are often rampant - -and may last for months and even years 112" The American Civil Liberties Union, the Congressional Research Service, the National Association for School Resource Officers, the United States Department of Justice, and several states all support the use of MOUs if schools use SROS.211 CONCLUSION The terrible shootings at Sandy Book Elementary School have caused our nation to deeply consider violence, student safety, SROs, and other security measures in schools. A natural response to these shootings is to bolster school security by assigning more police officers to schools to protect students. However, this strategy may be short- sighted and deeply misguided. It is an incredibly expensive and unproven tactic, and the rarity of Newtown -like events alone suggests that our nation should use our limited resources to aid students in other ways, especially when we acknowledge that it is impossible to protect students at all times and in all places. But the empirical research set forth here provides further justification for reconsidering the decision of many to invest in more SRO programs. When a police officer has regular contact with a school, the odds that a student will be referred to law enforcement for committing various offenses significantly serious problem because SROs then have to team their jobs by `sinking or swimming. "'). eel GI %IDING PRINCIPLES, supra note 257, at 9 -10., see also KIM & GPxONIND, sai ra note 120, at 12 -13; iM JAMES & MCCAI.LION, slept, note 24, at J I tea 1& 1e4 PF I ER FINN I I AL, COMPARISON OF PROGRAM ACTIVI IES AND LLSSONS LEARNFD AMONG 19 SCHOOL RESOURCE OFFICER (SRO) PROGRAMS 43 (2005). IN Sec IND. CODE § 20- 26- 18.2 -2 (2013); TEX. EDUc CODE ANN_ § 37.0021 (West 2013); MD. CODE ANN., EDOc § 26 -102 (West 2014); JAMES & MCCALLV N, supra note 24, at I I; Kit & GERONIMO, supra note 119; RAYMOND, supra note 110, at 30 CAn operating protocol or memorandum of understanding is a critical element of an effective school - police partnership. ") Lisa H. Thurau & Johanna Wald, Controlling Partners: When tom Enforremeni Meets Discipline in Public .5'chools, 54 N Y . Scli_ L REv. 977, 991 (2010) ( "[T]he National Association of School Resource Officers ( "NASRO ") strongly recommends the use of MOUs "). 2015 SCHOOL- TO-PRISON PIPELINE 55 increases, including for lower -level offenses that should be handled by school officials. These findings hold true even after controlling for state statutes that require schools to report certain incidents to law enforcement, general levels of criminal activity and disorder, neighborhood crime, and other demographic variables. When one considers the devastating impact the justice system can have on youth, it is easy to see that changes are necessary. It is imperative for all of us to understand that there are better ways to discipline students, address school violence, and meet students' needs. As the United States Court of Appeals for the Tenth Circuit recently observed, "thousands of [students] thrust into the criminal justice system deserve better.... It [is] too easy for educators to shed their significant and important role in [the disciplinary] process and delegate it to police and courts... A more enlightened approach to ... school discipline by educators, police, and courts will enhance productive lives and help break the school -to -prison chain "c "F Indeed, the existence of safe, successful schools in challenging environments demonstrates that it is possible,'-"' and we owe it to our youth to give educators the resources they need to make it possible. APPENDIX The basic model for the empirical analysis is of the following form: Referral, = o +[ ;I + SRO. + Controls -I e where: • Referral, = an indicator variable equal to one if school officials report an offense to law enforcement and zero otherwise.2 " • SRO, — an indicator variable equal to one if the principal indicates that a resource officer or sworn law enforcement officer was present at the school at least once a week and zero otherwise. • Control variables are as follows: • Elementary; — a dummy variable equal to one for elementary schools and zero otherwise.'" "'Hawker v- Sandy City Corp -, F 3 _ (10th Cir 2014) (Lucero, J., concurring) 211 See Nance, Students, Seciviry, and Race, supra note 75, at 54 -55. �8" I conducted the analysis for each offense. Those offenses include rape, sexual battery, robbery with a weapon, robbery without a weapon, attack with a weapon, attack without a weapon, threat voth a weapon, threat without a weapon, theft, firearm possession, knife possession, drug possession, alcohol possession, and vandalism. 2"e The reference group is high schools- 56 WASH. U. L. REV. (forthcoming) [Vol. 93] • Middle, a dummy variable equal to one for middle schools and zero otherwise zrt • Combined. — a dummy variable equal to one for combined schools and zero otherwise 291 • Suburban; = a dummy variable equal to one for schools located in a suburban area and zero otherwise. 2'2 • Town, — a dummy variable equal to one for schools located in towns and zero otherwise." • Rural; = a dummy variable equal to one for rural schools and zero otherwise 294 • Nontraditional; = a dummy variable equal to one for charter or magnet schools and zero otherwise. • Minority%(ln) ; = the natural log of the proportion of students in the school who consist of African- Americans, Hispanics, Asian/Pacific Islanders, and American Indian /Alaska native students. • Poverty %(In);= the natural log of the proportion of students in the school who were eligible for free or reduced -priced lunch. • Special Ed. %(In), = the natural log of the proportion of students in the school enrolled in special education. • LEP%(ln)1= the natural log of the proportion of students in the school who have limited English proficiency. • Low Test Score %(In); = the natural log of the proportion of students in the school that have scored below the fifteenth percentile on standardized tests. • Student Pop.(In), = the natural log of the school's total student enrollment. • Attendance%(In }, =the natural log of the s'chool's average proportion of students attending school daily. • Disorder, = an index from one to five that reflects the frequency of occurrences relating to school disorder. • Weapon /Sex Offeuses(In),= the natural log of the rate per 100 students ofserious offenses occurring in the school 295 2Y0'the reference group is high schools. The reference group is high schools. "' The reference group is urban schools_ The reference group is urban schools. 194 The reference group is urban schools. '"' "Weapon /Sex Offenses' include rape, sexual battery, robbery with a weapon, physical attack with a weapon, threats of physical attack with a weapon, 2015 SCHOOL -TO- PRISON PIPELINE 57 • Non - Weapon /Non -Sex Offenses(In). = the natural log of the rate per 100 students of less serious offenses in the school ='s • Neighborhood Crime,= the principal's perception of crime problems near the school on a scale of one to three. • Rep. Req., a dummy variable equal to one if the state in which the school is located has an unambiguous reporting statute for the offense and zero otherwise .''91 possession of a firearm or explosive device, or possession of a knife or sharp object. rn "Non- Weapon/Non -Sex Offenses" include robbery without a weapon, physical attack without a weapon, threats of physical attack without a weapon, theft, distributioq possession, or use of illegal drugs or alcohol, and vandalism. "' Because all schools are required to have a reporting policy for any offenses invoh'ing weapons, see 20 U SC. §7151, this van able was applicable for the various offenses not involving weapons. The Roanoke Times Roanoke, Virginia Affidavit of Publication CITY OF ROANOKE -DEPT OF F.NANCE ALL AMELIAMERCItANT 215 CHURCH AVE 31A' DOW 357 ROANOKF. VA24011 Account Number 6012830 Date April 19, 2016 Cate Category Description Ad Ali Total Cost 06/1312018 Any Virginia REA NOTICE OF PROPOSED REAL PROPERTY TAX 3x 10.OD IN 1,284.80 Publisher of the Roanoke Times I, (the undersigned) an authorized representative of the Roanoke Times, a daily newspaper published in Roanoke, in the State of Virginia, do certify that the annexed notice NOTICE OF PROPOSED REAL P was published in said newspapers on the following dates: 0312c✓zsle The First insertion being given... 03/2612018 Newspapreference: 0000000772233/440 — Billing Representative Sworn to and subscribed before me this Thursday. April 12, 2018 xedury Public �. McENyF State of Virginia ,.` =P. NOTARY' CitylCounTy of Roanoke f Pl1BLIC My Commission expires * : REG. #332964 MY COMMISSION THIS IS NOT A BILL. PLEASE PAY FROM INVOICE. THANK YOU a''1 1.1110" NOTICE OF PROPOSED REAL PROPERTY TAX INCREASE Pursuant to Section 56.1 -3321, Code of Virginia (1950), as amended, notice is hereby given that the City of Roanoke proposes to increase property tax levies. 1. Assessment Increase: The total assessed value of real property, excluding additional assessments dueto new construction or improvements to property, exceeds last year's total assessed value of real property by 2.29 percent. 2. Lowered Rate Necessary to Offset Increased Assessment. The tax rate which would levy the same amount of real estate tax as last year, when multiplied by the new total assessed value of real estate with the exclusions mentioned above, would be $1.183 per $100 of assessed value. This rate will be known as the "lowered tax rate." 3. Effective Rate Increase: The City of Roanoke proposes to adopt a tax rate of $1.22 per $100 of assessed value. The difference between the lowered tax rate and the proposed tax rate would be $0.037 per $100, or 3.05 percent. This difference will be known as the "effective tax rate increase." Individual property taxes may, however, increase at a percentage greater than or less than the above percentage. 4. Proposed Total Budget Increase: Based on the proposed real property tax rate and changes In other revenues, the total budget of the City of Roanoke will exceed last year's by not more than 3.5 percent. 5. Statement with respect to the Proposed Budget for FY 2019 The City of Roanoke's proposed budget for FY 2019 referenced in Paragraph No. 4 above is based on the proposed real property tax rate, together with proposed changes to existing revenue sources. This is,an estimate only. The City's actual budget for FY 2019 may be less than the City's FY 2018 adopted budget by as much as 1.0 percent, or may exceed the City's FY 2018 adopted budget by as much as 3.5 percent. A public hearing on the "effective tax rate increase" will be held on Thursday, April 26, 2018, at 7:10 p.m., or as soon thereafter as the matter may be heard, in City Council Chamber, Noel C. Taylor Municipal Building, 215 Church Avenue, S.W., Roanoke, Virginia. All persons desiring to be heard shall be accorded an opportunity to present oral testimony within such reasonable time limits as shall be determined by City Council. If you are a person with a disability who needs accommodations for this public hearing, please contact the City Clerk's Office, (540)853 -2541, by 12:00 noon, Monday, April 23, 2018. Given under my hand this 26th day of March 2018 STEPHANIE M. MOON REYNOLDS, MMC City Clerk City of Roanoke, Virginia %X NOTICE OF PROPOSED REAL PROPERTY TAX INCREASE Pursuant to Section 58.1 -3321, Code of Virginia (1950), as amended, notice is hereby given that the City of Roanoke proposes to increase property tax levies. Assessment Increase: The total assessed value of real property, excluding additional assessments due to new construction or improvements to property, exceeds last year's total assessed value of real property by 2.29 percent. 2. Lowered Rate Necessary to Offset Increased Assessment: The tax rate which would levy the same amount of real estate tax as last year, when multiplied by the new total assessed value of real estate with the exclusions mentioned above, would be $1.183 per $100 of assessed value. This rate will be known as the "lowered tax rate." 3. Effective Rate Increase: The City of Roanoke proposes to adopt a tax rate of $1.22 per $100 of assessed value. The difference between the lowered tax rate and the proposed tax rate would be $0.037 per $100, or 3.05 percent. This difference will be known as the "effective tax rate increase." Individual property taxes may, however, increase at a percentage greater than or less than the above percentage. 4. Proposed Total Budget Increase: Based on the proposed real property tax rate and changes in other revenues, the total budget of the City of Roanoke will exceed last year's by not more than 3.5 percent. Statement with respect to the Proposed Budget for FY 2019: The City of Roanoke's proposed budget for FY 2019 referenced in Paragraph No. 4 above is based on the proposed real property tax rate, together with proposed changes to existing revenue sources. This is an estimate only. The City's actual budget for FY 2019 may be less than the City's FY 2018 adopted budget by as much as 1.0 percent, or may exceed the City's FY 2018 adopted budget by as much as 3.5 percent. A public hearing on the "effective tax rate increase" will be held on Thursday, April 26, 2018, at 7:10 p.m., or as soon thereafter as the matter may be heard, in City Council Chamber, Noel C. Taylor Municipal Building, 215 Church Avenue, S.W., Roanoke, Virginia. All persons desiring to be heard shall be accorded an opportunity to present oral testimony within such reasonable time limits as shall be determined by City Council. If you are a person with a disability who needs accommodations for this public hearing, please contact the City Clerk's Office, (540)853 -2541, by 12:00 noon, Monday, April 23, 2018. Given under my hand this 26th day of March 2018. Stephanie M. Moon Reynolds, MMC, City Clerk Notice to Publisher Print as a block ad in the Virginia Section of The Roanoke Times on Monday, March 26, 2018. Please ensure that the block ad occupies at least 1/8 of the page and the title of the block ad is 18 point font type. Please send certification of publication to: Stephanie M. Moon Reynolds, City Clerk Noel C. Taylor Municipal Building, Room 456 215 Church Avenue, S.W. Roanoke, Virginia 24011 Please send the invoice for publication to: Amelia Merchant, Director Department of Finance Noel C. Taylor Municipal Building, Room 357 215 Church Avenue, S.W. Roanoke, Virginia 24011 City Of Roanoke Attn: Stephanie Moon, City Clerk ���t�W,r -- t��p��� 215 Church Ave. SW, Run 456 The [W •0. (E 1 BL VL,ta.0 Roanoke, VA 24011 2318 Mel rose Ave., NW Roanoke, VA 24D17 I• 540- 343 -0326 -Fax 343 -7365 Date: 04/06/18 Inv. #C -14972 Making and Recording Black History Since 1939 Caption Dates Runs Size Size VO Number Net Rate Net Total Notice of Proposed... 03/29/2018 Ill 3 col. x 9.75" 1 29.25"1 $7.20 $210.60 Any questions in reference to this invoice contact Stan Hale 343.0326 - Net 30 Days - The Roanoke Times Roanoke, Virginia Affidavit of Publication CI I Y Or ROANOKE -DEPT Or PLAN Alin KEH'HHOUAND 215 C NRC.I I AVE SW ROOM 305 RGANOKC VA24011 Account NunNm 6012677 Oato April 04, 2018 Mql CM'.'r" DeSrrinllon' Ad Ste TIIC 04fI012916 Any- Vi,glnla ROA 29182019 HUD FUNDS BUDGET AND 20182019 ANNUAL L 0x 8.001N 1119.92 Publisher of the Roanoke Times I, (the undersigned) an authorized representative of the Roanoke Times, a daily newspaper published in Roanoke, in the Stale of Virginia, do certify that the annexed notice 2018 -2019 HUD FUNDS BUDGE was published in said newspapers on the following dates: 04/04/2018 The First Insertion being given ... 04/04/2018 Newspaper reference: 726844 Billing Representative Sworn to and subscribed before me this Wednesday, April 4, 2018 State of Virginia City/County of Roanoke My Commission expires REG. 4392964 * Mt COMMISSION j Q THIS IS NOT A BILL. PLEASE PAY FROM INVOICE. THANK YOU NOTICE OF PUBLIC HEARING AND PUBLIC COMMENT PERIOD CITY OF ROANOKE PROPOSED 2018 -2019 HUD FUNDS BUDGET & 2018 -2019 ANNUAL UPDATE TO THE 5 YEAR CONSOLIDATED PLAN Pursuant to 24 cm 91.105, notice is hereby given Thal on Thursday, April 26, 2018, at T20 p.m., or as soon thereafter is the mailer may be heard, the City Council of Roanoke,Virginia, will meet in the City Council Chamber, 4th Floor, Noel C. Taylor Municipal Building, 215 Church Avenue, S.W., Roanoke, Virginia, far the purpose of holding a public hearing on the City's Proposed 2018 -2019 HUD Funds Budget and 2018 -2019 Annual Update to the 5 Year Consolidated Plan. All persons shall be afforded an opportunity to speak and state their views concerning all aspects of the proposed budget and annual update within such reasonable time limits as shall be established by City Council. Written clan men Is of interested persons will be received by the City Clerk al any lime prior to the hearing. City Council will vote on the Proposed 2018 -2019 HUD Funds Budget and 2018 -2019 Annual Update to the 5 Year Consolidated Plan at its recessed meeting to he held on Monday, May 14, 2018. Complete copies of the Proposed 2018 -2019 HUD Funds Budget and 2018 -2019 Annual Update to the 5 Year Consolidated Plan are availahle for public inspection beginning Wednesday, April 4, 2018, at the City Clerk's Office, Room 456 South, Noel C. Taylor Municipal Building, 215 Church Avenue S.W., Roanoke; the HUD Community Resources Division Office, Room 305 North, Noel C. Taylor Municipal Building, 215 Church Avenue, S.W., Roanoke; City Library Main Branch at 706 S. Jefferson Street S.W, Roanoke, and the Roanoke Redevelopment and Housing Authority, 2624 Salem Turnpike, N.W, Roanoke. The Proposed 2018 -2019 HUD Funds Budget and the 2018 -2019 Annual Update to the 5 Year Consolidated Plan are also available on the City's we6site at www.roanokeva.gov. Written comments on the Proposed 2018 -2019 HUD Funds Budget and the 2018 -2019 Annual Update to the 5 Year Consolidated Plan will be accepted through Friday, May 4, 2018, at 4.90 p.m., at the HUD Community Resources Division, Room 305 North, Noel C. Taylor Municipal Building, 215 Church Avenue, S.W., Roanoke, VA 24011 or email to KeRrHolland®roanokeva.gov. The Recommended 2018 -2019 HUD Funds Budget is as follows REVENUE ESIINUIIES': CDBG 2018 -2019 Entbement Grant $1,550,000 CDBG Prior Year Carry -over & Program Income 341,000 HOME 2018 -2019 Entitlement Grant 440,000 HOME Prior Year Carry -aver & Excess Program Income 0 ESG 2018 -2019 Entitlement Grant 138.000 TOTAL ESTIMATED REVENUE $2,469,000 PROPOSED EXPENDITURES: Housing Development $1,371,000 Neighborhood Development 455,000 Economic Development 0 Human Services 221,000 Homeless Services 133,345 Planning and Administration 288 655 TOTAL PROPOSED EXPENDITURES $2,469,000 'The revenue estimates and proposed expenditures are based on the anticipated amount of grant funding to be awarded the City of Roanoke by HUD. The actual amount of grant funding to be received by the City from HUD is currently unknown because the federal government has not made a decision on the amount of HUD funding to award the City of Roanoke. The proposed expenditures of such grants on the categories listed above may accordingly be adjusted upwards or downwards once the amount of grant funding to be received by the City of Roanoke from HUD is known. All who desire to speak at the public hearing should contact the City Clerk's Office at (540) 853 -2541. Individuals with a disability needing an accommodation should contact the City Clerk's Office by 12:00 noon on Monday, April 23, 2018. For further information about the meeting or to comment on or inquire about the Proposed 2018- 2019 HUD Funds Budget and 2018 -2019 Annual Update to the 5 Year Consolidated Plan, contact the Community Resources Division at (540) 853 -6404. Given under my hand this 4th day of April 2018 Stephanie M. Moan Reynolds, MMC, City Clerk I, ( NOTICE OF PUBLIC HEARING AND PUBLIC COMMENT PERIOD CITY OF ROANOKE PROPOSED 2018 -2019 HUD FUNDS BUDGET AND 2018 -2019 ANNUAL UPDATE TO THE 5 YEAR CONSOLIDATED PLAN Pursuant to 24 CFR 91.105, notice is hereby given that on Thursday, April 26, 2018, at 7:20 p.m., or as soon thereafter as the matter may be heard, the City Council of Roanoke, Virginia, will meet in the City Council Chamber, 4" Floor, Noel C. Taylor Municipal Building, 215 Church Avenue, S.W., Roanoke, Virginia, for the purpose of holding a public hearing on the City's Proposed 2018 -2019 1 IUD Funds Budget and 2018 -2019 Annual Update to the 5 Year Consolidated Plan. All persons shall be afforded an opportunity to speak and state their views concerning all aspects ofthe proposed budget and annual update within such reasonable time limits as shall be established by City Council. Written comments of interested persons will be received by the City Clerk at any time prior to the hearing. City Council will vote on the Proposed 2018 -2019 HUD Funds Budget and 2018 -2019 Annual Update to the 5 Year Consolidated Plan at its recessed meeting to be held on Monday, May 14, 2018. Complete copies of the Proposed 2018 -2019 HUD Funds Budget and 2018 -2019 Annual Update to the 5 Year Consolidated Plan are available for public inspection beginning Wednesday, April 4, 2018, at the City Clerk's Office, Room 456 South, Noel C.'raylor Municipal Building, 215 Church Avenue S.W., Roanoke; the HUD Community Resources Division Office, Room 305 North, Noel C. Taylor Municipal Building, 215 Church Avenue, S.W., Roanoke; City Library Main Branch at 706 S. Jefferson Street S.W., Roanoke; and the Roanoke Redevelopment and I lousing Authority, 2624 Salem Turnpike, NW, Roanoke. The Proposed 2018 -2019 HUD Funds Budget and the 2018-2019 Annual Update to the 5 Year Consolidated Plan are also available on the City's website at www.roanokeva.icov. Written comments on the Proposed 2018 -2019 HUD Funds Budget and the 2018 -2019 Annual Update to the 5 Year Consolidated Plan will be accepted through Friday, May 4, 2018, at 4:00 p.m., at the HUD Community Resources Division, Room 305 North, Noel C. Taylor Municipal Building, 215 Church Avenue, S.W., Roanoke, VA 24011 or email to Keith. Hol land �,,roanokeva "gov. I he Recommended 2018 -2019 HUD Funds Budget is as follows: REVENUE ESTIMATES* CDBG 2018 -2019 Entitlement Grant $1,550,000 CDBG Prior Year Carry -over and Program Income 341,000 HOME 2018 -2019 Entitlement Grant 440,000 HOME Prior Year Carry-over and Excess Program Income 0 ESG 2018 -2019 Entitlement Grant 138.000 TO'I "AL ESTIMA LED REVENUE $2,469,000 PROPOSED EXPENDITURES Housing Development $1371,000 Neighborhood Development 455,000 Economic Development 0 Human Services 221,000 Homeless Services 133,345 Planning and Administration 288,655 TOTAL PROPOSED EXPENDITURES $2,469,000 *The revenue estimates and proposed expenditures are based on the anticipated amount of grant funding to be awarded the City of Roanoke by HUD. The actual amount of grant funding to be received by the City from HUD is currently unknown because the federal government has not made a decision on the amount of HUD funding to award the City of Roanoke. The proposed expenditures of such grants on the categories listed above may accordingly be adjusted upwards or downwards once the amount of grant funding to be received by the City of Roanoke from HUD is known. All who desire to speak at the public hearing should contact the City Clerk's Office at (540) 853- 2541. Individuals with a disability needing an accommodation should contact the City Clerk's Office by 12:00 noon on Monday, April 23, 2018. For further information about the meeting or to comment on or inquire about the Proposed 2018 -2019 HUD Funds Budget and 2018 -2019 Annual Update to the 5 Year Consolidated Plan, contact the Community Resources Division at (540) 853 -6404. Given under my hand this 4 °i day of April, 2018. Stephanie M. Moon Reynolds, MMC, City Clerk NOTE TO ROANOKE TIMES: Please publish this notice in the Roanoke Times for one day, Wednesday, April 4, 2018. Publish in full, block style. This notice maynot appear in that portion of the newspaper reserved for legal notices and classified advertisements. For questions regarding this notice, contact Keith Holland, Department of Planning, Building and Development, 853 -6404. Send publisher's affidavit to: Stephanie M. Moon Reynolds, MMC, City Clerk Room 456, Municipal Building 215 Church Avenue, S.W. Roanoke, VA 24011-1536 Send bill to: Keith I lolland Dept. of Planning, Building and Development Community Resources Division Room 305 North, Municipal Building 215 Church Avenue, S.W. Roanoke, VA 24011 -1536 City Of Roanoke Attn: Stephanie Moon, City Clerk 215 Church Ave. SW, Rm 456 Tile Roanoke, VA 24011 �L�I VL,t�c Date: 04/06/18 Inv, 9C -14975 2316 Mel rose Ave., NW Roanoke, VA24017 540 - 343- 0326•Fax 343 -7366 Making and Recording Black History Since 1939 caption Dates 2016 Notice of Public Hearin Runs Size Size Case Number Net Rate Net Total 8 04l05I2018 Notice of...Trustees 1 3 col. x 12.0" 36.0" $7.20 $259.20 04/05/2018 1 3 col, x 4.75" 14.25" $7.20 $102.60 Any questions in reference to this invoice contact Stan Hale 343 -0326 - Net 30 Days -