Loading...
HomeMy WebLinkAbout2011 12.06 City Council Regular Agenda PLEASE FILL OUT A`RE :ST TO SPEAK" FORM IF YOU WISH TO ADDF ;THE COUNCIL AT CALL TO THE PUBLIC OR ON ANY NON-PUBLIC HEARING•,EM Pp AC He City J pac he junction z Home o/ the ,S l/pet:f7ttto/t Mountains gA1zON* APACHE JUNCTION CITY COUNCIL CITY COUNCIL CHAMBERS 300 EAST SUPERSTITION BOULEVARD APACHE JUNCTION,ARIZONA 85219 REGULAR MEETING AGENDA December 6, 2011 7:00 PM A CALL TO ORDER. B. INVOCATION AND PLEDGE OF ALLEGIANCE. c• ROLL CALL. D. CONSENT AGENDA. The Council may, at this time,take single action on any or all items listed as consent agenda items These items may include, but are not limited to, acceptance of agenda, acceptance of minutes, appointments, acceptance of resignations and adoption of certain resolutions and other items which do not require a public hearing The Consent Agenda is a timesaving device of which the Mayor and City Council is to receive documentation on these items from the City Manager for their review prior to the meeting. Any member of the Council may remove any item from the Consent Agenda for discussion and cause a separate vote on the matter later in the agenda 1. Acceptance of Agenda. 2. Approval of Minutes of Regular Meeting of November 15, 2011. 3. Consideration of authorizing the Mayor to enter into three agreements with Siemens Industries and Siemens Financial through State Contract#EPS080079-7 for the implementation of the energy saving projects for select municipal buildings. Consideration to authorize the Mayor to enter into two energy saving contracts with Siemens Industries and one financing agreement with Siemens Financial Staff asks Council to consider appropriating$170,000 in capital replacement funds through general fund, $130,000 in EECBG grant funds, and$442,707 from financing lender Siemens Financial. The total amount of the contracts for nine energy conservation projects would be$742,707 00 4. Consideration on the purchase and award of a fleet vehicle for the Police Department through State contract #ADOT 11-004994. Staff requests authorization to move forward with the purchase of a Ford Explorer for the Police Department through State contract #ADOT 11-004994 The vehicle will be a replacement vehicle for the Crime Scene Investigation Unit of the Criminal Investigation Division. The total cost of the vehicle would be$26,169 34 purchased through Chapman Ford. 5 Consideration of approval of proposed Resolution Nos. 11-50, 11-51,and 11-52 regarding the submission of a Fiscal Year 2012 State Housing Fund grant application. The Arizona Department of Housing has announced the next cycle of funding for owner occupied housing rehabilitation programs. Completed applications are due on January 13, 2012. If approved by Council,Apache Junction will request$330,000 in owner occupied housing rehabilitation funds to complete the rehabilitation of six owner-occupied residential properties 6 Consideration of Motorola Communications System Agreement(Lease) not to exceed$70,312.00. Staff respectfully requests Council approval to enter into a lease with Motorola for the communications system This new lease is five years and will not exceed$70,312.00 7. Consideration of Professional Services Agreement for Veterinary Services not to exceed$40,000 00 annually. Staff respectfully requests Council 'oval to enter into an agreement with Julia Neufe' •veterinary services. This is the second renewal which will extend the length ur the agreement to October 31, 2015 and will not ei eed$40,000.00 annually. E AWARDS, PRESENTATIONS AND PROCLAMATIONS. Awards,presentations from other organizations, proclamations issued by the mayor,and acknowledgement of distinguished guests and visitors, and staff presentation of receipt of grant or donated funds are permitted at this time. 8. PRESENTATION OF DARE'S STATE WIDE ESSAY CONTEST WINNER. Presentation of the state wide DARE essay contest winner The winning student, Benjamin Brownlee who attends Desert Vista Elementary,was unable to attend the state wide conference to accept his award F ANNOUNCEMENT OF CURRENT EVENTS. The Mayor or any member of Council may at this time present a brief summary of current events. However, no discussion shall take place on such items except for clarifying comments related to substance,time and location. G. CITY MANAGER'S REPORT. The City Manager,members of City staff or those individuals designated by the Manager may present information pertinent to items under consideration or information related to the operation of the City There shall however be no discussion at this time except for clarification inquiries 9 MANAGER'S REPORT i I. PUBLIC HEARINGS. Public hearings required by applicable law shall be conducted by the Council and any person shall be given the opportunity to speak.All remarks shall be addressed to the Council as a whole and not to any member thereof Such remarks shall be limited to five(5)minutes unless additional time is granted by the Mayor.This time limitation shall not apply to applicants and their agents appearing before the Council. 10 APPLICATION FOR A LIQUOR LICENSE FOR SUPERSTITION MOUNTAIN BREWERY LOCATED AT 285 N APACHE TRAIL. An application for a Person Transfer, Limited Liability Co, Series 6 liquor license has been submitted for Superstition Mountain Brewery located at 285 N Apache Trail The next step in the procedure is the public hearing wherein the council shall make a recommendation for approval or denial to the Arizona Department of Liquor Licenses and Control. Senior Planner Rudy Esquivias and Building Official Dennis Dixon will be in attendance to answer any questions of the council. 11 APPLICATION FOR A SPECIAL EVENT LIQUOR LICENSE FOR SUPERSTITION MOUNTAIN ROTARY CLUB#1246 TO BE HELD AT 1590 E. LOST DUTCHMAN BOULEVARD. An application for a special event liquor license has been submitted by Superstition Mountain Rotary Club#1246 for Lost Dutchman Days to be held February 24-February 26, 2012 _ The next step in the procedure is for the city council to hold a public hearing and make a recommendation for approval or denial to be forwarded to the Arizona Department of Liquor Licenses and Control. 12 APPLICATION FOR A SPECIAL EVENT LIQUOR LICENSE FOR SUPERSTITION MOUNTAIN ROTARY CLUB#1246 TO BE HELD AT 1590 E. LOST DUTCHMAN BOULEVARD. An application for a special event liquor license has been submitted by Superstition Mountain Rotary Club#1246 for a fundraising event to benefit Gary Mulholland to be held February 4, 2012 at 1590 E. Lost Dutchman The next step in the procedure is for the city council to hold a public hearing and make a recommendation for approval or denial to be forwarded to the Arizona Department of Liquor Licenses and Control. 13. PUBLIC HEARING REGARDING PROPOSED RESOLUTION NO. 11-49 FOR THE SUBMITTAL OF FISCAL YEAR 2012 COMMUNITY DEVELOPMENT BLOCK GRANT AND FISCAL YEAR 2012 STATE SPECIAL PROJECT PROGRAM GRANT APPLICATIONS. A public hearing is required by the Arizona Department of Housing to provide the public an opportunity to present potential projects to the City Council for consideration Staff respectfully requests that Council take into consideration those projects found as eligible in Attachment 1 and those projects presented during the public hearing as potential projects for submittal. Council's project selection and approval of Resolution No. 11-49 will enable City staff to prepare and submit the application(s) in a complete and timely manner l• OLD BUSINESS. The Council shall consider any bu: .s that has been previously considered and whicl till unfinished to include those items previously postponed or tabled No member of the public shall be permitted to speak on these items unless invited to do so by the Mayor after first submitting a written request-to-speak form with the City Clerk None. J. NEW BUSINESS. The Council shall consider any business not yet considered No member of the public shall be permitted to speak on these items unless invited to do so by the Mayor after first submitting a written request-to-speak form with the City Clerk None K COUNCIL DIRECTION TO STAFF. .— This item allows the Mayor and City Council to direct staff on specifically listed matters None L SELECTION OF MEETING DATES, TIMES, LOCATIONS, AND PURPOSES: 14 EXECUTIVE SESSION AT 5.45 P M AND WORK SESSION AT 7.00 P.M. FOR MONDAY, DECEMBER 19,2011 HAS BEEN CANCELLED 15 EXECUTIVE SESSION AT 5.45 P.M. AND WORK SESSION AT 7'00 P M FOR MONDAY,JANUARY 2, 2012 HAS BEEN CANCELLED DUE TO OBSERVATION OF NEW YEAR'S HOLIDAY 16. EXECUTIVE SESSION AT 5.45 P.M.AND WORK SESSION AT 7.00 P.M.FOR TUESDAY, DECEMBER 20,2011 HAS BEEN CANCELLED. 17. EXECUTIVE SESSION AT 5.45 P.M. AND WORK SESSION AT 7.00 P.M. FOR TUESDAY,JANUARY 3,2012. M. CALL TO PUBLIC. At this time the public has the privilege to address the Council with requests,communications,comments or suggestions relating to City business that are not listed on the agenda.All speakers must have already submitted a written"Request to Speak"form to the City Clerk no later than the conclusion of the City Manager's Report portion of the agenda If there is a group speaking on the same item,they should select a spokesperson All such remarks shall be addressed to the Council as a whole and not to any member thereof The Mayor is authorized to ask a speaker to stop speaking and leave the podium or to adjourn the meeting if anyone becomes disorderly,uncivil, makes personal attacks or continues to speak about items that are not within the jurisdiction of the city after being warned such issues are beyond the jurisdiction of the city to act.The Council may not answer questions of the speaker,discuss the matter with one another,but may,at the conclusion. 1)respond to criticism by a speaker,2) ask the City Manager to review a matter,3)ask the City Manager to place the matter on a future agenda Each speaker must approach the podium,speak into the microphone,provide their name and address.There is a three(3) minute time limit per speaker "4.ft'N ADJOURNMENT. Copies of this agenda and additional information regarding any of the items listed above may be obtained from the City Clerk's office. 300 East Superstition Boulevard,Apache Junction,AZ Monday through Friday,8 00 a m to 5 00 p.m.,excluding holidays If any person with a disability needs any type of accommodation,please notify the Human Resources Office,at (480)474-2617 or(480)983-0095(TDD)at least 72 hours prior to the scheduled time CITY COUNCIL REGULAR MEETING NOVEMBER 15, 2011 The regular meeting of the City Council of the City of Apache Junction, Arizona, was held on November 15, 2011, at the Apache Junction City Council Chambers pursuant to the notice —► required by law. CALL TO ORDER Mayor Insalaco called the meeting to order at 7 : 00 p.m. INVOCATION Councilmember Wilson gave the Invocation. PLEDGE OF ALLEGIANCE Vice Mayor Dietz led the Pledge of Allegiance. ROLL CALL Councilmembers Present : Mayor Insalaco Vice Mayor Dietz Councilmember Barker Councilmember Coleman Councilmember Serdy Councilmember Smithson Councilmember Wilson Staff Present : City Manager George Hoffman Assistant City Manager Bryant Powell City Clerk Kathleen Connelly City Attorney Joel Stern Parks and Recreation Director Jeff Bell Others Present : Program Coordinator Heather Patel Public Works Manager Shane Kiesow Revenue Development Director Roger Hacker REGULAR MEETING OF THE CITY COUNCIL NOVEMBER 15, 2011 PAGE 1 OF 12 Captain Tom Kelly ACCEPTANCE OF CONSENT AGENDA Vice Mayor Dietz MOVED THAT THE CONSENT AGENDA BE ACCEPTED AS PRESENTED; AND THAT APPROVAL BE GIVEN FOR THE PROFESSIONAL SERVICES AGREEMENTS FOR FISCAL YEAR 2011-2012 BETWEEN THE CITY OF APACHE JUNCTION AND THE APACHE JUNCTION REACH OUT FOOD BANK IN THE AMOUNT OF $20, 000; THE BOYS AND GIRLS CLUB OF THE EAST VALLEY-APACHE JUNCTION BRANCH IN THE AMOUNT OF $8, 000; COMMUNITY ALLIANCE AGAINST FAMILY ABUSE IN THE AMOUNT OF $14 , 500; EAST VALLEY ADULT RESOURCES FOR THE APACHE JUNCTION SENIOR CENTER IN THE AMOUNT OF $25, 000; AND MOUNTAIN HEALTH AND WELLNESS IN THE AMOUNT OF $12, 500; FOR A TOTAL AMOUNT OF $80, 000; AND THAT AUTHORIZATION BE GIVEN FOR THE MAYOR TO SIGN THE AGREEMENTS . Councilmember Coleman SECONDED THE MOTION. VOTE: Unanimous . The motion carried. AWARDS, PRESENTATIONS AND PROCLAMATIONS Ms . Marta Saint-James of Gold Canyon Dog Owners Group presented a check to Mayor Insalaco, Chair Tess Nesser of the Parks and Recreation Commission, and President Lucy Young of Friends of Apache Junction in the amount of $4, 103 . 62 designated for the future construction of a dog park at Silly Mountain Regional Park, to be held by Friends of Apache Junction. ANNOUNCEMENT OF CURRENT EVENTS Councilmember Barker thanked the parks and recreation department for the incredible Dob they did on the Wellness Fair. Councilmember Barker thanked public works and the police department for the work they did on the Veterans Parade. It was followed by the Chamber' s Festival of the Superstitions . It was a wonderful event . REGULAR MEETING OF THE CITY COUNCIL NOVEMBER 15, 2011 PAGE 2 OF 12 Councilmember Barker announced she attended the ceremony where our chief of police was placed on the Wall of Success for Central Arizona College. Councilmember Barker announced a pet adoption event to be held at Aurora House on Saturday, November 19, from nine to noon. Councilmember Barker announced Elvira' s Restaurant has closed because of an illness in the family. Councilmember Wilson thanked parks and recreation for the Wellness Event, especially Jamie Sullivan. Councilmember Wilson announced the Little Buckaroos Roundup will be held this Saturday from 10 to noon with awards for the best dressed cowboy and cowgirl. Councilmember Wilson commented the Friends of Apache Junction have been instrumental in getting a lot of things done across the city using donated funds and sales from various promotional items . Councilmember Serdy commented that there was a lot of cooperation with a number of agencies for the Festival of the Superstitions. Councilmember Smithson added his kudos to the Wellness Fair that was well attended. CITY MANAGER' S REPORT City Manager George Hoffman read a letter from the chamber president on the Festival of the Superstitions; a letter from a library patron on assistance by Cheryl Perez and the job training center; an email from Liz Langenbach regarding the Wellness event attendance and staff' s performance, a letter from the Director of the Arizona Department of Public Safety regarding use of the firearms training facility; and a letter from the U. S . Department of Justice regarding a seminar in Istanbul wherein Captain Kelly was a presenter. PUBLIC HEARINGS REGULAR MEETING OF THE CITY COUNCIL NOVEMBER 15, 2011 PAGE 3 OF 12 None. OLD BUSINESS None. NEW BUSINESS RESOLUTION NUMBERS 11-50, 11-51 AND �. 11-52 REGARDING THE SUBMISSION OF A FISCAL YEAR 2012 STATE HOUSING FUND GRANT APPLICATION Program Coordinator Heather Patel briefed the council on the item. Councilmember Barker asked what median income for the area is now. Program Coordinator Heather Patel stated it is based on the number of people in the home. She was unable to bring up the link showing the chart but she recalled that for one person the income cannot be over $36, 000 annually. It gradually goes up until it reaches 9 people in the home. Councilmember Barker asked if it is based on our area or is it nationwide. Program Coordinator Heather Patel stated we are lumped in with the Phoenix Metropolitan area. Every area throughout the state has a different amount . Mayor Insalaco closed the discussion with no further comments . This was a discussion item only and he moved on to the next item. RESOLUTION NO. 11-49, AUTHORIZING THE SUBMISSION OF APPLICATIONS FOR FISCAL YEAR 2012 COMMUNITY DEVELOPMENT BLOCK GRANT AND FISCAL YEAR 2012 STATE SPECIAL PROJECT PROGRAMS REGULAR MEETING OF THE CITY COUNCIL NOVEMBER 15, 2011 PAGE 4 OF 12 Program Coordinator Heather Patel briefed the council on the item. There was general discussion about the month the project would be awarded in. It was determined to be December 2012 . Program Coordinator Heather Patel continued with her briefing. Councilmember Coleman asked what the little raised bumps contribute City Engineer Giao Pham stated American Disabilities Act requirements say there has to be a difference between the roadway versus when you transition from a curb and gutter. It is for the visually impaired so that there is a distinct feel when you walk from the curb to the streets. Arizona Department of Transportation and the federal highways want them to be single directional . Right now, looking at the radius of an existing ramp, you walk off towards the intersection. They are trying to require one directional ramps so that in each location you have to fix the ramp so that it points in either north, south, east or west, not northwest. We had some complaints from a blind person. We were looking to enhance the concrete paved area and make sure it is American Disabilities Act compliant . Vice Mayor Dietz commented it could also work as a grip for wheelchairs . Program Coordinator Heather Patel continued with her briefing on the projects . Councilmember Smithson asked if the bike lanes would also meet the requirements of the road not being in good condition and needing work. Program Coordinator Heather Patel stated they would have to, in essence, do the entire road and not just bike lanes in order to make it eligible . The cost REGULAR MEETING OF THE CITY COUNCIL NOVEMBER 15, 2011 PAGE 5 OF 12 is to be determined or they can do it as far as they have the money. Councilmember Smithson commented he hopes that when they repave Apache Trail they do a better job than the county did west of the city. They put pavement on it all but it is as rough as it was before when you drive on it . Mayor Insalaco commented that is Maricopa County. Program Coordinator Heather Patel continued with her briefing. Councilmember Barker asked if there could be multiple projects for a grant . The active adult equipment is a very low figure compared to the rest of these. Program Coordinator Heather Patel stated the Community Development Block Grant for $120, 000 can technically have two, however the state has made it known they are not interested in that because of the administrative requirements. It is a lot for them to have multiple projects for such a small dollar amount . They can ask for up to $300, 000 in the State Special Projects, but they really can only do one application because they never get around to looking at the second or third application. They review everybody' s first application and if there is money left over, then they go to the second one. Councilmember Barker .. commented it is probably not the wisest idea in the world. Vice Mayor Dietz commented he doubted there would be much left over. Mayor Insalaco commented the flooding south of Apache Trail on Grand, Ocotillo, Main and Palo Verde is still there and it rained how many days ago. Those streets are probably the worst neighborhood in this city as far as roads . REGULAR MEETING OF THE CITY COUNCIL NOVEMBER 15, 2011 PAGE 6 OF 12 City Engineer Giao Pham stated they are. They are trying to balance improving the arterial roadways versus meeting with the neighbors and the complaints regarding neighbors with drainage issues and cracks . Shane has done a remarkable job with our operation crews as far as paving some of the non-arterial roadways . The reason why that will take a little bit of time is because we have major ponding there on a regular basis . When they pave, they want to make sure there is no ponding water because that deteriorates the life of the pavement . In that particular project, we have already spent some money looking at getting someone to look at the drainage issue. When we hopefully get the money from other sources to pave, we will do it correctly and it will last a long time. They have had numerous complaints and they are looking into the issue with a little more detail . They are looking at various funding sources, including Community Development Block Grants, FEMA grant money for flooding, and all the options to help those neighbors Mayor Insalaco commented all 4 of those streets are so bad there is nothing to fix them. They would have to be completely redone City Engineer Giao Pham stated that is correct. Mayor Insalaco stated they are broken up badly. City Engineer Giao Pham .•. stated that is correct . Mayor Insalaco stated half the road is dirt . City Engineer Giao Pham stated they cannot be saved. It would have to be full construction. They are trying to move ahead slowly; they are trying to get the survey information to identify the low points in the roadway. The last thing they want to do is pave something and then let it slide again. What has historically happened is that people have blocked with some of their fencing REGULAR MEETING OF THE CITY COUNCIL NOVEMBER 15, 2011 PAGE 7 OF 12 drainage ways where water used to run. They need to identify the root of the problem and see what options are available as far as do they put a storm drain there, a curb and gutter there, inverted crowns or something else. Mayor Insalaco commented some of those streets are starting to put in some nicer homes and now would be the time to encourage the people to keep doing that. Vice Mayor Dietz asked if the $1. 3 to $1 . 4 million for this project does include drainage solutions and repaving. City Engineer Giao Pham stated it does . That $1 . 2 to $1. 3 million was estimated in a quick time frame while the tried to put the grant information together. That would be the amount for a full storm drain system, fullypaved curb and sidewalk and everything else. They � Y g can always look at value engineering or more cost-effective solutions. They could reduce it by analyzing it in more detail. The more information they get, the more it could go down Vice Mayor Dietz commented $120, 000 is not going to put much of a dent in it City Engineer Giao Pham stated it is a start and it has to start somewhere. City Manager George Hoffman asked Heather what the amount was for the grant they got for Apache Trail . Program Coordinator Heather Patel stated it was $300, 000. City Manager George Hoffman stated they have a good start on that project. Vice Mayor Dietz commented that is on North Apache Trail . He asked if the original amount was $1 . 4 million. REGULAR MEETING OF THE CITY COUNCIL NOVEMBER 15, 2011 PAGE 8 OF 12 Program Coordinator Heather Patel stated it was a little over one million so they broke it up into three phases . Mayor Insalaco closed the discussion with no further comments . This was a discussion item only and he moved on to the next item. �► PROCUREMENT OF A CRIME SCENE INVESTIGATION VEHICLE FOR THE POLICE DEPARTMENT Public Works Manager Shane Kiesow briefed the council on the item. Councilmember Barker asked if this was budgeted. Public Works Manager Shane Kiesow stated it is . It is part of the original 6 or 7 that were budgeted. The last couple of them we used some RICO fund money on. It is budgeted in the general fund in the fleet department . Councilmember Coleman asked if we auction the old vehicle off online. Public Works Manager Shane Kiesow stated they have auctioned them off online in the past and they may start using state contracts . Those are surplus contracts and the vehicles are given to the state to surplus . They keep a certain percentage for administrative costs and we get the remaining from when it is auctioned off. Councilmember Serdy commented the question they always get asked is if any local people bid on it and how they can bid on it because not everyone sees the answers. Public Works Manager Shane Kiesow stated last year they did a hard bid twice for vehicles . The first time it was non-responsive as they did not respond with the information that the city required. The next time they REGULAR MEETING OF THE CITY COUNCIL NOVEMBER 15, 2011 PAGE 9 OF 12 /"11 were the third lowest bidder. The two ahead of them were actually vendors that were on the state contract . He worked with Bryant and Janine to do outreach to our local dealership to let them know how they could get registered for the state contracts The state' s contract for vehicles is coming up so if there are any businesses hearing us tonight, as soon as they get registered on state contract they will get that invitation to bid. He believes it is in December or January. Mayor Insalaco closed the discussion with no further comments. This was a discussion item only and he moved on to the next item. COUNCIL DIRECTION TO STAFF None. SELECTION OF MEETING DATES, TIMES, LOCATIONS, AND PURPOSES Vice Mayor Dietz MOVED THAT AN EXECUTIVE SESSION AT 5: 45 P.M. AND A WORK SESSION AT 7 : 00 P M. BE HELD ON MONDAY, DECEMBER 5, 2011, IN THE CITY COUNCIL CONFERENCE ROOM AND CITY COUNCIL CHAMBERS, RESPECTIVELY; AND THAT AN EXECUTIVE SESSION AT 5: 45 P M. BE HELD ON TUESDAY, DECEMBER 6, 2011, IN THE CITY COUNCIL CONFERENCE ROOM. Councilmember Coleman SECONDED THE MOTION. VOTE: Unanimous . The motion carried. CALL TO THE PUBLIC: Mr. Elliott Fisher, 547 E. Quail, addressed the council regarding nepotism in the sewer district and city departments, the use of vacuum trucks to remove water from roadways, additional streetlights, and requested the city to look at residential neighborhoods instead of commercial areas for- upgrades REGULAR MEETING OF THE CITY COUNCIL NOVEMBER 15, 2011 PAGE 10 OF 12 Councilmember Smithson commented the sewer district is not under the control of the city council. The council appoints the board members but they are completely autonomous. He suggested he speak at the monthly meeting of the sewer district . Councilmember Coleman commented the city' snepotismpolicy olic is even stronger than what the state requires. His daughters could never work in the summer recreation programs as lifeguards because he was mayor on the city council . All their friends could, but his children could not. Vice Chairperson Dietz stated his niece could not work for the city, even though she is highly qualified, because he is on the council. Councilmember Smithson stated it is too bad he did not stay around to hear the answers. Mayor Insalaco commented he and the council would like to wish everyone a wonder Thanksgiving. ADJOURNMENT Mayor Insalaco adjourned the meeting at 8 : 00 p.m. Consent Agenda Items are as follows : 1. Acceptance of Agenda. 2 . Approval of Minutes of Regular Meeting of November 1, 2011 . 3. Consideration of Fiscal Year 2011-2012 professional services agreements with five human services agencies to provide in- city services in the total of $80, 000 . ACCEPTED THIS 6TH DAY OF DECEMBER, 2011, BY THE MAYOR AND CITY COUNCIL OF THE CITY OF APACHE JUNCTION, ARIZONA SIGNED AND ATTESTED TO THIS 6TH DAY OF DECEMBER, 2011 . REGULAR MEETING OF THE CITY COUNCIL NOVEMBER 15, 2011 PAGE 11 OF 12 JOHN S . INSALACO Mayor ATTEST: KATHLEEN CONNELLY City Clerk CITY COUNCIL MINUTES CERTIFICATION I hereby certify that the foregoing minutes are a true and correct copy of the minutes of the regular meeting of the City Council of the City of Apache Junction, Arizona, held on the 15th day of November, 2011 . I further certify that the meeting was duly called and held and that a quorum was present . Dated this 28th day of November, 2011 KATHLEEN CONNELLY V City Clerk REGULAR MEETING OF THE CITY COUNCIL NOVEMBER 15, 2011 PAGE 12 OF 12 PpACHf✓G a -6 City of Apache Junction U Z Home a/ the Supe;:st ttlon Moum/A/In c 4Rtzos* ILL Print TO: City Manager's Office FROM: SHANE KIESOW, PUBLIC WORKS MANAGER DATE: December 6, 2011 Agenda Type : Regular Agenda Council Priority Focus Area: TITLE OF AGENDA ITEM: Consideration of authorizing the Mayor to enter into three agreements with Siemens Industries and Siemens Financial through State Contract#EPS080079-7 for the implementation of the energy saving projects for select municipal buildings ACTION REQUESTED: Recommendation for Approval DISCUSSION / BACKGROUND INFORMATION: Consideration to authorize the Mayor to enter into two energy saving contracts with Siemens Industries and one financing agreement with Siemens Financial. Staff asks Council to consider appropriating $170,000 in capital replacement funds through general fund, $130,000 in EECBG grant funds, and $442,707 from financing lender Siemens Financial. The total amount of the contracts for nine energy conservation projects would be $742,707.00 FISCAL IMPACT: OPTIONS/ALTERNATIVES: RECOMMENDATION: Approval ATTACHMENTS: Click to download L1 Letter to Council PypGHFv ilk 44 Public Works Department 7:3 eay telf,v.e4 F.-, z Home of the Superstition Mountains pizot'A Date. November 22, 2011 To Mayor and Members of City Council Through George Hoffman, City Manager Giao Pham, Interim Public Works Director From Shane Kiesow, Public Works Manager Subject Energy Savings Projects Staff recommends to contract with Siemens Industry through two energy savings contracts and one financing agreement These contracts would leverage our existing remaining $130,000 Energy Efficiency and Conservation Block Grant (EECBG) monies in the City's effort to become more environmentally friendly in addition to getting several needed capital replacement projects completed Forty thousand dollars of the EECBG grant has already been used for a detailed energy audit of our municipal buildings This audit identified nine facility improvement measures which would conserve energy for the City, in addition, grant the opportunity for capital replacement of building equipment deferred over the past several years which are in severe need of replacement such as the Police Department cooling towers, lighting controls at City Hall, lighting upgrades throughout the City and water conservation measures A combination of remaining EECBG grant monies, existing General Fund capital replacement monies, and monies financed through Siemens' Financial ($442,707.00 over 15 years at 4 08%), would allow the City to fully capitalize on these energy conservation improvements which would be self-funded paid over the term of the financing period through the project's resulting energy/water savings. Total cost of all the energy savings projects will equal $742,707.00 paid through the following sources. - $130,000 EECBG Grant - $170,000 Capital Replacement (General Fund) - $442,707.00 Private Financing Lender(Siemens Financial) This item was discussed at last night's (Dec 5`h) work session 575 E Baseline Avenue, Apache Junction, AZ 85219 • Voice (480) 982-1055 • FAX (480) 983-5752 or(480) 982-8005 Pp ACHE✓ ti _°� `'= City o f Apache Junction U 2 Ionic of the .VG/pe!:ritton Mountains '�RlION�` Print TO: City Manager's Office FROM. Shane Kiesow, Public Works Manager DATE: December 6, 2011 Agenda Type : Regular Agenda Council Priority Focus Area: Public Safety TITLE OF AGENDA ITEM: Consideration on the purchase and award of a fleet vehicle for the Police Department through State contract#ADOT 11- 004994. ACTION REQUESTED: Recommendation for Approval DISCUSSION/ BACKGROUND INFORMATION: Staff requests authorization to move forward with the purchase of a Ford Explorer for the Police Department through State contract#ADOT 11-004994 The vehicle will be a replacement vehicle for the Crime Scene Investigation Unit of the Criminal Investigation Division. The total cost of the vehicle would be $26,169.34 purchased through Chapman Ford FISCAL IMPACT: Budgeted Expenditure OPTIONS/ALTERNATIVES: RECOMMENDATION: Approval. ATTACHMENTS: Click to download D Letter to City Council PpACHE a� Public Works Department z ° J „ Home of the Superstition Mountains �HIZONP Date. November 22, 2011 To Mayor and Members of City Council Through George Hoffman, City Manager Giao Pham, Interim Public Works Director From Shane Kiesow, Public Works Manager Subject Fleet Vehicle Procurement With the adoption of the Fiscal Year 2011-2012 City operating budget, the existing Crime Scene Investigation Jeep Cherokee with 120,000 miles was identified and budgeted for replacement with the Police Department. A Ford Explorer is requested to be purchased as the replacement vehicle funded through General Fund monies. Staff would like City Council to give consideration for approval to purchase for a not to exceed amount of 526,169 34 On November 15th this request was discussed before City Council in regular session Staff asks City Council to give consideration for approval to purchase. The recommended purchase would be through the cooperative State Contract#ADOT11-004994 via Chapman Ford 575 E Baseline Avenue, Apache Junction, AZ 85219 • Voice (480) 982-1055 • FAX (480) 983-5752 or(480) 982-8005 Pp AC HE ,p Air G °� - yro City of Ylpache Junction Lime of the Supct:ctition Mountains ornrtains Print TO: City Manager's Office FROM: Heather Patel, Program Coordinator DATE: December 6,2011 %genda Type : Regular Agenda Council Priority Focus Area. Revenue Development TITLE OF AGENDA ITEM: Consideration of approval of proposed Resolution Nos 11-50, 11-51, and 11-52 regarding the submission of a Fiscal Year 2012 State Housing Fund grant application. ACTION REQUESTED: Recommendation for Approval DISCUSSION/BACKGROUND INFORMATION: The Arizona Department of Housing has announced the next cycle of funding for owner occupied housing rehabilitation programs Completed applications are due on January 13, 2012. If approved by Council, Apache Junction will request $330,000 in owner occupied housing rehabilitation funds to complete the rehabilitation of six owner-occupied residential properties FISCAL IMPACT: Budgetary Approval Not Required OPTIONS/ALTERNATIVES: Statutory Requirement RECOMMENDATION: Staff respectfully recommends that the City Council approve the proposed Resolution Nos 11-50, 11-51, and 11-52. ATTACHMENTS: Click to download ❑ Staff Report ❑ Resolution 11-50 ❑ Resolution 11-51 ❑ Rehabilitation Guidelines ❑ Resolution 11-52 QpAGMF�, 4.0 -� - City of Apache Junction Development Services Department MEMORANDUM DATE: November 23, 2011 TO: The Honorable Mayor and City Council THROUGH: George Hoffman, City Manager Brad Steinke, Development Services Director Roger Hacker, Revenue Resources Manager FROM: Heather Patel, Program Coordinator SUBJECT. Consideration of approval of Proposed Resolution Numbers 11-50, 11-51, and 11-52 regarding the submission of a Fiscal Year 2012 State Housing Fund Grant Application REQUEST Staff respectfully requests that the City Council approve. 1) Resolution No. 11-50 (Authority to Submit); 2) Resolution No 11-51 (Adoption of Housing Rehabilitation Guidelines), and 3) Resolution No. 11-52 (Commitment of Local Funds) The resolutions are mandatory components of the City's proposed Fiscal Year 2012 State Housing Fund ("SHF") grant application. BACKGROUND Since 1985, the City of Apache Junction has utilized a variety of funding sources to offer a Housing Rehabilitation Program ("HRP")for local home owners. The City began using SHF funds in 1996 Since 1985,the City has invested over$3.3 million in grant funds to address housing rehabilitation needs for over 200 owner occupied homeowners DISCUSSION The Arizona Department of Housing("ADOH")has announced the next cycle of funding for owner occupied housing rehabilitation programs Completed applications are due on January 13, 2012 If approved by Council,Apache Junction will request$330,000 in owner occupied housing rehabilitation funds to complete the rehabilitation of six owner-occupied residential properties IOW /lbw As part of the City's application, resolutions are mandated by ADOH The attached resolutions meet the requirements of the SHF guidelines The required resolutions are. 1) authorizing the submission of an application, 2) adopting the community's Housing Rehabilitation Guidelines, and 3) committing local funds as leverage to the project Ina Resolution No 11-50 authorizes the submission of a grant application Resolution No. 11-51 reflects changes to the City's Housing Rehabilitation Guidelines. These changes have been updated to reflect changes required by the Arizona Department of Housing and how the City's program has developed over the years. Below is a brief description of those proposed changes, excluding minor grammatical and clarification changes The changes may be found highlighted in red within the guidelines 1) Required documentation for eligibility determination was identified through links and application 2) As required by State Law, the following clause was inserted...A.R.S. 1-501 and 1-502 requires that all homeowners who receive services under the program shall provide proof of lawful presence in the United States including a sworn affidavit that the required documentation is true under penalty of perjury 3) A clause was inserted encouraging contractors to buy locally whenever possible 4) Restrictions were placed on the emergency rehabilitation program stating that homeowners may seek further services five years after they originally received services, unless the services received were to enable the homeowner to stay in their home while awaiting services under the rehabilitation program Additionally, no single owner of a home may receive more than two emergency assistance grants 5) The City added a recapture period of 30 years if there was an investment of over $75,000 into a home. This would typically only be a replacement project 6) A clause was insert that states the city encourages minority contractor participation in all projects to include Disadvantaged Business Enterprises e g Small Business Enterprises, Minority-owned Business Enterprises, and Women-owned Business Enterprises. 7) A clause was inserted that places a cap on the amount of change orders submitted by the contractor Resolution No 11-52 reflects leverage funds allocated to the Fiscal Year 2012 SHF application The State requires leverage funds in the form of cash or in-kind services in order to rank and rate each application for funding The City will provide $4,620 as leverage to the project, of which $3,000 will be in-kind leverage through staff time to complete the project 2 RECOMMENDATION Staff respectfully recommends that the City Council approve the proposed Resolution Numbers 11-50, 11-51, and 11-52 ACTIONS REQUIRED Review and discussion .-. Attachment 1. Resolution No 11-50 Attachment 2• Resolution No 11-51 Attachment 3: Housing Rehabilitation Guidelines including proposed revisions Attachment 4 Resolution No 11-52 3 RESOLUTION No. 11-50 A RESOLUTION OF THE MAYOR AND CITY COUNCIL OF THE CITY OF APACHE JUNCTION, ARIZONA, AUTHORIZING THE SUBMISSION OF AN APPLICATION (S) FOR STATE HOUSING FUNDS, WHICH MAY INCLUDE FEDERAL FUNDING THROUGH THE HOME INVESTMENT PARTNERSHIP PROGRAM OR STATE HOUSING FUNDS, CERTIFYING THAT SAID APPLICATION (S) MEET THE COMMUNITY' S HOUSING AND COMMUNITY DEVELOPMENT NEEDS AND THE REQUIREMENTS OF THE STATE HOUSING PROGRAMS, AND AUTHORIZING ACTIONS NECESSARY TO IMPLEMENT AND COMPLETE THE ACTIVITIES OUTLINED IN SAID APPLICATION (S) WHEREAS, the City of Apache Junction is desirous of undertaking affordable housing development activities; and WHEREAS, the State of Arizona is administering the State Housing Fund Program; and WHEREAS, the State Housing Fund requires that State Housing Funds benefit low income households; and WHEREAS, the activity in the application addresses the community' s low-income population housing needs; and WHEREAS, a recipient of State Housing Funds is required to comply with the program guidelines, State and Federal Statutes and regulations. NOW, THEREFORE, BE IT RESOLVED THAT BY THE MAYOR AND CITY Ink COUNCIL OF THE CITY OF APACHE JUNCTION, ARIZONA, AS FOLLOWS : 1) The Mayor and City Council of the City of Apache Junction authorize applications to be made to the State of Arizona for funding from the State Housing Fund, 2) Mayor John S. Insalaco is authorized to sign applications and contracts or grant documents for receipt and use of these funds; 3) Mayor John S. Insalaco is authorized to take all actions necessary to implement and complete the activities submitted in said applications; and 4) The Mayor and City Council of the City of Apache Junction will comply with all State Housing Fund Program Guidelines, RESOLUTION NO 11-50 PAGE 1 OF 2 e State and Federal Statutes and regulations applicable to , the State Housing Fund Program (HOME program and/or State Housing Trust Fund) and the certifications contained in the (these) application (s) . PASSED AND ADOPTED BY THE MAYOR AND CITY COUNCIL OF THE CITY OF APACHE JUNCTION THIS DAY OF 2011. SIGNED AND ATTESTED TO THIS DAY OF 2011. JOHN INSALACO Mayor ATTEST. KATHLEEN CONNELLY City Clerk APPROVED AS TO FORM. RI CHARD CHA J STERN City Attorney RESOLUTION NO. 11-50 PAGE 2 OF 2 /1 RESOLUTION NO 11-51 A RESOLUTION OF THE MAYOR AND CITY COUNCIL OF THE CITY OF APACHE JUNCTION, ARIZONA, AUTHORIZING THE ADOPTION OF OWNER OCCUPIED HOUSING REHABILITATION GUIDELINES DATED FEBRUARY 1, 1994, AS AMENDED, IN RELATION TO AN APPLICATION FOR A HOUSING REHABILITATION ACTIVITY. WHEREAS, the City of Apache Junction, Arizona, is desirous of undertaking an owner-occupied housing rehabilitation program; and WHEREAS, this program is anticipated to be funded with funds provided by the State of Arizona Department of Housing ("ADOH") , and WHEREAS, ADOH requires that every local government requesting funds for housing rehabilitation adopt specific guidelines for such a program, and WHEREAS, the City of Apache Junction has developed such owner-occupied Housing Rehabilitation Guidelines ("HRGs") dated February 1994, as amended, which have been previously approved by ADOH NOW, THEREFORE, BE IT RESOLVED BY THE MAYOR AND CITY COUNCIL OF THE CITY OF APACHE JUNCTION, ARIZONA, AS FOLLOWS• 1) The City Council of the City of Apache Junction, Arizona, hereby adopts such owner-occupied HRGs, dated February 1994, as amended in Attachment A, which shall be used to implement its housing rehabilitation program; and 2) The City of Apache Junction, Arizona, shall utilize such owner-occupied HRGs, without revisions, except those authorized by the Mayor Such revisions shall be submitted to ADOH by the City 10 working days before such amended guidelines are effectuated RESOLUTION NO 11-51 PAGE 1 OF 2 PASSED AND ADOPTED BY THE MAYOR AND CITY COUNCIL OF THE CITY OF APACHE JUNCTION, ARIZONA, THIS DAY OF , 2011 . SIGNED AND ATTESTED TO THIS DAY OF , 2011. JOHN S INSALACO Mayor ATTEST: KATHLEEN CONNELLY City Clerk APPROVED AS TO FORM• RICHARD J. STERN City Attorney ems RESOLUTION NO. 11-51 PAGE 2 OF 2 O� PQACHE✓Gym 'ss O ar. - CITY OF APACHE JUNCTION, ARIZONA HOUSING REHABILITATION PROGRAM GUIDELINES As Adopted by the City Council on February 1, 1994 Modified by the City Council on January 17, 1995 Addendum by the City Council on March 21, 1995 Modified by the City Council on June 20, 1995 Modified by the City Council on March 7, 2000 Modified by the City Council on May 15, 2001 Modified by the City Council on February 5, 2002 Modified by the City Council on January 16, 2007 Modified by the City Council on June 5, 2007 Modified by the City Council on November 18, 2008 Modified by the City Council on December 15, 2009 Modified by the City Council on December 6, 2011 The City Council of the City of Apache Junction adopts the following Housing Rehabilitation Guidelines to assist the City in administering the City's Housing Rehabilitation Program This program is intended to provide safe and decent housing to City of Apache Junction residents by offering funding options to assist homeowners with the rehabilitation or modification of their home. PROGRAM PURPOSE (GOALS) 1 Eliminate health and safety hazards in homes 2 Benefit very low-, low- and moderate-income residents 3. Improve neighborhoods and encourage stability. City of Apache Junction Housing Rehabilitation Program Guidelines page 1 of 20 TABLE OF CONTENTS Program Purpose and Goals 1 Program Design 3 Target Area 3 Eligibility Requirements 3 Property Standards 5 Allowable Work Items 5 Non-allowable Work Items 7 Rehabilitation Assistance Plans 7 Emergency Housing Repair 7 Housing Accessibility 7 Housing Rehabilitation 8 Permit Fee Fund 8 Replacement 9 Deferred Payment Loans/Liens 9 Exceptions to the Maximum Allowed 9 Loan Closing and Lien Recording Procedures 10 Recapture Period 10 Loan Servicing Policy/Subordination 10 Revolving Loan Fund/Program Income 11 Application Procedures and Acceptance 11 Third Party Income Verification 11 Work Write-up, Estimates and Specifications 12 Method for Determining After Rehab Value 12 Bidding Procedures 13 Pre-Bid Meeting 13 Pre-Construction Conference 13 Change Orders 13 Inspections and Monitoring of Construction 13 Acceptance of Work Completed, Grievances and Quality Assurance 14 Payment and Warranties 14 Housing Maintenance and Homeowner Education 14 Energy Efficiency Guidelines 15 Lead Based Paint Requirements 15 Conflict of Interest 16 Complaint and Grievance Procedures 16 Marketing 17 Staffing and Administrative Review 17 Non-Discrimination 18 Assistance to Applicants 18 Fair Labor Standards 18 Applicable Documents 18 Changes to Program Guidelines 19 Forms 19 City of Apache Junction Housing Rehabilitation Program Guidelines. page 2 of 20 PROGRAM DESIGN The main focus of the Housing Rehabilitation Program (hereinafter "HRP") is to increase the life and improve the livability of homes owned by very low-, low- and moderate-income families, by correcting code violations and addressing accumulated deferred home maintenance projects. Funds for the program are primarily provided through the 1) Community Development Block Grant Program ("CDBG") and 2) State Housing Fund ("SHF") including HOME and State Housing Trust Funds as administered by the Arizona Department of Housing ("ADOH"). Owner-occupied housing rehabilitation ("OOHR") assistance to homeowners in the SHF funded portion of the City's HRP may be in the form of: deferred payment loans, non-interest bearing loans; or interest bearing loans. OOHR assistance to homeowners in the CDBG funded portion of the City's HRP may be in the form of. grants or deferred payment loans. Unless specifically stated to the contrary, comments contained in these guidelines are applicable to both the CDBG and SHF funded portions of the City's HRP TARGET AREA The program will be open to all full-time permanent residents who live within the incorporated boundaries of the City of Apache Junction, excluding those who live in designated ineligible areas or structures as outlined in the eligibility requirements below CDBG funds may only be used in the Pinal County portion of the City. ELIGIBILITY REQUIREMENTS To be eligible, the applicant and/or the property to be rehabilitated must meet the following criteria. • Located within the incorporated boundaries of the City of Apache Junction • Feasible for rehabilitation under the time and monetary constraints of this program • Owned and occupied by a full-time permanent resident • Applicants must have a verifiable income that falls below 80% of the area median income as indicated by The US Department of Housing and Urban Development and the State of Arizona — State Housing Fund Program income limits for very low-, low- and moderate-income families (see income guidelines, updated annually) Income verification is valid for a period of six City of Apache Junction Housing Rehabilitation Program Guidelines 3 of 20 (6) months. Upon expiration of income verification information, applicants must complete and submit a new income verification package Income must be anticipated and verifiable for the next 12 months. Required documentation of income can be found on the Housing Rehabilitation Application. • For all programs, specifically the SHF Program, the property owner cannot have assets that total more than $25,000 (e.g. cash, stocks, bonds, money market accounts, IRA, etc.) This is exclusive of the home they live in, two vehicles, and personal property necessary for daily living. • Provide proof of homeowner's insurance • For the purposes of eligibility, self help or "sweat" equity are not allowable forms of equity. • The current owner must have occupied the structure for at least one (1) year prior to program entry • Households applying for funding must meet one of the following criteria. 1) be elderly (62 years of age or older), 2) have a disability (a legally recognized physical/mental/emotional condition that limits the performance of daily living skills), or 3) have minor child (ren) age 17 and under related to head of household residing in the residence. • A R S 1-501 and 1-502 requires that all homeowners who receive services under the program shall provide proof of lawful presence in the United States including a sworn affidavit that the required documentation is true under penalty of perjury • Owner is to complete any recent construction project underway prior to the City's approval of rehabilitation assistance. • Manufactured and mobile homes are deemed eligible contingent upon 1) applicant(s) having owned and occupied both property and dwelling for one (1) year prior to program entry, and 2) the home being permanently attached to a foundation, either as a pre-existing condition or as a work element of the Rehabilitation Program. • Properties in non-conforming zoning, properties located within 1,000 feet of an explosive/flammable operation, properties with open, unresolved building or code compliance cases and homeowners unwilling to follow the City of Apache Junction Program Guidelines, are not eligible for general rehabilitation under this program • Homes of historical value may only be eligible upon favorable review by the State Historic Preservation Office City of Apache Junction Housing Kehabuiialion Program Guidelines 4 of 20 • Manufactured homes that were built before June 1976 are not eligible to receive housing rehabilitation funding, however they would be eligible for emergency and housing accessibility assistance • The rehabilitation of dwellings that are located in the 100-year floodplain are not eligible for participation in the rehabilitation program • Properties that are classified "non-conforming" are not generally eligible for rehabilitation However, if the proposed rehabilitation is non-structural and there are no properties waiting to be rehabilitated, nonconforming properties that meet all other eligibility criteria may be considered • Properties with an open building or code case are generally not eligible for rehabilitation However if the case is relating to a correctable building condition that HRP funds can correct under the requirements of the program, then the unit will be deemed eligible • Properties rehabilitated through this program must be free of any encumbrances such as liens or judgments. Properties may be encumbered by a mortgage in first position so long as a financial institution or other such mortgage company holds that mortgage, however, there must be sufficient equity remaining to justify placing a lien for the rehabilitation deferred payment loan in second position Properties encumbered by mortgages held by individuals or partnerships are not eligible for this program Mortgage payments and insurance premiums must all be current PROPERTY STANDARDS The property standards that must be achieved as a result of assisted rehabilitation are established by the City's Building Codes, the Federal Housing Quality Standards and the Arizona Department of Housing's Housing Rehabilitation Standards ALLOWABLE WORK ITEMS HOME guidelines require that an entire dwelling be brought up to local code; such improvements are eligible under this program A preliminary property inspection is completed to assist with ensuring homes meet Housing Quality Standards ("HQS") and are safe, sanitary and decent The following must be taken into consideration when determining the priority of items for inclusion in the work-write up (Scope of Work) a) The age and the physical condition of the building, b) The goal of the program (building revitalization or direct benefit), City of Apache Junction Housing Rehabilitation Program Guidelines p-.7e 5 of 20 c) Funds available for rehabilitation of each unit; and d) Value of unit after rehabilitation The following levels are utilized to determine priorities for the HRP. • Level 1. Initial inspection reports must include those items that are included in Level 1. • Level 2 Items included on Level 2 are also considered critical but not as critical as those items in Level 1 Other items are considered less critical and should always be inspected but may not be rehabilitated • Level 3. The items on List 3 should be reviewed, and where feasible, corrected These items must also be included whenever substantial rehabilitation is taking place • Items from all levels must be included in the preliminary inspection report for all construction projects and those where the cost of rehabilitation exceeds 75% of the value of the property Level 1 Items that must be included in the inspection report and must be repaired or replaced 1 Lead Based Paint Assessment (only on properties built prior to 1978) 2. Hazardous Materials 3 Health and Safety Hazards 4 Stable and Weather Tight Roof 5. Electrical System —the unit must have a minimum 100-amp electrical service, with no unsafe conditions 6. Plumbing (including hot water) — Must be in good working order and be safe and sanitary 7 Heating and Cooling Systems — must be adequate and safe with a reasonable (three year) useful life 8 Egress in accordance with local health and safety codes 9 Trip Hazard (HQS Standard) Level 2 Items that must be included in the inspection report and should be repaired or replaced 1. Structural soundness and integrity (including rotted or deteriorating materials and those impacted by termites and/or other wood-boring insects) 2 Siting of the structure and its relationship to water penetration that may impact structural integrity. City of Apache Junction Housing Rehabilitation Program Guidelines p=.; e 6 of 20 3. Appropriate kitchen facilities including a sink and means of cooling and heating food to healthful standards 4. If the structure has an attached garage, appropriately-rated fire wall between garage and living areas. The above mentioned items are first priority items that shall be included in every inspection report. These items shall also be included in the Work Write-Ups (funds permitting) and shall receive priority in work to be completed as part of the rehabilitation project. Repair or replacement may take place based on the amount of available resources Level 3 Items that must be included in the inspection report and may be repaired or replaced' 1 Debris that may be a fire hazard 2. All existing exposed surfaces painted or sealed and not presenting a health or safety hazard 3. Cabinetry 4 Finished flooring 5 Repair and replacement of doors and windows not presenting a health or safety hazard. The above mentioned items shall be included in every inspection report and may be included in the Work Write-Up (funds permitting). These items generally result from deferred maintenance and are considered general improvements. The City wishes to encourage contractors to buy locally whenever possible NON ALLOWABLE WORK ITEMS None of the program funds shall be used for temporary/long term relocation of applicants during periods of home rehabilitation/repair REHABILITATION ASSISTANCE PLANS 1. EMERGENCY HOUSING REPAIR PLAN A grant plan that assists homeowners in the elimination of an imminent threat to life, safety or health; the necessary repairs may include, but shall not be limited to roofs, floor repairs, window/door replacements, and wall and ceiling repairs. The minimum assistance is $1,000 and the maximum assistance is $15,000 per recipient The grant may address no more than two (2) emergency conditions, unless approved by the Development Services Director, or his/her designee, due to some extenuating circumstances. A structure may be eligible for an Emergency Grant even though it may not meet structural integrity requirements After a City of Apache Junction Housing Rehabilitation Program Guidelines page 7 of 20 recipient has received services through the Emergency Housing Repair program they may not be eligible to receive additional services until five years after the completion of the project unless the emergency services enable the homeowner to remain in their home until the home can be rehabilitated under the City's Housing Rehabilitation Plan or replaced under the City's Replacement Plan Additionally, no single owner of a home may receive more than two emergency assistance grants 2. HOUSING ACCESSIBLITY PLAN A grant/deferred payment loan plan that assists homeowners to make residences physically accessible Assistance can be either structural changes or purchase of durable medical equipment (if it becomes a permanent part of structure) and may include ramps, grab bars, handrails, raised toilets, lowered light switches, automatic door openers, visual alarms, transfer shower benches, and hand held showers Grants are limited to $ 2,500 per recipient This program is offered through the City's partnership with Community Action Human Resources Agency (CAHRA) or may be a component of another rehabilitation plan 3. HOUSING REHABILITATION PLAN A grant/deferred payment loan plan that assists homeowners to address safe, sanitary, and decent housing rehabilitation issues Rehabilitation projects may either be major or minor Grants and DPLs are limited to a minimum of $1,000 and a maximum as required by the grant from which the funds will be expended, this amount may change each funding year Mobile/manufactured homes and conventional, site-built homes have different maximum investments HOME funds can not be utilized in the form of a grant In the HOME Program, weatherization, emergency repairs, or accessibility projects may be undertaken only if the property is brought up to the State's rehabilitation standards upon completion When a recipient receives a deferred payment loan through HOME funds, no further investment of CDBG or HOME funds can be made on the home until after the recapture period has expired However, should the recipient receive any housing rehabilitation services in the form of a grant, they may not be eligible to receive additional services until five years after the completion of the project. 4. PERMIT FEE FUND In 2003, the City of Apache Junction created a revenue fund (004-04420-422-225) in order to track and collect permit fees that have been paid for by contractors that are participating in the City's Housing Rehabilitation Program The fees that were collected were to be used to supplement and support the activities of the City's Housing Rehabilitation Program. These fees are collected in accordance with the City of Apache Junction City Code, Volume I, Chapter 7, Article 4-4 Sections A through I. City of Apache Junction Housing Rehabilitation Program Guidelines page 8 of 20 All relevant fees shall be due payable by the contractor prior to the start of construction on any City of Apache Junction housing rehabilitation project These fees will be tracked by the Housing Rehabilitation Program Coordinator ("Coordinator") and reported to the Finance Director for deposit into the appropriate revenue account This account will be tracked to ensure accurate balance and expenditures Eligible expenses to be withdrawn from this account shall be minor repair items that are eligible under the City of Apache Junction's Housing Rehabilitation Program and the adopted Housing Rehabilitation Guidelines. Recipients of these funds, however, must be homeowners that are not eligible under the same guidelines or available funding programs These repairs must be determined an emergency by the Program Coordinator Further, the Coordinator must have found that there is no other funding or community assistance can be located for the homeowner Eligible homeowners must be either elderly (over the age of 62), disabled, or have children under the age of 18 occupying the home and the total household income must not exceed 80% of the area median income. When an expense is determined to be eligible to be charged to this account, the Coordinator will submit a check request along with an invoice for payment to the finance department The maximum amount payable toward any project shall be $1,000 unless otherwise approved by the Development Services Director 5. REPLACEMENT PLAN A grant/deferred payment/low interest bearing loan plan that assists homeowners with the replacement of unsafe, hazardous living conditions by providing a new manufactured or site-built home This plan provides a maximum investment as stipulated within each grant from which the funds will be expended This amount may change each funding year and is intended for the construction of a new home or for the replacement of a manufactured home HOME funds can not be utilized in the form of a grant When a recipient receives assistance through HOME funds, no further investment of CDBG or HOME funds can be made on the home until after the recapture period has expired DEFERRED PAYMENT LOANS/LIENS All forgivable, non-interest bearing, and interest bearing loans are secured by a lien and promissory note A percentage of the total assistance provided on forgivable loans will be forgiven on the anniversary date of the execution of the recording of the loan instruments throughout the recapture period, provided that the dwelling unit continues to be occupied by the original occupant or an income qualified immediate family member The unforgiven balance of the loan shall become due and payable upon the sale of the property After execution of the loan, subordination agreements with lending institutions will not be honored since such practice is lending of City credit in violation of State constitutional law Properties rehabilitated through this City of,. :_:; e Junction Housing Rehaoilitation Program Guidelines. page 9 of 20 program must be free of any encumbrances such as liens or judgments Properties may be encumbered by a mortgage in first position so long as a financial institution or other such mortgage company holds that mortgage, however, there must be sufficient equity remaining to justify placing a lien for the rehabilitation deferred payment loan in second position Properties encumbered by mortgages held by individuals or partnerships are not eligible for this program HOME funds cannot be used in the form of a grant. EXCEPTIONS TO THE MAXIMUM ALLOWED The Maximum investment for each project is stipulated under each grant program from which the funding is expended This maximum may change with each funding year. However under no circumstance may the maximum per unit investment exceed that which is determined by the geographic area 221 (d) 3 per unit limits based on the number of bedrooms nor can the after rehabilitation value exceed 95% of the FHA 203 (b) Insuring limits for single family properties. LOAN CLOSING AND LIEN RECORDING PROCEDURES The Housing Rehabilitation Program Coordinator ("HRPC";I will be responsible for recording the required paperwork as determined by the loan The lien will be recorded at the Pinal County Assessor's Office and will include applicable administrative costs and a contingency of 10% above the Contractor's Bid. The Deed of Trust will be placed on a tracking system by the HRPC who will track the forgivable loan calculating the amount of dollars that will be forgiven as each year passes until the loan has been completely forgiven as outlined in the funding section of these HRGs The City will send a letter to the homeowner annually advising the homeowner of the status of their loan, identifying the amount forgiven and the amount that remains on the forgivable loan The City will be no lower than the first position on the lien of the home or second if a financial institution held first position prior to the City recording the loan documents A letter to the homeowner shall provide a reminder that the City cannot subordinate the loan. "! RECAPTURE PERIOD When a recipient elects to receive assistance in the form of a deferred or forgivable loan, the following recapture periods apply. The recaptured period is based on the amount of funds invested in the assisted unit Recipients may elect to have a recapture period that is longer than the required period below. Amount of State Funds Invested Recapture Period Per Unit Under $15,000 5 years $15,001 to $40,000 10 years $40,001 to $75,000 15 years $75,001 and over 30 years City of Apache Junction Housing Rehabilitation Program Guidelines pad 10 of 20 When a recipient receives a deferred payment loan with HOME funds, no further investment of CDBG or HOME funds can be made on the home until after the recapture period has expired. LOAN SERVICING POLICY/SUBORDINATION Should a refinancing request be made by the homeowner after the rehabilitation work has been completed and a lien has been placed on the structure and the request has been made prior to the end of the recapture period, the lien shall become due and payable upon refinancing to the City Thus, should the refinance be a cash out, the City will require payment in full of the rehab lien. The City will be no lower than first position on the lien of the home. As noted above, the City cannot subordinate the loan in any manner. REVOLVING LOAN FUND/PROGRAM INCOME The City of Apache Junction does not currently have a revolving loan fund Therefore the City will be tracking all forgivable loans In the event that a house that has received services is sold prior to the end of the recapture period, the City will enforce the repayment of the loan in the amount that remains unforgiven. These funds will then be immediately circulated into the Housing Rehabilitation program and will be utilized prior to the use of any new grant funds These recaptured funds will be deposited into the Miscellaneous Grant Fund and will be tracked by the City's fiscal officer and City Manager However when utilizing HOME funds, any recaptured or repaid funds will be returned to the Arizona Department of Housing as retention of HOME funds is not allowed by the Arizona Department of Housing APPLICATION PROCEDURES AND ACCEPTANCE When the homeowner thinks she/he meets the required criteria, an application can be mailed, picked up or obtained from the City's website by the applicant Upon receipt of the completed application, the City will date and stamp the application "received". Eligible applicants will be prioritized on a first come, first served basis, unless the nature of the project constitutes an eminent threat to health or safety, as determined by the Building Inspector If eligible, an applicant is then placed on a waiting list Assistance is based on a first come-first served basis, at times, applicants can experience a 6-18 months waiting period for assistance. Any questions about the HRP procedures and guidelines may be addressed by contacting the HRPC in the City's Development Services Department Upon completion of an application, an individual will be notified within 30 (thirty) calendar days of his/her eligibility for the HRP All Housing Rehabilitation cases will be tracked by the HRPC and be reviewed .-)f Apache Junction Housing Rehabilitation Program Guidelin: page 11 of 20 biweekly by the Development Services Director, or his/her designee. Each housing rehabilitation project will have a goal to be completed within (90) calendar days of the approval of the information obtained on the application. THIRD PARTY INCOME VERIFICATION Upon receipt of the application, the HRPC will verify eligibility based upon the homeowners income. The definition of income is taken from 24 CFR Part 5. Gross Income will be used to calculate income for all members of the household over the age of 18. Typical required documents to verify income will include, but are not limited to 1) Bank Statements including checking and savings accounts, 2) Paycheck stubs including tips, commission and bonuses, and overtime, 3) Earned Interest and Assets This amount is calculated into the income if over $5,000 Eligible assets include but are not limited to Value of Stock, Life Insurance, 401 K, interest, CD's, Real Estate, Personal property not including home, 4) Social Security, 5) Welfare Assistance; 6) Alimony and Child Support, 7) Minors Income specifically disability payments, 8) If self employed, must include the past three (3) years income tax returns for net income; 9) Excluded items include earned income from minors (under age 18), full-time student income (ages 18-23), disabled persons' income, and food stamps Median Income Guidelines HUD updates the Median Income Guidelines on an annual basis. The most current information can be found on the US Department of Housing and Urban Development website Income Calculator http //www hud.gov/offices/cpd/affordablehousing/training/web/calculator/calculator cfm WORK WRITE-UPS, ESTIMATES AND SPECIFICATIONS After the application has been received, the information verified and funding is available, the City Building Inspector or his/her designee and/or the HRPC will make an inspection of the property and prepare a work write-up and cost estimate. The HRPC and homeowner will thoroughly discuss the work to be done Once the project scope is approved by the homeowner, the City will competitively procure a qualified contractor that meets all of the procurement requirements of the City and the Arizona Department of Housing. City of Apache Junction Housing Rehabilitation Program Guidelines; par 12 of 20 Work write-ups will be completed by the HRPC. Specific building materials and building methods will be left up to the discretion of the HRPC but must meet ICC Standards. The HRPC will provide a rehabilitation cost estimate based on his/her experience and in conjunction with current residential cost estimator manuals. All new construction that requires substantial repair (more than 50%) of a system must meet the City's current building codes upon completion The rehabilitated home should at a minimum meet Section 8 Housing Quality Standards and/or all City Building Codes, which ever is more restrictive, shall govern The City wishes to encourage contractors to buy locally whenever possible METHOD FOR DETERMINING AFTER REHABILITATION VALUE The FHA 203 (b) insuring limits is utilized when determining the after rehabilitation value. This value cannot exceed 95% of the provided limit and is determined by adding the full cash value and the cost of the rehabilitation BIDDING PROCEDURES The City will require bids from two or more licensed contractors to complete the work write-up. Contractors will be required to meet all City of Apache Junction and Arizona Department of Housing requirements to be eligible to be awarded a contract Requirements include a current City Privilege Tax License, a valid contractor license from the State of Arizona and is listed on the Registrar of Contractors website and insurance. If a contractor has not been pre-screened and is the low bidder, they must be qualified before a contract will be awarded to them Additionally, any contractor participating in the HRP must be verified by ADOH as being eligible to receive federal funds Homeowners will be instructed to select the lowest responsive bid price The homeowner may opt to pay the price difference between the low bid and the selected contractors bid price The contract will be between the homeowner and the contractor The City will serve only as an administrator/financier to the contract. The contractor must be a licensed contractor in the State of Arizona, hold a City business license, be in good standing with the Registrar of Contractors, and not appear on the excluded parties listing The City wishes to encourage contractors to buy locally whenever possible The City of Apache Junction encourages minority contractor participation in all projects to include Disadvantaged Business Enterprises e g Small Business Enterprises, Minority-owned Business Enterprises, and Women-owned Business Enterprises PRE-BID MEETING A mandatory pre-bid meeting will be scheduled prior to the acceptance of the bids to invite all potential contractors to the project site to review the project scope in 13 of 20 order to offer an accurate quote The pre-bid meeting will also be utilized to answer questions and offer information to the contractors and property owner PRE-CONSTRUCTION CONFERENCE A pre-construction conference will be held between the homeowner, the contractor and HRPC to discuss work items, furniture moving, and other questions in need of clarification. All contractors will be required to secure a building permit from the City -- and post it at the site. CHANGE ORDERS All change orders to the bid specification require the earliest prompt signature of the owner and the HRPC, in order to become valid. No change orders will be approved or paid if the work was completed prior to signed approval by the HRPC Change orders shall not exceed 10% of the total bid price unless the additional work was requested by the HRPC. INSPECTIONS AND MONITORING The HRPC will monitor all rehabilitation work during construction If progress payments are called for in the contract, the homeowner and the HRPC will make an inspection of the work outlined in the work write-up scheduled for completion before a progress payment will be made. The Development Services Director's, or his/her designee's, signature will be required to execute any payments ACCEPTANCE OF WORK COMPLETED, GRIEVANCES AND QUALITY ASSURANCE In the event of any dispute between the owner and the contractor concerning the completion of rehabilitation, the HRPC will work with both parties to negotiate a satisfactory solution If a solution cannot be arrived at, the Development Services Director or his/her designee will be the final authority regarding when the job has been satisfactorily completed PAYMENTS AND WARRANTIES No payments shall be made to the contractors without written approval from the HRPC, and the homeowner, with the exception of disputed discrepancies which may be resolved and paid with the signature of the HRPC If the contract calls for progress payments, a contractor may request a 50% draw when one-half of the contracted work is completed and a 40% draw when 90% if the work is completed The City will hold 10% retention for up to thirty (30) calendar days at the end of the contract to cover closeout contingencies. The contractor shall warrant all work for a period of two (2) years or more, exclusive of the manufacturer's warranty, from the date on the approval of the final inspection, which will be signed by the homeowner City of Apache Junction Housing Rehabilitation Program Guidelines, 14 of 20 and the HRPC The contractor must submit all lien waivers, warranties/guarantees prior to the release of the 10% retention When included in a project, warranties for all items such a new appliances/hot water heaters shall be given to the HRPC by the contractor(s) All warranties will be provided to the homeowner HOUSING MAINTENANCE AND HOMEOWNERSHIP EDUCATION In addition to warranty brochures, information will be provided to the homeowner to include but not limited to. • Energy Checklist (Salt River Project), • Energy Savers (Southwest Gas on behalf of the US Department of Energy); • Energy Savings Guide (Salt River Project), • Home Care (City of Apache Junction), • Safety Checklist (Home Safety Council), The HRPC and Contractor shall conduct training in the home to instruct the homeowners on the new equipment, appliances and general housing maintenance counseling on items that had been installed in the home. The City will counsel each homeowner in budgeting necessary to complete house payments, maintenance and upkeep The City's Housing Program also provides a Housing Programs and Services Newsletter on a quarterly basis for all housing rehabilitation program recipients Homeownership Counseling is currently provided by the Arizona Department of Housing and/or their designee ENERGY EFFICIENCY GUIDELINES The HRPC will write the bid specifications to include energy efficiency measures, whenever possible, which shall include 1) minimum SEER rating 14 on all high efficiency Energy Star HVAC units including programmable thermostats; 2) R-30 insulation on the roof and walls, 3) dual pane Low E Energy Star windows, 4) insulated metal frame exterior doors, 5) Low VOC paint, 6) Solar water heaters, 7) Low flow water fixtures, 8) Compact fluorescent bulbs, 9) Energy Star appliances, and 10) the mitigation of structural air leakage. The Technician will also recommend that the homeowner choose light shades for shingles and exterior paint. The HRPC will also discuss energy efficiency measures with the homeowner to ensure that the homeowner is knowledgeable in operating the appliances installed as a result of housing rehabilitation City of Apache Junction Housing Rehabilitation Program Guidelines. page 15 of 20 LEAD BASED PAINT REQUIREMENTS/ PRE-1978 HOUSING On September 15, 1999, HUD published a Final Rule at 24 CFR Part 35 to implement new regulations with regard to lead-based paint in compliance with the Residential Lead-Based Paint Hazard Reduction Act of 1992. This Rule was effective on September 15, 2000 ADOH received permission from HUD to defer -- implementation of this Rule until January 10, 2002. As of January 10, 2002, any CDBG or HOME awards made by the ADOH after January 10, 2002, and used to fund housing rehabilitation projects are required to comply with these lead-based paint requirements However, CDBG or HOME awards made by the ADOH before January 10, 2002, and used to fund housing rehabilitation projects, whether or not the actual projects have been started, will not be subject to these requirements. In order to comply and implement these lead- based paint requirements, the HRP shall use as guidance the ADOH Housing Bulletin #1 issued by the Office of Housing Development ("OHD") on December, 2001. The HRP shall specifically adhere to the evaluation, disclosure, work requirements, and clearance procedures contained in this Bulletin Any interim control or abatement procedures of lead-based paint hazards as prescribed by HUD requirements shall be included in the scope of work The HRP shall also attempt to obtain lead-based paint general liability insurance for lead-based paint hazards and encourage contractors to secure lead-based paint hazard liability insurance. The HRPC will provide the homeowner with the EPA/HUD Pamphlet "Protect Your Family from Lead in Your Home" The HRPC shall also provide the homeowner with the Lead Based Paint Notification for the homeowner's review and signature The HRPC shall specifically review the notification form with the homeowner and make every effort to ensure the homeowner is aware of the hazards and ways to avoid lead based paint poisoning The executed notification is retained in the homeowner/client's file and a copy is provided to the client If lead based paint hazards are identified and treated by a certified lead based paint risk assessment company, the HRPC shall meet with the recipient and discuss the findings contained in a Risk Assessment Report The recipient shall also sign off on the report to reflect that the findings contained in the Risk Assessment Report were explained and discuss with the recipient The Risk Assessment Report shall then become a part of the recipient's file All brochures regarding lead-based paint hazards are available in alternate format for non-English Spanish speaking persons upon request CONFLICT OF INTEREST Any person who is an employee, agent, consultant, officer, or elected or appointed official of the City using ADOH CDBG or SHF funds may not obtain a personal or City otApache junction Housing Rehabilitation Program Guidelines page 16 of 20 financial interest or benefit from this activity Nor may they have an interest in a contract, subcontract or proceeds either for themselves, their family or business ties during their tenure; or for one year thereafter Upon written request to the HRP in care of the Apache Junction Development Services Department, the Development Services Director, or his/her designee, will determine if a conflict exists COMPLAINT AND GRIEVANCE PROCEDURE Applicants, Program participants, or contractors may initiate a complaint by submitting concerns in writing to the City of Apache Junction Development Services Director, or his/her designee, at 300 East Superstition Boulevard, Apache Junction, Arizona 85119 The Development Services Director, or his/her designee, is responsible for receiving, reviewing, and responding to all complaints The City must issue a written response to any complaint within seven (7) working days of receipt If unsatisfactory, a written appeal of the City's response must be filed within seven (7) working days of receipt of the City's response Appeals should be directed to the City Manager for resolution, correspondence should be sent to 300 East Superstition Boulevard, Apache Junction, Arizona 85119 The City Manager will act as final arbitrator in all disputes Assistance from the City in preparing a grievance is available at no charge if needed due to either a disability or language limitation Assistance will be provided through the Development Services Department at (480) 474-5090 TDD (480) 983- 0095, FAX (480) 474-5102 or 300 East Superstition Boulevard, Apache Junction, Arizona 85119 MARKETING The Housing Rehabilitation Program will be marketed using the following media Brochures, Flyers, City of Apache Junction Website, the Housing Programs and Services Newsletter The Citizen (Parks & Recreation Publication), City of Apache Junction's Cable Channel, and local newspapers including AJ News and the Independent Direct marketing to neighborhoods may also be conducted by mailing a postcard to residents within a targeted area notifying them of the City's programs Distribution of marketing materials will be through a local network of human/social services agencies and at general posting locations throughout the City which include but are not limited to the outlets below City of Apache Junction Housing Rehabilitation Program Guidelines, page 17 of 20 Human/Social Service Agencies TRIAD Neighborhood Watch Groups Pinal County Housing Final County Volunteer Center CAAFA CAAG RSVP Program ABIL CAHRA Salvation Army Area HOA's Apache Junction Food Bank Boy's and Girl's Club Project Help HOPE Women's Center Apache Junction Senior Center Apache Junction School District Apache Junction Community Development Corporation Apache Junction Chamber of Commerce Central Arizona Council on Development Disabilities City of Apache Junction Victim Assistance (Police Department) City of Apache Junction Victim Advocate (City Attorney's Office) Superstition Mountain Mental Health Center Posting Locations City Hall Library Parks and Recreation Multigenerational Center The City will make every effort to accommodate persons with disabilities and non- English speaking persons See the section entitled ASSISTANCE TO APPLICANTS for additional information STAFFING AND ADMINISTRATIVE REVIEW All administrative and supervisory work will be done by City Staff Procedures to protect applicants, HRP participants, and contractors are outlined in the sections entitled COMPLAINT AND GRIEVANCE PROCEDURE and NON- DISCRIMINATION The City of Apache Junction's HRPC will be responsible for the following application intake; income verification, case management, contractor selection, change order approvals, and final inspection The HRPC can be reached at 300 East Superstition, Apache Junction, Arizona 85119 The HRPC can also be contacted at (480) 474-5090 or TDD (480) 983- 0095 The following organizational chart identifies the City's staff pertaining to the HRP City of Apache Junction Housing Rehabilitation Program Guidelines pas 18 of 20 City Manager Assistant City Manager I I I Development Svcs Director' - Finance Director ' I t� Grants Coordinator Program Coordinator Li NON DISCRIMINATION The City of Apache Junction, or any of its sub recipients, do not discriminate in any activity on the basis of race, color, religion, sex, disability, familial status, or national origin. ASSISTANCE TO APPLICANTS Should an individual need assistance in preparation of an application, assistance will be provided, at no charge, through the Development Services Department The Department can be reached at 300 East Superstition, Apache Junction, Arizona 85119 Assistance can also be requested at (480) 474-5090 or TDD (480) 983- 0095. Applicants may request assistance because of a. 1) physical/mental/emotional disability or 2) limited ability to speak/read English. FAIR LABOR STANDARDS The provisions of the FLSA are not applicable to the rehabilitation of single family homes under this program. APPLICABLE DOCUMENTS The City's HRP uses guidance from the following sources of information pertaining to the administration of the HRP. 1) Arizona Department of Housing Owner Occupied Housing Rehabilitation Standards 2) United States Department of Housing and Urban Development Housing Quality Standards. 3) United States Department of Housing and Urban Development and Environmental Protection Agency Information regarding Lead Based Paint 4) Arizona Department of Housing, State Housing Fund Program Summary and Application Guidelines 5) Arizona Department of Housing Community Development Block Grant Handbooks City of Apache.i, cn Housing Rehabilitation Program Guidelines, 19 of 20 CHANGES TO HOUSING REHABILITATION PROGRAM GUIDELINES The Housing Rehabilitation Program Guidelines are generally adopted with revisions annually, however should an emergency change within the Housing Rehabilitation Guidelines as adopted by the City Council be required throughout the program year, the Mayor shall submit a letter in writing to the Arizona Department of Housing ten (10) days prior to the change coming into effect FORMS A complete packet of forms utilized by the City's Housing Rehabilitation Program are available upon request Below is the listing of those forms Item Item Application which includes Truth In Lending Form Authorization for Release of Info Memorandum of Understanding Verification of Employment Right of Rescission Affidavit of Non-Income Promissory Note Declaration of Citizenship Deed of Trust Income Verification Determination Sheet Release of Lien Housing Program Information including Development Services Verification Information Authorization Project SOW/Bid Sheet/Instructions Certification of Principal Residence Contractor Participation Statement Federal Assistance Notice Contract between Contractor and Owner Complaint and Grievance Procedure Notice to Proceed Lead Based Paint Information Owner's Color Preference Verification Signage and Photo Authorization Change Orders Disclaimer Final Acceptance of Work Completed Work Write Up including cost estimates Final Invoice and Waiver of Lien Owner Acceptance of Work Write Up 20 of 20 RESOLUTION NO. 11-52 A RESOLUTION OF THE MAYOR AND CITY COUNCIL OF THE CITY OF APACHE JUNCTION, ARIZONA COMMITTING LOCAL FUNDS AS LEVERAGE FOR A FY2012 STATE HOUSING FUND APPLICATION. WHEREAS, the City of Apache Junction has adopted Resolution No 11-50 which authorizes submission of an application (s) to the State of Arizona, Department of Housing ("ADOH") for State Housing Fund ("SHF") funds for FY2012, and WHEREAS, that application indicate that $4, 620 will be committed by the City of Apache Junction as leveraged funds, in the form of cash or resources to be combine with State funds to complete the program; and WHEREAS, the SHF Program requires that all local leveraged funds/resources be committed in the form of a resolution by the governing body, and that such a commitment contain an opinion by the applicant' s legal counsel that the leveraged funds represent a binding commitment, legally enforceable under State laws . NOW, THEREFORE, BE IT RESOLVED BY THE MAYOR AND CITY COUNCIL OF THE CITY OF APACHE JUNCTION, ARIZONA, AS FOLLOWS • 1) The Mayor and City Council hereby commit $4, 620 in funds and resources to the SHF Program, to be used for project /IN costs, contingent upon the receipt of the FY2012 SHF assistance 2) That the Mayor and City Council of the City of Apache Junction hereby find that this commitment is legally binding based on the legal opinion of the City attorney, and that such funds will be available for an audit at the termination of the grant, if so required by ADOH. RESOLUTION NO. 11-52 PAGE 1 OF 2 PASSED AND ADOPTED BY THE MAYOR AND CITY COUNCIL OF THE CITY OF APACHE JUNCTION, ARIZONA, THIS DAY OF , 2011 SIGNED AND ATTESTED TO THIS DAY OF 2011 . JOHN S. INSALACO Mayor ATTEST• KATHLEEN CONNELLY City Clerk APPROVED AS TO FORM• RICHARD J STERN City Attorney RESOLUTION NO 11-52 PAGE 2 OF 2 pgACHFdit G 1'0 City of Apoiche J unction Hoare of the .S`u er:stitiozz Mountains 4Ruoot- Print TO: City Manager's Office FROM. Jerald L. Monahan, Chief of Police DATE: December 6, 2011 lgenda Type : Regular Agenda Council Priority Focus Area: Public Safety TITLE OF AGENDA ITEM: Consideration of Motorola Communications System Agreement (Lease) not to exceed $70,312.00. ACTION REQUESTED: Recommendation for Approval DISCUSSION/ BACKGROUND INFORMATION: Staff respectfully requests Council approval to enter into a lease with Motorola for the communications system. This new lease is five years and will not exceed $70,312 00 FISCAL IMPACT: OPTIONS/ ALTERNATIVES: RECOMMENDATION: pproval. ATTACHMENTS: Click to download Q Communications System Agreement(Lease) Communications System Agreement (Lease) Motorola, Inc ("Motorola") and City of Apache Junction ("Customer")enter into this"Agreement," pursuant to which Customer will purchase and Motorola will sell the System, as described below Motorola and Customer may be referred to individually as a "Party" and collectively as the "Parties." For good and valuable consideration, the Parties agree as follows. Section 1 EXHIBITS The exhibits listed below are incorporated into and made a part of this Agreement In interpreting this Agreement and resolving any ambiguities, the main body of this Agreement takes precedence over the exhibits and any inconsistency between Exhibits A through E will be resolved in their listed order Exhibit A Motorola"Software License Agreement" Exhibit B "Payment Schedule" Exhibit C "Technical and Implementation Documents" C-1 "System Description"dated September 8, 2011 C-2 "Equipment List"dated September 8, 2011 C-3 "Statement of Work"dated September 8, 2011 C-4 "Acceptance Test Plan" or"ATP" dated September 8, 2011 C-5 "Performance Schedule" dated September 8, 2011 Exhibit D Service Statement(s) of Work and "Service Terms and Conditions"(if applicable) Exhibit E "System Acceptance Certificate" Section 2 DEFINITIONS Capitalized terms used in this Agreement have the following meanings 2 1 "Acceptance Tests"means those tests described in the Acceptance Test Plan 2 2 "Administrative User Credentials"means an account that has total access over the operating system, files, end user accounts and passwords at either the System level or box level Customer's personnel with access to the Administrative User Credentials may be referred to as the Administrative User 2 3 "Beneficial Use" means when Customer first uses the System or a Subsystem for operational purposes (excluding training or testing) 2 4 "Confidential Information" means any information that is disclosed in written, graphic, verbal, or machine-recognizable form, and Is marked, designated, or identified at the time of disclosure as being confidential or its equivalent, or if the information is in verbal form, it is identified as confidential at the time of disclosure and is confirmed in writing within thirty (30) days of the disclosure Confidential Information does not include any information that is or becomes publicly known through no wrongful act of the receiving Party, is already known to the receiving Party without restriction when it is disclosed, is or becomes, rightfully and without breach of this Agreement, in the receiving Party's possession without any obligation restricting disclosure, is independently developed by the receiving Party without breach of this Agreement, or is explicitly approved for release by written authorization of the disclosing Party 2 5 "Contract Price" means the price for the System, excluding applicable sales or similar taxes and freight charges 2 6. "Effective Date" means that date upon which the last Party executes this Agreement. 2 7 "Equipment" means the equipment that Customer purchases from Motorola under this Agreement Equipment that is part of the System is described in the Equipment List MotorolaLease CSA FINAL 3 7 11 revision doc 1 Motorola Contract No 2.8 "Equipment Lease-Purchase Agreement" means the agreement by which Customer finances all or a portion of the Contract Price 2 9 "Force Majeure" means an event, circumstance, or act of a third party that is beyond a Party's reasonable control (e g , an act of God, an act of the public enemy, an act of a government entity, strikes or other labor disturbances, hurricanes, earthquakes, fires,floods, epidemics, embargoes, war, and riots) 2 10 "Infringement Claim" means a third party claim alleging that the Equipment manufactured by Motorola or the Motorola Software directly infringes a United States patent or copyright 2 11 "Motorola Software" means Software that Motorola or its affiliated company owns 2 12. "Non-Motorola Software" means Software that another party owns 2 13 "Open Source Software" (also called "freeware"or"shareware") means software that has its underlying source code freely available to evaluate, copy, and modify 2 14 "Proprietary Rights" means the patents, patent applications, inventions, copyrights, trade secrets, trademarks, trade names, mask works, know-how, and other intellectual property rights in and to the Equipment and Software, including those created or produced by Motorola under this Agreement and any corrections, bug fixes, enhancements, updates or modifications to or derivative works from the Software whether made by Motorola or another party 2 15 "Software" means the Motorola Software and Non-Motorola Software, in object code format that is furnished with the System or Equipment 2 16 "Specifications" means the functionality and performance requirements that are described in the Technical and Implementation Documents 2 17 "Subsystem" means a major part of the System that performs specific functions or operations Subsystems are described in the Technical and Implementation Documents. 2 18 "System" means the Equipment, Software, and incidental hardware and materials that are combined together into an integrated system, the System is described in the Technical and Implementation Documents 2 19 "System Acceptance" means the Acceptance Tests have been successfully completed 2 20 "Warranty Period" means one (1) year from the date of System Acceptance or Beneficial Use, whichever occurs first Section 3 SCOPE OF AGREEMENT AND TERM 3 1 SCOPE OF WORK. Motorola will provide, install and test the System, and perform its other contractual responsibilities, all in accordance with this Agreement Customer will perform its contractual responsibilities in accordance with this Agreement 3 2 CHANGE ORDERS Either Party may request changes within the general scope of this Agreement If a requested change causes an increase or decrease in the cost or time required to perform this Agreement, the Parties will agree to an equitable adjustment of the Contract Price, Performance Schedule, or both, and will reflect the adjustment in a change order Neither Party is obligated to perform requested changes unless both Parties execute a written change order 3 3 TERM Unless terminated in accordance with other provisions of this Agreement or extended by mutual agreement of the Parties, the term of this Agreement begins on the Effective Date and continues until the date of Final Project Acceptance or expiration of the Warranty Period, whichever occurs last MotorolaLease CSA FINAL 3 7 11 revision doc 2 Motorola Contract No 3.4. ADDITIONAL EQUIPMENT OR SOFTWARE For three (3) years after the Effective Date, Customer may order additional Equipment or Software if it is then available Each order must refer to this Agreement and must specify the pricing and delivery terms Notwithstanding any additional or contrary terms in the order, the applicable provisions of this Agreement (except for pricing, delivery, passage of title and risk of loss to Equipment, warranty commencement, and payment terms) will govern the purchase and sale of the additional Equipment or Software Title and risk of loss to additional Equipment will pass at shipment, warranty will commence upon delivery, and payment is due within twenty (20) days after the invoice date Motorola will send Customer an invoice as the additional Equipment is shipped or Software is licensed Alternatively, Customer may register with and place orders through Motorola Online ("MOL"), and this Agreement will be the "Underlying Agreement" for those MOL transactions rather than _. the MOL On-Line Terms and Conditions of Sale MOL registration and other information may be found at http//www motorola com/businessandgovernment/and the MOL telephone number is (800) 814-0601 3.5. MAINTENANCE SERVICE During the Warranty Period, in addition to warranty services, Motorola will provide maintenance services for the Equipment and support for the Motorola Software pursuant to the Statement of Work set forth in Exhibit D Those services arid support are included in the Contract Price. If Customer wishes to purchase additional maintenance and support services for the Equipment during the Warranty Period, or any maintenance and support services for the Equipment either during the Warranty Period or after the Warranty Period, the description of and pricing for the services will be set forth in a separate document If Customer wishes to purchase extended support for the Motorola Software after the Warranty Period, it may do so by ordering software subscription services Unless otherwise agreed by the parties in writing, the terms and conditions applicable to those maintenance, support or software subscription services will be Motorola's standard Service Terms and Conditions, together with the appropriate statements of work 3 6 MOTOROLA SOFTWARE Any Motorola Software, including subsequent releases, is licensed to Customer solely in accordance with the Software License Agreement. Customer hereby accepts and agrees to abide by all of the terms and restrictions of the Software License Agreement 3 7. NON-MOTOROLA SOFTWARE Any Non-Motorola Software is licensed to Customer in accordance with the standard license, terms, and restrictions of the copyright owner on the Effective Date unless the copyright owner has granted to Motorola the right to sublicense the Non-Motorola Software pursuant to the Software License Agreement, in which case it applies and the copyright owner will have all of Licensor's rights and protections under the Software License Agreement Motorola makes no representations or warranties of any kind regarding Non-Motorola Software Non-Motorola Software may include Open Source Software All Open Source Software is licensed to Customer in accordance with, and Customer agrees to abide by, the provisions of the standard license of the copyright owner and not the Software License Agreement. Upon request by Customer, Motorola will use commercially reasonable efforts to determine whether any Open Source Software will be provided under this Agreement, and if so, identify the Open Source Software and provide to Customer a copy of the applicable standard license (or specify where that license may be found), and provide to Customer a copy of the Open Source Software source code if it is publicly available without charge (although a distribution fee or a charge for related services may be applicable) 3 8 SUBSTITUTIONS. At no additional cost to Customer, Motorola may substitute any Equipment, Software, or services to be provided by Motorola, if the substitute meets or exceeds the Specifications and is of equivalent or better quality to the Customer. Any substitution will be reflected in a change order. 3 9 OPTIONAL EQUIPMENT OR SOFTWARE This paragraph applies only if a "Priced Options" exhibit is shown in Section 1, or if the parties amend this Agreement to add a Priced Options exhibit During the term of the option as stated in the Priced Options exhibit (or if no term is stated, then for one (1)year after the Effective Date), Customer has the right and option to purchase the equipment, software, and related services that are described in the Priced Options exhibit Customer may exercise this option by giving written notice to Seller which must designate what equipment, software, and related services Customer is selecting (including quantities, if applicable). To the extent they apply, the terms and conditions of this Agreement will govern the transaction, however, the parties acknowledge that certain provisions must be agreed upon, and they agree to negotiate those in good faith promptly after Customer MotorolaLease CSA.FINAL.3.7 11 revision doc 3 Motorola Contract No AN delivers the option exercise notice Examples of provisions that may need to be negotiated are specific lists of deliverables, statements of work, acceptance test plans, delivery and implementation schedules, payment terms, maintenance and support provisions, additions to or modifications of the Software License Agreement, hosting terms, and modifications to the acceptance and warranty provisions Section 4 PERFORMANCE SCHEDULE The Parties will perform their respective responsibilities in accordance with the Performance Schedule By executing this Agreement, Customer authorizes Motorola to proceed with contract performance Section 5 CONTRACT PRICE, PAYMENT AND INVOICING 5.1 CONTRACT PRICE The Contract Price in U S dollars is $70,312 00 The Contract Price will be paid via the disbursement of the financing proceeds pursuant to the Equipment Lease-Purchase Agreement executed between the parties For Customer's reference, the Federal Tax Identification Number for Motorola, Inc is 36-1115800 5 2. FREIGHT, TITLE, AND RISK OF LOSS Motorola will pre-pay and add all freight charges to the invoices Unless otherwise stated in the Equipment Lease-Purchase Agreement, title to the Equipment will pass to Customer upon shipment Title to Software will not pass to Customer at any time Risk of loss will pass to Customer upon delivery of the Equipment to the Customer Motorola will pack and ship all Equipment in accordance with good commercial practices 5 3. INVOICING AND SHIPPING ADDRESSES Invoices will be sent to the Customer at the following address Apache Junction Police Department, 300 E Superstition Blvd., Apache Junction, AZ 85119 The address which is the ultimate destination where the Equipment will be delivered to Customer is Apache Junction Police Department, 1001 N Idaho Rd, Apache Junction, AZ 85119 The Equipment will be shipped to the Customer at the following address (insert if this information is known) Apache Junction Police Department, 1001 N Idaho Rd,Apache Junction, AZ 85119 Customer may change this information by giving written notice to Motorola Section 6 SITES AND SITE CONDITIONS 6 1 ACCESS TO SITES In addition to its responsibilities described elsewhere in this Agreement, Customer will provide a designated project manager, all necessary construction and building permits, zoning variances, licenses, and any other approvals that are necessary to develop or use the sites and mounting locations, and access to the work sites or vehicles identified in the Technical and Implementation Documents as reasonably requested by Motorola so that it may perform its duties in accordance with the Performance Schedule and Statement of Work If the Statement of Work so indicates, Motorola may assist Customer in the local building permit process 6 2 SITE CONDITIONS Customer will ensure that all work sites it provides will be safe, secure, and in compliance with all applicable industry and OSHA standards To the extent applicable and unless the Statement of Work states to the contrary, Customer will ensure that these work sites have adequate. physical space, air conditioning and other environmental conditions, adequate and appropriate electrical power outlets, distribution, equipment and connections, and adequate telephone or other communication lines (including modem access and adequate interfacing networking capabilities), all for the installation, use and maintenance of the System Before installing the Equipment or Software at a work site, Motorola will inspect the work site and advise Customer of any apparent deficiencies or non-conformities with the MotorolaLease CSA FINAL 3 7 11 revision doc 4 Motorola Contract No requirements of this Section This Agreement is predicated upon normal soil conditions as defined by the version of E I A standard RS-222 in effect on the Effective Date 6 3. SITE ISSUES If a Party determines that the sites identified in the Technical and Implementation Documents are no longer available or desired, or if subsurface, structural, adverse environmental or latent conditions at any site differ from those indicated in the Technical and Implementation Documents, the Parties will promptly investigate the conditions and will select replacement sites or adjust the installation plans and specifications as necessary If change in sites or adjustment to the installation plans and specifications causes a change in the cost or time to perform, the Parties will equitably amend the Contract Price, Performance Schedule, or both, by a change order r. Section 7 TRAINING Any training to be provided by Motorola to Customer will be described in the Statement of Work Customer will notify Motorola immediately if a date change for a scheduled training program is required If Motorola incurs additional costs because Customer reschedules a training program less than thirty (30) days before its scheduled start date, Motorola may recover these additional costs Section 8 SYSTEM ACCEPTANCE 8 1 COMMENCEMENT OF ACCEPTANCE TESTING Motorola will provide to Customer at least ten (10) days notice before the Acceptance Tests commence System testing will occur only in accordance with the Acceptance Test Plan 8 2 SYSTEM ACCEPTANCE. System Acceptance will occur upon successful completion of the Acceptance Tests Upon System Acceptance, the Parties will memorialize this event by promptly executing a System Acceptance Certificate If the Acceptance Test Plan includes separate tests for individual Subsystems or phases of the System, acceptance of the individual Subsystem or phase will occur upon the successful completion of the Acceptance Tests for the Subsystem or phase, and the Parties will promptly execute an acceptance certificate for the Subsystem or phase If Customer believes the System has failed the completed Acceptance Tests, Customer will provide to Motorola a written notice that includes the specific details of the failure. If Customer does not provide to Motorola a failure notice within thirty (30) days after completion of the Acceptance Tests, System Acceptance will be deemed to have occurred as of the completion of the Acceptance Tests Minor omissions or variances in the System that do not materially impair the operation of the System as a whole will not postpone System Acceptance or Subsystem acceptance, but will be corrected according to a mutually agreed schedule 8 3 BENEFICIAL USE Customer acknowledges that Motorola's ability to perform its implementation and testing responsibilities may be impeded if Customer begins using the System before System — Acceptance Therefore, Customer will not commence Beneficial Use before System Acceptance without Motorola's prior written authorization, which will not be unreasonably withheld Motorola is not responsible for System performance deficiencies that occur during unauthorized Beneficial Use. Upon commencement of Beneficial Use, Customer assumes responsibility for the use and operation of the System 8 4 FINAL PROJECT ACCEPTANCE Final Project Acceptance will occur after System Acceptance when all deliverables and other work have been completed When Final Project Acceptance occurs, the parties will promptly memorialize this final event by so indicating on the System Acceptance Certificate. Section 9 REPRESENTATIONS AND WARRANTIES 9 1 SYSTEM FUNCTIONALITY Motorola represents that the System will perform in accordance with the Specifications in all material respects. Upon System Acceptance or Beneficial Use, whichever occurs first, this System functionality representation is fulfilled Motorola is not responsible for System performance deficiencies that are caused by ancillary equipment not furnished by Motorola which is attached to or used in connection with the System or for reasons or parties beyond Motorola's control, such as natural causes, the construction of a building that adversely affects the microwave path reliability MotorolaLease CSA.FINAL 3 7 11 revision doc 5 Motorola Contract No .•. Okk or radio frequency (RF) coverage, the addition of frequencies at System sites that cause RF interference or intermodulation, or Customer changes to load usage or configuration outside the Specifications 9 2 EQUIPMENT WARRANTY. During the Warranty Period, Motorola warrants that the Equipment under normal use and service will be free from material defects in materials and workmanship If System Acceptance is delayed beyond six (6) months after shipment of the Equipment by events or causes within Customer's control, this warranty expires eighteen (18) months after the shipment of the Equipment 9 3 MOTOROLA SOFTWARE WARRANTY Unless otherwise stated in the Software License .•. Agreement, during the Warranty Period, Motorola warrants the Motorola Software in accordance with the terms of the Software License Agreement and the provisions of this Section 9 that are applicable to the Motorola Software If System Acceptance is delayed beyond six (6) months after shipment of the Motorola Software by events or causes within Customer's control, this warranty expires eighteen (18) months after the shipment of the Motorola Software TO THE EXTENT, IF ANY, THAT THERE IS A SEPARATE LICENSE AGREEMENT PACKAGED WITH, OR PROVIDED ELECTRONICALLY WITH, A PARTICULAR PRODUCT THAT BECOMES EFFECTIVE ON AN ACT OF ACCEPTANCE BY THE END USER, THEN THAT AGREEMENT SUPERCEDES THIS SOFTWARE LICENSE AGREEMENT AS TO THE END USER OF EACH SUCH PRODUCT 9 4 EXCLUSIONS TO EQUIPMENT AND MOTOROLA SOFTWARE WARRANTIES These warranties do not apply to (i) defects or damage resulting from use of the Equipment or Motorola Software in other than its normal, customary, and authorized manner, accident, liquids, neglect, or acts of God, testing, maintenance, disassembly, repair, installation, alteration, modification, or adjustment not provided or authorized in writing by Motorola, Customer's failure to comply with all applicable industry and OSHA standards, (ii) breakage of or damage to antennas unless caused directly by defects in material or workmanship, (iii) Equipment that has had the serial number removed or made illegible, (iv) batteries (because they carry their own separate limited warranty) or consumables, (v) freight costs to ship Equipment to the repair depot, (vi) scratches or other cosmetic damage to Equipment surfaces that does not affect the operation of the Equipment, and (vii) normal or customary wear and tear 9 5 WARRANTY CLAIMS To assert a warranty claim, Customer must notify Motorola in writing of the claim before the expiration of the Warranty Period. Upon receipt of this notice, Motorola will investigate the warranty claim If this investigation confirms a valid warranty claim, Motorola will (at its option and at no additional charge to Customer) repair the defective Equipment or Motorola Software, replace it with the same or equivalent product, or refund the price of the defective Equipment or Motorola Software That action will be the full extent of Motorola's liability for the warranty claim If this investigation indicates the warranty claim is not valid, then Motorola may invoice Customer for responding to the claim on a time and materials basis using Motorola's then current labor rates Repaired or replaced product is warranted for the balance of the original applicable warranty period All replaced products or parts will become the property of Motorola 9 6 ORIGINAL END USER IS COVERED These express limited warranties are extended by Motorola to the original user purchasing the System for commercial, industrial, or governmental use only, and are not assignable or transferable 9 7 DISCLAIMER OF OTHER WARRANTIES THESE WARRANTIES ARE THE COMPLETE WARRANTIES FOR THE EQUIPMENT AND MOTOROLA SOFTWARE PROVIDED UNDER THIS AGREEMENT AND ARE GIVEN IN LIEU OF ALL OTHER WARRANTIES MOTOROLA DISCLAIMS ALL OTHER WARRANTIES OR CONDITIONS, EXPRESS OR IMPLIED, INCLUDING THE IMPLIED WARRANTIES OF MERCHANTABILITY AND FITNESS FOR A PARTICULAR PURPOSE. Section 10 DELAYS 10 1 FORCE MAJEURE Neither Party will be liable for its non-performance or delayed performance if caused by a Force Majeure A Party that becomes aware of a Force Majeure that will significantly delay performance will notify the other Party promptly (but in no event later than fifteen days) after it discovers MotorolaLease CSA FINAL 3 7 11 revision doc 6 Motorola Contract No the Force Majeure If a Force Majeure occurs, the Parties will execute a change order to extend the Performance Schedule for a time period that is reasonable under the circumstances 10 2. PERFORMANCE SCHEDULE DELAYS CAUSED BY CUSTOMER If Customer (including its other contractors) delays the Performance Schedule, it will make the promised payments according to the Payment Schedule as if no delay occurred, and the Parties will execute a change order to extend the Performance Schedule and, if requested, compensate Motorola for all reasonable charges incurred because of the delay Delay charges may include costs incurred by Motorola or its subcontractors for additional freight, warehousing and handling of Equipment, extension of the warranties, travel, suspending and re-mobilizing the work, additional engineering, project management, and standby time �► calculated at then current rates, and preparing and implementing an alternative implementation plan Section 11 DISPUTES The Parties will use the following procedure to address any dispute arising under this Agreement (a "Dispute") 11 1 GOVERNING LAW This Agreement will be governed by and construed in accordance with the laws of the State in which the System is installed 11.2 NEGOTIATION Either Party may initiate the Dispute resolution procedures by sending a notice of Dispute ("Notice of Dispute") The Parties will attempt to resolve the Dispute promptly through good faith negotiations including 1) timely escalation of the Dispute to executives who have authority to settle the Dispute and who are at a higher level of management than the persons with direct responsibility for the matter and 2) direct communication between the executives If the Dispute has not been resolved within ten (10) days from the Notice of Dispute, the Parties will proceed to mediation 11 3 MEDIATION The Parties will choose an independent mediator within thirty (30) days of a notice to mediate from either Party ("Notice of Mediation") Neither Party may unreasonably withhold consent to the selection of a mediator If the Parties are unable to agree upon a mediator, either Party may request that American Arbitration Association nominate a mediator Each Party will bear its own costs of mediation, but the Parties will share the cost of the mediator equally. Each Party will participate in the mediation in good faith and will be represented at the mediation by a business executive with authority to settle the Dispute 11 4 LITIGATION, VENUE and JURISDICTION If a Dispute remains unresolved for sixty (60) days after receipt of the Notice of Mediation, either Party may then submit the Dispute to a court of competent jurisdiction in the state in which the System is installed. Each Party irrevocably agrees to submit to the exclusive jurisdiction of the courts in such state over any claim or matter arising under or in connection with this Agreement 11 5 CONFIDENTIALITY. All communications pursuant to subsections 11 2 and 11 3 will be treated as compromise and settlement negotiations for purposes of applicable rules of evidence and any additional confidentiality protections provided by applicable law The use of these Dispute resolution procedures will not be construed under the doctrines of laches, waiver or estoppels to affect adversely the rights of either Party Section 12 DEFAULT AND TERMINATION 12 1 DEFAULT BY A PARTY If either Party fails to perform a material obligation under this Agreement, the other Party may consider the non-performing Party to be in default (unless a Force Majeure causes the failure) and may assert a default claim by giving the non-performing Party a written and detailed notice of default. Except for a default by Customer for failing to pay any amount when due under this Agreement which must be cured immediately, the defaulting Party will have thirty (30) days after receipt of the notice of default to either cure the default or, if the default is not curable within thirty (30) days, provide a written cure plan The defaulting Party will begin implementing the cure plan MotorolaLease CSA FINAL 3 7 11 revision doc 7 Motorola Contract No immediately after receipt of notice by the other Party that it approves the plan If Customer is the defaulting Party, Motorola may stop work on the project until it approves the Customer's cure plan 12.2 FAILURE TO CURE If a defaulting Party fails to cure the default as provided above in Section 12 1, unless otherwise agreed in writing, the non-defaulting Party may terminate any unfulfilled portion of this Agreement In the event of termination for default, the defaulting Party will promptly return to the non- defaulting Party any of its Confidential Information If Customer is the non-defaulting Party, terminates this Agreement as permitted by this Section, and completes the System through a third Party, Customer may as its exclusive remedy recover from Motorola reasonable costs incurred to complete the System to .�. a capability not exceeding that specified in this Agreement less the unpaid portion of the Contract Price Customer will mitigate damages and provide Motorola with detailed invoices substantiating the charges Section 13 INDEMNIFICATION 13.1 GENERAL INDEMNITY BY MOTOROLA Motorola will indemnify and hold Customer harmless from any and all liability, expense, judgment, suit, cause of action, or demand for personal injury, death, or direct damage to tangible property which may accrue against Customer to the extent it is caused by the negligence of Motorola, its subcontractors, or their employees or agents, while performing their duties under this Agreement, if Customer gives Motorola prompt, written notice of any the claim or suit Customer will cooperate with Motorola in its defense or settlement of the claim or suit This section sets forth the full extent of Motorola's general indemnification of Customer from liabilities that are in any way related to Motorola's performance under this Agreement 13.2. GENERAL INDEMNITY BY CUSTOMER Customer will indemnify and hold Motorola harmless from any and all liability, expense, judgment, suit, cause of action, or demand for personal injury, death, or direct damage to tangible property which may accrue against Motorola to the extent it is caused by the negligence of Customer, its other contractors, or their employees or agents, while performing their duties under this Agreement, if Motorola gives Customer prompt, written notice of any the claim or suit Motorola will cooperate with Customer in its defense or settlement of the claim or suit. This section sets forth the full extent of Customer's general indemnification of Motorola from liabilities that are in any way related to Customer's performance under this Agreement 13 3 PATENT AND COPYRIGHT INFRINGEMENT. 13 3 1 Motorola will defend at its expense any suit brought against Customer to the extent it is based on a third-party claim alleging that the Equipment manufactured by Motorola or the Motorola Software ("Motorola Product") directly infringes a United States patent or copyright ("Infringement Claim"). Motorola's duties to defend and indemnify are conditioned upon Customer promptly notifying Motorola in writing of the Infringement Claim, Motorola having sole control of the defense of the suit and all negotiations for its settlement or compromise, and Customer providing to Motorola cooperation and, if requested by Motorola, reasonable assistance in the defense of the Infringement Claim. In addition to Motorola's obligation to defend, and subject to the same conditions, Motorola will pay all damages finally awarded against Customer by a court of competent jurisdiction for an Infringement Claim or agreed to, in writing, by Motorola in settlement of an Infringement Claim 13 3 2 If an Infringement Claim occurs, or in Motorola's opinion is likely to occur, Motorola may at its option and expense (a) procure for Customer the right to continue using the Motorola Product, (b) replace or modify the Motorola Product so that it becomes non-infringing while providing functionally equivalent performance, or (c) accept the return of the Motorola Product and grant Customer a credit for the Motorola Product, less a reasonable charge for depreciation. The depreciation amount will be calculated based upon generally accepted accounting standards 13 3 3 Motorola will have no duty to defend or indemnify for any Infringement Claim that is based upon (a) the combination of the Motorola Product with any software, apparatus or device not furnished by Motorola, (b) the use of ancillary equipment or software not furnished by Motorola and that is attached to or used in connection with the Motorola Product, (c) Motorola Product designed or manufactured in accordance with Customer's designs, specifications, guidelines or instructions, if the alleged infringement MotorolaLease CSA.FINAL 3 7 11 revision doc 8 Motorola Contract No would not have occurred without such designs, specifications, guidelines or instructions, (d) a modification of the Motorola Product by a party other than Motorola, (e) use of the Motorola Product in a manner for which the Motorola Product was not designed or that is inconsistent with the terms of this Agreement, or (f) the failure by Customer to install an enhancement release to the Motorola Software that is intended to correct the claimed infringement. In no event will Motorola's liability resulting from its indemnity obligation to Customer extend in any way to royalties payable on a per use basis or the Customer's revenues, or any royalty basis other than a reasonable royalty based upon revenue derived by Motorola from Customer from sales or license of the infringing Motorola Product 13 3 4 This Section 13 provides Customer's sole and exclusive remedies and Motorola's entire liability in �+ the event of an Infringement Claim Customer has no right to recover and Motorola has no obligation to provide any other or further remedies, whether under another provision of this Agreement or any other legal theory or principle, in connection with an Infringement Claim In addition, the rights and remedies provided in this Section 13 are subject to and limited by the restrictions set forth in Section 14 Section 14 LIMITATION OF LIABILITY Except for personal injury or death, Motorola's total liability, whether for breach of contract, warranty, negligence, strict liability in tort, indemnification, or otherwise, will be limited to the direct damages recoverable under law, but not to exceed the price of the Equipment, Software, or services with respect to which losses or damages are claimed ALTHOUGH THE PARTIES ACKNOWLEDGE THE POSSIBILITY OF SUCH LOSSES OR DAMAGES, THEY AGREE THAT MOTOROLA WILL NOT BE LIABLE FOR ANY COMMERCIAL LOSS, INCONVENIENCE, LOSS OF USE, TIME, DATA, GOOD WILL, REVENUES, PROFITS OR SAVINGS, OR OTHER SPECIAL, INCIDENTAL, INDIRECT, OR CONSEQUENTIAL DAMAGES IN ANY WAY RELATED TO OR ARISING FROM THIS AGREEMENT, THE SALE OR USE OF THE EQUIPMENT OR SOFTWARE, OR THE PERFORMANCE OF SERVICES BY MOTOROLA PURSUANT TO THIS AGREEMENT. This limitation of liability provision survives the expiration or termination of the Agreement and applies notwithstanding any contrary provision No action for contract breach or otherwise relating to the transactions contemplated by this Agreement may be brought more than one (1) year after the accrual of the cause of action, except for money due upon an open account. Section 15 CONFIDENTIALITY AND PROPRIETARY RIGHTS 15 1 CONFIDENTIAL INFORMATION During the term of this Agreement, the parties may provide each other with Confidential Information Each Party will maintain the confidentiality of the other Party's Confidential Information and not disclose it to any third party, except as authorized by the disclosing Party in writing or as required by a court of competent jurisdiction, restrict disclosure of the Confidential Information to its employees who have a "need to know" and not copy or reproduce the Confidential Information, take necessary and appropriate precautions to guard the confidentiality of the Confidential Information, including informing its employees who handle the Confidential Information that it is confidential and is not to be disclosed to others, but these precautions will be at least the same degree of care that the receiving Party applies to its own confidential information and will not be less than reasonable care, and use the Confidential Information only in furtherance of the performance of this Agreement. Confidential Information is and will at all times remain the property of the disclosing Party, and no grant of any proprietary rights in the Confidential Information is given or intended, including any express or implied license, other than the limited right of the recipient to use the Confidential Information in the manner and to the extent permitted by this Agreement 15 2 PRESERVATION OF MOTOROLA'S PROPRIETARY RIGHTS Motorola, the third party manufacturer of any Equipment, and the copyright owner of any Non-Motorola Software own and retain all of their respective Proprietary Rights in the Equipment and Software, and nothing in this Agreement is intended to restrict their Proprietary Rights All intellectual property developed, originated, or prepared by Motorola in connection with providing to Customer the Equipment, Software, or related services remain vested exclusively in Motorola, and this Agreement does not grant to Customer any shared development rights of intellectual property Except as explicitly provided in the Software License Agreement, Motorola does not grant to Customer, either directly or by implication, estoppel, or otherwise, any right, title or interest in Motorola's Proprietary Rights Customer will not modify, disassemble, peel components, MotorolaLease CSA FINAL 3 7 11 revision doc 9 Motorola Contract No decompile, otherwise reverse engineer or attempt to reverse engineer, derive source code or create derivative works from, adapt, translate, merge with other software, reproduce, distribute, sublicense, sell or export the Software, or permit or encourage any third party to do so The preceding sentence does not apply to Open Source Software which is governed by the standard license of the copyright owner Section 16 GENERAL 16 1 TAXES The Contract Price does not include any excise, sales, lease, use, property, or other taxes, assessments or duties, all of which will be paid by Customer except as exempt by law If Motorola ,.� is required to pay any of these taxes, Motorola will send an invoice to Customer and Customer will pay to Motorola the amount of the taxes (including any interest and penalties) within twenty (20) days after the date of the invoice Customer will be solely responsible for reporting the Equipment for personal property tax purposes, and Motorola will be solely responsible for reporting taxes on its income or net worth 16 2 ASSIGNABILITY AND SUBCONTRACTING Except as provided herein, neither Party may assign this Agreement or any of its rights or obligations hereunder without the prior written consent of the other Party, which consent will not be unreasonably withheld Any attempted assignment, delegation, or transfer without the necessary consent will be void Notwithstanding the foregoing, Motorola may assign this Agreement to any of its affiliates or its right to receive payment without the prior consent of Customer In addition, in the event Motorola separates one or more of its businesses (each a"Separated Business"), whether by way of a sale, establishment of a joint venture, spin-off or otherwise (each a "Separation Event"), Motorola may, without the prior written consent of the other Party and at no additional cost to Motorola, assign this Agreement such that it will continue to benefit the Separated Business and its affiliates (and Motorola and its affiliates, to the extent applicable) following the Separation Event. Motorola may subcontract any of the work, but subcontracting will not relieve Motorola of its duties under this Agreement 16.3 WAIVER Failure or delay by either Party to exercise a right or power under this Agreement will not be a waiver of the right or power For a waiver of a right or power to be effective, it must be in a writing signed by the waiving Party An effective waiver of a right or power will not be construed as either a future or continuing waiver of that same right or power, or the waiver of any other right or power 16 4 SEVERABILITY If a court of competent jurisdiction renders any part of this Agreement invalid or unenforceable, that part will be severed and the remainder of this Agreement will continue in full force and effect 16 5 INDEPENDENT CONTRACTORS Each Party will perform its duties under this Agreement as an independent contractor The Parties and their personnel will not be considered to be employees or �•. agents of the other Party Nothing in this Agreement will be interpreted as granting either Party the right or authority to make commitments of any kind for the other This Agreement will not constitute, create, or be interpreted as a joint venture, partnership or formal business organization of any kind 16 6 HEADINGS AND SECTION REFERENCES The section headings in this Agreement are inserted only for convenience and are not to be construed as part of this Agreement or as a limitation of the scope of the particular section to which the heading refers This Agreement will be fairly interpreted in accordance with its terms and conditions and not for or against either Party 16 7 ENTIRE AGREEMENT This Agreement, including all Exhibits, constitutes the entire agreement of the Parties regarding the subject matter of the Agreement and supersedes all previous agreements, proposals, and understandings, whether written or oral, relating to this subject matter. This Agreement may be executed in multiple counterparts, each of which shall be an original and all of which shall constitute one and the same instrument A facsimile copy or computer image, such as a PDF or tiff image, or a signature shall be treated as and shall have the same effect as an original signature In addition, a true and correct facsimile copy or computer image of this Agreement shall be treated as and shall have the same effect as an original signed copy of this document This Agreement may be amended or modified only by a written instrument signed by authorized representatives of both Parties The preprinted terms and conditions found on any Customer purchase order, acknowledgment or other MotorolaLease CSA FINAL.3 7 11 revision doc 10 Motorola Contract No form will not be considered an amendment or modification of this Agreement, even if a representative of each Party signs that document 16 8 NOTICES Notices required under this Agreement to be given by one Party to the other must be in writing and either personally delivered or sent to the address shown below by certified mail, return receipt requested and postage prepaid (or by a recognized courier service, such as Federal Express, UPS, or DHL), or by facsimile with correct answerback received, and will be effective upon receipt Motorola, Inc Customer Attn Attn Chief of Police .r 300 East Superstition. Apache Junction, AZ 85119 fax fax 480 474 5480 16 9 COMPLIANCE WITH APPLICABLE LAWS Each Party will comply with all applicable federal, state, and local laws, regulations and rules concerning the performance of this Agreement or use of the System. Customer will obtain and comply with all Federal Communications Commission ("FCC") licenses and authorizations required for the installation, operation and use of the System before the scheduled installation of the Equipment Although Motorola might assist Customer in the preparation of its FCC license applications, neither Motorola nor any of its employees is an agent or representative of Customer in FCC or other matters 16 10 AUTHORITY TO EXECUTE AGREEMENT Each Party represents that it has obtained all necessary approvals, consents and authorizations to enter into this Agreement and to perform its duties under this Agreement, the person executing this Agreement on its behalf has the authority to do so, upon execution and delivery of this Agreement by the Parties, it is a valid and binding contract, enforceable in accordance with its terms, and the execution, delivery, and performance of this Agreement does not violate any bylaw, charter, regulation, law or any other governing authority of the Party 16.11. ADMINISTRATOR LEVEL ACCOUNT ACCESS Motorola will provide Customer with Administrative User Credentials Customer agrees to only grant Administrative User Credentials to those personnel with the training or experience to correctly use the access Customer is responsible for protecting Administrative User Credentials from disclosure and maintaining Credential validity by, among other things, updating passwords when required Customer may be asked to provide valid Administrative User Credentials when in contact with Motorola System support Customer understands that changes made as the Administrative User can significantly impact the performance of the System Customer agrees that it will be solely responsible for any negative impact on the System or its users by any such changes System issues occurring as a result of changes made by an Administrative User may impact Motorola's ability to perform its obligations under the Agreement or its Maintenance and Support Agreement In such cases, a revision to the appropriate provisions of the Agreement, including the Statement of Work, may be necessary To the extent Motorola provides assistance to correct any issues caused by or arising out of the use of or failure to maintain Administrative User Credentials, Motorola will be entitled to bill Customer and Customer will pay Motorola on a time and materials basis for resolving the issue 16 12 SURVIVAL OF TERMS The following provisions will survive the expiration or termination of this Agreement for any reason Section 3 6 (Motorola Software), Section 3 7 (Non-Motorola Software), if any payment obligations exist, Sections 5 1 and 5 2 (Contract Price and Invoicing and Payment), Subsection 9 7 (Disclaimer of Implied Warranties), Section 11 (Disputes), Section 14 (Limitation of Liability), and Section 15 (Confidentiality and Proprietary Rights), and all of the General provisions in Section 16. MotorolaLease CSA FINAL 3 7 11 revision doc 11 Motorola Contract No A p The Parties hereby enter into this Agreement as of the Effective Date Motorola, Inc. Customer By By Name Name Title Title ,.� Date Date MotorolaLease CSA FINAL 3 7 11 revision doc 12 Motorola Contract No Exhibit A SOFTWARE LICENSE AGREEMENT This Exhibit A Software License Agreement ("Agreement") is between Motorola, Inc, ("Motorola"), and City of Apache Junction ("Licensee") For good and valuable consideration, the parties agree as follows Section 1 DEFINITIONS 1 1 "Designated Products" means products provided by Motorola to Licensee with which or for which the Software and Documentation is licensed for use 1 2 "Documentation" means product and software documentation that specifies technical and performance features and capabilities, and the user, operation and training manuals for the Software (including all physical or electronic media upon which such information is provided) 1 3 "Open Source Software" means software with either freely obtainable source code, license for modification, or permission for free distribution 1 4 "Open Source Software License" means the terms or conditions under which the Open Source Software is licensed 1 5 "Primary Agreement" means the agreement to which this exhibit is attached 1 6 "Security Vulnerability" means a flaw or weakness in system security procedures, design, implementation, or internal controls that could be exercised (accidentally triggered or intentionally exploited) and result in a security breach such that data is compromised, manipulated or stolen or the system damaged 1 7 "Software" (i) means proprietary software in object code format, and adaptations, translations, de- compilations, disassemblies, emulations, or derivative works of such software, (ii) means any modifications, enhancements, new versions and new releases of the software provided by Motorola, and (iii) may contain one or more items of software owned by a third party supplier The term "Software" does not include any third party software provided under separate license or third party software not licensable under the terms of this Agreement Section 2 SCOPE Motorola and Licensee enter into this Agreement in connection with Motorola's delivery of certain proprietary Software or products containing embedded or pre-loaded proprietary Software, or both This Agreement contains the terms and conditions of the license Motorola is providing to Licensee, and Licensee's use of the Software and Documentation Section 3 GRANT OF LICENSE 3 1 Subject to the provisions of this Agreement and the payment of applicable license fees, Motorola grants to Licensee a personal, limited, non-transferable (except as permitted in Section 7) and non- exclusive license under Motorola's copyrights and Confidential Information (as defined in the Primary Agreement) embodied in the Software to use the Software, in object code form, and the Documentation solely in connection with Licensee's use of the Designated Products This Agreement does not grant any rights to source code MotorolaLease CSA FINAL 3 7 11 revision doc 13 Motorola Contract No 3 2 If the Software licensed under this Agreement contains or is derived from Open Source Software, the terms and conditions governing the use of such Open Source Software are in the Open Source Software Licenses of the copyright owner and not this Agreement If there is a conflict between the terms and conditions of this Agreement and the terms and conditions of the Open Source Software Licenses governing Licensee's use of the Open Source Software, the terms and conditions of the license grant of the applicable Open Source Software Licenses will take precedence over the license grants in this Agreement If requested by Licensee, Motorola will use commercially reasonable efforts to (i) determine whether any Open Source Software is provided under this Agreement, (ii) identify the Open Source Software and provide Licensee a copy of the applicable Open Source Software License (or specify where 41111%, that license may be found), and, (iii) provide Licensee a copy of the Open Source Software source code, without charge, if it is publicly available (although distribution fees may be applicable) Section 4 LIMITATIONS ON USE 4 1 Licensee may use the Software only for Licensee's internal business purposes and only in accordance with the Documentation Any other use of the Software is strictly prohibited. Without limiting the general nature of these restrictions, Licensee will not make the Software available for use by third parties on a "time sharing," "application service provider," or "service bureau" basis or for any other similar commercial rental or sharing arrangement 4 2 Licensee will not, and will not allow or enable any third party to (i) reverse engineer, disassemble, peel components, decompile, reprogram or otherwise reduce the Software or any portion to a human perceptible form or otherwise attempt to recreate the source code, (ii) modify, adapt, create derivative works of, or merge the Software, (iii) copy, reproduce, distribute, lend, or lease the Software or Documentation to any third party, grant any sublicense or other rights in the Software or Documentation to any third party, or take any action that would cause the Software or Documentation to be placed in the public domain, (iv) remove, or in any way alter or obscure, any copyright notice or other notice of Motorola's proprietary rights, (v) provide, copy, transmit, disclose, divulge or make the Software or Documentation available to, or permit the use of the Software by any third party or on any machine except as expressly authorized by this Agreement, or (vi) use, or permit the use of, the Software in a manner that would result in the production of a copy of the Software solely by activating a machine containing the Software. Licensee may make one copy of Software to be used solely for archival, back- up, or disaster recovery purposes, provided that Licensee may not operate that copy of the Software at the same time as the original Software is being operated Licensee may make as many copies of the Documentation as it may reasonably require for the internal use of the Software 4 3 Unless otherwise authorized by Motorola in writing, Licensee will not, and will not enable or allow any third party to (i) install a licensed copy of the Software on more than one unit of a Designated Product, or(ii) copy onto or transfer Software installed in one unit of a Designated Product onto one other device Licensee may temporarily transfer Software installed on a Designated Product to another device if the Designated Product is inoperable or malfunctioning, if Licensee provides written notice to Motorola of the temporary transfer and identifies the device on which the Software is transferred Temporary transfer of the Software to another device must be discontinued when the original Designated Product is returned to operation and the Software must be removed from the other device Licensee must provide prompt written notice to Motorola at the time temporary transfer is discontinued 4.4 When using Motorola's Radio Service Software ("RSS"), Licensee must purchase a separate license for each location at which Licensee uses RSS Licensee's use of RSS at a licensed location does not entitle Licensee to use or access RSS remotely Licensee may make one copy of RSS for each licensed location Licensee shall provide Motorola with a list of all locations at which Licensee uses or intends to use RSS upon Motorola's request 4 5 Licensee will maintain, during the term of this Agreement and for a period of two years thereafter, accurate records relating to this license grant to verify compliance with this Agreement Motorola or an independent third party("Auditor") may inspect Licensee's premises, books and records, upon reasonable prior notice to Licensee, during Licensee's normal business hours and subject to Licensee's facility and security regulations Motorola is responsible for the payment of all expenses and costs of the Auditor MotorolaLease CSA FINAL 3 7 11 revision doc 14 Motorola Contract No Any information obtained by Motorola and the Auditor will be kept in strict confidence by Motorola and the Auditor and used solely for the purpose of verifying Licensee's compliance with the terms of this Agreement Section 5 OWNERSHIP AND TITLE Motorola, its licensors, and its suppliers retain all of their proprietary rights in any form in and to the Software and Documentation, including, but not limited to, all rights in patents, patent applications, inventions, copyrights, trademarks, trade secrets, trade names, and other proprietary rights in or relating to the Software and Documentation (including any corrections, bug fixes, enhancements, updates, modifications, adaptations, translations, de-compilations, disassemblies, emulations to or derivative works from the Software or Documentation, whether made by Motorola or another party, or any improvements that result from Motorola's processes or, provision of information services). No rights are granted to Licensee under this Agreement by implication, estoppels or otherwise, except for those rights which are expressly granted to Licensee in this Agreement All intellectual property developed, originated, or prepared by Motorola in connection with providing the Software, Designated Products, Documentation or related services, remains vested exclusively in Motorola, and Licensee will not have any shared development or other intellectual property rights Section 6 LIMITED WARRANTY; DISCLAIMER OF WARRANTY 6 1 The commencement date and the term of the Software warranty will be a period of ninety (90) days from Motorola's shipment of the Software (the "Warranty Period"). If Licensee is not in breach of any of its obligations under this Agreement, Motorola warrants that the unmodified Software, when used properly and in accordance with the Documentation and this Agreement, will be free from a reproducible defect that eliminates the functionality or successful operation of a feature critical to the primary functionality or successful operation of the Software Whether a defect occurs will be determined by Motorola solely with reference to the Documentation Motorola does not warrant that Licensee's use of the Software or the Designated Products will be uninterrupted, error-free, completely free of Security Vulnerabilities, or that the Software or the Designated Products will meet Licensee's particular requirements. Motorola makes no representations or warranties with respect to any third party software included in the Software 6 2 Motorola's sole obligation to Licensee and Licensee's exclusive remedy under this warranty is to use reasonable efforts to remedy any material Software defect covered by this warranty These efforts will involve either replacing the media or attempting to correct significant, demonstrable program or documentation errors or Security Vulnerabilities If Motorola cannot correct the defect within a reasonable time, then at Motorola's option, Motorola will replace the defective Software with functionally-equivalent Software, license to Licensee substitute Software which will accomplish the same objective, or terminate the license and refund the Licensee's paid license fee 6 3 Warranty claims are described in the Primary Agreement. 6 4 The express warranties set forth in this Section 6 are in lieu of, and Motorola disclaims, any and all other warranties (express or implied, oral or written) with respect to the Software or Documentation, including, without limitation, any and all implied warranties of condition, title, non-infringement, merchantability, or fitness for a particular purpose or use by Licensee (whether or not Motorola knows, has reason to know, has been advised, or is otherwise aware of any such purpose or use), whether arising by law, by reason of custom or usage of trade, or by course of dealing. In addition, Motorola disclaims any warranty to any person other than Licensee with respect to the Software or Documentation Section 7 TRANSFERS Licensee will not transfer the Software or Documentation to any third party without Motorola's prior written consent Motorola's consent may be withheld at its discretion and may be conditioned upon transferee paying all applicable license fees and agreeing to be bound by this Agreement If the Designated Products are Motorola's radio products and Licensee transfers ownership of the Motorola radio products MotorolaLease CSA FINAL 3 7 11 revision doc 15 Motorola Contract No to a third party, Licensee may assign its right to use the Software (other than RSS and Motorola's FLASHport® software) which is embedded in or furnished for use with the radio products and the related Documentation, provided that Licensee transfers all copies of the Software and Documentation to the transferee, and Licensee and the transferee sign a transfer form to be provided by Motorola upon request, obligating the transferee to be bound by this Agreement Section 8 TERM AND TERMINATION 8 1 Licensee's right to use the Software and Documentation will begin when the Primary Agreement .•. is signed by both parties and will continue for the life of the Designated Products with which or for which the Software and Documentation have been provided by Motorola, unless Licensee breaches this Agreement, in which case this Agreement and Licensee's right to use the Software and Documentation may be terminated immediately upon notice by Motorola 8 2 Within thirty (30) days after termination of this Agreement, Licensee must certify in writing to Motorola that all copies of the Software have been removed or deleted from the Designated Products and that all copies of the Software and Documentation have been returned to Motorola or destroyed by Licensee and are no longer in use by Licensee 8 3 Licensee acknowledges that Motorola made a considerable investment of resources in the development, marketing, and distribution of the Software and Documentation and that Licensee's breach of this Agreement will result in irreparable harm to Motorola for which monetary damages would be inadequate If Licensee breaches this Agreement, Motorola may terminate this Agreement and be entitled to all available remedies at law or in equity(including immediate injunctive relief and repossession of all non-embedded Software and associated Documentation unless Licensee is a Federal agency of the United States Government) Section 9 UNITED STATES GOVERNMENT LICENSING PROVISIONS This Section applies if Licensee is the United States Government or a United States Government agency Licensee's use, duplication or disclosure of the Software and Documentation under Motorola's copyrights or trade secret rights is subject to the restrictions set forth in subparagraphs (c)(1) and (2) of the Commercial Computer Software-Restricted Rights clause at FAR 52 227-19 (JUNE 1987), if applicable, unless they are being provided to the Department of Defense If the Software and Documentation are being provided to the Department of Defense, Licensee's use, duplication, or disclosure of the Software and Documentation is subject to the restricted rights set forth in subparagraph (c)(1)(ii) of the Rights in Technical Data and Computer Software clause at DFARS 252 227-7013 (OCT 1988), if applicable The Software and Documentation may or may not include a Restricted Rights notice, or other notice referring to this Agreement The provisions of this Agreement will continue to apply, but only to the extent that they are consistent with the rights provided to the Licensee under the provisions of the FAR or DFARS mentioned above, as applicable to the particular procuring agency and procurement transaction Section 10 CONFIDENTIALITY Licensee acknowledges that the Software and Documentation contain Motorola's valuable proprietary and Confidential Information and are Motorola's trade secrets, and that the provisions in the Primary Agreement concerning Confidential Information apply Section 11 LIMITATION OF LIABILITY The Limitation of Liability provision is described in the Primary Agreement. Section 12 NOTICES Notices are described in the Primary Agreement MotorolaLease CSA FINAL 3 7 11 revision doc 16 Motorola Contract No Section 13 GENERAL 131 COPYRIGHT NOTICES The existence of a copyright notice on the Software will not be construed as an admission or presumption of publication of the Software or public disclosure of any trade secrets associated with the Software 13 2 COMPLIANCE WITH LAWS Licensee acknowledges that the Software is subject to the laws and regulations of the United States and Licensee will comply with all applicable laws and regulations, including export laws and regulations of the United States Licensee will not, without the prior authorization of Motorola and the appropriate governmental authority of the United States, in any form export or re-export, sell or resell, ship or reship, or divert, through direct or indirect means, any item or technical data or direct or indirect products sold or otherwise furnished to any person within any territory for which the United States Government or any of its agencies at the time of the action, requires an export license or other governmental approval Violation of this provision is a material breach of this Agreement 13 3. ASSIGNMENTS AND SUBCONTRACTING Motorola may assign its rights or subcontract its obligations under this Agreement, or encumber or sell its rights in any Software, without prior notice to or consent of Licensee 13 4 GOVERNING LAW This Agreement is governed by the laws of the United States to the extent that they apply and otherwise by the internal substantive laws of the State to which the Software is shipped if Licensee is a sovereign government entity, or the internal substantive laws of the State of Illinois if Licensee is not a sovereign government entity The terms of the U N Convention on Contracts for the International Sale of Goods do not apply In the event that the Uniform Computer Information Transaction Act, any version of this Act, or a substantially similar law (collectively "UCITA") becomes applicable to a party's performance under this Agreement, UCITA does not govern any aspect of this Agreement or any license granted under this Agreement or any of the parties' rights or obligations under this Agreement The governing law will be that in effect prior to the applicability of UCITA 13 5 THIRD PARTY BENEFICIARIES This Agreement is entered into solely for the benefit of Motorola and Licensee No third party has the right to make any claim or assert any right under this Agreement, and no third party is deemed a beneficiary of this Agreement Notwithstanding the foregoing, any licensor or supplier of third party software included in the Software will be a direct and intended third party beneficiary of this Agreement 13 6 SURVIVAL Sections 4, 5, 6 4, 7, 8, 9, 10, 11 and 13 survive the termination of this Agreement. 13 7 ORDER OF PRECEDENCE In the event of inconsistencies between this Exhibit and the Primary Agreement, the parties agree that this Exhibit prevails, only with respect to the specific subject matter of this Exhibit, and not the Primary Agreement or any other exhibit as it applies to any other subject matter 13 8 SECURITY Motorola uses reasonable means in the design and writing of its own Software and the acquisition of third party Software to limit Security Vulnerabilities While no software can be guaranteed to be free from Security Vulnerabilities, if a Security Vulnerability is discovered, Motorola will take the steps set forth in Section 6 of this Agreement. MotorolaLease CSA.FINAL 3 7 11 revision doc 17 Motorola Contract No Exhibit B Payment Schedule Customer Name: City of Apache Junction Project Name: MCC7500 Radio Consol Upgrade Transaction Type Municipal Lease-Purchase Agreement Lessor Motorola Solutions, Inc (or its Assignee) Lessee City of Apache Junction, AZ Amount $70,312 00 Down Payment $0 00 Balance to Finance $70,312 00 Equipment As per the Motorola equipment proposal Title Title to the equipment will vest with the Lessee Insurance Lessee will be responsible to insure the equipment as outlined in the lease contract Taxes Personal property, sales, leasing, use, stamp, or other taxes are for the account of the Lessee Option One Option Two Option Three Lease Term Five Years Payment Frequency Annual Payment Structure. Arrears Lease Rate 3 43% Lease Factor 0 221042 Lease Payment $15,541 94 Payment Commencement First payment due one year after contract execution. MotorolaLease CSA FINAL 3 7 11 revision doc 18 Motorola Contract No Exhibit E System Acceptance Certificate Customer Name: City of Apache Junction Project Name* MCC7500 Radio Consol Upgrade This System Acceptance Certificate memorializes the occurrence of System Acceptance Motorola and Customer acknowledge that 1 The Acceptance Tests set forth in the Acceptance Test Plan have been successfully completed 2 The System is accepted Customer Representative. Motorola Representative Signature Signature Print Name Print Name Title Title Date Date FINAL PROJECT ACCEPTANCE. Motorola has provided and Customer has received all deliverables, and Motorola has performed all other work required for Final Project Acceptance Customer Representative Motorola Representative. A" Signature Signature Print Name Print Name Title Title Date Date MotorolaLease CSA FINAL 3 7 11 revision doc 19 Motorola Contract No O� gACkf� � Lyra City o A ache junction Horne of the SI/pei:stttlon Al oltlltc i/zs \piros—t) Print TO: City Manager's Office FROM: Jerald L. Monahan, Chief of Police DATE: December 6, 2011 Agenda Type : Regular Agenda Council Priority Focus Area: Public Safety TITLE OF AGENDA ITEM: Consideration of Professional Services Agreement for Veterinary Services not to exceed $40,000.00 annually. ACTION REQUESTED: Recommendation for Approval DISCUSSION/ BACKGROUND INFORMATION: Staff respectfully requests Council approval to enter into an agreement with Julia Neufeld for veterinary services. This is the second renewal which will extend the length of the agreement to October 31, 2015 and will not exceed $40,000.00 annually. FISCAL IMPACT: Budgeted Expenditure OPTIONS/ALTERNATIVES: RECOMMENDATION: pproval. ATTACHMENTS: Click to download CI Professional Service Agreement FIRST AMENDMENT TO PROFESSIONAL SERVICES AGREEMENT FOR VETERINARY SERVICES a / THI§ AMENDMENT is made and entered into this c) day of ,i'0 Y 2011, by and between the CITY OF APACHE JUNCTION, ARIZONA, an Arizona municipal corporation ("City"), and Julia Neufeld ("Consultant"), sometimes collectively referred to as the "Parties" or individually as a "Party". RECITALS A. On October 1, 2004, City entered an Agreement with Consultant to furnish veterinary services; and B. On October 1, 2005, the original Agreement automatically renewed for sixty months, and expired on September 30, 2010; and C. Mutual interest exists to amend the original Agreement by extending the Term retroactively from October 1, 2010 through October 31, 2015, with an automatic annual renewal thereafter until one of the Parties submits a Notice to Terminate Agreement. AGREEMENT NOW, THEREFORE, in consideration of the mutual promises and covenants set forth herein, and for other consideration, the receipt and adequacy of which is hereby acknowledged, the Parties agree as follows: I. AMENDMENT OF AGREEMENT: The Agreement originally executed by the Parties on October 1, 2004 and renewed through September 30, 2010 shall be amended as follows: 2. COMPENSATION: In accordance with the terms and conditions of this Agreement, beginning November 1, 2011, City shall compensate Consultant for her professional services in an amount not to exceed $40,000.00 annually, in accordance with the price sheet attached as Exhibit A. Exhausting this total amount payable shall not relieve Consultant of her obligations to perform such services. Consultant may increase service fees outlined on the price sheet in Exhibit A by ten percent (10%) only after providing City with a written Notice of Intent to Increase Fees at least ninety (90) days in advance of a planned increase. Consultant may increase fees several times per year as necessary, but Consultant's total compensation from City must not exceed $40,000.00 annually. 3. TERM• The Term of this Amendment shall be effective retroactively from October 1, 2010 through October 31, 2015. Each Party has the option to renew this Amendment on November 1st each year thereafter, unless otherwise terminated pursuant to Section 8 of this Agreement. Notice of Intent to Renew shall be provided no later than August 1st each year this Amendment is in effect. II. All other terms and provisions of the Agreement executed by the Parties on October 1, 2004 shall remain in full force and effect until this Agreement is terminated. IN WITNESS WHEREOF, the parties have caused this Agreement to be signed by their duly authorized representatives as of the day and year first above written. CONSULTANT. R t �a By: Julia Neufeld Title. Veterinarian President CITY OF APACHE JUNCTION, an Arizona municipal corporation By• John S. Insalaco Title. Mayor ATTEST: KATHLEEN CONNELLY City Clerk APPROVED AS TO FORM: RICHARD J. STERN City Attorney 2 EXHIBIT A PRICE SHEET New Shelter Prices - Effective October 15, 2008 Male Dogs Puppy Neuter $45 Under 40 pounds. $50 40-70 pounds $65 $1/each additional pound over 70 pounds Additional charges if retained testicles Female Dogs Puppy Spay: $55 Under 40 pounds. $60 40-70 pounds. $80 $1/each additional pound over 70 pounds Additional charges if in-heat or pregnant Additional charges if obese Cats. Male. $25 Additional charges if retained testicles Female.$45 Additional charges if in-heat or pregnant Additional charges if obese Vaccines. w/surgery w/out surgery Rabies $10 $18 Dhpp(5 in 1) $18 $15 Bordetella $11 $13 FVRCP $11 $15 Feline Leukemia $13 $15 Screening Tests FELV/FIV $25 $25 Fecal $15 $15 Heartworm $30 $30 Heartworm/Ehrfichia/Lyme $35 $35 Additional Services: Take Home Pain Medication $12 Nail Trim $10 w/surgery $15 without surgery Frontline or Revolution (flea&ticks) $15 Dew Claw Removal w/surgery Price varies Microchip $30 Health Certificate $35 Frontline or Revolution (flea&ticks). $15 Acarexx(ear mites) $15 Heartworm Medication varies on weight ROLL CALL VOTE NOTES 4 \1,P44 c<4.' ita,\ 1 ITEM # MEETING OF � t l MOTION BY SECONDED BY �n C YES NO ABSTAINED COUNCILMEMBER SMITHSON 1 COUNCILMEMBER BARKER V� VICE MAYOR DIETZ J COUNCILMEMBER COLEMAN f/ COUNCILMEMBER SERDY V COUNCILMEMBER WILSON MAYOR INSALACO UNANIMOUS IN FAVOR OPPOSED ABSTAINED TOTAL V /'\ /IN CONSENT AGENDA ITEMS NO. 1-7 I MOVE THAT THE CONSENT AGENDA BE ACCEPTED AS PRESENTED, AND THAT APPROVAL BE GIVEN FOR TWO AGREEMENTS BETWEEN SIEMENS INDUSTRIES AND THE CITY OF APACHE JUNCTION FOR AN ENERGY SAVING CONTRACT IN THE AMOUNT OF $130,000 THROUGH EECBG GRANT FUNDS AND AN ENERGY SAVING CONTRACT IN THE AMOUNT OF $170,000 IN CAPITAL REPLACEMENT FUNDS THROUGH THE GENERAL FUND,AND FOR A FINANCIAL AGREEMENT BETWEEN SIEMENS FINANCIAL AND THE CITY OF APACHE JUNCTION FOR IMPLEMENTATION OF THE ENERGY SAVINGS PROJECTS FOR SELECT MUNICIPAL BUILDINGS IN THE AMOUNT OF $442,707, WITH ALL THREE THROUGH STATE CONTRACT#EPS080079-7 FOR A TOTAL AMOUNT OF $742,707.00 FOR NINE ENERGY CONSERVATION PROJECTS, AND THAT AUTHORIZATION BE GIVEN FOR THE MAYOR TO SIGN THE AGREEMENTS PENDING FINAL APPROVAL AS TO FORM BY THE CITY ATTORNEY; AND THAT APPROVAL BE GIVEN TO PURCHASE A FORD EXPLORER FOR THE POLICE DEPARTMENT FROM CHAPMAN FORD IN THE AMOUNT OF $26,169 34 THROUGH STATE CONTRACT#ADOT 11-004994,AND THAT RESOLUTION NO. 11-50, A RESOLUTION OF THE MAYOR AND CITY COUNCIL OF THE CITY OF APACHE JUNCTION, ARIZONA, AUTHORIZING THE SUBMISSION OF AN APPLICATION(S) FOR STATE HOUSING FUNDS, WHICH MAY INCLUDE FEDERAL FUNDING THROUGH THE HOME INVESTMENT PARTNERSHIP PROGRAM OR STATE HOUSING FUNDS, CERTIFYING THAT SAID APPLICATION(S)MEET THE COMMUNITY'S HOUSING AND COMMUNITY DEVELOPMENT NEEDS AND THE REQUIREMENTS OF THE STATE HOUSING PROGRAMS,AND AUTHORIZING ACTIONS NECESSARY TO IMPLEMENT AND COMPLETE THE ACTIVITIES OUTLINED IN SAID APPLICATION(S),BE APPROVED; AND THAT RESOLUTION NO 11-51,A RESOLUTION OF THE MAYOR AND CITY COUNCIL OF THE CITY OF APACHE JUNCTION, ARIZONA, AUTHORIZING ADOPTION OF OWNER OCCUPIED HOUSING REHABILITATION GUIDELINES DATED FEBRUARY 1, 1994,AS AMENDED, IN RELATION TO AN APPLICATION FOR A HOUSING REHABILITATION ACTIVITY, BE APPROVED, AND THAT RESOLUTION NO. 11-52, A RESOLUTION OF THE MAYOR AND CITY COUNCIL OF THE CITY OF APACHE JUNCTION,ARIZONA, COMMITTING LOCAL FUNDS AS LEVERAGE FOR A FY 2012 STATE HOUSING FUND APPLICATION, BE APPROVED, AND THAT APPROVAL BE GIVEN TO THE AGREEMENT BETWEEN MOTOROLA AND THE CITY OF APACHE JUNCTION FOR A COMMUNICATIONS SYSTEM LEASE FOR 5 Ikk YEARS IN AN AMOUNT NOT TO EXCEED $70,312.00, AND THAT AUTHORIZATION BE GIVEN FOR THE MAYOR TO SIGN THE AGREEMENT; AND THAT APPROVAL BE GIVEN FOR THE PROFESSIONAL SERVICES AGREEMENT BETWEEN JULIA NEUFELD AND THE CITY OF APACHE JUNCTION FOR VETERINARY SERVICES, EXTENDING THE CURRENT CONTRACT TO OCTOBER 31, 2015 IN AN AMOUNT NOT TO EXCEED $40,000 ANNUALLY, AND THAT AUTHORIZATION BE GIVEN FOR THE MAYOR TO SIGN THE AGREEMENT, PENDING APPROVAL AS TO FINAL FORM BY THE CITY ATTORNEY Pp AC tit 4 "�z City JP ache junction Home of the Superstition Mor`/t/u//z c 4RIZONP Print TO: City Manager's Office FROM: Jerald L. Monahan, Chief of Police DATE: December 6, 2011 Agenda Type : Regular Agenda Council Priority Focus Area: TITLE OF AGENDA ITEM. PRESENTATION OF DARE'S STATE WIDE ESSAY CONTEST WINNER. ACTION REQUESTED: No Recommendation DISCUSSION/ BACKGROUND INFORMATION: Presentation of the state wide DARE essay contest winner. The winning student, Benjamin Brownlee who attends Desert Vista Elementary, was unable to attend the state wide conference to accept his award. FISCAL IMPACT: OPTIONS/ALTERNATIVES: RECOMMENDATION: ATTACHMENTS: Click to download No Attachments Available PpA Olt� i ifsG _°� 4'0 City of Apache Junction Home of the Supentitiotl .I.1 orrltailli �4grZaNP Print TO: City Manager's Office FROM: George Hoffman, City Manager DATE: December 6, 2011 Agenda Type : Regular Agenda Council Priority Focus Area: TITLE OF AGENDA ITEM: MANAGER'S REPORT. ACTION REQUESTED: DISCUSSION/ BACKGROUND INFORMATION: FISCAL IMPACT: OPTIONS/ALTERNATIVES: RECOMMENDATION: ATTACHMENTS: Click to download No Attachments Available PUBLIC HEARING 1. For APPLICATION FOR A LIQUOR LICENSE FOR SUPERSTITION MOUNTAIN BREWERY LOCATED AT 285 N.APACHE TRAIL 2. Will CITY CLERK KATHLEEN CONNELLY speak to the Council? 3. Will the applicant or spokesperson please speak to the Council on this item? 4. Is there anyone from the public who wishes to speak on this item? (Are there any "Request to Speak" forms?) 5. If not,this hearing is closed. 6. Is there any discussion? 7. Call for a motion. 8. Call for a second. 9. Roll call vote. Pp AC HE- e City ojApache junction U Z Hoiiie of the .S//pe/:ctltlon :Worn/tams 4pizOt * Print TO: City Manager's Office FROM: Kathy Connelly, City Clerk DATE: December 6, 2011 \genda Type : Regular Agenda Council Priority Focus Area: Required by Federal Law or State Statute TITLE OF AGENDA ITEM: APPLICATION FOR A LIQUOR LICENSE FOR SUPERSTITION MOUNTAIN BREWERY LOCATED AT 285 N. APACHE TRAIL. ACTION REQUESTED. No Recommendation DISCUSSION/BACKGROUND INFORMATION: An application for a Person Transfer, Limited Liability Co , Series 6 liquor license has been submitted for Superstition Mountain Brewery located at 285 N Apache Trail The next step in the procedure is the public hearing wherein the council shall make a recommendation for approval or denial to the Arizona Department of Liquor Licenses and Control. Senior Planner Rudy Esquivias and Building Official Dennis Dixon will be in attendance to answer any questions of the council. FISCAL IMPACT: OPTIONS/ALTERNATIVES. RECOMMENDATION: ATTACHMENTS: Click to download LI cover memo LI application part 1 LI application part 2 LI application part 3 LI notice LI applicant letter LI department memo LI planninq recommendation LI planning recommendation additional information LI police recommendation LI fire district recommendation NOVEMBER 23, 2011 MEMORANDUM TO HONORABLE MAYOR AND CITY COUNCIL MEMBERS THROUGH GEORGE R HOFFMAN CITY MANAGER THROUGH KATHLEEN CONNELLY, CITY CLERK FROM' JAN MASON. DEPUTY CITY CLERK 4"rr SUBJECT AGENDA ITEM FOR DECEMBER 6 2011 APPLICATION FOR A LIQUOR LICENSE FOR SUPERSTITION MOUNTAIN BREWERY An application for a Person Transfer, Limited Liability Co , Series 6 Liquor License has been submitted by Mr. James Edward Allyn for Superstition Mountain Brewery located at 285 N. Apache Trail in Apache Junction Correspondence has been received from the planning department, police department and the fire district, a copy of which is attached Senior Planner Rudy Esquivias and Building Official Dennis Dixon will be in attendance at the council meeting to explain the response from the planning division and answer any questions The next step in the procedure is for the City Council to hold a public hearing on the application and make a recommendation for approval or denial to be forwarded to the State Department of Liquor Licenses and Control OIN ?rIzona Department of Liquor Licenses and Control 800 West Washington, 5th Floor Phoenix,Arizona$5007 www,azliquor gov 6O2-542-5141 APPLICATION FOR LIQUOR LICENSE TYPE OR PRINT WITH BLACK INK ems ilatice Effective Nov 1 14'57 f l.pwrwert;,Aocnts.E'gns�y+r.=.kSkxr..lL►.�4�7p .,Off crc,rx MJ ryroorkoctiv0v ins+wve irl..S at _'*s of OUS,r+css must attend a Deparurvor't approved hquor tsu training course or provide proof of a let<M a wRhin the last five ors Sipe psgrr S of the liquor l.,censcng rrqurrernents SECTION 1 This application :e for a SECTION 2 Type of ownership 0 MORE THAN ONE LICENSE 0 INTERIM PERMIT Complete Section 5 ill J r W R O S Complete Section 6 El NEW LICENSE Complete Sections 2, 3,4, 13, 14, 15, 16 0 INDIVIDUAL Complete Section 6 ig PERSON TRANSFER iEars c. Liquor Stoles ONLY) Cl PARTNERSHIP Complete Section 6 Complete Sections 2,3,4 It 13, 15 15 0 CORPORATION Complete Section 7 0 LOCATION TRANSFER (Bars and Liquor Stores ONLY) CO LIMITED LIABILITY CO Complete Section 7 Complete Sections 2, 3,4, 12, 13, 15, 16 CI CLUB Complete Section 8 t�l PROBATENVILL ASSIGNMENT'DIVORCE DECREE Q GOVERNMENT Complete Section TO Complete Sections 2, 3, 4 9, 13, 16 "fee net required) TRUST Complete Section 6 Cl GOVERNMENT Complete Sections 2, 3, 4 10, 13, 15, 16 0 OTHER (E Mare; • SECTION 3 Type of iicerso and fees LICENSE#(s) (1611OO? 1 p='ofLrcensets) ?err ic ,en.Cse -r 2 Total fees attacf^ed S__ _"L APPLICATION FEE AND INTERIM PERMIT FEES(IF APPLICABLE)ARE NOT REFUNDABLE. The fees allowed under A,RS.44-5852 will be charged for all dishonored checks SECTION 4 Applicant PI t--7 I Owner/Agent s Name r.ss Allyn James Edward ti,••t cr'a^.one ()NC?'to at ptaa+c. Cc,-„ Patnerelp t . -. ?AC/A: Y MWtf4 . , ,_ .,• . ^i... _. • ,,.Artr es yr v= ) i ra'u.,ress Name •..ou i=;r,4 >\ t SS5 n•r+w e'nrr'r nt;,€>tim4es) Apache Junction P•nal Try,."'+ ? Phi-if—pat Street L t 0111141 S Bus less 459 296 .. - Dayti'e Cc nta t 48'3 �9l:-I33S .• Is the r.'.s•ress Ioca.ed < , , d 'tits of the abb.e &YES ONO Malting Address "SS-I + .,3 s, _ 'iUnctior 'AZ Sta•e i'hce paid fnr'icense Cn11r r:r t-ut r core Ty pe Try pe l� r��'1 ;=EPA.RTMENT USE ONLY Fees I Cr 1J cro Application interirnl Per•T'-. . a 3" e Club Finger P•+nts S 'TOTAL OF ALL FEES Is A . cna Slater-;e^l ;{ ., '2,-rcr•p S A Sta'us Fort Slate Renefltc rornp'ete7 0 YES 0 NO ccec'ed by c—L_ Gate 1�l_�;,. C +_[�.!+.,N,-1 OO_L2. .a`a 'Disab+ individuals requiring special accommodation, please call (6021 542-9027 SECTION 5 Ifrt*~cirrreettDit _ �,:-_• ! t ' f ,cc. intend to operate husiness when jot•r application is pending you wri need ar Irlertm Permit F. r ant'o 4 R S 2 There MUST be a valid license of the same types you are applying for curer*issued r e 1o:ation 3 Enter the;icense number currently at the location /'- 4 is the.tcense currently;n use7 0 YES 0 NO II no how long it✓been out of use? ATTACH THE LICENSE CURRENTLY ISSUED AT THE L T(ON TO THIS APPLICATION declare that I a• . e CURRENT OWNER AGENT CLUB MEMBEP PARTNER (^ iarn;tut,arrte; MEMBER STOCKHOLDER OR LIC- EE (circle the title which applies,.of the stated license and location State of County of X The foregoing instrument was acknowledged before me this My COrrn-rssion a Son — _ Oay of w Day Month Year ,S-gra::xY of NE,Tr R'Y Pt:B4 ICI SECTION 6 Individual or Partnership Owners EACH P£RS(N LISTED MUST suemn A CCMPLEtE)OuESTICAkAIRE(FORM UCO1611 AN`aPPLICn.NT'TYPE FINGERPRINT CARD AND S24 PROCFS G FEE fOR EACH('CARD tnT,,"vidua°' `, .r :as! I-itlt '.t..),.,•' A _Yea•ne9 Ma!ira Adrfteaa f t..:N Z.Aittd ...0 1 ..-,' ?a:rershi Name iOr'y the first -a^°Ef listed w.,l appear on lse) _ c a i iipitt.4 I��'t rr•.—:.,.I t,LciCil ,r..____Owned _:___tvkhr_� (rev rk• up. �n Q Q D 0 _...____ - A(TA;N ADOITIOf4AL SHEET'F NECESSARY _1 2 Is any person other than the above gong to share in the profits/losses of the business" 0 YES 53 NC) If Yes give name current address and te'ephone number of the percents) Use additional sheets if necessary Last FR9I elide-c 1.4u&:rg Ar,1J'e.tt C¶ :Suite ey t r___raw.} I "IS ON SECTION 7 Con>orationtLimited trablitty Cb. EACN rEFSON I. STEDIAL,ST SI.Eikka A ,e omr,,E VEG Q..)1-E.-F,-,,Ati I.,iRE rFCN1.{-C.C.'1 CI, teeN- Sr.iC ANT-IN PE F iNGE A Pia IN'T CARD ANC)4'24 P RIX ESSING rEE TOP EACH CRRO 0 COPPCRATIOtJ Complete questions 1, 2,3 5 6 7 and 8 tOLLC Complete 1 2, 45, 6 7 8nd 8 I r,_Irne 3,Corr.,:..sration/L t C Slipt.,rs,rticin MoLritiJih8resycry L.L C.. _ _ le-Alai),;lb 4 At.cfedAA J.,A'AlflAeA Q,Pla41,f,A11$;30,;Qr Aroes c'Drronziairioc-1 2 Date frcorporaleaiOrgahizerd 08/30,11 State,A here IncoroofatediOrganized Arrzona .3 ,-,2 Corporation CommiE.sion Fife No I 17°4048 4 Date auttioraed to c burs,rt AZ A/30_01 4 AZ L L C File No 1 '7°4°4434 Date auther-,z d to do husine.5.s n AZ 0E1'30'n 0111S E. is C,.-r-p 1 L C Nor' rorzi 7 Ci YES 213.NO (*?... List ail dr-ectors,officer ,-..ir-rj D)&rri), r'CDtpOrOrIA 1 C 1-rst Atlyn James Edward r'1 Member 15855 E Pioneer Apacheiunc-tion kZ 85119 . .._ -- , . _ . _....., 7 L st stpsiisticriders A r‘o are r.....ontro 'ng pers.:.P$or wrio own 10%or more Lii.;1 Fir.i.t ,txidk ',,,°mewl; M.14I-eug klites , .'i 'i.,?.te .7-. ,—___ 'ff f 'fleet,-s Ecivra 11 too ses E Pioneer Apache Jk-r,c1;ort 3,Z 857 79 —I- 1 i F------1 --- — --— — 1 3 f me Cc;Pcr'airc,c L L C c., ',.. r" .".1 ry--.--; i,..thi.r er'ity attach 3 pe'cer1age C•f Ch.,tiefsh:p cla-t aro a 0 rec'o i:"icer mehlber disclosure fcr Lhe ciateht tit 1.- tar, ailciit cirat sheets as needed ii orcc,r to disclose oershca ide.'it:les cl al!oAners SECTION 8-...,Club Applicants rAcH PERSON UST i,s uattur A COMPLETED Ofit SIICANIoRF'FORM EiC0101) Al.'APPT!CART-TN PE FINGERPRINT CARO ANO S24 PROCESSING FEE FDA EACH CARD ..,.. 1 Name of Cub -,-...„. 0,,,te c 2 Is cli.rb non-profit? 0 YES 0 Ni)--, 3 Ust ctficer and d:rectos -,.. TO= Miu-ar,-1-4,',2:Trf-444 - _ 4 • ' :: 4 -4,,,, •••,. '.. i . --ii 4 ._ — --1 ----- - ',.... j __..,_ _____ -„, ,.. i .. HPTIOP 9 Probate,Witf A ssignmart or Divorce Decree of an existing Bar or Liquor Store License I Current Licensee's Name iEtrierty as 4 NPPea'S cin:icensei Last First riolte 2 Assignees Name !_ast rirsr kitidete 3 License Type License Number Date of Last Renei.yal 4 ATliACH TO THIS APPLICATION A CERTIFIED COPY OF HE /ILL PROBATE DISTRIBUTION INSTRUMENT,OR DIVORCE DECREE IHAT SPECIFICALL'r DiSTRIBUT ES TIE LIOUuR LICENSE TO THE AS5iGNEE TO THIS APPUCATION ••••••• SECTION 10 Government (for cities,towns,or counties only) -nfental 2 Personides,gne,e core riirl I Nr,..F;Nurrqin A SEPARATE LICENSE MUST BE OBTAINED FOR EACH PREMISES FROM WHICH SPIRITUOUS LIQUOR IS SERVED. SECTION 11 Person to Person Transfer Questions to be completed by CURRENT LICENSEE(Bars and Liquor Stores ONLY-Series 06,07,and 09) jean C..:ment Licensee's Name Thompson Agent ir a, hc 4: Lay '2 14114' B.ny Jean Fine Fuodi,Inc Corporation/I_L C Name ,1 3 Cre-)t Basmes LO}Vaqueros Western Steakhouse and Saloon l..,, s Name I. ,actly as 1 api.:•ea-s 1 4 Physical S'reet Lxarccn of Misiress Sire-et 285N Apache Trail City state zip Apache Junction AZ 85220 5 License Type B'm License Number°15 10082 5 If more'har one',cense to be transfered L.:else Type License Number CrrertMaiirg Address 5855 Pioneer (Other than business) City State Zip ApacheJunction AZ 85119 a Ha.e ail c ed tors lien holders interest hoiders etc been notified of this transfer' 0 i ES NO 9 Does the applicant intend to operate 'he b,is:niess wh le this application is penoling7 0 YES1-40 '1 yes complete Section 5 of this application attach rein and current iicense to this application ,r I 8i;I of Sate Attached hereby authorize the department to piocess this appItcal'on to transfer the ;prof h_01 na:nr prvifece of tne license to the applicant provided that all terms and conditions of sale ale met Based on the full limed,of these conaticirs I certify that the applicant now owns or will own the property nghts of the license by the date of issue declare that I am the CURRENT OWNER AGENT MEMBER PARTNER '46 na'nei STOCKHOLDER or LICENSEE of the stated cerise I Piave read the above Section 11 and confirm that all statements are trJe correct and comple'e State of Colin of isvnaturec,i Li.JPRCNr The foregoing'nstri..rnent was acknowledged before me this I.x-vitfi +ea, ss exp.res on e c. IARY PUN ICI eiN r► • BILL OF SALE. ASSIGNMENT!AND ASSUMPTION A( RLFL t1E VT FOR VALUABLI..CONSIDERATION, receipt and adequacy of which arc hereby acknowledged, the undersigned, SANT.A BARBARA BANK &TRUST, National Association("Aseenor") hereby sells,transfers,assigns and coneeys to JAMES ALLYN an individual {"Assignee''), the following. All right,title and interest of Assignor in and to all tangible personal property Personal Property )located on and used in c'nnecti in%-►tth the operation of that certain land and improvements located in the County of threat. Anion:i. as more particularly desenbcd in Exhibit attached hereto and mace a part hereof t"Real Property"), but excluding tangible personal property owned or leased from tr,ird parties by tenants of the Real Property under"Tenant Leases" (as defined below) if any 2 ill right,title and interest of kssignor as lessor in and to all teases( i'entant 1 eases")relating to the leasing of space in the Real Property and all of the nghts,interests,benefits, bltgations and privileges of the lessor thereunder, and to the extent Assignee has not received a credit thereto' under the"Purchase Agreement' (as defined below), all prepaid rents and security and other deposits actually received and held b'y Assignor under the Tenant.I cases and pot credited or returned to tenants or applied to rents past due prior to the date hereof, but subject to all terms, conditions, rescrtinon.s and ii ritations set forth in the Tenant Leases fo the extent ttssiirahle without the consent of third parties,all right,title and interest of Assignor in and to all intangible property t"lntan�gible Property )owned or held solely for t se in connection ccnh the Real Property or the Personal Property for any business or businesses conducted thereon or V.ith the use thereof(other than those businesses conducted by tenants of the Real Property. under Tenant Leases) including,but not limited to, leases(other than Tenant Leases). contract r,chts and agreement (including,but not limited to,service agreements) building and trade names,trademark,business licenses, wan-antics, utility contracts, rent lists,:+th,ertistitg materials, telephone exchange nerribere plens and speci!teetions, governmental approNals and develaprnent niehts, related solely to .he Real Property or the Personal Property or arty part thereof 4 this Bill of Sale. '1sstgntner;l chid Assumption Agreement is given pur:,uant to that certain agreement ("Purchase urthasc Agreemertt ') captioned "PURCHASE AND SALE AGRFEM I VI AND JOi;tiT I CRO' INSTRUCTIONS", dated as of Jcuie i6 2011, by and between Assignor and AsSieuee. err:Aiding for,among oiler things,the cenve;:once:of the Personal Property,Inc 1 count I eases, 'he Intangible Property and the Contracts The cotenants,agreements,representations,warranties,indemnities and limitations provided in the Purchase Agreement with respect to the property conveyed hereunder(rncl ,dinb. without limitation, the limitations of Assignor's liability provided in the Purchase Agreement),are hereby incorporated herein by this reference as if herein set out in lull and shall inure to the benefit of and shall be binding upon Assignee and Assignor and their respective successors and assigns As set forth in paragraphs 3 and 4 of the Purchase Agreement, which are hereby incorporated by this reference as it herein set out in full, the property conceNed hereunder is x�tr S7t conveyed by AV.signor and aci-cpted by Assignee AS IS WHERE IS, ANI) WITIJOUI ANY WAR.RANIIFS OF WHATSOEVER NATURE EXPRESS OR IMPLIED 11 BEINC, THE INTENTION OF ASSIGNOR AND ASSIGNEE EXPRESSLY 10 NEGATE. AND EXCLUDE AI I. WARRAiv1 ILS, INCLUDING WJ THOU1 LIMITA I iw,. -1 I IE i".1PI_II D W'ARRAN TIES OF MERCHA.N I ABILITY AND FITNESS FOR ANY PARTICULAR PURPOSE, WARRANTIES CRF_A I ED BY ANY AFFIRMATION 01 FACT OR PROMISE OR BY ANY DESCRIPTION OF THE PROPERTY CONVEYED HERE! :DER,OR BY ANY SAMPLE OR MODEL THEREOF,AND ALL OTHER W:'%RRAN + i-.\ I SOEV ER CON1 AI`EU IN OR ris CREA J ED BY HIE CALIFORNIA COMMERCIAL CODE This 3i11 of Sale. \ssi►,,nmcitt and Astutuption Agee. nt may be xecutcd in one or more ident'.al c.oartc:-parts, each of ctiltich such counie:par ,luii he dcemcd ar, ong►nal for all purposes and all such counterparts collectively consisting of one such Bill of Sale,Assignment and Assumption IN WITNESS WHEREOF,Assignor has Lxccuted this Bill of Sale, Assignment and Assumption Arttemer,t as of )1J til it) . 2011 t Assignor: SANTA BARBARA BANK & TRI S F, National Association B y _ • c_EA____ Name Autumn Filing Its RFO Asset Manage B, Naive Lynda i riguet Its Senior Vic. residcrt Ff.07i _ +i 0.141 el\ _ SECTION12-4..a.qation to Location Transfer (Ears and Liquor Stores ONLY) A.Pr.:CANTS CAfctiOT OPER.A-'6.2,,tteDER A LOCATiON TRANSFER Limn.UI s APPRCVEO MY THE STATE ertt s r ess ErAh-t-, ar.oe-a-s ra-hIst-'; Acid ess t4ew 3cs rests y &feet t..-*!--ation) Add ess Tyre trse !') tr.enSe Type Vilt at dale oc) SECTION 13 Questions for all in-state applIcants pystusfing itiosrz_applvillta for novernmen.t.hotel.motel. and restaurant licenses fsertes 5, 11 and 12) § Ai ana,f3r 51<re that rc;rcta.lers-;cerse srao be,s'Swe.,..J lot any' a-e at Mt tr:re s tete,ved j eet qtr,'r r-J^,dre,a yrzchtat teat cf a,o. •as r.,-Nate tru.kirr;,;;; rlJtt-54,'1cn POgram'S or g'aoes 0,)e. 'IrOvgh t wif '3034 ti-nzonislfeE„Icf a ftxca-i cti oi acl;aiaert,to s,.icnscr,*.ai r.;eagraph DOES NOT t§4 5 501,-errthevtiicrse t§4 2155 4 2 ?,1; .7) f-e‘cedp=ay a;ea c,f a;oil coi,rse t5 , , sce to rlea est $7-C;1" ft 1v, 4.c ;.,ak.lte Lad ti ecs !:445 s".' Apache Trait Apacfr,e,fenctio-1AZf,51.2ci City State Zip 2 C,stance to nearest tt,urcrl 17'3° 't Name of church -tehovahs Witnesses Acid;esS 255 ci F Ar;ache Juno ion AZ 851,9 CA)/ State Zip L Lz?..4 r),.rier 0 r-,,,,ct,ase„c;premses C,ty State 7;D ' y ength of the !ease -,,rs eullS s cre-ne'r, tthe lease s S or other -tvre cie,.ads attach ark.,1,tarxlat t.ti -t 4,,txxtvs,A business I, e, 1.. st ;orders ycu oe .1" rey to 4,4d,L . . - 4 - .1! SECTION 13 -continued _ _ 7 Has a iiconse or a transfer license for the premises on this application been denied by the state within the past one(1) relar''' 0 YES 2 NO If yes attach explanation Does a-y sprituous liquor manufactt ter wholesale or emctcyee have any interest ii your business.? 0 YES 2 NO !s the premises currently iicensed wan a liduor iicenSe' CEO YES 0 NO if'y es grve license number and licensee s name 06110082 License# texactly as 1 appears on timnse) NameJenThompnn SECTION 14 Restaurant or hotel/motel license applicants ,s there an ex.;Iing,restaurart or notei;rnotel iigJor license at the proposed location7 0 YES 0 NO 'f yes give the rameriklicensee Agent or a company name and livens It- 3 V MAdie Ile answer to Question 1 is YES}7erits-ztay qualify for an Interim Permit to operate while your application is pending consult A R SF4 4-203 01 and compleie SECTIO& cf this application 2 Ali restaurant and holetirnotel applicants must Qte a Restaurant Operation Plan tForm LIC0114i provided by the Department of Liquor Licenses and Control As stated in A R S § 4 205 02 G 2 a restaurant is an esablishmen.which derives at least 40 percent of ts gross revenue from the sate o food Gross revenue is he revenue dPfvedQm at' sacs of food and spirituous liquor on he licensed premises By applying'or this 0 '1010:motel E) restaurant lice I certify that I understand that I must ma stain a rnum 01 40 percent food sales based or these definitions and h uded the Restaurant Hotel:Motel Records 7t..ired for Audit iform LC 1013i with this adellCatroll apc- c t s sigr ature - n,i\ R S§ lit 205 02 B I understand it is V responsibility to contact the lartment of Liquor L Lenses and 1 to schedule an irtsrectit:n her ail tables and chars are on site kitchen coup r 1 an -I appt cat e Data tamers ciace on the licensed premises With the exception of the patio barriers these item nre not required to be propetly `1.3 ed 'cr this inspection Falure to schedule an inspection will delay issuance of the titans If you are not ready for yoLr dabs after filird your application please request an exlertsion ri writing specify write extension ts necessary nspeolion date iou are requesting To schedule}our site inspection visit wwire +JO r ard clicis on the • on tab app cants initials .p.••••• SECTION 11 Diagram of Premises (Blueprints not accepted diagram must be on this form) ALL boxes that Abel) rc Your bus resa 2 Entrances Exits Liqt c toorage areas Patio 21 Contiguous D Service windows 0 D e n iridows 0 Nun Contiguous 15 yok r censed premises curre,iil, closed Cue to construction renovation or redesign? 1g r'ES 0 NO lt yes what is your estimated open ng date? 12/1/11 month/day/year 3 Res a•urants and ho noel appli(-a-ts a c reou,red to draw a detailed fcor plan of the kitchen and dining areas including he °cations o'all kitchen ect,ipmert and din rig fun-Lire Diagram paper is provided on page 7 4 The diagram(a detailed'loot p an) you provide s required to d'sciose only the areas)vy he,e spintous liquors*0 be solo sen,ed consumed dispensed possessed or stored on the premises uniess t,s a restaurant see#3 above 5 Pro.iide h square footagc or outs ioe n niens or of the icensed premises Please do include non .enised p-emises such as panong lots ,iving quarters etc As stated in A R.S §4-207 01(S),I understand it is my responsibility to notify the Department of Liquor Licenses and Control when there are changes to boundaries entrances exits, added or deleted doors,windows or service windows,or increase or decrease to the square footage after submitting this initial drawing applicants in tia s aECTION 15 Diagram of Premises 4 In this diagram please show only the area whese_spintUous liquor is to be sold, sarved. consume( dispensed, possessed or stored It must show all entrances, exits, interior walls, bars, bar stools, hi-top tables, dining tables, dining chairs, the kitchen, dance floor stage, and game room Do not include parking lots, living quarters, etc When completing diagram, North is up If a legible copy of a rendering or drawing of your diagram of premises is attached to this application please write the words 'd!agram attached" !n box provided below • SECTION 1 Signature Block /IN va,dirh ieclare thaM am the 0'.*#'#!-: • f :ding this application as siafed Sect or 4 : .,estion rdive r d 0 this applicatIcr. .ar d iertfi a I statements to be true correct ad con oleto f f14Z ("'n 4-rt.MS it y 'r •i ' _ X N) ••." ) ‹, ,, 10 . , '''''' ‹.:(),, NY .1....._ - ' 4 f,,,, f' C "...N.' S -,.. , ,,.. \ 1* 0§i ''''',''.. t'(..:\`,........_,,,_r ; 2// _Or' \. fit" j. ? t of `.- {J� . , n\Y / r e©/ ,f ' to +1/4 7 ' '''... • T. i • "✓ '%1110 ARIZONA CEPARTMENT OF LIQUOR LICENSES& CONTROL SOO VtrWashington nth r=loof Phoen-x AZ 35Ol7-2934 (602)542 3 i 41 t QUESTIONNAIRE cl)Attention all Local Governing Bodies Social Security and BIrthdate Information is Confidential This information may be given to loc.)law enforcement agencies for the purpose of background checks only but must be blocked to be unreadable prior to posting or any public view Read carefully This instrument is a sworn document Type or printwith BLACK INK An extensive investigation of your background will be conducted False or Incomplete answers cc uid result _ri-n ioial prosecution and the denial or subsequent revocation of a license or permit. _ --- of NT OR MANAL'.ER EnC-i PERSC;'.C. pLETI`..> tHis"oRM MOST S::EGtIT 0�14 s► JTA,iNED AT L>CLI cy"t!:;v RPRINT".," r,,, 'BE Deg,* Y i �?rs,.q f IC1E Li,,,,, R°\eo BY rit i-{ THE t '=;z-, ;tiwr.T 'ES,,i .. � . . _ �v% ,•..t .. ... KT /`T rcOv CE THIS Sc+R1.rCE Effective 1010/437 there is a S24.00 erocek,Ong lee for each fingerprint card subm itteit Liquor License # The fees allowed by A R S.4 44 6852 will be elLamed for all dishonored checks. •').-:, ,'/-',-,-,c.----- (If the location is currently licensed) • Check + IControlting Person 17Agent 1 E.1 Manager(Only) appropriate f' (Complete Questions 1.19) (Complete All Questions cxceot#14,14a&21) I box -----10. 1 Controlling Person or Agent must complete#21 for a Manager /_ Controlling Person or Agent mu ' i i , i i'ct tJ•nt'i= t {{a Public Rec J�.,..riry N IrC,;r Drivers I':erse a Stag ,, -� "ii a public record) Y f fMOT public recor 7 r F-CP^ F r'i i j.,.1. /4, '- /1• .� f ail J. :°� i Ft /( ~ c - F. Ci'. ^a Count (not c r,,a-,ai`_ 4,s .4. S ng.e O 1.1a' ed 11 - _. 7- :L.;. 'c`.S' _i '- :::-,-*Act Ph;;n',: /, '/') `(j c; . :.a- e Lf`;t'rre'+t c't.1C)St e,":,r,.r :'- so ,_. Date c/Er' i'ist all•'cr Last 5 years Use addrtonat sheet if necessary} e35' *its, M:ddie r.t,def (NOT a public record) Y.'+U a-c a.`i0 3 t a fCSf:'7 r't c.{v;n2i C:.N' /t7, y,y�lr[-. -z._ If Ah una date C`'estQRncV , C!' r., -+` ii., :.) III �. ` TpFykv,'.e 1.:"Stier to _- ':a':.' •0:,c., 2. :r-o...c t c 'a s .,� ,,.'e lei•r'7 -f r.7 rr i1.=� 5 v1 s :rf am;II.125'.GI'_'�y r7r R��lf'.15 ilk .. t`( � .s`r.. L� 4,7 ' .4 c• ...--'Y a')A-2.i a .F ' - 'u. „- __ .;i'.'"t's 71 t^?it a -,v C'JG Jr i•rZvna dr sr 5 i.cense:Cr.0 tar rag.q o' , -?-d 1 Na-,e r"!;_.r ,:cif) r. S.,e _,,,:, E14. , / i,'a 1 _IV•-• _i,e..,L ,F E.irtsesPhr, .. j __ 1 . 1 r< At, ` y r t.wCtass ,rs r.al tse P{ 'Rost ai C,ry ",,.,,r:•}J, L_,p3 :. L.5'1.`•,'err•.C, Ent 3 N :e b .^.=ss du^irgs tie�awt` .,. 's If L: 'Pi:N o of the-Unit?. i..1 f"L:sc va._'s List most.recent 1st ' FROM 1 TO i DESGR,BE POSITION I EMPI OYER S NAME OR NAME OF BUSINESS Ir1-r• r: ?t OP SU.SNESS 1� L .1` ha ;irte.f „ } s lJi2E ti" �._. _ tt Ai) L Ji .: _i_r'E. •. :.... r t - ''.� ,', 1r .--4' ,i r' 7Y f'xa: /sue- .J J�.S'r,•i-. ..# J 1 ._ r ` �''.-•. - ,2'1 as ,S ¢: �"'�, ''-�•,.! /') - /'� - I • .r-_ `� t .LL a ..._.T"t- '/,�i ")�.x �'r i rii r, f. l J ..I�I' .ro ,�r i +�.,jr" al.'!' -. f/,r L' ,f r_:�f �3'7 r' _ ',.' i ,e1= ..,:`7— ., 7,,<'_tr':..,,A� -',. ATTkC}'ALDITI NAL SHEET!FNECESSARY FOR Errf ER SECTION S L-,.:1 sive ,o41r resv.te is a:lx'ess for the as'r.,e i fir3'a -Iv FROM ; TO 1 Rent or RESIDENCE Street Address 1 I I I..—:- r "`",_'?r 1 OWn I t .i:i . - . :.�-i_.i.Y,''. r e S_ ..,..-,`e5tl. .r'i�-le r ner it ✓r ,.a n?,„to r 1 Slate, :,r ) j, / , Ct.F . .'1}, . /-~ ./ , , f ;rr , .1 r'f�. "v -<- l't '''d r,' i ! I 1 a! »a�._..-'�-� •f ' 9� ^"'-' - ..'_ iL• ` r . . i'; f rj.. - I l t 1 i I I L'C 0 01 5'24'2009 0,sabled v''',,iduais requ--la spo-iar aCGO^Srr yOgGOns please cat Ina Oepar•*nent,t502)542-9027 /IN If you checked the Manager box on the front of this(tuna kip to.#15., - As a C 1-nr4 Perscr A)ent yo„be physcalry re sera arid operating',,ne D ern,se$ ErC'ES QNO YES ho‘..mar ••`,z` arv.3 answer fritta below if NO Sk IP*0#15 • -Oeci a,:',LLC-apce.o Lcuor T-an'ng Oc‘,;•se vatthin the past f:ftats% Mut re KES ONO tne ,nswer to al 14a is"NO',course must be completed before issuance of a new license or approval on an existing license 15 Have you been ctetained cite arrested indicted or summoned into court for violation of ANY law or [2YES Li NO ordinance, regardless of the disposition. even if dismissed or expunged within the past ten(10)years iinclude only'raffts violations that were alcohol and/or drug retated)? :here ANY administratrve iaw citations cornptiarice actions or consents criminal arrest indictments OYES '..:4rTirnonses RetiPINQ against you or ANY ent:ty In which you are now irmolved? '7 Have idu or any e71,1-,,, in tvzh you hatv reld ownership, been an officer member director cr manager I.Tt ES 2'140 EVER rad a business prcessc-a or oquOr revoietz_si,isperited or fined in this or any other state' 13 Has anyone EVER fed suit o-obtained a ..iddment against you the subject cif vitt:oh evolved fraud or at ES Yr:40 nnisrepresentatiro_? - . tyzfi 'ted rship, been a Qonto:IIN person been ainccormember OYES 21:1:0 • _ rn citler t-sitAgir Itc .ii5g in this or any other state" 'f any ansv-e- coi*:64,45iritth.,AI is YE$-; MiL:57.1ach a 15i-St901.044111.g.t dates,agencies evolved end Oisoositiors SUBSTANTIVE CHANGES TO THIS APPLICATION! WW1_ NOT BE ACCEPTED •-• 2 • i i, .j herety Cec1;i'.= 1--at I arr APPLICANT PEPRESEN'TATI'vl--, 'Ing this cuestionnaire I nave read hIs .e.sPcNnnac'e ”d all iz:a'crrcris are-ri:e and complete ccu-t,cVY 1L1 jcl., 410110 NJ'e •L3 ;ZS Cm:1y- 4.4orictt Year at `4 -1.1fe of f r'ut)L7C1 COMPLETE THIS SECTION ONLY IF YOU ARE A CONTROLLING PERSON OR AGENT APPROVING A MANAGER'S APPLICATION I The applicant hereby autno-izes the perscn named on:his questionnaire to act as manager for ne named luor icense The rnanager named must be at ;east 21 years of age State of coxty,Of Tre toregcing .as bolo?*—4:!NI dav cf i•E -d • l'Ear - • • a.4). ‘I(II()\.1 S I t 1 E\1F.,A1 OF CITI7_E\SI111' .t\i) ALiIE\ S CATI S FOR STATE. I't Bi.IC' 13E-\EFiI S Pruft•.•Iunal t kense and C umntretal I. Ict:mc 1%..rartrii.nt t,t I iilut r I ►t.;..n-c. .ind ( "tttr: 1 i :,r+tc' -t .'I, , ,I..a,1',r:r't . 1,. "-i,t t , e').,t I _^Kl,a.0 .13 frl. 11 • t If ..j+t,rl t' '' ' ' h •p,ti,lti i. Thl %tills ilh►r_rsa-", Rct t. ), .,.t 1 t t ivrf, 1t=•t i 'i 1 S t ,'i^'- •i- ,1., il' Y1/i„ ,-;r, 11 ,,,.1. tit:)`. ♦+311 I hi"; hilt. , ;i.'.t - t •1-It,1 \,,.. i, ': .1, ._, 1,ti ,n., r „ c\tc'i ti .a'ii .t AL...n.0 .i t,F'n•e, i.,h pa tttvt , 6 i'r.,;t,..• . •. t, i; ',t1 1 . r i itr rrti: t Tr, ir,! •n .•. I,f ,r t_I ,1, 11': . r -,•1 •, r , 1 t r • ,t,it. •., r. , „ ~alt . r 1 , tl h,t.h it ,a . It, 11. lt t 1.1 tr.r . I 1 I , '' i i ,tc , it ., .. J h• . NI.1 ,-., t +,.•a; ,t.;: _ 1' "a X;4:., 1 ,`_. . ,,, . ,1 ;.::•. i „,r,,c.1 ,I•.ait 1 1t. .:'n r,..,t , * ',.,4 _t:, ',. t t. .'ed "ate, I)trecnr,n, 111 tlap}tt•tnts r-tust a ttlphte `cations I. 11 and 11. applicants t+ho .ire n1.1 I '• r-tttit11i tit- :tan,ttals •oust tltu complete ' 1101, Ili submit this tuntplettti form and c„p% at t ne or mare tlr,rutntoe that ttidentr our &iiiit nstlip 5,r.itten ,t thus Nirtt sour applitahtin for htcense r,r renr++.tl 1 SI ( 110\ 1 — 1PPt IC VST I,\I•()12.11.1t'1()\ ____I \ , 11 PI 'If 1PPI It 1'g , /4 ,^s, )11 11 11 1 1.1( I 1 l r `I 111 i r IN1f i''ltit `.'-t rj ' E( 1I(►\ 1I - ( 11171 \'iiIPOR \ 11IO\ 1Lt I '111I)F( 1.111AI1O\^ I)tfet hilt, .I,,h , ' 1 . , i t "Id• _, __ i 1__,• . . . . . . i•I 4ttit-1 t -' 1 .f 1 1r , t , . 1 l ')i., 1 11.:.J `,,:11c', !.!I4.1. 01'l1 / \ . , i, 1 +, 7 . . I r 1 . II i:3.7, • ., , . . .:.i _. ..• ",, it 11 1: :, ,. 1 i. I ..'t . r_, ►.lit t .. - . . ",.. 111 iIN i'1 1 t _it i)'I 1ta II ("1•1- )1r•, a I' 1 - '-i--("Ti()N iJLLF s I.+4 Et Elf:C.1.112.k Ilf)\ Oire<trotr„ 1,, Li. , z : . ; -(,)u.-Ilifierl Then Status I s; _ rik, -titri tIA.;;', 'ON t. r ; • .• t- ;;;. .‘r 'ki I ci1' t.... r ' - _ti7 1! , t s‘t t,T or.- L r ,-- • ‘ri +co, _ I .1 tlik. INN . I ; ' : ;- FI - , ,111' I. 1 1 i 1 •: . . •..- tt ! r--- , ,,r,-; : ; Noturtintigr-tin status I • _ Lti,„It • I I • 's•N ' r.**•*" +11, Ia*.•%l. :It:, r • p;;;;-, ,S I I ';;It,,o tarn Paroled tutu thi I trued st;iL or f i}ne i rJr-i,t I s s21rd -kn . t.„1,0- 3I. 1 J , t; I.; . 1.1; - • Oilier l'er+4 ',11,1 , 1r1 fl 0'1 ' LI • I = :1-0L n ' ') ' • • '•*'•t•; • t I • . •t.j 'I .11,11 t f . ; 1 . ; 'S ' 'At.1 I \ It 1_1 Ito; rt „t, t r, ri OtherNitss‘ I avJults t It I tt-Lti , I-• I 3 is I i\k ulk •ri."-LT.1 1,1 hti (NI,'te's P1 rile kderli 1)Ln sonal ,in,1 rk ji 1„11 V./ ma., 111 11%3; 1.,,er.,„ ii .,lus Into ,1,11_11hic for IftQnsi It. S 162I(a) 2. 7 eiN fr St-( I 1()N 1\ * In:( 1_114 4..TION Tp.t, ,r,,1 torhkset , I • I .t.*t. the I. Sri:1'J 'RN -/ \ I ‘,1 ,11°S Attachment to Form 1 Applicant Statement EVIDENCE OF U.S. CITIZENSHIP, U.S NATIONAL STATUS, OR ALIEN STATUS LIST A• U S CITIZEN OR U.S. NATIONAL Nc'e :n tr,is tstthoerrr Ser,,e-e" refers to .• - 3' I int i st \mr n`••• \Lim, I t t- 1,1/4 ; t itut‘l I). imi , H 4 2, 63 41.662CI ;L41.1z( i.',I, • „? 14,1 , .4)(.,L, 4 \ .'t( tIi illim.J , I R. 13. . a\‘orls t Tronark. ; 1.1 iEfr 1 \LS i'3n4 , • ; 1,\ttacn,-rent -41 Evidence showing U S citizen or U S national status includes the following: a. Primary Evidence bo-th g .11 ore or toe 50 states, the Ct. 4...f Coturt Puert-i. Rico (en cr aniry 1-3 ' Gunn, the U S isii=ritis (en or after 17 7), ,.1 rib !1 Mara Is14-1:-:1,-; ton or nitcr NO.tetlfitt:r 1gS6 Ntrrtncrn t-t — r' s the Vrrt s bon _ .3f hi-t33 • . «•17n «FS-240" : Sf.,'„Jed hy t'ys Pep3rtrier't cf a ! 3 fo;eig' Ler' ur Cert . • , - • e f `":rt% tt e D,eerfil r"."..•ri- C34 St.c.tc.- N !;- I r'4" '• : ' ' tatfeilCarc tis,o..,0,,ILy S.e.v • 1983 !lc CanacPan cr Mexican border 3.,/f.10 reeded ,t 1-,' • ' - • I; . d r F•tri. er/ 19 74 , 7 '1• -.. Card (13-.siserl by there to a Nortti-rr anaaa isiarac Lt.,40 1•7,,,(7sh • .• . 1 •- 7 _ - .,c11 t,,t-to • t • , ' ' ' . -3, ; St:3t,_1113:',t I - 14 S „!t.LOi 3' r nano. ' ' :I ) 0111% ' t•rent-,(- , • , \a. .3 .nt 1,, I HI,- 1,i!, • t b Secondry Evidence t're .appiicant can-3,,Dt tar3z.,ser,t r.2 -‘ !'ne. doLurt en.s 1,s.ted ;n (a; abe3.,, , the fc..1101/4, ng •-• I;ed upon oa93-tdbli h U ' ten'-b-p _r U S n ttOraI stAtus Rel,g( ; r"r rd r-F3(..orde4 , .-3no ,t ttie0 sta;es, the ()strict c' Picrri a ca --.:ruary 1-3, 1941), Gutva tt,e U S Virgin islands (ca ,,tter 1.3nupry 7 1,117) ' 'Jr tLe., Nont.cro *Idoana ,slands (on ciftet Novo.,:r3t-/-.- 4, 1966, Ia ro lards )47.31 ta-lei (uWe:ss ta a)roic.-Irt . as Dorn t4, tcren d plur,als 3 p.,t-5CtICOCI-1) Irree 3 mon tb, slur birta shoo.,r g --hat the bi-th r. . • :LI ' ,d tt eto of b rtn or the ir,...11,4 4.1,J01 ar)e at thn tio !.13- IV I t el% • (,„:7) rzyljerrs:e ;: er.:( cy'rn-"r! ih?. (.16teirr" t i7 I- scho„-I (r)rece;r•atriy from one hrst silo-or...1 the dati"' sc'i-ci, the applicant-5 date end Li s oiace h;rth and the 'roe(a) and ores) of tHrtii of the al plicant c oarerts( ),• • (.4) Census ft-fort! .1) irq na-n? -;atioo t•?: ur e1.; $ giar f t) rth 3nr1 apoi s date f birth or age; (Si Adopt on a';zat On pars shong the abpihre.nt a na,re and piece cf birth i hno c'th4- 50 states, the District of Columbia, P ierto Pico (on or after Jar uary 13, i941), Guam, the S V ran Is "d5 (on or ei'ter .lanuary 17 1917), Arnerir-r,%n Samoa, or the Northern Mariana 1slands (on or after Neve.rreer 4, 19S6, Northern Maria ia Island:t• lryiess the appl-caint as horn to foreign rj,v,•;;....r-'• s reSit3lig in surf" a .7i1.;1-•,' - :7, On% -.17-len the adI-oa 7:1; f,rairzed and the St-,37,7,- .., -7j h r;7'' 5 FIC17 •-•••_-•eesie a b"rth cartf rate priPt to frnel •••;'-.aternerit from d oi dor-oved adoption at"icricy ho it's name and L . r s,Jc7i ,Jrisdict 005, aod statmq ifrot the sciiiree thc. irft;4-mation is an •-1; t rth cor:r •o; •!; • r ..Ity...s.irt)e,it that establishe.s a u 5 vaoe C,r t-Jirth or otnerwse iodleact , u S • •.; , a -„r_inti, ,•-np•-•;ra nr::,cor,s1 of torth :n that hocp•ti--)1 ;r1 on,' s, th D 5tnct o Cr.durnbia, Puerto Rico Oil or after Januar/ 13, 1541), Guam, tie ;4;:•; sands or after lanuan" 1 1917), Amer can Sam;a or the `‘...urthe,p • Is (on or after NO,vertit3fr ;, 1986, No thorn Marin••,••-.; tarai tiro ) 7 •• : ,t .t•-•,dS P.;orri t. fore •. : , ,r c. collective Naturillization ;f the applue.,It carrot present f)i•);e of the Jo-c, ••, ; ; • • -.nc fn. ow,r i .V1 I S r '(--tt.,...ethp for roili:C.P.ury Puerto Rico: • E,),-ider r 9oerto Pttco or ate. Acin 11 11399 _tor-ar t r.f._ or she ,„ies res.:ding t , iJSposses.n;,'""- P ;••,-•;•! 13, )41 or • F_•- derce tnat the it • 71,5 a Pz,rTo a;, • • cr 'he was tao (Jiro ii Pue.to Piro .-.)P ' arch " ,L;• •! • rf allegiance. to Span U.S. Virgin Islands • 1-v‘ erice of Loth .n the U S -ow ani„:" , 7 !it 0 resid.f..-•r,ce .1 U e , a u $ thc • !! 7.71t:-7•;.1.-: -7, *.% • applicant ;" •, 7. ••_, • 1"; , :„ , '• o os a Dar•sh or c r, i 3ar-itia-)1 17, 197 7 anti r U S , 3 I.; 5 i.- •-‘••• the !_z S ' CS :7•-•••3 4-3 17 a.-d 'ihat or she Id r)-ol rnake -:cioret . r •_•,- t-'a ,,ta,ii Liar • E_-..,idc'tnc-c: h.;,r`r, • e 17."land wail the ao. cart S .stathr t -rriscat r S t•-• r.r the (,r2.-e,, !..-1:he 77,1 ,Tt„-s: 25, 191,:' Northern Mariana Islands (NMI) (formerly part of the Trust Territory of the Pacific Islands (TTPI))• • Fvldt-nre Artf• ;ti. 7: -"' , tl'e Jt , the S cr te,;•r-tDi F." , ; ; •: !••, the tothir ,t it-at r•r :,; to • tuLr1 198?: trre) • Fv-den{ ;-;f • ti-,•_-;r‘y) !,•:) Ai 'The ',"•:": <,•nce befr."-•i". ''.1overnber 3, 19S1 (NMI toc,..; ,,2rustrat!cr, r aithary 1 1975 and the app'colts stat,,:rne•It that he or alie•aience ID 3 fore"sn ,,•-•tate -4ovember 1„ 19S6 (t4r-il •ocai time), or • E•„rdep:_e 7 ,•,-.:•us the N4t,1 ,..0„on h,,fe,r-: !,--;,--nt_yry 1 9 - nqi -;.4.11,1 -t is :7 • or 'Zit'I et c.),re al"e.grahce to a ••--r--;,••;;:•••, r; . tsr 1, 19.96 (WI cr.-Tr ticri ) t oers,-:n ior. tts %MI 6c 7, , , , 1 It e Nkl; siece :Jar uary I ] :•!, '';,c does not - • 1"1+'-‘-‘•".•us do I- , • •:• . 7al is OCt a U S d. Derivative Citizenship 1' , "11 i ; If:ai'I ,ri^i:t r?:ii i f ;'t: FT- its to _,,. ` 1 r ho ;i;ed to ml?ak1; On of der"atii L' t. S tizensbio Applicant born abroad to two U S citizen parents: Cvidenr= •;f th tU S c tizC'c•ri,p of ;t arer',' and the re at.:, 1shi,; rif tte ad: Lant to the parents and cQ''c once that et pa'ent res ded in tne or an outny ng possession prior to the applicants berth Applicant born abroad to a U S citizen parent and a U.S non-citizen national parent. r..c'ence tha- nne parent is a U 5 citizen and that the tither is a U S non-citizen n;itronr'i, •_\•idence of the rc•lationsh'p of the app!ic.art to the U S c.tiwen oarent teat i S Citizen parent resided !n ti-i' I) S., e U 5 poscesSic.n, Amer-: i Senioa or S ' it c lyl,?nr� err a Ticrod of at tea'=t one year or,0` to the L pc''inant s b,rth Applicant born out of wedlock abroad to a U S citizen mother- dknce nr t`1e i l S tize,ish'p t'f the math'er c'c der ce cf the re'eticin,hip to `he pt:.%^nt grid, 'or births on i_r D'eer4'ber 24 1952. e:denc that try 'r:ther resided in tr e .i S Fro, to the applik.ai it's lair tr r for af'er t"iec emb,_' 21 1 52, e'v dPeni.ee that t>'a nether h.3 fd rc':,d i it rii:'r c.: t 'r'. :rl•Lt r, birth !p tt'Y it S or a (..j '`• i`�4�sysc �,L„1 a !.er'od of one year Applicant born in the Canal Zone or the Republic of Panama • - rt.`I ' - , =ir. :,t'.;.'..r , G.rtni Ir `'`1' i�ainal Zone on or tter Febrdar S a ' / 26, '504 Ord DC ore 1,)79 a t'nce that one parent +'gas a U S. r'tizcr1 .it the tir c or the r'iicant s berth !)r • hirtit .,rt ,'.,-. ,rvr I.i !. it;= :7 ! } nrL ICQ-_ _. _ to h 1 k at*i�� ,c, :. Panama on :r a t1 r c� ry �v', and trot at leas- coo _ar.. t ,'as a 1.i ritiz r i T toe I) ', gOr or the Panama ?dIIro,?..1 Cto—piny 1,1 i!1 t^ ' I .i'.r in iT a. 3 t 11 ,!I 1-11-4.!1 i. N •-•( ci 11,)... f iti., b.. rt. it`. ".i i;1,1,1J i.. p'_ ;"i'!tt il. l.t.t' I .1 it • t1 t ,.. 11_i .1 t .c I'1 '1'. 1 i ,'I i.ti i mot• ;Li I'a..i tt11 r . i I , '. • 1t tl .,e !11. l 'r I"_ 111.ii.4n0 I'1 ,_i .). ' t U JL'.i'.,ri is , ,t `, ii, , . e. Adoption of Foreign-Born Child by U.S. Citizen • ,1 1.r.._ t 'txl '_ter'ri�c'te _Ili_,.._, 7 r r ;IJj{ of t. . t _o' .. .. •I-, 1 J be a ' hir'1"e f c ° _ :t`,'('r t U ct u E rit,'r:3 t,.�il ' .. '._n-r.`p, • G.: ,1t.t- f'�Y:.It]ri , I l''r:'i' ..t 'L. n �... .,rl. :�, 3.iC t'Cn :r I _ _ tizerl', •', , il: . . i;_ i r.._ 1't l i/;, r i ' 1 C' - - 't i "r I` _ . , fir t:, t tt i Ji4-1-a,-!t t,+:Ji ... •,,. _ ilii ll a r U S Citizenship By Marriage A ,\orr.on iir[IC:irt ri tt'to_'tin mar r' ' L ;J a U i I.-,on efcre S:�,.'i:. )? 1'122 Pic!,ide 1. ..,'"' ,_ tl'-' I•t! h'ir' , ,i c,{ -i r'r -rail-rage _Cf0rc `c):or 2' 1922 ...te it trl.. s('.t ,., _ , .,r.. ‘,Me. c- tt 1-17'r17 nod r31rPJ oefvre SeptG rnee, 2' i 12, `.ne .. 'e t,� a[qa 2d iatL at :d ,tiee »trp na ire,e term rate°d, th '"fe ha,nta Ld 1 ;r t a :at!_enship Ir s,,e was retarding rt the L. S a thrt lure and cor't r .ed to re' Pi_ {'ci - ,11.144 .0.14( LIST B: QUALIFIED ALIENS, NONIMMIGRANTS, AND ALIENS PAROLED INTO U.S. FOR LESS THAN ONE YEAR , 11, a 'Qualified Aliens' Alien Lawfully Admitted for Permanent Residence (4 • ,L7,-2,1iStrEf.•,:' CT i747 :7 I.Jr :-.; red re rpc4p",,, I 55: Ft2n-p in tOtefril • - #1111N Asylee 3111-r'lte:1 1:it L:t-r ' •F-2.- 6Pis3 Er, ,t -Li 0- t's*,d "Ci 121 iI 76b (Er'% ":,tr r:sr: -* r it A-,y1J 71 C" • : • . • i ;,r• !r;• 1 • Order of an r rr drat on it)::ge yam: Refugee • t-,)rri c.J1 c,Tateil .1.-r 3 207 • ;• 68s.3 (F,), , t •'• 27-0 12.1,70t!• ir Alien Paroled Into the LI S for o Least One Year t • - c- tcert Alien Whose Deportation or Removal Was Withheld • r:-n I t r ly e 271! ir- ,t. J t) - Alien Granted Conditional Entry • - • " rr,r, r .3 03(3). • - (Thr-1) annctate,.! 27-41 '; r • —7 n 7=-7:7 7-•• :Cr ',.jr•::',..tner A-- Cuban/Haitian Entrant - r " `. • I ; • • • i - 1.4.4 Alien Who Hac Been Declared a Battered Alien or Alien Subjected to Extreme Cruelty b Npninuniaront .3 c 7d -; r r. cirr!rt _ Alien Paroled into U S for Less than One Year • e 'Aitvi .dµ.. iu1 ' d tl 1. IIP It �,; ' �_}�yT `f CERTIFICATIO IN 811>]�.f�J_(� 7 r �L_ w y4753 3 11��ab idiiN� f' .., f„ lt,'a T lwwP\� l �d �iif� i^�" .4A•n Rt(ti'Rrf IT(4441.41 rY1idt1Y„4144441. f Y!Y`i641 ..,:• _ir r,.� .-;:ear .f.,,� ,)f1 ,1111.�001,4,1 : .. �x• C g ' Y fh' / •. T'itt/1'T4►' ri fYrtiTld,l,+., 1 i,(t 51i {: \ ' .. ,�� ., .,, T ( A��,c� � 1 _. . ,i! . 1 i 1. , 1 --IL, 4 ; I; i / ...Yx .l .. I''.. .1 , ' �'tt' 1 .,,I I„,r - hl , , 1, ', 1'4,..w c ! ( • ,,1 15 1 : ,.is I. i l k 'I Nv 1. LI st I —). .1.k ' ir6..,.�: ,,,), ; ! , 1 ;,; 1'v I,; 411111.1111111111 ''sill 1 ItJtAk ! ',I. I 'YrI'' ;I2 z ( ( �vlla ) y3 AALl I Iii i I. %'aL1�+6,,1!! I I_ / i� ukrq� - 1' ; Cr p �+ t _ I, •.i( f ❑" 1:1. E. i ! , Y t' fie l I 117h 11' It i • ,i1Flk I, I 7t_L... �.. dirt h ; '_� kl +V .f • t iy ,I1 l - _._ ___: W btt04', f -. v Y Uvz %4 f 44.4.4444 ,41,14.0..kuz /t'.tiAt.mt,b A4skx.x..44,.w8::It tmd,gs,Mrtk..?U.04,4, 011,/wl. M1adJ r F41 rPi tit. ' t ` \ ON fr i .. J ..ERT F;CATE OF TITLE 4 TRAINING COMPLETION ! 416';' ''''''''''''.;r 14t,(.YK1, , . ....--- . . 2, , -- _ T, -_7' - .-., _. i .. ` i 1 f a fit.7 ;_55 EAST 'ar,"HE E :`u 3Li1E 1 1 1 TEUPE A JJ . JEFF F.- i T EF . t . -• - r • • . • • j••• • • . t 1` r2 " JSCc7— ri _ — - . _ x ‘1101 - , NO1131dv%(:)D DNINI!VeLL t 31111 dO 31%01+183D ' 1 -40 t-•• ' - 0111% eliNt ARIZONA OE PARTMeNT OF LICK.10Ft LICENSfS& CONTROL v./%.,,,tgstvngtc,n 5,n te:o2i 542 5141 QUESTIONNAIRE Attention all local Goverring Bodies Social Security and Birthdate information is Confidential This information may be given to local law criforceni.nt agencies for the purpose of background checks only but must be blocked to be unreadable prior to posting ) or any public view Read carefully This instrument is a sworn document Type or print with BLACK INK An extensive, investigation of your background will be conducted False or incomplete answers eiN cc-,.,d resent in criminal prosecution and the denial or subsequent revocation ci a trense or permit _ .- ,' . ' • -' • .-- _ , ,,,-,-..,. ', ..,,,"-Ill ,.,,T 1..T..41,,,,Toli FlAi.i•-t FE.RS;i'i; ,t !; - t _- .'' - it -•it-'-- ., ,'-r., '° ,t_- ','•'•/ r.i: ._.'"-.J.T-t-114ECtAT OLLC. F'1*Gr-PPRthrti/aG 0.1...:',/'''' , - r ii' ' : -' •-; ' ' t---'--- t': . ' -EP• C itsFPP/DcED BY IX1 C THF r.,57-ARIMF I:--i '-•• _i 7 t—. - E tfecti.e 10,01 07 there is a ,724.1,)Tracessinq fee-for each firtoeritillt;#14...4,1,Lta.1.00., Liquor License # The fees allowed by A .S.4 4,„1 JAI:,will be charged for all dist iceci ,rm , the lilcation ts currently I,cenf.r. ,---- - . ' Check Co:trolling Person 44Cg;Int ' I. vf: Manager(Only) appropriate ; (Complete Questions 1 19) ; (Complete All 0,s'estions g.....usd o 1. 14a& 2 box ----* I COntraing Person or A.gcnt must complete rt21 for a'Ylanager 1 _Controlling Person cr Agent must complete , , .;,. .; •:,..e ic Recordl . , iNOT a public record) . T a public record} 7:7;7 Country . . , - ---. -- - ,--- ------ '- ...../.1.. s ,4--.. I -----,j?t- , . , ,.- ,,,:,_r-/ ,-,.1____ '- .• z 6. - jilliiiliP ‘.:; i?st 5 years Usc'adefitrlat sheet if necessary)/ L.J-T -•".,,,..,A l',.-11,4 ' ,. . tNOT a public record) f...0 a, a....-s-a 1,..,-.,f-..vr!..-- .. • . '--t s..,1,....' /,,,- .---,, ...,.• .. I'A.7-:-. 1 1..)(‘..._- :-_-----..•:.1e---.c, —i '--7 ---, , IT,... -• r - '•-.'.-;•T-- i ' ` T" ,- - , -3 ' 1 -; - • - T ' --, . '5 -_ L'... ' -3 '''',. ".:-.: .-,--T --2."--/"4-..' ...,:_;„ y _ if ",-; 7 5-: ,, _ ,„_--,. ., 3 - ',.. .5,5 _.- t IT , .' ,-r '. ',1.' 3::. T.' i --.T-..nrr, -r .-te :.--3;:it ro-.,1 -'-- '7"-: ! "!` , - - -,-..f .,-./ i C' ''WS F--'' "-- ."!f./ ' - ' •--- i • ...,;4-;;..-1:7-L - ,_,,. ..r "IS — t:: -1,--,_ ...„ '' /-• .. _..,. ' . , -./..'_Li:: _ -,..:'..-_,/r.:.,---1 ..-..7,_" i-''' -- -' . t, -- ; List most recent 1st FROM I TO -ESC:-!PE 7'.....5-1!:":_!ti EMPLOYERS NAME OR Ngste,E Dc• 0.4E53 _.- i ', .,_ 4 :-, "II , • ' , i . , / •-___-___2: = ,. ..... -i--!...-...,........'_...- -2-._,...... , ! 1 i ! 1 i Or a AC r" A.CCITICUAL LET::.•,-i 'f- NEC,E—cS,a,P(fr)Q EiTt-'7R SEC -,„-:::;,,,,- pt.) , ',1,.. '•'... ,1,,'S l' I ...... 'T FROM ', TO ,Rent or) RESIDENCE Street Address I •' - - , '"' - ''', ; Own fi4 - ,,-: :-. ;!.-t-t A.r.: '-'-1 >, ..,..! ..' t 'a'ti- ,--i:-.i,.:is ar, : i_.- 1...• - ..•'atc_t_,..z.:. ; t'./' ,,--. — I I I I '- _ 14,f.„4, i"._ 7- l . ' 1,y, ,_,—.7 1"..e.-- t: e 1 f 1 I —____ i _ i ----- —__.—._ 1 , . _ ---- — CC ,.:'. F.::4 V.)09 0,s:it lei I, ' eli'eewl I g 5 v.,:-co'R-e',-Detv-1,:,ettti!"rts ptease cal) roe Do.paiment ,c02)542 5327 if you checked the Manager box on the front of this form skip tqs!14- ., : , '> 1 ,4 AS 3 s_: v ;i-B'+c..- . y s�',;l;y p'iSent and ooerat'.na the ticenseo n 'ses' OYES ONO f y.,r P K e -d ,"ES -r ' _ and answer#14a below If NO •- 5 ha : j... cz..,_ ::Jeo 3 C1L- ' : _a L.3;;. L3,: T a•r,,,.3 Ours=e ' ., •-,e past 5 , 3 c r.",,5,rr C"_ `i ❑YES ONO if the answer to it 14a is'NO course must be completed before issuance of a new license or approval on an existing license 15 Have you been c1et� J arrested ,aioted or summoned in'o court for violation of ANY law or 0 YES NC) ordinance regardless of tie'd;sposition even if dismissed or expunged, within the past ten(10)years {include only traffic violar,cns. that were alcohol and/or drug related)? J `6 Are there ANY administrative law citations compliance actions or consents criminal arrest, indictments 0 YES II,/NO or surnmorses PEN;, tfv against you or ANY entity in which you are now invoived' iliN 17 Have you or any entity in which you have held cwrersh:p been an officer member dt ecior or manager DYES O EVER ad a business rotesor G: ?;ior r er $ d rerr d s ems- ed !+ c Sou at ti-�;;r a��'c R�;, t ..er�s '�ecte�. Caned. =Xe�. u wend cr; ad"' tr.s or any other State' ..) 44/ "3 as ?r', :"e EVER filed SLI r �c 'atred a ,.u'icme rrt aaa' st'..ou the SLbdecl f which .,,L`::;e"°n __:r r D ES tl N,O i_._si•vreserta'ror;7 tz ^ ,. a be'' -;r.r tee. f+ce• �. A i� y u� `VC held 4n eT h teen a V rolling l?2'S'_11 teen an r r ©YES . \tZ it sthe,r l tfy s r‘7e n this or any other stare? ,s i adW15tfi .ugit {mac is YE.S Ytit; 'rGtSTf ii .. r. toil, rrcl td rig Cfdtes agencies :'el've'1 and c spos't'c:;Rs SUBS iAN i UVL CHANGES TO THIS APPL'C A1ION 'i :LL NOT BE ACCEPTED i 4- �-- 'ere -.cy ze, ..,e . at I arn Ine it,7RLIC`....kiii FEPRESEN—.-T 'JE - I have sad his quee`c-in?ire a-d all statemen's are'rue correct and co^'.lete ,x }tom f r __.--�- ,. �e _ :._ , r"Mt C,_.C.- ce COMPLETE THIS SECTION ONLY IF YOU ARE A CONTROLLING PERSON OR AGENT APPROVING A MANAGER'S APPLICATION _1 The app.loan, rereb auir c :es`."e'f etsc". named on this d est•onna`-e Ic act as,r . na er fcr hc'. ^,ar^ed i.q,l_ :E.-se Tlie manager named must c e at!east 21 years of eqe E sia..,„,rAyzacia__ c...0....,,,.,,,f__03._otrt COAO 0) „...„ (31 X 3'"t k., _ 7(/Y/JOn!c .^or A'* t ., cc c•`e �r-- t,r ,.,�, _-_- /vzt_eS _____ /146 , _ 4___,.... \ ___ 1 4T1� t,, --Ci— n:,$,�..e'.i'e17:i rky-'" f,'�utJt . i e rs .„ CERTIF:C;,TE OF TITLE 4 TRAINING COMPLETION - •••-•--7:1'.::• - : - F'7 en • - , - . L ,Sa 1•Irti 2 1•i1 t ERTIF;C, TE OF TITLE 4 TPAr;! JG COMPLETION • • ^i • -73 v 3LvD 1 i{ TEMP-E r-,TTEK • t • J J { • • . . . L . .) I i 1- 01- - OF LI ( ( )OP., LICENSES AND CONTROL ALCOHOLIC B F..1%/Fl.z‘AG F. LICENSE -14 License 06 H 0082 Issue Date. 2/1 5/-2()()6 Date. 8/31/2011 1511d h IL JLAN 11 1()MI'SON Agent Jal 1 Y JI AN'S I 1)011ki (..)1Ancr ,\\, 111+2,\IP\.(IN I th.atit,t) I f)S YAQUI Itt)!..N V I I l'R.N I I,AKI \ I till I 't it A I NI I KO',1Ni 2ttiI APACIII I R All IAA ;‘(,„tl I RI WI t I RN S'I I AKIltIt'S1 AND SALO(tN Al'At Ill- JUN( I ION A/ X.,,,7..".•() 25(r.s S' N I II NII'l A/ 8'2'62 1‘,t I si Itti12)1.1,rtitt, I - • • ' .40rha,h14- . T-11, ' • ' , . 3 /t% /0,4k DISOIS47 euEELL $ q. Cie dm.'OttVws.WAXwir ARI USLfCit.4dlXO= :Acores the*ISM It to ftc 3 Nam trim wan mefrsetWtill 9 WM,alanling,MOM UMWtYCOMM,I 4,Rt12l44:t0 I The aef if*oetote_pec �i.M Ilwwri►+► ire S u.`atsir t tMumot mouprAtlr M1tur.LiC iairtucelyera -— 1 Cu 4sisif Woo ksAI=Sabel!timers emir.* emf air\W1entort `r_s dtmtremrmyert'.3CICU3IDAIM MAN AAtRi j wc17l$.aPcial1et! 3 She aim miaow t6beM if the fuiry tttatie Mom mac.Yet•C.mirk 12 .Ames moo tIG Twe Usic Zr t aer!E min,If tidy how Lund m sY air Switaffy t pee,twebt au b ad et aaprlt aolr mime/artlif/UY sokeitori h afottirrs silk are Maas tasimi AIIIt P/Par*Fsegssiiiiibpo,„ yQ{Ltwylylw s4� �asM http : part2 pl"CUM'.t1 AND-•1S:SL.SSIONID-‘11,t6Xa0x 9'22 ;011 xonx1)1vJA Zlirdsi-NlYra3N1dirs, %00 sz)fintri/i dint 3113int 114 imftv 'typist-as amp Lai=lig pain re Aim*1WrAtic AirAsimiiquips SUM 11412 *,40,0) cligt POMO __11211112ralrallUnceirgWilyr.f.laVelAbefepaZi..p. 0,4 704S.9_.21t• NOW', =4,21,1 0 Name 4141.7,1 n 0adamri AOLL414 711 =Lk' :MON ZrZ AIM Ao WAS 2112 31.14 Vit 4Pet; 3144:Pe wok.It l''ffq U MOON IJ 0 0Attsuirt .014/}4 121 •wog/law srnitN 0 111tevo bin swrprrn VRIPORN AAAILM1.24.0 VIIIIIMPIS ION weal thormivro Ill CM um mom Kw ate sit mop 1111.011KAIOMI isikiammio insismasses tASHIN*11.L.C.:MUM drs mavIrroiw mivalusol)SIMINi50 ci Ma* 10111110,havnownstt tw.kAximp4 *wpm at \ ranglit wawa supprie on pillow af pgruori isms rammeri4 340ein troud I ktd. Awn mon 13-nrmiori4 aims INAPJ - - z rit:o AC Pp ti (9/ rihetehe r"=:. v Home of the .Super ctition .tlratr�ttut�t.� 4RtzONP NOTICE The attached application for a Person Transfer, Limited Liability Co , Bar Liquor License submitted for Superstition Mountain Brewery located at 285 N Apache Trail. Apache Junction. Arizona. was posted on the 3rd day of November. 2011. at 2 00 p m Any person who is bona fide resident of the age of nineteen (19) years or more, residing, owning, or leasing property within one-half (1/2) mile radius from the proposed premises to be licensed may file written arguments in favor thereof, or objections thereto with the City Clerk at City Hall within twenty (20) days after the date of posting Arguments for, not objections against, shall be filed thereafter A public hearing will be held Tuesday, December 6, 2011. at the City Council Chambers, 300 E Superstition Blvd , Apache Junction, AZ at 7 00 p m , at which time any objections filed will be heard f Kathleen Connelly City Clerk DO NOT REMOVE THIS NOTICE AND/OR ATTACHMENTS. REMOVAL OF THIS APPLICATION MAY JEOPARDIZE CITY COUNCIL RECOMMENDATION. •loice 1180) 82-80U2 • IA\ (1801 982 7018• TDD(4801 983 009' • %%k%t4 a city nLt 100 f- tiuro4tition pachc Junction A/85219 Ads.. AoIN a ACHE • • ii/ (27. /J rich � f Holm: of the Sup i stttutrt lfourttatttA 4- ptyp' November 3. 2011 James Edward Allyn Superstition Mountain Brewery 5855 E Pioneer Apache Junction, AZ 85119 Dear Mr Allyn Please be advised that the application for a Person Transfer, Limited Liability Co , Series 6 Liquor License submitted for Superstition Mountain Brewery, 285 N Apache Trail, Apache Junction, Arizona, was posted on November 3, 2011, in accordance with State law The Apache Junction City Council will hold a public hearing on December 6. 2011, at 7 00 p m in the City Council Chambers, 300 E Superstition Blvd , Apache Junction, at which time the City Council will consider a recommendation for approval or disapproval which will be forwarded to the Arizona Department of Liquor Licenses and Control Please note that the City Council frequently has questions for the applicant. It is strongly recommended that you attend this meeting in order to avoid any delays in the processing of your application. There is a S50 00 non-refundable application fee that is due and must be received prior to Tuesday, November 22, 2011, in order for this application to be placed on the City Council agenda If you have any questions concerning this matter, please contact my office at 474-5068 Sincerely, Kathleen Connelly City Clerk • voice(ISO)982-8(O2 • I A\ (480)982-70I S•TDI)(4()) )8;-uO9i •«v,w ajetn net 300 F. Supeisr ion Soule,'ird Apache Junction \/85219 NOVEMBER 2, 2011 MEMORANDUM TO DEPARTMENT OF PUBLIC SAFETY PLANNING DIVISION APACHE JUNCTION FIRE DISTRICT THROUGH KATHLEEN CONNELLY, CITY CLERK T' FROM JAN MASON, DEPUTY CITY CLERK.. SUBJECT APPLICATION FOR LIQUOR LICENSE FOR SUPERSTITION MOUNTAIN BREWERY Mr James Edward Allyn has submitted an application for a Person Transfer, Limited Liability Co , Series 6 Liquor License for Superstition Mountain Brewery located at 285 N. Apache Trail, Apache Junction Please conduct the necessary inspections and submit your recommendation by email no later than Tuesday, November 22, 2011, in order for this item to be on the agenda for the City Council meeting of December 6, 2011 /nk Janet Mason From Bidd Sleuike Sent Tuesday, November 22, 2011 12 29 PM To. Janet Mason Cc Rudy Esquivias, Brenda Cherryholmes Subject. FW Superstition Mountain Brewery liquor license application Attachments- 2011 superstition mtn brewery dept memo pdf, 2011 superstition mtn brewery application part 1 pdf, 2011 superstition mtn brewery application part 2 pdf 2011 superstition mtn brewery application part 3 pdfeIN Jan We cannot approve this application at this time, pending further plan submittal and review 13t Steurke Director of Development Services City of Apache Junction 300 L Superstition Blvd Apache Junction, AZ 85119 480 474 5082 bsteinke@atcity net Please Note-Beginning July 18,2011, our office hours will he changing to Monday through Thursday from 7 am to 6 pm,we will be closed on Fridays Service Over and Above the Rest This message and the information within is intended for the recipient if you received Inis vial in error please notify the sender and they delete the email Ema;is generated by council members or C tv staff pertair rig to City ous ess are public records and are preserved according to the City s records retention schedule To ensure compliance witn the Open Meetir9 Low members of the City Council should not forward email correspondence to other member s of the Council Members of the Co<urcc u"i other public bodies rn:,r reply to this message but should not copy other members of the public Lsouv From: Brenda Cherryholmes Sent' Tuesday, November 22, 2011 12 07 PM To: Brad Steinke Subject' FW: Superstition Mountain Brewery liquor license application Attached is the one for the old Los Vaqueros Rudy has issues with them If you need to speak to nun h s home number s 480 963 07b6 He said we could call him Brenda From Janet Mason Sent: Tuesday, November 22, 2011 12 02 PM To: Brenda Cherryholmes Subject: Superstition Mountain Brewery liquor license application i^ Janet Mason From. Rudy Esquivias Sent. Wednesday November 23, 2011 1 1=# PM To Janet Mason Cc• Dennis Dixon Brad Steinke,Sam Jarjice, Giao Pham Bob Mayes Subject. RE Superstition Mountain Brewery liquor application ' Jan On July 15, 20011, Dennis, Brad Sam,Giao Bob M and myself met with Jim and Kathy Allyn to discuss issues and options for re opening the old Los Vaqueros building as eithcr a restaurant or possibly something else The Allyns indicated that their son wanted to re-open the building as a restaurant,and they would probably be part owners We discussed many issues associated with the building,including the building's age and our lack of record, that show how it was constructed and permitted by Pinal County in 1978, construction over the years which was done without permits, the more recent abandonment and gutting of the building, the lack of adequate site improvements,etc We advised the Allyn s that if the building use remained the same(restaurant), the bathrooms would probably not need to be brought up to ADA compliance but we were not sure how their architect was going to be able to bring the non permitted stuft up to code or demonstrate that it met code This was something that they would need to discuss with an architect At a minimum, anyone proposing to re open a restaurant in the building was going to need to bring the kitchen up to meet minimum fire building, health and safety codes,a Conditional Use Permit would need to be approved first before a bar could go back in the building(required by the CCD zoning district),ADA c ornpliant parking spaces ':ith an accessible path would need to be provided, and the site would need to meet PM]0 compliance standards Because it is a commercial property, ail work would need to be done by a properly licensed architect ar d contractor A change of use for the property,such as trying to convert it into an office building, would require that the budding and site be brought up to meet all current building and safety codes, paving landscape and screening standards,and off site and on site improvement standards as well The Allyns said they would discuss these issues with their partners and get back with us Staff supports the re-opening of a restaurant in the building. However,since the meeting of July 15, Development Services has not had any contact from the Allyns,we have not received any construction drawings showing how the building is going to be brought up to code, nor have we received a CUP application for the proposed bar Therefore, Staff recommends that Council not recommend approval of the liquor license to the State Liquor Board, at the very least until a CUP has been properly processed and approved by the P&Z Commission C/ jl o)5gttiviab Senior Planner/Zoning Administrator City of Apache Junction 300 E Superstition B1Ad Apache Junction, AZ 85119 480-474-2645 SERVICE OVER AND ABOVE THE REST (New Office Hoursi The Development Services Department is opcin Monday through Thursday from ? O0am to 6.O0pm, closed Fridays and Holidays ) ...„ Apache Junction Police Department a. ,a Interdepartmental Memo 4- zo DATE 11/9/2011 TO Lt B Jackson#21 FROM. Sgt T Parker#69 SUBJECT. Superstition Mountain Brewery, Premise Liquor Inspection Lt Jackson, At your direction [conducted a liquor and business inspection and review of the proposed site of the Superstition Mountain Brewery of 285 N Apache Trail The inspection/review occurred on 11/9/2011. During my review of the new business and owners I found them to be new to the industry and had no previous violations listed On 11/9/2011 at approximately 1715 hours I met with the owner of Superstition Mountain Brewery, James Edward Allyn (DOB- 12/24/90) and his mother and manager of Brewery, Kathy S. Allyn (DOB.8/9/61), and conducted a site inspection on the proposed property. Mr.Allyn showed me the establishment of 285 N Apache Trail and proposed liquor controlled areas The establishment was currently under remodel and repairs as the building had been vacant for a few years As I conducted the inspection I noticed the desired floor plan that was submitted with the application packet was keeping the original floor plan of the previous owners. The main entrance will remain the west door and they will keep the outside patio and bar area located on the exterior east wall. According to Mr Allyn the main bar area will be located upon entry of the front(west)door on the northwest side of the establishment A second "circle bar"will be off to the right(south side) of the establishment. There will be dinning seating in the bar area however, the majority of the dinning area will be located in the central and east portion of the establishment The kitchen and dish washing area will be an enclosed area along the north side of the establishment. The southern portion of the establishment will contain the stage for entertainment. The cooler area to store the alcohol will be along the north side of the main bar with entry behind the bar. Inside the cooler is a second door that enters the kitchen storage area accessible only to employees A dry storage area will also be available within a secured room directly within the kitchen area along the outside of the main cooler area A second dry storage area will be within an outside storage room The outside room is not currently secured by cage however, according to Kathy they do plan to cage the areas containing alcoholic beverages prior to opening My inspection indicates the following • There are no designated religious worship facilities or schools within immediate area as defined by liquor enforcement. The two nearest churches are Life Gate Church at 555 West Apache Trail and Jehovahs Witness at 255 S Winchester Road. The nearest school is Apache Trail High School at 945 West Apache Trail. • James Edward Allyn Helen,the applicant, or his mother/manager Kathy Allyn, has had /'1 no significant contact with the Apache Junction Police Department In speaking with James and Kathy I found neither have had prior experience with bar ownership or management however are working to meet all requirements The seriousness of liquor violations was stressed and both assured to take additional precautions in securing alcohol beverages and preventing violations. Therefore,with my findings and observations this law enforcement officer does not object in approving a liquor license for this establishment as long as all other laws and requirements have been met to the City of Apache Junction, County of Pinal, and State of Arizona /'1 CFAI `,�' Apache Junction Fire District air: 565 North Idaho Road, Apache Junction, AZ 85119 - 7, N C Phone (480) 982-4440, Fax(480) 982-0183 1 ' ° liEo`s��`� www.ajfire.org /'\ MEMORANDUM TO: Kathleen Connelly, City Clerk City of Apache Junction FROM Dave Montgomery, Deputy Fire Chief/Fire Marshal bF1V1. DATE: November 22,2011 SUBJECT: Application For Liquor License for Superstition Mountain Brewery 285 N. Apache Trail,Apache Jct. This business is not currently open for retail sales The project is scheduled for completion at a future date that is unknown at this time. We are working with the City of Apache Junction Building Division to ensure all current codes and ordinances are met during the planning and construction phases of this project It would be the recommendation of the Fire District that this application be approved We will schedule a final certificate of occupancy fire and life safety inspection for this business and will conduct periodic inspections during the construction of this building to ensure that all fire and life safety concerns are adequately met with no foreseeable problems in compliance. If you have any further questions regarding this inspection,please contact my office at 982-4440 Thank You DPM /OLL CALL VOTE tfili NOTES: ,ice �f I,' bin ITEM # v MEETING OF 51)/kii MOTION BY SECONDED BY: YES NO ABSTAINED COUNCILMEMBER COLEMAN COUNCILMEMBER SMITHSON 1/7 COUNCILMEMBER SERDY V / COUNCILMEMBER BARKER COUNCILMEMBER WILSON V VICE MAYOR DIETZ MAYOR INSALACO UNANIMOUS IN FAVOR OPPOSED ABSTAINED TOTAL ogIN ITEM NO. 10 I MOVE THAT THE APPLICATION FOR A PERSON TRANSFER, LIMITED LIABILITY CO , SERIES 6 LIQUOR LICENSE FOR SUPERSTITION MOUNTAIN BREWERY, SUBMITTED BY JAMES EDWARD ALLYN, BE RECOMMENDED FOR(APPROVAL)OR (DENIAL) TO THE ARIZONA DEPARTMENT OF LIQUOR LICENSES AND CONTROL /,► PUBLIC HEARING /IN 1. For APPLICATION FOR A SPECIAL EVENT LIQUOR LICENSE FOR SUPERSTITION MOUNTAIN ROTARY CLUB#1245 TO BE HELD AT 1590 E. LOST DUTCHMAN BOULEVARD ON FEBRUARY 24-26,2012 2. Will CITY CLERK KATHLEEN CONNELLY speak to the Council? 3. Will the applicant or spokesperson please speak to the Council on this item? 4. Is there anyone from the public who wishes to speak on this item? (Are there any "Request to Speak" forms?) 5. If not, this hearing is closed. 6. Is there any discussion? 7. Call for a motion. 8. Call for a second. 9. Roll call vote. Pp ACHE a 8' lbJ City of.__��C ache Junction U Z Home of the .S iipet:rt boil .%l oulltc71i1 k gRtZpt��' `Print TO: City Manager's Office FROM: Kathy Connelly, City Clerk DATE: December 6, 2011 Agenda Type : Regular Agenda Council Priority Focus Area: Required by Federal Law or State Statute TITLE OF AGENDA ITEM: APPLICATION FOR A SPECIAL EVENT LIQUOR LICENSE FOR SUPERSTITION MOUNTAIN ROTARY CLUB#1246 TO BE HELD AT 1590 E LOST DUTCHMAN BOULEVARD ACTION REQUESTED: Recommendation for Approval DISCUSSION/ BACKGROUND INFORMATION: An application for a special event liquor license has been submitted by Superstition Mountain Rotary Club#1246 for Lost Dutchman Days to be held February 24-February 26, 2012. The next step in the procedure is for the city council to hold a public hearing and make a recommendation for approval or denial to be forwarded to the Arizona Department of Liquor Licenses and Control FISCAL IMPACT: OPTIONS/ALTERNATIVES: RECOMMENDATION: ATTACHMENTS: Click to download D cover memo D application D applicant letter D department memo D planning recommendation D pd recommendation D fire district recommendation NOVEMBER 22. 2011 MEMORANDUM TO HONORABLE MAYOR AND CITY COUNCIL MEMBERS THROUGH GEORGE R HOFFMAN, CITY MANAGER / tt, THROUGH KATHLEEN CONNELLY, CITY CLERK ') FROM JAN MASON, DEPUTY CITY CLERK SUBJECT AGENDA ITEM FOR DECEMBER 6, 2011 APPLICATION FOR A SPECIAL EVENT LIQUOR LICENSE FOR SUPERSTITION MOUNTAIN ROTARY CLUB #1246 An application for a Special Event Liquor License has been submitted by Mr, Ron Knies of Superstition Mountain Rotary Club #1246 for Lost Dutchman Days to be held on February 24 through February 26, 2012, at 1590 E Lost Dutchman Correspondence has been received from the planning division, police department and fire district, a copy of which is attached The next step in the procedure is for the City Council Aisik to hold a public hearing on the application and make a recommendation for approval or denial to be forwarded to the State Department of Liquor Licenses and Control ARIZONA DEPARTMENT OF LIQUOR LICENSES & CONTROL 800 W Washington 5th Floor Phoenix. Arizona 85007-2934 (602) 542-5141 _. APPLICATION FOR SPECIAL EVENT LICENSE Fee = $25 00 per day for 1-10 day events only A service fee of$25 00 will be chaffed for all dishonored checks .A.R S 44-6852) ^, NOTE: THIS DOCUMENT MUST BE FULLY COMPLETED OR IT WILL BE RETURNED. PLEASE ALLOW 10 BUSINESS DAYS FOR PROCESSING. "Application must be approved by Focal government before submission to _:Lt,c USE «v''y Department of Liquor Licenses and Control. (Section#20) LICENSE # 1 Name of Organization Superetmon Mountan Rotary Club$1146 District 5510 2 Non-Profit/I R S Tax Exempt Number r .tioafl193 3 The organization is a (check one box only) ❑ Chantable ❑ Fraternal (must have regular membership and in existence for over 5 years) 0 Civic [] Religious ❑ Political Party. Ballot Measure, or Campaign Committee 4 What is the purpose of this event?L on-site consumption ❑off-site consumption (auction) ❑ both to raise funds to he yiven to worthy crrgarliratuxts r•ent finny the youth of our community 5 Location of the event 1590 E Lost Dutchman Blvd Apache Junction Pinai 851/A Address of physical!oration(Nut P C Box) City County Zip Applicant must be a member of the qualifying organization and authorized by an Officer,Director or Chairperson of the Organization named in Question#1 (Signature required in section#18) 6 Applicant: ' >>; Ronald Harold irk ,1 Last First Middle Oats of Birth 7 Applicant's Mailing Address 11561 E Kiva Ave trtcasa Arizona 35209 �;rccl City Wale lip 8 Phone Numbers ( ,53 ) 4B2-3co2 ( .4 ) (4Ao ) Site Owner# Applicants Business# Applicants Home# 9 Date(s)& Hours of Event (Remember you cannot sell alcohol before 10 )0 a in on Sunday) Date Day of Week Hours from A.M./P M To A M 1P M Day 1 FEB 24, 2012 Friday 10 00 A M 11 fig P M Day 2 FEB 25, 2012 Saturday 10 00 A M it fi9 P M Day 3. FEB 26,2012 Sunday 10 00 A M 11 :,9 P M Day 4 — Day 5 Day 6 Day 7 Day 8 Day 9 Day 10 Disabled individuals requiring special accommerdalions.please call(602)542 9(Y27 September 2011 10 Has the applicant been convicted of a felony in the past five years,or had a liquor license revoked? YES El NO (attach explanation if yes) 11 This organization has been issued a special event license for days this year, including this event (not to exceed 10 days per year) 12 Is the organization using the services of a promoter or other person to manage the event?Q YES {NO If yes, attach a copy of the agreement. 13 List all people and organizations who will receive the proceeds Account for 100%of the proceeds THE ORGANIZATION APPLYING MUST RECEIVE 25%OF THE GROSS REVENUES OF THE SPECIAL EVENT LIQUOR SALES. Name Superstition Mountain Rotary Club#1246 District 5510 50% Percy doe Address PO BOX 565 Apache Junction AZ 65111 Name Ai Mounted Rangers I Superstition Mountain Promotional CORP 25%each 50% Ps17./a+n1ag e Address PO BOX 699/PO BOX 5241 Apache Junction AZ 85178 (Attaci additional sheet if necessary) 14 Knowledge of Arizona State Liquor Laws Title 4 is important to prevent liquor law violations If you have any questions regarding the law or this application, please contact the Arizona State Department of Liquor Licenses and Control for assistance NOTE ALL ALCOHOLIC BEVERAGE SALES MUST BE FOR CONSUMPTION AT THE EVENT SiTE ONLY "NO ALCOHOLIC BEVERAGES SHALL LEAVE SPECIAL EVENT PREMISES 15 What security and control measures will you take to prevent violations of state liquor laws at this event? (List type and number of secuntylpolce personnel and type of fencing or control barriers if applicable) cal'#Police Q Fencing #Secunty personnel [] Bamers .rainail A J FUNer t.i h.•nc,n a.-.^..Il.:ainUn1 Ofticeraj wsl prv.*ie 4e.ovy Fi al gatat and bur..ancx Paternal'tmdef lye irlikker5 wig De n;c,Krr3 r):ore)air with ta::Lrr ID a*J upon ple ring age ario c dition MI bet*n u banded by+i.1 servioo at re'ttrai lomilitm s ut bE'Gr stands 4a.verages may not Go brCuyrtt rn Or ramova i Nam event area The Apart*Junction Police Department will be requested if assistance is required 16 Is there an existing liquor license at the location where the special event is being held? YES 0 NO If yes,does the existing business agree to suspend their liquor license during the time period, and in the area in which the special event license will be in use? ❑YES ❑NO (ATTACH COPY OF AGREEMENT) ( ) Name of business Phone Number 17 Your licensed premises is that area in which you are authorized to sell, dispense, or serve spirituous liquors under the provisions of your license The following page is to be used to prepare a diagram of your special event licensed premises. Please show dimensions, serving areas, fencing barricades or other control measures and security positions osak Amok NOTE Show nearest cross streets, highway, or road if location doesn't have an address po Pt.MI s- phRJt/,�- n NT i.„,,E,„ PAiliG,ER 6 AlrE i 13061-re i //"'AVE" Cs4'f1 'i�' '', i LCfltrref�2 1 Ga Rr T E57ifkl A I E-tv ._...� re-G... i" M+Rsr,vE� EMT ,7,-;-> e e fryriA,„L., 40Cir"“., Cr4TE I GRrif $ I �03?- ,Durchf74A' 13Lv 7 c . D1aIQ./J G- o . 0 E-sJ Beek .ST /f.1 o AEA/ rot. RooL,.c, pivvec E" ct -r D 8EcA 5744,473 &PA/ 7 goti our VVEIVT THIS SECTION TO BE COMPLETED ONLY BY AN OFFICER, DIRECTOR OR CHAIRPERSON OF THE ORGANIZATION NAMED IN QUESTION#1 18 I Ronald Harold Knies declare that I am an Officer/Director/Chairperson appointing the (Print full name) applicant listed in Question 6 to apply on behalf of the foregoing organization for a Special Event Liquor License X /,;--,!.;t/r/ j' Co Chairperson 11/11/2011 (480 ) :561976.8 (Signature (Title/Position) (Date) (Phone n) _-- f ' County of s The foregoing instrument was acknowledged before me this t Day Month Year f My Commission expires on �— (Date) (Signature of NOTARY PUBLIC) THIS SECTION TO BE COMPLETED ONLY BY THE APPLICANT NAMED IN QUESTION#6 19 1 Ronald Harold Knies declare that I am the APPLICANT filing this application as (Print full name) listed in Question 6 I have read the application and the contents and all statements are true,correct and complete State of County of X /ii f The foregoing instrument was acknowledged before me this (Signature) . Day Mpntii Year My commission expires on (Date) (Signature of NOTARY PUBLIC) You must obtain local government approval City or County MUST recommend event and complete item #20 The local governing body may require additional applications to be completed and submitted 60 days in advance of the event. Additional licensing fees may also be required before approval may be granted LOCAL GOVERNING BODY APPROVAL SECTION 20 I. _ ._ _ hereby recommend this special event application (Government Official) (Title) on behalf of (City.Town or County) (Signature of OFFICIAL) (Date) FOR DLLC DEPARTMENT USE ONLY Department Comment Section, (Employee) (Date) ❑ APPROVED ❑ DISAPPROVED BY (jitle) (Q0te) _'` • . rib/ e . r' lfirit '(/• ' ffltefito 't ; Horne uJ the ,Srtf)Jr'strtton ;tlorrntain., RI O% oink November 10. 2011 Ronald H Knies 11561 E. Kiva Avenue Mesa. AZ 85209 Dear Mr Kates Please be advised that your application for a Special Event Liquor License on behalf of the Superstition Mountain Rotary Club #1246 for Lost Dutchman Days to be held February 24, through February 26. 2011, at the Rodeo/Event Center, 1590 E Lost Dutchman Boulevard has been scheduled for a public hearing The Apache Junction City Council will hold a public hearing on December 6, 2011, at 7 00 p m in the City Council Chambers, 300 E. Superstition Blvd , Apache Junction, at which time recommendation for approval or disapproval will be made to be forwarded to Arizona Department of Liquor Licenses and Control Your attendance is requested should council have any questions on this application If you have any questions concerning this matter, please contact my office at (480) 982-8002 Sincerely, Kathleen Connelly City Clerk • \Duc. 1480;982-}U)fit2 • FA\ (-180)982 7018• Mt)4480J 98-009s- • isk%w a ut: no 300 I: Stcper'tmom Bottle% it'd Apak.hc Juntttun Al Ss 219 NOVEMBER 10, 2011 MEMORANDUM TO DEPARTMENT OF PUBLIC SAFETY PLANNING DIVISION APACHE JUNCTION FIRE DISTRICT THROUGH KATHLEEN CONNELLY, CITY CLERK t,/ FROM JAN MASON, DEPUTY CITY CLERK J( 4'1— SUBJECT APPLICATION FOR SPECIAL EVENT LIQUOR LICENSE FOR SUPERSTITION MOUNTAIN ROTARY CLUB#1246 Mr Ronald H Knies has submitted an application for a Special Event Liquor License for Lost Dutchman Days to be held on February 24, through February 26, 2012, at 1590 E. Lost Dutchman Boulevard Please conduct the necessary inspections and submit your recommendation by Tuesday, November 22, in order for this item to be placed on the agenda for the City Council meeting of December 6, 2011 /'1 Janet Mason From. Brad Steinke Sent- Tuesday November 22 2011 12 10 PM To Janet Mason Cc. Brenda Cherryholmes, Rudy Esquivias Subject. FW Superstition Mountain Rotary Club special event liquor licenses Attachments. 2011 superstition mountain rotary club mulholland dept memo pdf 2011 superstition mountain rotary club mulholland application pdf, 2011. superstition mountain rotary club lost dutchman dept memo pdf, 2011 superstition mountain rotary club lost dutchcman application pdf Jan, Both Rotary Club applications are OK with Development Services. Brad Steinke Director of Development Services City of Apache Junction 300 F Superstition Blvd Apache Junction AZ 85119 48C 474 5082 bsteinke@aicity net Please Note' Beginning July 18,2011,our office hours will be changing to Monday through Thursday from 7 am to 6 pm,we will be closed on Fridays. Service Over and Above the Rest This message and the information with', is interded fat the recipient tf you received this entail ,n error please rotifti the sender and then delete the email Entails generated by council members or City staff pertaining to City bus ness are public recoi ds and are preserved according to the City s records retention schedule TO ensure compliance with the Open Meeting Law members of the City Council should not forward email corresporderce to other members of the Courici Members of the Courcil and other public bodies may reply to this message but should rot copy other members or the public body From: Brenda Cherryholmes Sent: Tuesday, November 22, 2011 12.06 PM To: Brad Steinke Subject: FAN Superstition Mountain Rotary Club special event liquor licenses Attached are the rotary liquor license requests 'Brenda From: Janet Mason Sent: Tuesday, November 22, 2011 12 00 PM To: Brenda Cherryholmes Subject: Superstition Mountain Rotary Club special event liquor licenses Lieutenant - Bureau of Patrol November 22, 2011 SUBJECT Special Event Liquor License for Superstition Mountain Rotary Club#1246 TO. Chief Jerald Monahan FROM. Lieutenant Brett Jackson THROUGH Captain Arnold Freeman In review of the special event liquor license application and premises diagram submitted by Ronald Harold Knies on behalf of the Superstition Mountain Rotary Club, the Apache Junction Police Department has no objections to the issuance of the license for Friday, February 24, 2012, through Sunday, February 26, 2012 between the hours of 1000 to 2359 i► �. CFAI P''__ Apache Junction Fire District ate= 565 North Idaho Road, Apache Junction, AZ 85119 r Phone (480) 982-4440, Fax(480) 982-0183 ' ~ 'AFDu www aJfire org MEMORANDUM TO. Jan Mason,Deputy City Clerk City of Apache Junction FROM John Suniga, Deputy Fire Marshal DATE November 21,2011 SUBJECT: Special Event Liquor License App.for Superstition Mountain Rotary Club for Lost Dutchman Days,February 24--26,2012 The Apache Junction Fire District recommends approval of the above noted application As always we will conduct a safety inspection as the event is set-up.Thank you for your notification on this matter. Thank you for your notification on this matter. S AN. ATTN Application TITLE 19 ALCOHOL, HORSE AND DOG RACING, LOTTERY, AND GAMING Page 2 of 17 RI9 1232 Broken Package Prohibited Off sale Premises R19-t 233 Underage Persons on Licensed Premises R 19-I 234 Violence Report of R19-I 235 Fetal Alcohol Sign Display R19-1-236 Recodified R19-1 237 Recodified R19-I 238 Repealed R19-1-239 Recodified R19-1-240 Recodified R19 1 241 Recodified R19 1 242 Recodified R19 1 243 Recodified R19 1 244 Recodified R19 1 245 Recodified RI9 1 246 Recodified R19 1 247 Recodified R19 1-248 Recodified R19 1 249 Repealed R19 1 250 Recodified R19-I 251 Employee Records R19 1 252 Recodified R19 1 253 Recodified R19-1 254 Recodified R19-I 255 Recodified R19-1 256 Repealed R19-1 257 Recodified ARTICLE 3 UNLICENSED PREMISES DEFINITIONS AND LICENSING TIME-FRAMES Article 3 consisting of R19 1 301 through R19-1 304,adopted effective September 14 1990(Supp.96-4). Section R19 1 301 Recodified R19 1 302 Filing of Legal or Equitable Interest R19-1 303 Retail Agents R19-1 304 Standards for Alcohol Training Programs R19-1 305 Change of Address R19 1-306 Name Change Requirements R19-1 307 Closing,Notice of R19-1 308 Surrender of Licenses/Intenm Retail Permits RI9-1 309 Special Event License R19 1 310.Criteria for Issuing Restaurant License RI9 1 311 Patio--Outdoor Use Permission R19-1 312 Conveyance License,Application Posting RI9 1 313 Interim Permit/Tax Violations R19-1 314 Expired R19-1 315 Exemptions to A.R.S §4 244 05 R19-1 316 Public Facilities Exemption R19-1 317 Licensing Time frames Table A Licensing Time frames ARTICLE 1 STATE LIQUOR BOARD Editor's Note The following Section was amended under an exemption from the Arizona Administrative Procedure Act(A.R.S.Title 41,Chapter 6)pursuant to Laws 1996,Ch 307,18 Although exempt from certain provisions of the rulemaking process,the Department was required to provide for reasonable notice and hearing This Section was not reviewed by the Governor's Regulatory Review Council,and the Department did not submit notice of proposed rulemaking to the Secretary of State for publication in the Arizona Administrative Register (Supp.97-2) R19-1-101 Definitions In this Article,unless the context otherwise requires. "Bona fide transaction means any transaction between a licensee and a person that results in the change of ownership of the license Business establishment or business premises"means the real property and improvements licensed under A.R.S Title 4 "Change in Ownership means any change in the financial setup of a business establishment which in any way results in a person directly or indirectly becoming a controlling person "Judicial Review"is an appeal to superior court of a final agency decision "Licensed"means having a license or intenm permit issued pursuant to this Title mcludmg a license or interim permit on non use status Non use"means when the Licensee has ceased engaging in the business activity covered by the licensee Historical Note Former Rule I Former Section R4 15-01 renumbered as Section R4-15 101 without change effective October 8,1982(Supp 82 5) Section repealed,new Section adopted effective March 3,1993(Supp 93-1) R19-1-101 recodified from R4 15-101(Supp 95 1) Amended effective June 4,1997,under an exemption from certain provisions of the Administrative Procedure Act pursuant to Laws 1996 Ch 307 §18(Supp 97 2) R19-1-IO2 Granting a License for a Certain Location Local governing authorities and the Department may consider the following criteria in determining whether public convenience requires and that the best interest of the community will be substantially served by the issuance or transfer of a liquor license at a particular unlicensed location 1 Petitions and testimony from persons in favor of or opposed to the issuance of a license who reside m,own or lease property in close proximity 2 The number and series of licenses in close proximity 3 Evidence that all necessary licenses and permits have been obtained from the state and all other governing bodies 4.The residential and commercial population of the community and its likelihood of mcreasing,decreasing or remaining static 5 Residential and commercial population density in close proximity 6 Evidence concerning the nature of the proposed business,its potential market,and its likely customers 7 Effect on vehicular traffic in close proximity 8 The compatibility of the proposed business with other activity in close proximity 9 The effect or impact of the proposed premises on businesses or the residential neighborhood whose activities might be affected by granting the license 10 The history for the past five years of liquor violations and reported criminal activity at the proposed premises provided that the applicant has received a detailed report(s)of such activity at least 20 days before the hearing by the Board I 1 Comparison of the hours of operation of the proposed premises to the existing businesses in close proximity 12 Proximity to licensed childcare facilities as defined by A.R.S §36-881 Historical Note Former Rule 2,Former Section R4 15 02 renumbered as Section R4-15 102 without change effective October 8,1982(Supp 82 5).Repealed effective July I 11983(Supp 83 4) New Section adopted effective March 3,1993(Supp 93 1) R19-1 102 recodified from R4-15 102(Supp 95 I) Amended by final rulemaking at 11 A.A.R 5119,effective January 9 2006(Supp 05-4) Editor's Note The following Section was amended under an exemption from the Arizona Administrative Procedure Act(A.R.S Title 41,Chapter 6)pursuant to Laws 1996,Ch 307,§18 Although exempt from certain provisions of the rulemaking process,the Department was required to provide for reasonable notice and hearing This Section was not reviewed by the http //www.azsos gov/public_services/Title_19/19-01 htm 11/28/2011 Kathy Connelly From: Rudy Esquivias Sent: Thursday, December 01, 2011 8.32 AM To: Dennis Dixon, Kathy Connelly; Janet Mason Cc: Brad Steinke, Joel Stern Subject: FW Update on 285 N Apache Trail FYI—This is an update from the Superstition Mountain Brewery people (old Los Vaqueros building). From: Jim Allyn [mailto.jimandkathy©allynassociates.com] Sent: Wednesday, November 30, 2011 5:03 PM To: Rudy Esquivias Subject: Update on 285 N Apache Trail Hi Rudy, First I want to thank you for taking the time to speak to Maggie and I Wednesday I was sorry to hear that we had dropped the ball, but hopefully we're all headed the right direction now The whole team met yesterday with our general, the electrician, and the architect We're pretty clear on our plans, the electrical preconstruction work with SRP is done, and the architect is well on his way to getting the drawings we need together for the work that's required We're also working on the SUP Application, we hope to have everything together shortly We have Great American Title working on the labels, we needed input from our General and architect for the drawings and should have those complete very soon Security wise, we've requested a yard light from SRP to slow down any would be thieves, and we're adding some solar lighting and door alarms this week Thanks for all your help! Kathy or I will give you a call in the next day or two to follow-up In the meantime, feel free to call anytime Regards, Jim Allyn Superstition Mountain Brewery 480-296-4304 Janet Mason From. Brad Steinke Sent: Tuesday, November 22, 2011 12 29 PM To. Janet Mason Cc Rudy Esquivias, Brenda Cherryholmes Subject: FW Superstition Mountain Brewery liquor license application Attachments: 2011 superstition min brewery dept memo pdf; 2011 superstition mtn brewery application part 1.pdf, 2011 superstition mtn brewer/application part 2 pdf, 2011 superstition mtn brewery application part 3 pdf Jan, We cannot approve this application at this time,pending further plan submittal and review 43ra arStem0 Director of Development Services City of Apache Junction 3D0 E Superstition Blvd Apache Junction,AZ 85119 480 474-5082 bstemkePaicity.net Please Note:Beginning July 18,2011,our office hours will be changing to Monday through Thursday from 7 am to 6 pm,we will be closed on Fridays. Service Over and Above the Rest This message and the information within is intended for the recipient If you received this email in error,please notify the sender and then delete the email Emails generated by council members or City staff pertaining to City business are puo records and are preserved according to the Crty"s records retention schedule.To ensure compliance with the Open Meeting Low,members of the City Council should not forward email correspondence to other members of the Council Members of the Council and other public bodies may rep4y to this message,but should not copy other members of the public body From: Brenda Cherryholmes Sent: Tuesday, November 22, 2011 12:07 PM To: Brad Steinke Subject: FW: Superstition Mountain Brewery liquor license application Attached is the one for the old Los Vaqueros Rudy has issues with them if you need to speak to him h=s home number is 480.963-0766 He said we could call him .73 renia From:Janet Mason Sent: Tuesday, November 22, 2011 12.02 PM To: Biertcla CherryhOlMeS Subject: Superstition Mountain Brewery liquor license application Aft, irt Mason From: Rudy Esquivias Sent Wednesday, November 23,2011 1 14 PM To: Janet Mason Cc Dennis Dixon, Brad Steinke, Sam Jaryce,Giao Phan,: Bob Mayes Subject, RE Superstition Mountain Brewery liquor application Jan On July 15, 20011, Dennis, Brad, Sam,Giao, Bob M.and myself met with Jim and Kathy Allyn to discuss issues and options for re-opening the old Los Vaqueros building as either a restaurant or possibly something else The Allyn indicated that their son wanted to re-open the building as a restaurant, and they would probably be part owners We (16C1,15ed many issues associated with the building, including the building's age and our lack of record.,that show how I* was constructed and permitted by Pinal County in 1978, construction over the years which was dune w,thout per Q-W the more recent abandonment and gutting of the building,the lack of adequate site improvements, etc We advised t re Allyn's that if the building use remained the same(restaurant), the bathrooms would probably nut need to be brought up to ADA compliance, but we were not sure how their architect was going to be able to bring the non-permitted stutt up to code or demonstrate that it met code This was something that they would need to discuss with an architect At a rmnimum, anyone proposing to re-open a restaurant in the building was going to need to bring the kitchen up to meet minimum fire, budding, health and safety codes,a Conditional Use Permit would need to be approved first netore a bar could go back in the building(required by the CCD zoning district),ADA compliant park'ng spares .4.1th an accessible path would need to be provided, and the site would need to meet PM1O compliance standards Because it is a commercial property,all work would need to be done by a properly licensed architect and contractor A change of use for the property, such as trying to convert it into an office building, would require that-he building aid site he brought up to meet all current building and safety codes,paving landscape and screening stand cis, and off sic and on-site improvement standards as well The Allyns said they would&scuss these issues with their partnef,, and ct back with us Staff supports the re-opening of a restaurant in the building. However,since the meeting of July 15, Development Services has not had any contact from the Allyns,we have not received any construction drawings showing how the building is going to be brought up to code,nor have we received a CUP application for the proposed bar. Therefore, Staff recommends that Council not recommend approval of the liquor license to the State Liquor Board, at the very least until a CUP has been properly processed and approved by the P&I Commission ' • 42 .6414.rivia4 Senior Planner/Zoning Ad=lnistrator City of Apache Junction 300 E Superstitlon Blvd. Apache Junctionf AZ 85119 493-474-2645 SERVICE OVER AND ABOVE THE REST (New Off.4.ce Hours' The Development Services Department 1.1. open Monday threigh Thursday from 7 °Cam to 6.00pm, closed Fridays and Holidays.) ROLL CALL VOTE ,-de , 9/t1 i NOTES \*11 fr 0 , )‘ 1 y b it ITEM # MEETING F dr, MOTION BY: SECONDED BY l'ES NO ABSTAINED COUNCILMEMBER SERDY VICE MAYOR DIETZ /i COUNCILMEMBER SMITHSON V COUNCILMEMBER WILSON I COUNCILMEMBER COLEMAN I COUNCILMEMBER BARKER V MAYOR INSALACO V UNANIMOUS IN FAVOR OPPOSED ABSTAINED TOTAL • oolok ITEM NO. 11 I MOVE THAT THE APPLICATION FOR A SPECIAL EVENT LIQUOR LICENSE FOR SUPERSTITION MOUNTAIN ROTARY CLUB #1246, SUBMITTED BY RON KNIES, FOR A LOST DUTCHMAN DAYS TO BE HELD FEBRUARY 24-26, 2012, BE RECOMMENDED FOR(APPROVAL) OR(DENIAL) TO THE ARIZONA DEPARTMENT OF LIQUOR LICENSES AND CONTROL PUBLIC HEARING PS 1. For APPLICATION FOR A SPECIAL EVENT LIQUOR LICENSE FOR SUPERSTITION MOUNTAIN ROTARY CLUB#1245 TO BE HELD AT 1590 E. LOST DUTCHMAN BOULEVARD ON FEBRUARY 4, 2012 2. Will CITY CLERK KATHLEEN CONNELLY speak to the Council? 3. Will the applicant or spokesperson please speak to the Council on this item? 4. Is there anyone from the public who wishes to speak on this item? (Are there any "Request to Speak" forms?) 5. If not,this hearing is closed. 6. Is there any discussion? 7. Call for a motion. 8. Call for a second. 9. Roll call vote. Pp AC He✓ Jaw, . : of City Apache Junction Hone of the .S upee:c/eteon :\'l oreeetains gR1zoN* Print TO: City Manager's Office FROM: Kathy Connelly, City Clerk DATE: December 6, 2011 Agenda Type : Regular Agenda Council Priority Focus Area: Required by Federal Law or State Statute TITLE OF AGENDA ITEM: APPLICATION FOR A SPECIAL EVENT LIQUOR LICENSE FOR SUPERSTITION MOUNTAIN ROTARY CLUB#1246 TO BE HELD AT 1590 E. LOST DUTCHMAN BOULEVARD ACTION REQUESTED: Recommendation for Approval DISCUSSION/ BACKGROUND INFORMATION: An application for a special event liquor license has been submitted by Superstition Mountain Rotary Club#1246 for a fundraising event to benefit Gary Mulholland to be held February 4, 2012 at 1590 E. Lost Dutchman. The next step in the procedure is for the city council to hold a public hearing and make a recommendation for approval or denial to be forwarded to the Arizona Department of Liquor Licenses and Control FISCAL IMPACT: OPTIONS/ALTERNATIVES: RECOMMENDATION: ATTACHMENTS: Click to download ❑ cover memo ❑ application ❑ applicant letter ❑ department memo ❑ planning recommendation ❑ police recommendation ❑ fire district recommendation NOVEMBER 22, 2011 MEMORANDUM TO HONORABLE MAYOR AND CITY COUNCIL MEMBERS THROUGH GEORGE R HOFFMAN, CITY MANAGER THROUGH KATHLEEN CONNELLY, CITY CLERK FROM JAN MASON, DEPUTY CITY CLERK --/`; r SUBJECT AGENDA ITEM FOR DECEMBER 6, 2011 APPLICATION FOR A SPECIAL EVENT LIQUOR LICENSE FOR SUPERSTITION MOUNTAIN ROTARY CLUB #1246 An application for a Special Event Liquor License has been submitted by Mr Ron Knies of Superstition Mountain Rotary Club #1246 for a fund raising event to benefit Gary Mulholland to be held on February 4 2012, at 1590 E Lost Dutchman Correspondence has been received from the planning division, police department and fire district, a copy of which is attached The next step in the procedure is for the City Council ^ to hold a public hearing on the application and make a recommendation for approval or denial to be forwarded to the State Department of Liquor Licenses and Control Amak ARIZONA DEPARTMENT OF LIQUOR LICENSES & CONTROL 800 W Washington 5th Floor Phoenix, Anzona 85007-2934 (602) 542-5141 APPLICATION FOR SPECIAL EVENT LICENSE Fee = $25 00 per day for 1-10 day events only A service fee of$25 00 will be charged for all dtshonored checks (A R S §44-6852) euS NOTE: THIS DOCUMENT MUST BE FULLY COMPLETED OR IT WILL BE RETURNED. PLEASE ALLOW 10 BUSINESS DAYS FOR PROCESSING '"Application must be approved by local government before submission to DLLC USE otvJ:Y Department of Liquor Licenses and Control. (Section#20) LICENSE # 1 Name of Organization Superstdion Mountain Rotary Club#1246 Distract 5510 2 Non-Profit/I R S Tax Exempt Number 8&6038193 3 The organization is a (check one box only) ❑ Charitable ❑ Fraternal (must have regular membership and in existence for over 5 years) ❑Civic ❑ Religious ❑ Political Party, Ballot Measure,or Campaign Committee 4 What is the purpose of this event?0 on-site consumption ❑off-site consumption (auction) ❑ both Fund raising event to benefit Gary Mutnoliand tRatrets Bulls And Dance) • 5 Location of the event 1590 E Lost Dutchman Blvd Apache Junctron Prat s1IH Address of physical location(Not P 0 Box) City County Zip Applicant must be a member of the qualifying organization and authorized by an Officer, Director or Chairperson of the Organization named in Question#1. (Signature required in section#18) 6 Applicant. `: Ronald Harold 12.11'a13 Last First Middle Date of Birth 7 Applicant's Mailing Address 11561 E Kiva Ave Mesa A< 521-;4 Silver t 1n State lin 8 Phone Numbers ( 1 ) #82-see2 ( 'A ) (ore ) ;S,9,a9 Sete Owner# Applicant's Business# Applicant's Home# 9 Date(s) & Hours of Event (Remember you cannot sell alcohol before 10 00 a m on Sunday) Date Day of Week Hours from A M/P M To A.M/P M Day 1 Feb 4 2012 Saturday 10 00 AM 11 00 PM Day 2 Day 3 - Day 4. Day 5 Day 6 _ Day 7 Day 8 Day 9 _ Day 10. _ *Disabled indisiduols requiring special accommodations,please call(602)542-9027 September 2011 — 12 Is the organization using the services of a promoter or other person to manage the even13` i`cr"tr 111 ivtl If yes, attach a copy of the agreement. 13 List all people and organizations who will receive the proceeds Account for 100%of the proceeds THE ORGANIZATION APPLYING MUST RECEIVE 26%OF THE GROSS REVENUES OF THE SPECIAL EVENT LIQUOR SALES. Name Superstition Mountain Rotary Club 'o w Perrrrttage "MS Address PO Box 565 Apache Junction Az 65117 Name net atntage Address (Attach additional sheet if necessary) 14 Knowledge of Arizona State Liquor Laws Title 4 is important to prevent liquor law violations if you have any questions regarding the law or this application. please contact the Arizona State Department of Liquor Licenses and Control for assistance NOTE ALL ALCOHOLIC BEVERAGE SALES MUST BE FOR CONSUMPTION AT THE EVENT SiTE ONLY "NO ALCOHOLIC BEVERAGES SHALL LEAVE SPECIAL EVENT PREMISES." 15 What security and control measures will you take to prevent violations of state liquor laws at this event? (List type and number of securitylpolice personnel and type of fencing or control barriers if applicable) #Police 171 Fencing # Security personnel Barriers Twain and uniformed A J Rangers will provide security at gauss and beet stand Potential underage drinkers wilt be requ edd to verify age vrth plc.ire ID and upon;roving age and condition will be wrist banded at beer stand Beverages may not be brought in of removrd tram event area 16 Is there an existing liquor license at the location where the special event is being held' ❑YES 0 NO If yes, does the existing business agree to suspend their liquor license dunng the time period, and in the area in which the special event license will be in use? ❑YES NO (ATTACH COPY OF AGREEMENT) ( ) Name of Business Phone Number 17 Your licensed premises is that area in which you are authorized to sell, dispense, or serve spirituous liquors under the provisions of your license The following page is to be used to prepare a diagram of your special event licensed premises Please show dimensions, serving areas, fencing, barricades or other control measures and security positions fr /n\ SPECIAL EVENT LICENSED PREMISES DIAGRAM (This diagram must be completed with this application) Special Event Diagram (Show dimensions serving areas, and label type of enclosure and security portions) NOTE Show nearest cross streets highway or road if location doesn't have an address N 6-4rt _�..� Roo f f /VA >r,.r t 1 ✓ ,.) �y BEr;C +ri0/1. CZ. Neb. THIS SECTION TO BE COMPLETED ONLY BY AN OFFICER, DIRECTOR OR CHAIRPERSON OF THE ORGANIZATION NAMED IN QUESTION#1 18 Ronald Harold Knies declare that I am an Officer/Director/Chairperson aopointing the (Print full name) applicant listed in Question 6 to apply on behalf of the foregoing organization for a Special Event Liquor License ) • X Chairperson (Title/Position) '(Date) (Phone -4CE I .-Staie of W r I County of - • —7.-vwsziI The foregoing instrument was acknowledged before me this 0 7 ( 1 I , Day Month Year My Commission expires on , ;pate) Signature of NOTARY PURL C) THIS SECTION TO BE COMPLETED ONLY BY THE APPLICANT NAMED IN QUESTION #6 19 I Ronald Harold Knees declare that I am the APPLICANT filing this application as (Print kill name) listed in Question 6 I have read the application and the contents and ail statements are true,correct and complete • State of : County of X te// .. ,r, _ foregoing instrument was acknowleclgeorbefore me this (Signature) ; . , . Day Month year • My commission expires on ' ' - / (Date) LSionature of NOTARY PUBt IC) You must obtain local government approval City or County MUST recommend event and complete item #20 The local governing body may require additional applications to be completed and submitted 60 days in advance of the event. Additional licensing fees may also be required before approval may be granted LOCAL GOVERNING BODY APPROVAL SECTION 20 I hereby recommend this special event application (Government Official) (title) on behalf of ‘Crty Town or County) Signature of OFFICIAL) (Date) FOR DLLC DEPARTMENT USE ONLY Department Comment Section (Employee) (Date) El APPROVED 0 DISAPPRO1 iTae) Date) /1 ,cr ACH n dv- 'GZ �4 CX-!'�Lf'i tGj`LrrtGQ-Yt [Tome of the Strpe,strtron Mountains aRizot November 10, 2011 Ronald H Knies 11561 E Kiva Avenue Mesa, AZ 85209 Dear Mr Knies Please be advised that your application for a Special Event Liquor License on behalf of the Superstition Mountain Rotary Club #1246 for a fundraiser to benefit Gary Mulholland to be held February 4, 2011, at the Rodeo/Event Center, 1590 E Lost Dutchman Boulevard, has been scheduled for a public hearing. The Apache Junction City Council will hold a public hearing on December 6, 2011, at 7.00 p m in the City Council Chambers. 300 E Superstition Blvd , Apache Junction, at which time recommendation for approval or disapproval will be made to be forwarded to Arizona Department of Liquor Licenses and Control Your attendance is requested should council have any questions on this application eS If you have any questions concerning this matter, please contact my office at (480) 982-8002 Sincerely, { Kathleen Connelly City Clerk •Voice 080)982-8002 • FAX (480)982-7018 • TDD(480)983-f1095• ww s atcth net 100 Ii Superstition Boulevard. Apache Junction AZ Si219 fr NOVEMBER 10 2)11 MEMORANDUM TO DEPARTMENT OF PUBLIC SAFETY PLANNING DIVISION APACHE JUNCTION FIRE DISTRICT Lf V THROUGH KATHLEEN CONNELLY, CITY CLERK r. FROM JAN MASON. DEPUTY CITY CLERK SUBJECT APPLICATION FOR SPECIAL EVENT LIQUOR LICENSE FOR SUPERSTITION MOUNTAIN ROTARY CLUB #1246 Mr Ronald H Knies has submitted an application for a Special Event Liquor License for a fundraiser to benefit Gary Mulholland to be held on February 4, 2012, at 1590 E Lost Dutchman Boulevard Please conduct thc, necessary inspections and submit your recommendation by Tuesday, November 22, in :•rde for this item to be placed on the agenda for the City Council meetinj of Decemi,er 6. 2011 A•mi, Janet Mason From. Brad Steinke Sent. Tuesday, November 22 2011 1210 PM To Janet Mason Cc• Brenda Cherryholmes, Rudy Esquivias Subject. FW Superstition Mountain Rotary Club special event liquor licenses Attachments. 2011 superstition mountain rotary club mulholland dept memo pdf,2011. superstition mountain rotary club mulholland.applicataon pdf 2011 superstition mountain rotary club lost dutchman dept memo pdf, 2011 superstition mountain rotary club lost dutchcman application pdf Jan, Both Rotary Club applications are OK with Development Services Brad.Steinke • Director of Development Services City of Apache Junction 300 E Superstition Blvd Apache Junction AZ 85119 48C 474 5082 bste►nke@ ajcity net Please Note. Beginning July 18,2011,our office hours will be changing to Monday through Thursday from 7 am to 6 pm,we will be closed on Fridays Service Over and Above the Rest This message and the information within is rnten;,ed for the r ea piert If you received *his email it error r lease rotif) the sender and then delete the email Emaiis generated by council members or City staff pertaining to City Pus ness are public records and are preserved according to the City records retertior schedule To ersure compliance with the Open Meet rig Law members of *he C.ty Council should not forward email corresponderce to other members of the Courci Members of the Council and other public bodies may reply to this message but should rot copy other members of the public body From: Brenda Cherryholmes Sent: Tuesday, November 22, 2011 12 06 PM To: Brad Steinke Subject. FW. Superstition Mountain Rotary Club special event liquor licenses Attached are the rotary liquor license requests Brenda From. Janet Mason Sent. Tuesday, November 22, 2011 12.00 PM To: Brenda Cherryholmes Subject: Superstition Mountain Rotary Club special event liquor licenses Lieutenant - Bureau of Patrol November 21, 2011 SUBJECT. Special Event Liquor License for Superstition Mountain Rotary Club#1246 TO Chief Jerald Monahan FROM. Lieutenant Brett Jackson THROUGH. Captain Arnold Freeman In review of the special event liquor license application and premises diagram submitted by Ronald Harold Knies on behalf of the Superstition Mountain Rotary Club, the Apache Junction Police Department has no objections to the issuance of the license for Saturday, February 4, 2012 from 1000 to 2300 hours I� i 1. �4\teD'trizonae, f `611Up�,� tis ,ominviu„ "d Qr4.1_ :1�p �` °o ate= Apache Junction Fire District ;,,., !,0uotr ! 565 North Idaho Road, Apache Junction, AZ 85219 If MS. Phone (480) 982-4440, Fax(480) 982-0183 �'°E�CCREO�t'1 -a$ ,n-crnati.. MEMORANDUM TO Jan Mason, Deputy City Clerk City of Apache Junction 300 E Idaho Road Apache Jct.,AZ. 85219 FROM. John Suniga,Deputy Fire Marshal DATE. November 21,2011 SUBJECT Application for Special Event Liquor License for 1590 E. Lost Dutchman The Apache Junction Fire District has reviewed the application as noted above regarding the facilities at 1590 E. Lost Dutchman Boulevard for an event to be held on February 4, 2011 We have recently completed an annual fire and life safety inspection with no major violations found We therefore would recommend approval of this ,.� application Thank you for your notification on this matter If you have any further questions regarding this inspection, please feel free to contact my office at 982-4440 Thank You. Z:,., ATTN Application ROLL CALL VOTE )1 f NOTES: jr\i.Ai ��` dj r ' -,//// , 1Yy 11 ITEM# r MEETING OF ‘.ik/ri lib j Ci MOTION BY: SECONDED BY: 1 ;'YES NO ABSTAINED COUNCILMEMBER BARKER COUNCILMEMBER COLEMAN I COUNCILMEMBER WILSON COUNCILMEMBER SMITHSON VVV✓ VICE MAYOR DIETZ '✓ COUNCILMEMBER SERDY10 MAYOR INSALACO UNANIMOUS IN FAVOR OPPOSED ABSTAINED TOTAL \ v Oak ON\ Alm ITEM NO. 12 I MOVE THAT THE APPLICATION FOR A SPECIAL EVENT LIQUOR LICENSE FOR SUPERSTITION MOUNTAIN ROTARY CLUB #1246, SUBMITTED BY RON KNIES, FOR A FUNDRAISING EVENT ON FEBRUARY 4, 2012, BE RECOMMENDED FOR (APPROVAL) OR(DENIAL) TO THE ARIZONA DEPARTMENT OF LIQUOR LICENSES AND CONTROL. INN PUBLIC HEARING 1. For RESOLUTION NO. 11-49 FOR THE SUBMITTAL OF FISCAL YEAR 2012 COMMUNITY DEVELOPMENT BLOCK GRANT AND FISCAL YEAR 2012 STATE SPECIAL PROJECT PROGRAM GRANT APPLICATIONS 2. Will PROGRAM COORDINATOR HEATHER PATEL speak to the Council? 3. Will the applicant or spokesperson please speak to the Council on this item? 4. Is there anyone from the public who wishes to speak on this item? (Are there any "Request to Speak" forms?) 5. If not, this hearing is closed. 6. Is there any discussion? 7. Call for a motion. 8. Call for a second. 9. Roll call vote. PpRCIiFv .0. Q City of 4pac/ e Junction Home of the Super:stltlon Mountains olrlrtains 4Rizos Print TO: City Manager's Office FROM: Heather Patel, Program Coordinator DATE: December 6, 2011 Agenda Type : Regular Agenda Council Priority Focus Area: Revenue Development TITLE OF AGENDA ITEM: PUBLIC HEARING REGARDING PROPOSED RESOLUTION NO 11-49 FOR THE SUBMITTAL OF FISCAL YEAR 2012 COMMUNITY DEVELOPMENT BLOCK GRANT AND FISCAL YEAR 2012 STATE SPECIAL PROJECT PROGRAM GRANT APPLICATIONS ACTION REQUESTED. Recommendation for Approval DISCUSSION/ BACKGROUND INFORMATION: A public hearing is required by the Arizona Department of Housing to provide the public an opportunity to present potential projects to the City Council for consideration Staff respectfully requests that Council take into consideration those projects found as eligible in Attachment 1 and those projects presented during the public hearing as potential projects for submittal Council's project selection and approval of Resolution No. 11-49 will enable City staff to prepare and submit the application(s) in a complete and timely manner. FISCAL IMPACT: Budgeted Expenditure _,OPTIONS/ALTERNATIVES: .:ederal Law Requirement RECOMMENDATION: Staff respectfully recommends that Council. 1) Conduct a public hearing and review the proposed projects; 2) Select the project(s) to be submitted and designate which project will be submitted for FY12 CDBG funding and FY12 SSP funding, and 3) Review, discuss, and approve Resolution No 11-49 ATTACHMENTS: Click to download D Staff Report ❑ Prospective protects ❑ Resolution 11-49 Ok ?' City of Apache Junction gR'z"tlP Development Services Department MEMORANDUM DATE: November 23, 2011 TO: The Honorable Mayor and City Council THROUGH: George Hoffman, City Manager Brad Steinke, Development Services Director Roger Hacker, Revenue Resources Manager FROM: Heather Patel, Program Coordinator SUBJECT. Public Hearing regarding proposed Resolution No. 11-49 for the submittal of Fiscal Year 2012 Community Development Block Grant and Fiscal Year 2012 State Special Project Program grant applications REQUEST Staff respectfully requests that the City Council: 1. Conduct a public hearing to receive input and discuss potential projects for the utilization of Community Development Block Grant Regional Account("CDBG")funds for Fiscal Year 2012 ("FY12") and State Special Project("SSP") funds for Fiscal Year 2012; 2. Select the project(s)to be submitted and designate which project will be submitted for CDBG �... for FY12 funding and which will be submitted for SSP for FY12 funding, and 3. Review,discuss, and approve Resolution No 11-49 authorizing the submission of the City's FY12 CDBG and FY12 SSP applications. Both Programs are Federal grant programs administered by the Arizona Department of Housing ("ADOH"). The CDBG funding is allocated to the community as long as a viable project is submitted, whereas the SSP funding is a statewide competitive application process BACKGROUND Since 1974,the United States Department of Housing and Urban Development("HUD")has provided assistance to local communities through the CDBG and SSP Programs These Programs were established to help communities address the following national objectives: /1 1) Meet the needs of low and moderate income citizens, 2) Prevent/eliminate slums and blight in a community; and/or 3) Address urgent needs to the health/welfare of a community. A community can use the funds to address one of the national objectives or can direct the funds to a non-profit organization. Apache Junction has participated in the CDBG program since 1982. The City of Apache Junction is eligible to submit applications to the Arizona Department of Housing eIN for both the CDBG and SSP funding The City of Apache Junction is anticipating receiving approximately$140,000 in CDBG funds to be used over a two year period of time(January 2013 —December 2015) These funds are guaranteed to the community as long as a viable project is submitted for funding to ADOH The City may retain up to 18%of these funds for administrative costs This application is due June 1, 2012. In years past,the City partnered with the Town of Payson to receive double funding every other year The City chose to end that partnership in 2011. The City of Apache Junction is anticipating submitting an application for the SSP funds in which the City may request up to$300,000 to be used over a two year period of time These funds are a statewide competitive grant The City may retain up to 18%of these funds for administrative costs. The anticipated application due date is June/July 2012 Crucial to the CDBG and SSP programs is the involvement of local citizens and elected officials In fact,to participate in the programs and receive funds a community must be able to document that citizens and officials have been given the opportunity to discuss community needs and suggest possible projects. Ultimately,the decision on which CDBG and SSP projects will be submitted rests with the elected officials in a community. To assist communities in meeting the requirements for public participation, ADOH has established a mandatory public participation process. Failure to meet the public participation requirements will result in the disqualification of the City from the programs and an inability to receive funds On October 28,2011 a public meeting was held to solicit Input from the public on potential projects for the submission of an application Technical assistance was provided to the community until October 27,2011 to help formulate a project for consideration and to determine if a potential project meets the requirements of the CDBG program There were two local non-profits present during the meeting. See Attachment One for the proposed projects. Additionally,on October 29,2010 The Leadership Team met to discuss potential projects for presentation to Council Based upon the City's current low to moderate income status,the City must focus their CDBG and SSP efforts on projects that meet one of the following criteria 1) Is within a designated and approved redevelopment area, e g Crossroads Redevelopment Area, 2) Assist persons within a limited clientele category, e g seniors, disabled,etc , 3) Assist homeowners who are proven to be low income, e g housing rehabilitation, and 2 4) Assist neighborhoods that are proven to be low income During the Leadership Team meeting, several projects were discussed that met the criteria of the CDBG program, See Attachment One Of those projects, several held high priority because they addressed objectives within the recently completed Downtown Revitalization and Implementation Strategy. As part of the application requirements for submission of CDBG and SSP applications, a resolution is required that authorizes the City to submit applications to the Arizona Department of Housing for funding Resolution No. 11-49 further authorizes the Mayor to sign the applications, contracts, and grant documents, and take all actions necessary to implement and complete the activities submitted within the applications. DISCUSSION A public hearing is required by the Arizona Department of Housing to provide the public an additional opportunity to present potential projects to the City Council for consideration. Staff respectfully requests that Council take into consideration those projects found as eligible in Attachment 1 and those projects presented during the second public hearing as potential projects for submittal Council's project selection and approval of Resolution No. 11-49 will enable City staff to prepare and submit the application(s) in a complete and timely manner. RECOMMENDATION Staff respectfully recommends that Council. 1 Conduct a public hearing and review the proposed projects; 2. Select the project(s)to be submitted and designate which project will be submitted for FY12 CDBG funding and FY12 SSP funding, and 3 Review, discuss, and approve Resolution No 11-49. ACTION REQUIRED The following actions are required. 1)Convening a public hearing, 2) Selection of project(s)to be submitted as grant applications;and 3) Council's consideration of Resolution No. 11-49. Attachment One. Proposed projects Attachment Two• Resolution No 11-49 1 3 Attachment One Prospective CDBG/SSP Projects for the Fiscal Year 2012 I� Project ADA compliance wirier: `� Location• Focal Point Intersection � '" Cost $130,147 Description Installation of ADA ramps and stamped concrete crosswalks Eligibility ADA compliance within redevelopment area , ,. Identified in the DRIS 07}19}3219 mac. Project: Commercial Rehabilitation ''� Location TBD — Crossroads is currently the only eligible area g Cost: open � _ .1 ,! , Description Rehabilitation of commercial properties for ADA, code and health and safety compliance ming lit '' May include sewer connections Eligibility Redevelopment area benefit "°° �� . Identified in the DRIS : Project North Apache Trail Improvements Location North Apache Trail :- Cost $1M Description: Main Street cross section improvements Eligibility Redevelopment area benefit r ' Identified in the DRIS '' Project: Drainage Improvements Location Grand/Ocotillo/Main/Palo Verde south of Apache Trail ,,j,., '" "` r it` Cost $1 3 to $1 4M y Description. Installation of curb, gutter and sidewalks Includes repaving -0. Eligibility Census 2000 block group is 63 2% LM Project: Drainage Improvements ., Location Neighborhood NE of Southern and San Marcos / w ` ' Cost: $268,000 to $821,000 u' .._ —IF-1Description Installation of valley gutters, storm drains and a,- I retention basin ' ..- Eligibility. Currently INELIGIBILE _ ; Census 2000 block group is 47 3% LM Special Survey can be completed Project. Sidewalk Installation Location North side of OWH from Idaho to Winchester - .,.< Cost: $181,000 - Description Installation of approx 1156 I f of curb, gutter and sidewalk a. . Eligibility Redevelopment area benefit �^ V , 0 •---,' -.... Project Bike Lanes Location Apache Trail from Idaho to Rennick `"`'- Cost: TBD --o" Description Restriping of Apache Trail to include bike lanes -0,' Eligibility: Redevelopment area benefit Must be in existing ROW and be a part of a • "`�� ^ eS street project- if the road is in good condition and is merely restnping, it is not eligible. - Project Housing Rehabilitation - Location Citywide vs. Identified area Cost open I, ' ` Description. The rehabilitation of owner occupied homes Eligibility: Homeowner is qualified gl- Proposed Projects from September 28, 2011 Public Meeting Project Active Adult Center Equipment Location Active Adult Center Cost. $7,000 - $10,000 Description Purchase of flash freezer that will freeze ..... weekend home delivered meals for seniors Eligibility. Limited clientele eligibility Project Active Adult Center Transportation Services Location Active Adult Center Cost: $45,000 - $50,000 Description Pay for the driver, fuel, insurance and maintenance of the van shuttle that serves the center Eligibility Currently INELIGIBILE - Only eligible if service is an expansion of existing. However AAC staff indicates this is to pay for the existing service because funding will end 6/2012. Project Job Placement Services Location: Empowerment Systems Cost $100,000 Description Services will coordinate interviews and locate available jobs for AJ residents within a 25 miles radius of the city Money will cover the purchase of computers and staff Eligibility INELIGIBLE — not fundable per AzDOH ems emN RESOLUTION NO 11-49 A RESOLUTION OF THE MAYOR AND CITY COUNCIL OF THE CITY OF APACHE JUNCTION, ARIZONA, AUTHORIZING THE SUBMISSION OF APPLICATION (S) FOR FY 2012 STATE COMMUNITY DEVELOPMENT BLOCK GRANT REGIONAL ACCOUNT ("CDBG RA") , FY 2012 STATE SPECIAL PROJECT ("SSP") emiS FUNDS, AND CERTIFYING THAT THE APPLICATION (S) . (1) MEETS THE IDENTIFIED HOUSING AND COMMUNITY DEVELOPMENT NEEDS, AND (2) IS NECESSARY FOR IMPLEMENTATION AND COMPLETION OF THE ACTIVITIES OUTLINED IN THE CDBG RA AND SSP APPLICATION (S) WHEREAS, the City of Apache Junction is desirous of undertaking community development activities, and WHEREAS, the State of Arizona is administering the Community Development Block Grant ("CDBG") Program, and WHEREAS, the State CDBG Program requires that the requested CDBG funds address one of the three congressionally-mandated national objectives, and WHEREAS, the activities within these applications address the identified housing and community development needs, including the needs of low and moderate income persons, and WHEREAS, a grantee of State CDBG funds is required to comply with the CDBG Program guidelines and federal statutes and regulations, and WHEREAS, on September 28, 2011 and December 6, 2011, the City of Apache Junction held public hearings on CDBG RA and SSP proposed projects . NOW, THEREFORE, BE IT RESOLVED by the Mayor and City Council of the City of Apache Junction as follows . SECTION 1• Staff is authorized to submit applications to the State of Arizona Department of Housing for Fiscal Year 2012 CDBG RA, and Fiscal Year 2012 SSP funds, and the Mayor is authorized to sign the applications, contracts, grant documents and other related documents for receipt and use of CDBG funds for. RESOLUTION NO 11-49 PAGE 1 OF 2 FY 2012 CDBG RA - for the funding maximum FY 2012 - for $300, 000 SECTION 2 : The Mayor is authorized to take any and all actions necessary to implement and complete the activities submitted in the OmIN applications SECTION 3 • The applications for State CDBG RA and SSP funds further the needs under State guidelines for low and moderate income persons . SECTION 4 • The City of Apache Junction shall comply with all State CDBG Program guidelines, federal statutes and regulations applicable to the State CDBG Program and certifications contained in the applications. PASSED AND ADOPTED BY THE MAYOR AND CITY COUNCIL OF THE CITY OF APACHE JUNCTION THIS DAY OF 2011 . SIGNED AND ATTESTED TO THIS DAY OF 2011 . JOHN INSALACO Mayor ATTEST • KATHLEEN CONNELLY City Clerk APPROVED AS TO FORM RICHARD J. STERN City Attorney RESOLUTION NO 11-49 PAGE 2 OF 2 C1 ROLL CALL VOTE (4.,, , (-1 / ,,, NOTES I i ,'` 07//(4 /4) /OP /Y / blj 0 k (±71 „7/\,;(, ) 1 \ / , i) / . [\\-) / i z ll ITEM # -'` • ; MEETING F VitA\ MOTION BY: \LA( SECONDED BY. V //Z.- YES NO ABSTAINED COUNCILMEMBER SMITHSON COUNCILMEMBER BARKER ii VICE MAYOR DIETZ V COUNCILMEMBER COLEMAN f COUNCILMEMBER SERDY V COUNCILMEMBER WILSON II/MAYOR INSALACO UNANIMOUS IN FAVOR OPPOSED ABSTAINED TOTAL v .... .1% C ROLL CALL VOTE NOTES _ l ) ,\I , l. tIN t ‘‘... 1 4,P l? (.3)#j es (itV .ji\,_\/(V,`A (.1).11 \ ' Yill 1,,,ni ITEM # 1'b MEETIN OF 1-?), 00 MOTION BY \ SECONDED BY YES NO ABSTAINED VICE MAYOR DIETZ COUNCILMEMBER WILSON 1/7 COUNCILMEMBER BARKER COUNCILMEMBER SERDY r /z,. COUNCILMEMBER SMITHSON COUNCILMEMBER COLEMAN MAYOR INSALACO V UNANIMOUS IN FAVOR OPIED ABSTAINED TOTAL '? !'ik ITEM NO. 13 I MOVE THAT RESOLUTION NO 11-49, A RESOLUTION OF THE MAYOR AND CITY COUNCIL OF THE CITY OF APACHE JUNCTION,ARIZONA, AUTHORIZING THE SUBMISSION OF APPLICATION(S) FOR FY 2012 STATE COMMUNITY DEVELOPMENT BLOCK GRANT REGIONAL ACCOUNT ("CDBG RA"), FY 2012 STATE PIN SPECIAL PROJECT("SSP") FUNDS,AND CERTIFYING THAT THE APPLICATION(S). (1)MEETS THE IDENTIFIED HOUSING AND COMMUNITY DEVELOPMENT NEEDS; AND (2) IS NECESSARY FOR IMPLEMENTATION AND COMPLETION OF THE ACTIVITIES OUTLINED IN THE CDBG RA AND SSP APPLICATION(S), BE APPROVED WITH THE FOLLOWING AMENDMENTS. IN SECTION 1, THAT FY 2012 CDBG RA-_ FOR THE FUNDING MAXIMUM BE AMENDED BY INSERTING _ AS THE PROJECT, AND THAT FY 2012 - FOR$300,000 BE AMENDED BY INSERTING AS THE PROJECT ROLL CALL VOTE NOTES _\\,),)\\ ITEM # I MEETING OF MOTION BY SECONDED BY 12,t11 Y S NO ABSTAINED COUNCILMEMBER WILSON COUNCILMEMBER SERDY COUNCILMEMBER COLEMAN VICE MAYOR DIETZ COUNCILMEMBER BARKER V COUNCILMEMBER SMITHSON MAYOR INSALACO UNANIMOUS IN FAVOR OPPOSED ABSTAINED TOTAL OiN oviN ITEM NO. 14-17 - THE EXECUTIVE SESSION AND WORK SESSION ON DECEMBER 19,2011 HAS BEEN CANCELLED. THE EXECUTIVE SESSION AND REGULAR MEETING OF DECEMBER 20, 2011, HAS BEEN CANCELLED. THE EXECUTIVE SESSION AND WORK SESSION OF JANUARY 2,2012,HAS BEEN CANCELLED DUE TO OBSERVATION OF THE NEW YEAR'S HOLIDAY. /'S I MOVE THAT AN EXECUTIVE SESSION AT 5.45 P.M. AND A WORK SESSION AT 7.00 P M BE HELD ON TUESDAY, JANUARY 3, 2012, IN THE CITY COUNCIL CONFERENCE ROOM AND CITY COUNCIL CHAMBERS RESPECTIVELY ADJOURNMENT: I MOVE THAT THE MEETING BE ADJOURNED AT P M +yam ,. . , u5 D ie . , w . 7 ---.611° 16"..".M--------- ilk I' 4 ii M — --.7 $DINATINC Gx* j a A.- .:, , iii .4, ) -7,....\.--- r , ,... .... , vot4' ,,Fifeq cis., ._ _go, illI w 0 \ FEMAlit fe �t`I ND S�GJ ` e i ICS - 402 : ICS Overview for MI Executives/Senior Officials .... G402 .., Student Manual February 2009 r ati4�T4,4.4 5 � l�i�IFEMA HND S�GJ4 �� WI 1 ICS-402: Incident Command System (ICS) Overview for Executives/Senior Officials (G402) ICS-402 -- Incident Command System (ICS) Overview for Executives/ Senior Officials FEMA V \V ICS-402—February 2009 ICS Overview for Executives/Senior Officials a Objectives (1 of 2) • Describe the Incident Command System (ICS). • Describe the various ways ICS can be applied. • Define the role of an Executive/Senior Official relative to the ICS. • Describe the major responsibilities of an Executive/ Senior Official as related to an incident. • Demonstrate basic familiarity with ICS terminology IMP • Describe the basic organization of ICS and know the functional responsibilities of the Command and General Staffs. • Describe issues that influence incident complexity and the tools available to analyze complexity I- ICS-402—February 2009 ICS Overview for Executives/Senior Officials February 2009 Page 1 ICS-402: Incident Command System (ICS) Overview for Executives/Senior Officials (G402) Objectives (2 of 2) • Describe the differences between on-incident ICS organizations and activities and the activities accomplished by Emergency Operations Centers (EOCs), Area Commands, and Multiagency Coordination Systems (MACS) • Explain the administrative, logistical, financial, and reporting implications of large incident operations. • Describe the sources of information regarding the incident and how to access them • Describe types of agency(ies) policies and guidelines that influence management of incident or event activities ICS-402—February 2009 ICS Overview for Executives/Senior Officials MEP Part 1 : What Is ICS? FEMA f ICS-402—February 2009 5 ICS Overview for Executives/Senior Officials Y February 2009 Page 2 ICS-402: Incident Command System (ICS) Overview for Executives/Senior Officials (G402) What Is an Incident? An incident is . . . —• . . . an occurrence, caused by either human or , x natural phenomena, that requires response actions to prevent or minimize - loss of life, or damage to - property and/or the environment. ICS-402—February 2009 ICS Overview for Executives/Senior Officials Incident Timeframes How long will a How long do we complex incident need to be self- last? sufficient? How will you know that the incident is over? a ... ""' ICS-402—February 2009 ICS Overview for Executives/Senior Officials February 2009 Page 3 ICS-402. Incident Command System (ICS) Overview for Executives/Senior Officials (G402) What Is ICS? The Incident Command System: • Is a standardized, on-scene, all- 1.11 hazards incident management `' " concept. ■ Allows its users to adopt an 7 ' .,; w,09, •' integrated organizational structure to match the -- f complexities and demands of , single or multiple incidents without being hindered by jurisdictional boundaries. ICS-402—February 2009 ICS Overview for Executives/Senior Officials ICS Purposes Using management best practices, ICS helps to ensure: • The safety of responders and others. • The achievement of tactical objectives. • The efficient use of resources. tAligro Fes= a � ICS-402—February 2009 ICS Overview for Executives/Senior Officials aro February 2009 Page 4 ICS-402: Incident Command System (ICS) Overview for Executives/Senior Officials (G402) Legal Basis for ICS HSPD-5 Management of Domestic • Incidents HSPD-8 National Preparedness Mandates y++ 41411t Agruiull4\Ixin. A\TII r,l I\('I IN 4T _ lami+rrl \I.\A 11.1`.1111'\l rl al Y "t.. ICS-402—February 2009 ICS Overview for Executives/Senior Officials National Response Framework (NRF) • Establishes a comprehensive, �;. national, all-hazards approach to domestic incident response. Numlal ltc+ryrll,\ • Presents an overview of key rT�lll response principles, roles, and k:,,;," E�.re.�<Ta P structures that guide the national Funnbn Anwn• response. -- ppoti M _ • Includes the Core Document, Annexes, and Partner Guides. • Replaces the National Response Plan. _ . ICS-402—February 2009 ICS Overview for Executives/Senior Officials February 2009 Page 5 r ICS-402: Incident Command System (ICS) Overview for Executives/Senior Officials (G402) AIN OW NRF Emphasizes Partnerships I Federal Government Last Resort! 1 I I State Government Provides Support 1 4 i Local Government First Response! , ki , Individuals and Private Nongovernmental , Households Sector OrganizationsII ,_ I._.. ICS-402—February 2009 441111ftir_ ICS Overview for Executives/Senior Officials I I National Incident Management System _IF i� 1 A• I. • What? . . . NIMS provides a consistent h 1 : • nationwide template + tribal, and � Ili, • Whop .to enable Federal, State, NATION:%I.IN(IDLNT local governments, the private sector, and M AN MaNII:NT%Y5T 1:\I nongovernmental organizations to work — together • How2 . to prepare for, prevent, respond to, recover from, and mitigate the effects of incidents regardless of cause,size, location, or complexity . . . • Why? in order to reduce the loss of life NNW and property, and harm to the environment I- ICS 402—February 2009 _41111'C ICS Overview for Executives/Senior Officials I AND February 2009 Page 6 ICS-402• Incident Command System (ICS) Overview for Executives/Senior Officials (G402) NIMS: What It Is/What It's Not NIMS is . . . NIMS is not . ■ A flexible framework of: • An operational incident • Doctrine management plan • Concepts • A resource allocation • Principles plan • Terminology • A terrorism/WMD- • Organizational specific plan processes • Designed to address • Applicable to all hazards international events and jurisdictions ICS-402—February 2009 ICS Overview for Executives/Senior Officials NIMS Components ir ::::?: Preparedness Communications and Incident I � Information Management NATION%I IN('IDI NI Command M 0.UMW NT SYSTI:NI System Resource Management 0=1' Multiagency Command and Management Coordination Systems Ongoing Management and Maintenance Public Information ilrIL_ *-' ICS-402—February 2009 +. ICS Overview for Executives/Senior Officials February 2009 Page 7 ICS-402: Incident Command System (ICS) Overview for Executives/Senior Officials (G402) NIMS & Institutionalizing ICS Governmental officials must: • Adopt the ICS through executive order, proclamation, or legislation as the agency's/jurisdiction's official incident response system • Direct that incident managers and response organizations train, exercise, and use the ICS. • Integrate ICS into functional and system-wide emergency operations policies, plans, and procedures • Conduct ICS training for responders, supervisors, and command-level officers • Conduct coordinating ICS-oriented exercises that involve responders from multiple disciplines and jurisdictions ICS-402-February 2009 -41111m ICS Overview for ExecutiveslSenior Officials Other ICS Mandates • Hazardous Materials Incidents • Superfund Amendments and Reauthorization Act (SARA) — 1986 • Occupational Safety and Health Administration (OSHA) Rule 29 CFR 1910.120 • State and Local Regulations • y, ICS-402-February 2009 �•�, ICS Overview for Executives/Senior Officials I February 2009 Page 8 ICS-402: Incident Command System (ICS) Overview for Executives/Senior Officials (G402) Examples of Incidents Managed Using ICS • Fire, both structural and midland _ • Natural disasters, such as tornadoes,floods, ice storms, or earthquakes • Human and animal disease outbreaks • Search and rescue missions • Hazardous materials incidents t ■ Criminal acts and crime scene investigations -.. • Terrorist incidents, including the use of weapons of mass destruction • National Special Security Events,such as Presidential visits or the Super Bowl • Other planned events, such as parades or demonstrations :.. ICS-402—February 2009 ire_ ICS Overview for Executives/Senior Officials ICS Benefits • Meets the needs of incidents of any kind or size. ; / • Allows personnel from a variety �„ of agencies to meld rapidly into ti' a common management �-- t4,444, structure • Provides logistical and administrative support to operational staff. • Is cost effective by avoiding duplication of efforts. ICS-402—February 2009 �.t. ICS Overview for Executives/Senior Officials February 2009 Page 9 ICS-402: Incident Command System (ICS) Overview for Executives/Senior Officials (G402) Part 2: ICS Organization & Features FEMA V Nit) .. ICS-402—February 2009 ICS Overview for Executives/Senior Officials �r. ICS Organization Differs from the day-to-day, administrative organizational structures and positions • Unique ICS position titles and organizational structures are designed to avoid confusion during response. • Rank may change during deployment. A "chief" may not hold that title when deployed under an ICS structure. Mr—A ICS-402—February 2009 r� ICS Overview for Executives/Senior Officials February 2009 Page 10 ICS-402: Incident Command System (ICS) Overview for Executives/Senior Officials (G402) Common Terminology ICS requires the use of common terminology. Common terminology helps to define: • Organizational functions. • Incident facilities. • Resource descriptions. — • Position titles. h is Unit 1,i we •vea 10-3 Code 2. ICS-402—February 2009 ICS Overview for Executives/Senior Officials Chain of Command • Chain of command is an orderly line of authority within the ranks of the incident management '- organization. • Unity of command means that every individual has a designated supervisor to whom he or she reports at the scene of the incident. Authority E. ICS-402—February 2009 ICS Overview for Executives/Senior Officials February 2009 Page 11 ICS-402: Incident Command System (ICS) Overview for Executives/Senior Officials (G402) S Incident Commander Upon arriving at an incident, Aat, the higher ranking person _ ,�tk` • will either assume command, maintain command as is, or transfer command to a third '1/0,- pa rty. 11 Y The most qualified person at the scene is designated as the Incident Commander. ICS-402—February 2009 ICS Overview for Executives/Senior Officials Incident Commander's Role The Incident Commander • Provides overall leadership for incident response ... • Takes policy direction from the rigJ!,r- Executive/Senior Official. `'�-� Delegates authority to others. .� f. 0 • ■ Ensures incident safety. • Provides information to internal and external stakeholders • Establishes and maintains liaison with other agencies participating in the incident ■ Establishes incident objectives. • Directs the development of the Incident Action Plan. m _, Om, 5 ICS-402—February 2009 �•t- ICS Overview for Executives/Senior Officials a February 2009 Page 12 ICS-402: Incident Command System (ICS) Overview for Executives/Senior Officials (G402) Executives'/Senior Officials' Role & Responsibilities Executives/Senior Officials. ■ Provide policy guidance on - priorities and objectives based _ on situational needs and the Emergency Plan. 4-34,4 ■ Oversee resource coordination and support to the on-scene command from the Emergency Operations Center (EOC) or through dispatch. a . �. ICS-402—February 2009 ICS Overview for Executives/Senior Officials Command vs. Coordination What is the difference between command and coordination? ICS-402—February 2009 ICS Overview for Executives/Senior Officials February 2009 Page 13 ICS-402• Incident Command System (ICS) Overview for Executives/Senior Officials (G402) NIMS: Command *`' Command: The act of directing, ,� . . ordering, or controlling by virtue of explicit statutory, regulatory, or N\1'ION:\I MI MI I NT M.4N 441:MI KT SYSTIM delegated authority. Who has the explicit authority for the management of all incident operations? a` ICS-402—February 2009 -'-imm. _ ICS Overview for Executives/Senior Officials NIMS: Coordination i: 4 .1 ;• Multiagency coordination is a if * process that allows all levels of — ,f tr, government and all disciplines to N.41111\.l l INC 11)1:\T M V,M'I MINI M,rr"I work together more efficiently and ,wW effectively. s ...� — ICS402—February 2009 —4411C. ICS Overview for Executives/Senior Officials February 2009 Page 14 ICS-402: Incident Command System (ICS) Overview for Executives/Senior Officials (G402) Executives/Senior Officials Delegate Command Authority • Executives/Senior Officials delegate authority to the designated Incident Commander for on- scene operations. ■ The Incident Commander has direct tactical and operational responsibility for conducting incident management activities. d aim {.4 ICS-402—February 2009 ICS Overview for Executives/Senior Officials Delegation of Authority Delegation of authority may be in writing (established in advance) or verbal, and include. • Legal authorities and restrictions. • Financial authorities and restrictions. Delegation • Reporting requirements of • Demographic issues. Authority • Political implications. • Agency or jurisdictional priorities. • Plan for public information management. • Process for communications • Plan for ongoing incident evaluation ICS-402—February 2009 ICS Overview for Executives/Senior Officials February 2009 Page 15 ICS-402: Incident Command System (ICS) Overview for Executives/Senior Officials (G402) Summary: Incident Management Roles -� Incident Commander's Agency Executives'/Senior Role Officials' Role The Incident Commander These officials provide the • Manages the incident at following to the Incident the scene. Commander • Keeps the EOC informed • Policy on all important matters • Mission pertaining to the incident. ■ Strategic direction ■ Authority To maintain unity of command and safety of responders, the chain of command must NOT be bypassed ICS-402—February 2009 ICS Overview for Executives/Senior Officials Command Staff The Incident Commander may designate a Command Staff who. • Provide information, liaison, and safety services for the entire organization. • Report directly to the Incident Commander. Incident Commander Public Information Officer Liaison Command °`fiOBf Staff Safety Officer ICS-402—February 2009 �t f ICS Overview for Executives/Senior Officials isor February 2009 Page 16 ICS-402: Incident Command System (ICS) Overview for Executives/Senior Officials (G402) General Staff As the incident expands in complexity, the Incident Commander may add General Staff Sections to maintain span of control. Incident Commander Public Information Officer Liaison " Command ((( Officer Staff — _J Safety Officer Operations Planning Logistics FinancelAdmin General Section Section Section Section Staff ICS-402—February 2009 ICS Overview for Executives/Senior Officials Incident Management Team Incident Commander Public Information Incident Management Officer Team =Command and Liaison General Staff Members // Officer I Safety �II Officer Operations Planning Logistics Finance/Admin Section Section Section Section Incident Management Team ICS-402—February 2009 ICS Overview for Executives/Senior Officials sum NEM February 2009 Page 17 ICS-402: Incident Command System (ICS) Overview for Executives/Senior Officials (G402) Who Does What? Finance/Admin. Command. Overall Monitors costs related responsibility for the to the incident. incident Sets objectives Provides overall fiscal Incident Commander guidance i Operations Planning Logistics Finance/Admin Section Section Section Section Operations- Develops the Planning. Develops Logistics. Provides tactical organization and the Incident Action resources and all directs all resources to Plan to accomplish other services carry out the Incident the objectives needed to support Action Plan. the incident . . ICS-402-February 2009 —)41moc- ICS Overview for Executives/Senior Officials Modular Organization (1 of 2) • Develops in a top-down, modular fashion. MI I • Is based on the size and complexity of the Incident. l o I • Is based on the hazard n �D environment created by the incident. . �, ICS-402-February 2009 'i..t ICS Overview for Executives/Senior Officials Pa e18 February 2009 9 ICS-402: Incident Command System (ICS) Overview for Executives/Senior Officials (G402) Modular Organization (2 of 2) • Incident objectives determine the organizational size. • Only functions/positions i that are necessary will be I filled n ELI • Each element must have a person in charge. ICS-402—February 2009 �� ICS Overview for Executives/Senior Officials Example: Expanding Incident (1 of 3) Scenario. On a chilly autumn day, a parent calls Incident Commander 911 to report a missing 7-year-old child in a Public Information I wooded area adjacent to a Safety I OfficerOfficer I coastal area Liaison Officer EMS Search Investigation — Group I Group Group Initially,the Incident Commander manages the General Staff resources. . '11wn:_ — ICS-402—February 2009 ICS Overview for Executives/Senior Officials February 2009 Page 19 ICS-402: Incident Command System (ICS) Overview for Executives/Senior Officials (G402) _ Example: Expanding Incident (2 of 3) Scenario• As additional Incident Commander resource personnel arrive, • Inf the Incident Commander PubIIcOfficer mation Safety assigns an Operations Officer , Liaison Section Chief to maintain - Officer , span of control Operations Section i Staging Area sisx • As the incident expands,an t Operations Section Chief is EMS Search Investigation Group Group Group assigned. Canine Volunteer Strike Team Searchers • ICS-402—February 2009 "�tioar ICS Overview for Executives/Senior Officials Example: Expanding Incident (3 of 3) Scenario• With hundreds Incident of responders and Commander volunteers arriving, there , J Public Information �ll Officer is a need for on-scene Safety _� Officer support of the planning Liaison and logistics functionsa Operations Planning Logistics The Incident Commander Section Section Section adds a Planning Section Chief and Logistics Remember. . . Not all Sections Section Chief. need to be activated! a� ICS-402—February 2009 ICS Overview for Executives/Senior Officials MID February 2009 Page 20 ICS-402: Incident Command System (ICS) Overview for Executives/Senior Officials (G402) Incident Complexity and Resource Needs Incident Complexity Resource Needs ICS Structure '4417-11 7111 1 w 1 4 :;s,Wnrn , V 1 �gppir — t tea F 4r"rti .Zlh mmiiMin =Ma a `t-•.'.-ram V� ,. _ t- ICS-402—February 2009 ICS Overview for Executives/Senior Officials mmr Complexity Analysis Factors In your agency or jurisdiction, what factors may affect the complexity of an incident? ICS-402—February 2009 ICS Overview for Executives/Senior Officials February 2009 Page 21 ICS-402: Incident Command System (ICS) Overview for Executives/Senior Officials (G402) Management by Objectives • ICS is managed by objectives. • Objectives are communicated throughout the entire ICS organization. 9 .41*. _ "; -4.111 "yak ICS-402—February 2009 _AllimC ICS Overview for Executives/Senior Officials — S Overall Priorities Initial decisions and objectives are established ‘�� based on the following — priorities: "` `. -ter #1: Life Safety — #2. Incident Stabilization #3: Property/Environmental :,~ — Conservation mg lt, 1 ft,., . ICS-402—February 2009 `Ali.5. ICS Overview for Executives/Senior Officials I February 2009 Page 22 O _ ICS-402: Incident Command System (ICS) Overview for Executives/Senior Officials (G402) Reliance on an Incident Action Plan The Incident Commander creates an Incident Action Plan (IAP) that. • Specifies the incident objectives. • States the activities to be completed. Incident Action Plan • Covers a specified timeframe, called an operational period • May be oral or written—except for hazardous materials incidents, which require a written IAP. • Takes into account legal and policy considerations and direction. ICS-402—February 2009 ICS Overview for Executives/Senior Officials Resource Management Resource management includes processes for: • Categorizing resources. • Ordering resources. • Dispatching resources. 0- , si r 4 • Tracking resources. • Recovering resources. It also includes processes for reimbursement for resources, as appropriate. I- ICS-402—February 2009 ICS Overview for Executives/Senior Officials February 2009 Page 23 ICS-402. Incident Command System (ICS) Overview for Executives/Senior Officials (G402) Integrated Communications Incident communications are facilitated through: • The development and use of a common communications plan. • The interoperability of communication equipment, procedures, and systems. Before an incident, it is critical to s develop an integrated voice and data communications system (equipment, systems, and protocols). ICS-402-February 2009 ICS Overview for Executives/Senior Officials Interoperability Saves Lives Jan 13, 1982: 70 people lost their lives when Air Florida Flight 90 crashed in Washington, DC Police, fire, and EMS crews responded quickly but couldn't coordinate their efforts because they couldn't talk to each other by radio. Sept. 11, 2001: When American Airlines Flight 77 crashed into the Pentagon, 900 users from 50 different agencies were able to communicate with one another. Response agencies had learned an invaluable lesson from the Air Florida tragedy lnteroperability makes sense. It's a cost-saver, a resource-saver, and a lifesaver. ICS-402-February 2009 '�►•c ICS Overview for Executives/Senior Officials 01. February 2009 Page 24 ICS-402: Incident Command System (ICS) Overview for Executives/Senior Officials (G402) Mobilization At any incident: ■ The situation must be assessed and the response planned. • Managing resources safely and effectively is the most important consideration. • Personnel and equipment - tt\ should not be dispatched - ", _•a ' unless requested by the "' ; r. on-scene Incident Command. �"`► =� �` ICS-402—February 2009 ICS Overview for Executives/Senior Officials Part 3: Unified & Area Command FEMA 102) Ati ICS-402—February 2009 ICS Overview for Executives/Senior Officials February 2009 Page 25 ICS-402: Incident Command System (ICS) Overview for Executives/Senior Officials (G402) Unified Command As a team effort, Unified Command allows all agencies with jurisdictional authority or functional responsibility for an incident to jointly provide management direction to the incident. In Unified Command, no agency's legal authorities will be compromised or neglected. ICS-402—February 2009 ICS Overview for Executives/Senior Officials Unified Command Unified Command • Establishes a common set r of incident objectives and strategies. fir`' • Allows Incident Commanders Fire law Enforcement Search&Rescue to make joint decisions by % j establishing a single -., R command structure. e • Maintains unityof command Operations — Section Chief Each employee reports to ti only one supervisor. , till , ..� PA Resources twm ICS-402—February 2009 ICS Overview for Executives/Senior Officials eai February 2009 Page 26 ICS-402: Incident Command System (ICS) Overview for Executives/Senior Officials (G402) Example: Unified Command A football team is returning home from a State tournament. Their bus is involved in an accident on the bridge that marks the county line ■ Most of the bus is in Franklin County. • A small part of the bus is in Revere County (their home county). Why might a Unified Command be used to manage this incident? - u ICS-402-February 2009 -'mac_ ICS Overview for Executives/Senior Officials Definition of Area Command Area Command is used to oversee the management of. • Multiple incidents that are each being handled by an Incident Command System organization; or • A very large incident that has multiple incident management teams assigned to it Area Commander Incident#1 Incident#2 Incident#3 Incident Commander ' Incident Commander Incident Commander ICS-402-February 2009 ICS Overview for Executives/Senior Officials February 2009 Page 27 ICS-402: Incident Command System (ICS) Overview for Executives/Senior Officials (G402) Area Command: Primary Functions • Provide agency or jurisdictional authority for assigned incidents • Ensure a clear understanding of agency 114 expectations, intentions,and constraints. • Establish critical resource use priorities between various incidents • Ensure that Incident Management Team personnel assignments and organizations are appropriate. 'Fr • Maintain contact with officials in charge, and other agencies and groups 44G.° • Coordinate the demobilization or 1A reassignment of resources between assigned incidents. • ICS-402—February 2009 ��—' w ICS Overview for Executives/Senior Officials Key Terms Emergency Emergency Operations Center Ops Center The physical location at which (EOC) the coordination of information Area I and resources to support Command — incident management takes place. Area Command: Oversees the management of multiple Incident Incident Incident incidents Area Command may Commander Commander Commander be unified, and works directly #1 #2 #3 with Incident Commanders. Incident Commander Performs primary tactical-level, on-scene incident command functions. The Incident Commander is located at an Incident Command Post at the incident scene111141... law ICS-402—February 2009 ICS Overview for Executives/Senior Officials February 2009 Page 28 _ ICS-402: Incident Command System (ICS) Overview for Executives/Senior Officials (G402) Part 4: Coordination & Incident Management Assessment FEMA -s, ICS-402—February 2009 — ICS Overview for Executives/Senior Officials Multiagency Support and Coordination Provide support and coordination to incident Local State Federal command by Emergency Emergency Emergency Ops Center Ops Center Ops Center ■ Making policy decisions. (EOC) (EOC) (EOC) • Establishing priorities. • Resolving critical resource issues. • Facilitating logistics support Incident and resource tracking. Command • Collecting, analyzing, and disseminating information. ICS-402—February 2009 ICS Overview for Executives/Senior Officials February 2009 Page 29 ICS-402: Incident Command System (ICS) Overview for Executives/Senior Officials (G402) A System . . . Not a Facility 1 6 . rtl 'may ,: .,.,. On-Scene .. - • Command Dispatch Coordination '. Resource Centers'. • • Multiagency Coordination System • • • ' Coordination Emergency J -�^1 Entities/ Operations ,Ar,�-• ». ,° — Groups Centers "` _ am maw Managing Public Information _ I The Public Information Officer s F: • Represents and advises the Incident - ' Command • Manages on-scene media and public inquiries The Joint Information Center (JIC) is a physical location used to coordinate illik ' • Critical emergency information. • Crisis communications. • Public affairs functions -- ICS-402-February 2009 "1111s..� ICS Overview for Executives/Senior Officials February 2009 Page 30 ICS-402: Incident Command System (ICS) Overview for Executives/Senior Officials (G402) Speaking With One Voice ., - - =� • Executives/Senior Officials - , = ?' --=' must coordinate and iinte• •' 4 r grate messages with `441 on-scene Public Information `° 6'4' ' r,ct- Officers and other agencies • • A Joint Information System (established procedures and protocols) is used to help ensure coordination of messages. — ICS-402—February 2009 -fit ICS Overview for Executives/Senior Officials i Coordination Among Agencies A wide-area search is underway ) for a child who is missing. The , p County search covers the areas shown on the map. County df.l• ^.� State r I What agencies may =_ _ 'Rec.Area be part of the National MACS? 1 Park What activities are — being coordinated? a _f_ ._, ICS-402—February 2009 ICS Overview for Executives/Senior Officials February 2009 Page 31 ICS-402: Incident Command System (ICS) Overview for Executives/Senior Officials (G402) Incident Management Assessment Assessment is an important leadership responsibility. Assessment methods include: • Corrective action report/ after-action review. • Post-incident analysis. ` • Debriefing. • Post-incident critique. • Mitigation plans. ICS-402—February 2009 �ftc_. ICS Overview for Executives/Senior Officials After-Action Review Ensure an after-action review is conducted and answers the following questions: • What did we set out to do? • What actually happened? • Why did it happen? • What are we going to do different next time? • Are there lessons learned that should be shared? • What followup is needed? ICS-402—February 2009 ICS Overview for Executives/Senior Officials r February 2009 Page 32 _ ICS-402: Incident Command System (ICS) Overview for Executives/Senior Officials (G402) Part 5: NIMS Preparedness FEMA ` ICS-402—February 2009 ICS Overview for Executives/Senior Officials Check Plans, Policies, and Laws Do your agency's/jurisdiction's preparedness plans, policies, and f .,_ a` a laws• �1f: n, .,icy ::,. • Comply with NIMS, including .. ICS? . . � ■ Cover all hazards? • Include delegations of = authority (as appropriate)? • Include up-to-date -- information'? _ _. ICS-402—February 2009 ICS Overview for Executives/Senior Officials February 2009 Page 33 ICS-402: Incident Command System (ICS) Overview for Executives/Senior Officials (G402) Establish Resource Management Systems • Do you have established systems for -- • Describing, inventorying, requesting, TM. ., and tracking resources? �-- • Activating and dispatching +' -41 resources? • Managing volunteers? • Demobilizing or recalling resources? • Financial tracking, reimbursement, — and reporting? I ■ Do you have mutual aid and assistance agreements for obtaining resources, INN facilities,services, and other required support during an incident? ICS-402—February 2009 ICS Overview for Executives/Senior Officials and Information Systems Establish Communications ,., • Do you have protocols and procedures for. • Formulating and disseminating indications and warnings? • Formulating,executing, and communicating operational decisions? • Preparing for potential requirements and requests supporting incident management activities? • Developing and maintaining situation awareness? • Can responders from different agencies(e g.,fire, police, - public works)or mutual aid and assistance partners communicate with one another? • Do you have a plan/budget for maintaining and replacing your emergency communication systems? ICS-402—February 2009 Y ICS Overview for Executives/Senior Officials February 2009 Page 34 ICS-402: Incident Command System (ICS) Overview for Executives/Senior Officials (G402) AM dIIM Training, Credentialing, and Exercising ■ Do you have sufficient qualified personnel to assume ICS Command and General Staff positions? • Can you verify that personnel meet Ill -b ,-u ----- established professional standards for: • Training? • Experience? OM • Performance? ■ When was the last tabletop or functional exercise that practiced command and coordination functions? Did you participate in that exercise? ICS-402—February 2009 -ages- ICS Overview for Executives/Senior Officials mama Additional Resources F,i idli', NRF Resource Center i r•r1 Sotkarg lrt gip e(later �....w.— I klIMPOW. A. € FIMA .........—.,.. OM • NRF Resource Center www fema gov/nrf • NIMS Resource Center www fema gov/nims • ICS Resource Center ww training.fema gov/emiweb/IS/ICSResource ICS-402—February 2009 ''fit" ICS Overview for Executives/Senior Officials February 2009 Page 35 ICS-402: Incident Command System (ICS) Overview for Executives/Senior Officials (G402) Leadership y.' - Most importantly, Executives/Senior Officials provide leadership. 41- Leadership means . . . . • Motivating and supporting trained, on-scene responders so that they can accomplish difficult tasks under AV 11 dangerous, stressful circumstances. I•• ■ Instilling confidence in the public that mile lib., ;�' the incident is being managed effectively. ,�... .. ICS-402—February 2009 -. : ICS Overview for Executives/Senior Officials a a f a February 2009 Page 36 ICS Resource Information and Checklists for Executives/Senior Officials ■ Incident Command System (ICS) ICS was developed in the 1970s following a series of catastrophic fires in California's urban interface Property damage ran into the millions, and many people died or were injured The personnel assigned to determine the causes of these outcomes studied the case histories and discovered that response problems could rarely be attributed to lack of resources or failure of tactics Surprisingly, studies found that response problems were far more likely to result from inadequate management than from any other single reason The Incident Command System • Is a standardized management tool for meeting the demands of small or large emergency or nonemergency situations • Represents"best practices"and has become the standard for emergency management across the country •. • May be used for planned events, natural disasters, and acts of terrorism • Is a key feature of the National Incident Management System (NIMS) ONO As stated in NIMS, "ICS is a widely applicable management system designed to enable effective, efficient incident management by integrating a combination of facilities, equipment, personnel, procedures, and communications operating within a common organizational structure ICS is used to organize on-scene operations for a broad spectrum of emergencies from small to complex incidents, both natural and manmade ICS is used by all levels of government—Federal, State, tribal, and local—as well as by many nongovernmental organizations and the private sector ICS is also applicable across disciplines It is normally structured to facilitate activities in five major functional areas' Command, Operations, Planning, Logistics, and Finance and Administration " IIIICS and Executives/Senior Officials Frequently Asked Questions Any incident can have a mix of political, economic, social, environmental, and cost implications with potentially serious long-term effects Also, more and more incidents are multiagency and/or multijurisdictional As the Executive or Senior Official, you need to be aware of how ICS and interagency (regional) multiagency coordination systems can work to ensure cooperative response efforts • How do I maintain control when an incident occurs? As the Executive or Senior Official, you establish the overall policy, and provide guidelines on priorities, objectives, and constraints to a qualified Incident Commander In many agencies, this is done as a matter of policy through a written delegation of authority ■ Where do I fit in the incident management process? ICS has a well-defined hierarchy of command After you have clearly articulated the policy you wish followed and delegated certain authorities, the Incident Commander who reports to you will have the necessary authority and guidance to manage the incident The Incident Commander is the primary person in charge at the incident In addition to managing the incident scene, he or she is responsible for keeping you informed and up to date on all important matters pertaining to the incident Your continuing role is to ensure that you are informed and that your Incident Commander is functioning in a responsible manner February 2009 ICS-402: ICS Overview for Executives/Senior Officials Page 1 ICS Resource Information and Checklists for Executives/Senior Officials ■ ICS Features The 14 essential ICS features are listed below • Common Terminology Using common terminology helps to define organizational functions, incident facilities, resource descriptions, and position titles • Modular Organization: The Incident Command organizational structure develops in a top-down, modular fashion that is based on the size and complexity of the incident, as well as the specifics of the hazard environment created by the incident • Management by Objectives: Includes establishing overarching objectives, developing and issuing assignments, plans, procedures, and protocols, establishing specific, measurable objectives for various incident management functional activities, and directing efforts to attain the established objectives • Reliance on an Incident Action Plan: Incident Action Plans(IAPs) provide a coherent means of communicating the overall incident objectives in the contexts of both operational and support - activities • Chain of Command and Unity of Command Chain of command refers to the orderly line of authority within the ranks of the incident management organization Unity of command means Oft that every individual has a designated supervisor to whom he or she reports at the scene of the incident These principles clarify reporting relationships and eliminate the confusion caused by multiple, conflicting directives Incident managers at all levels must be able to control the actions of all personnel under their supervision — ■ Unified Command: In incidents involving multiple jurisdictions, a single jurisdiction with multiagency involvement, or multiple jurisdictions with multiagency involvement, Unified Command allows agencies with different legal, geographic, and functional authorities and responsibilities to work together effectively without affecting individual agency authority, responsibility, or accountability • Manageable Span of Control: Span of control is key to effective and efficient incident management Within ICS,the span of control of any individual with incident management supervisory responsibility should range from three to seven subordinates _ • Predesignated Incident Locations and Facilities Various types of operational locations and support facilities are established in the vicinity of an incident to accomplish a variety of purposes Typical predesignated facilities include Incident Command Posts, Incident Bases, Camps, .. Staging Areas, Mass Casualty Triage Areas, and others as required • Resource Management: Resource management includes processes for categorizing, ordering, dispatching, tracking, and recovering resources It also includes processes for reimbursement for — resources, as appropriate Resources are defined as personnel, teams, equipment, supplies, and facilities available or potentially available for assignment or allocation in support of incident management and emergency response activities • Information and Intelligence Management The incident management organization must establish a process for gathering, sharing, and managing incident-related information and intelligence — ■ Integrated Communications Incident communications are facilitated through the development and use of a common communications plan and interoperable communications processes and architectures February 2009 ICS-402: ICS Overview for Executives/Senior Officials Page 2 inn ICS Resource Information and Checklists for Executives/Senior Officials ■ ICS Features (Continued) • Transfer of Command The command function must be clearly established from the beginning of an incident When command is transferred, the process must include a briefing that captures all essential information for continuing safe and effective operations • Accountability* Effective accountability at all jurisdictional levels and within individual functional areas during incident operations is essential To that end, the following principles must be adhered to • Check-In• All responders, regardless of agency affiliation, must report in to receive an assignment in accordance with the procedures established by the Incident Commander • Incident Action Plan. Response operations must be directed and coordinated as outlined in the IAP • Unity of Command: Each individual involved in incident operations will be assigned to only one supervisor • Span of Control Supervisors must be able to adequately supervise and control their subordinates, as well as communicate with and manage all resources under their supervision • Resource Tracking: Supervisors must record and report resource status changes as they occur • Deployment: Personnel and equipment should respond only when requested or when dispatched by an appropriate authority ■ Position Titles At each level within the ICS organization, individuals with primary responsibility positions have distinct titles Titles provide a common standard for all users For example, if one agency uses the title Branch Chief, another Branch Manager, etc , this lack of consistency can cause confusion at the incident The use of distinct titles for ICS positions allows for filling ICS positions with the most qualified individuals rather than by seniority Standardized position titles are useful when requesting qualified personnel For example, in deploying personnel, it is important to know if the positions needed are Unit Leaders, clerks, etc Listed below are the standard ICS titles Organizational Level Title Support Position Incident Command Incident Commander Deputy Command Staff Officer Assistant General Staff(Section) Chief Deputy Branch Director Deputy Division/Group Supervisor N/A Unit Leader Manager UPC Strike Team/Task Force Leader Single Resource Boss February 2009 ICS-402• ICS Overview for Executives/Senior Officials Page 3 ICS Resource Information and Checklists for Executives/Senior Officials ■ ICS Organization - MO incident Commander Public information Liaison Officer Officer Safety Officer 1 t Operations Section Planning Section Logistics Section 1 Section __. Resourc ea Demob Service :µ.' Support , Time Comyensalioni Unit Unit Branch Branch I Unit Claims Unit Branches BirraOp. 1 I re aasr Situation Doc , , } Procurement Cost Unit Unit - Commun Supply Unit Unit Unit Unit Division. Groups - Medical Il Facilities 4QQ Unit Unit Strike Team U — Food Ground .I Task ForceQI Unit S Unlo rt ' • Single Resource OM • Command Staff The Command Staff consists of the Public Information Officer, Safety Officer, and - Liaison Officer They report directly to the Incident Commander • General Staff: The organization level having functional responsibility for primary segments of Or incident management (Operations, Planning, Logistics, Finance/Administration) The Section level is organizationally between Branch and Incident Commander • Branch: That organizational level having functional, geographical, or jurisdictional responsibility for - major parts of the incident operations The Branch level is organizationally between Section and Division/Group in the Operations Section, and between Section and Units in the Logistics Section Branches are identified by the use of Roman Numerals, by function, or by jurisdictional name _ • Division. That organizational level having responsibility for operations within a defined geographic area The Division level is organizationally between the Strike Team and the Branch • Group Groups are established to divide the incident into functional areas of operation Groups are located between Branches(when activated) and Resources in the Operations Section • Unit. That organization element having functional responsibility for a specific incident planning, — logistics, or finance/administration activity • Task Force: A group of resources with common communications and a leader that may be pre- established and sent to an incident, or formed at an incident • Strike Team: Specified combinations of the same kind and type of resources, with common communications and a leader — • Single Resource. An individual piece of equipment and its personnel complement, or an established crew or team of individuals with an identified work supervisor that can be used on an incident — February 2009 ICS-402• ICS Overview for Executives/Senior Officials Page 4 ICS Resource Information and Checklists for Executives/Senior Officials ■ Overall Organizational Functions ICS was designed by identifying the primary activities or functions necessary to effectively respond to incidents Analyses of incident reports and review of military organizations were all used in ICS development These analyses identified the primary needs of incidents As incidents became more complex, difficult, and expensive, the need for an organizational manager became more evident. Thus in ICS, and especially in larger incidents, the Incident Commander manages the organization and not the incident In addition to the Command function, other desired functions and activities were • To delegate authority and to provide a separate organizational level within the ICS structure with sole responsibility for the tactical direction and control of resources • To provide logistical support to the incident organization • To provide planning services for both current and future activities • To provide cost assessment, time recording, and procurement control necessary to support the incident and the managing of claims • To promptly and effectively interact with the media, and provide informational services for the incident, involved agencies, and the public • To provide a safe operating environment within all parts of the incident organization • To ensure that assisting and cooperating agencies' needs are met, and to see that they are used in an effective manner 111 Incident Commander The Incident Commander is technically not a part of either the General or Command staff The Incident Commander is responsible for overall incident management, including • Ensuring clear authority and knowledge of agency policy • Ensuring incident safety • Establishing an Incident Command Post • Obtaining a briefing from the prior Incident Commander and/or assessing the situation • Establishing immediate pnonties • Determining incident objectives and strategy(ies) to be followed • Establishing the level of organization needed, and continuously monitoring the operation and effectiveness of that organization • Managing planning meetings as required • Approving and implementing the Incident Action Plan • Coordinating the activities of the Command and General Staffs • Approving requests for additional resources or for the release of resources • Approving the use of students, volunteers, and auxiliary personnel IMO • Authorizing the release of information to the news media • Ordering demobilization of the incident when appropriate • Ensuring incident after-action reports are complete February 2009 ICS-402 ICS Overview for Executives/Senior Officials Page 5 ICS Resource Information and Checklists for Executives/Senior Officials ■ Command Staff The Command Staff is assigned to carry out staff functions needed to support the Incident Commander These functions include interagency liaison, incident safety, and public information Command Staff positions are established to assign responsibility for key activities not specifically identified in the General Staff functional elements These positions may include the Public Information Officer, Safety Officer, and Liaison Officer, in addition to various others, as required and assigned by the Incident Commander. The table on the following page summarizes the responsibilities of the Command Staff — ■ General Staff The General Staff represents and is responsible for the functional aspects of the Incident Command structure The General Staff typically consists of the Operations, Planning, Logistics, and Finance/Administration Sections. General guidelines related to General Staff positions include the following • Only one person will be assigned to each General Staff position • General Staff positions may be filled by qualified persons from any agency or jurisdiction • Members of the General Staff report directly to the Incident Commander If a General Staff position is not activated, the Incident Commander will have responsibility for that functional activity - • Deputy positions may be established for each of the General Staff positions Deputies are individuals fully qualified to fill the primary position Deputies can be designated from other jurisdictions or agencies, as appropriate This is a good way to bring about greater interagency _ coordination • General Staff members may exchange information with any person within the organization Direction takes place through the chain of command This is an important concept in ICS • General Staff positions should not be combined For example, to establish a"Planning and — Logistics Section," it is better to initially create the two separate functions, and if necessary for a short time place one person in charge of both That way, the transfer of responsibility can be made easier Following the first table is a table that summarizes the responsibilities of the General Staff February 2009 ICS-402: ICS Overview for Executives/Senior Officials Page 6 ICS Resource Information and Checklists for Executives/Senior Officials IMINt Command Staff Responsibilities Public Information The Public Information Officer is responsible for interfacing with the public and Officer media and/or with other agencies with incident-related information requirements The Public Information Officer develops accurate and complete information on the incident's cause, size, and current situation, resources committed, and other matters of general interest for both internal and external consumption The Public Information Officer may also perform a key public — information-monitoring role Only one incident Public Information Officer should be designated Assistants may be assigned from other agencies or departments involved The Incident Commander must approve the release of all incident-related information Safety Officer The Safety Officer monitors incident operations and advises the Incident Commander on all matters relating to operational safety, including the health and safety of emergency responder personnel The ultimate responsibility for the safe conduct of incident management operations rests with the Incident Commander or Unified Command and supervisors at all levels of incident management The Safety Officer is, in turn, responsible to the Incident Commander for the set of systems and procedures necessary to ensure ongoing assessment of hazardous environments, coordination of multiagency safety efforts, and implementation of measures to promote emergency responder safety, as well as the general safety of incident operations The Safety Officer has emergency authority to stop and/or prevent unsafe acts during incident operations In a Unified Command structure, a single Safety Officer should be designated, in spite of the fact that multiple Jurisdictions and/or functional agencies may be involved The Safety Officer must also ensure the coordination of safety management functions and issues across Jurisdictions, across functional agencies, and with private-sector and nongovernmental organizations AIM Liaison Officer The Liaison Officer is the point of contact for representatives of other governmental agencies, nongovernmental organizations, and/or private entities In either a single or Unified Command structure, representatives from assisting or cooperating agencies and organizations coordinate through the Liaison Officer Agency and/or organizational representatives assigned to an incident must have the authority to speak for their parent agencies and/or organizations on all matters, following appropriate consultations with their agency leadership — Assistants and personnel from other agencies or organizations (public or private) involved in incident management activities may be assigned to the Liaison Officer to facilitate coordination Assistants In the context of large or complex incidents, Command Staff members may need one or more assistants to help manage their workloads Each Command Staff member is responsible for organizing his or her assistants for maximum efficiency — Additional Command Additional Command Staff positions may also be necessary depending on the Staff nature and location(s) of the incident, and/or specific requirements established by the Incident Commander For example, a Legal Counsel may be assigned directly to the Command Staff to advise the Incident Commander on legal matters, such as emergency proclamations, legality of evacuation orders, and legal rights and restrictions pertaining to media access Similarly, a Medical Advisor may be designated and assigned directly to the Command Staff to provide advice and recommendations to the Incident Commander in the context of incidents involving medical and mental health services, mass casualty, acute care, vector control, epidemiology, and/or mass prophylaxis considerations, particularly in the response to a bioterronsm event — Source NIMS February 2009 ICS-402. ICS Overview for Executives/Senior Officials Page 7 ICS Resource Information and Checklists for Executives/Senior Officials General Staff Responsibilities —' Operations Section The Operations Section Chief is responsible for managing all tactical operations Chief at an incident The Incident Action Plan provides the necessary guidance The need to expand the Operations Section is generally dictated by the number of tactical resources involved and is influenced by span of control considerations Major responsibilities of the Operations Section Chief are to • Manage tactical operations • Assist in the development of the operations portion of the Incident Action Plan This usually requires filling out the ICS 215 Form prior to the Planning Meeting • Supervise the execution of the operations portion of the Incident Action Plan. • Maintain close contact with subordinate positions • Ensure safe tactical operations • Request additional resources to support tactical operations • Approve release of resources from active assignments (not release from the incident) • Make or approve expedient changes to the operations portion of the Incident Action Plan • Maintain close communication with the Incident Commander Planning Section The Planning Section Chief is responsible for providing planning services for the Chief incident Under the direction of the Planning Section Chief, the Planning Section collects situation and resources status information, evaluates it, and processes the information for use in developing action plans Dissemination of —. information can be in the form of the Incident Action Plan, in formal briefings, or through map and status board displays Major responsibilities of the Planning Section Chief are to • Collect and manage all incident-relevant operational data • Provide input to the Incident Commander and Operations Section Chief for use in preparing the Incident Action Plan • Supervise preparation of the Incident Action Plan • Conduct and facilitate planning meetings • Reassign personnel already on site to ICS organizational positions as needed and appropriate • Establish information requirements and reporting schedules for Planning Section units • Determine the need for specialized resources to support the incident • Assemble and disassemble task forces and strike teams not assigned to Operations • Establish specialized data collection systems as necessary (e.g , weather) • Assemble information on alternative strategies and contingency plans • Provide periodic predictions on incident potential • Report any significant changes in incident status MEP • Compile and display incident status information • Oversee preparation of the Demobilization Plan • Incorporate Traffic, Medical, Communications Plans, and other supporting material into the Incident Action Plan February 2009 ICS-402: ICS Overview for Executives/Senior Officials Page 8 ICS Resource Information and Checklists for Executives/Senior Officials General Staff Responsibilities Logistics Section The Logistics Section Chief provides all incident support needs with the Chief exception of logistics support to air operations The Logistics Section is responsible for providing • Facilities • Transportation • Communications ■ Supplies • Equipment maintenance and fueling • Food services (for responders) • Medical services(for responders) • All off-incident resources Major responsibilities of the Logistics Section Chief are to • Manage all incident logistics • Provide logistical input to the Incident Commander in preparing the Incident Action Plan • Brief Logistics Branch Directors and Unit Leaders as needed • Identify anticipated and known incident service and support requirements • Request additional resources, as needed • Develop, as required, the Communications, Medical, and Traffic Plans • Oversee demobilization of the Logistics Section Finance/ The Finance/Administration Section Chief is responsible for managing all Administration financial aspects of an incident Not all incidents will require a Section Chief Finance/Administration Section Only when the involved agencies have a specific need for finance services will the Section be activated Major responsibilities of the Finance/Administration Section Chief are to • Manage all financial aspects of an incident • Provide financial and cost analysis information as requested • Ensure compensation and claims functions are being addressed relative to the incident. • Gather pertinent information from briefings with responsible agencies • Develop an operating plan for the Finance/Administration Section, fill Section supply and support needs • Determine need to set up and operate an incident commissary • Meet with assisting and cooperating agency representatives as needed • Maintain daily contact with agency(ies) administrative headquarters on 1.11 finance matters • Ensure that all personnel and equipment time records are accurately completed and transmitted to home agencies, according to policy • Provide financial input for demobilization planning • Ensure that all obligation documents initiated at the incident are properly prepared and completed • Brief agency administrative personnel on all incident-related financial issues .� needing attention or followup February 2009 ICS-402: ICS Overview for Executives/Senior Officials Page 9 ICS Resource Information and Checklists for Executives/Senior Officials ■ Agency Representatives — An Agency Representative is an individual assigned to an incident from an assisting or cooperating agency The Agency Representative must be given authority to make decisions on matters affecting that agency's participation at the incident Agency Representatives report to the Liaison Officer or to the Incident Commander in the absence of a Liaison Officer — Major responsibilities of the Agency Representative are to • Ensure that all of their agency resources have completed check-in at the incident • Obtain briefing from the Liaison Officer or Incident Commander • Inform their agency personnel on the incident that the Agency Representative position has been filled — ■ Attend planning meetings as required • Provide input to the planning process on the use of agency resources unless resource technical specialists are assigned from the agency • Cooperate fully with the Incident Commander and the Command and General Staffs on the agency's involvement at the incident • Oversee the well-being and safety of agency personnel assigned to the incident • Advise the Liaison Officer of any special agency needs, requirements, or agency restrictions — ■ Report to agency dispatch or headquarters on a prearranged schedule • Ensure that all agency personnel and equipment are properly accounted for and released prior to departure • Ensure that all required agency forms, reports, and documents are complete prior to departure. • Have a debriefing session with the Liaison Officer or Incident Commander prior to departure ■ Technical Specialists Certain incidents or events may require the use of Technical Specialists who have specialized knowledge and expertise Technical Specialists may function within the Planning Section, or be assigned wherever their services are required While each incident dictates the need for Technical Specialists, some examples of the more commonly used specialists are • Meteorologists • Environmental Impact Specialists — ■ Flood Control Specialists • Water Use Specialists • Fuels and Flammable Specialists • Hazardous Substance Specialists • Fire Behavior Specialists U • Structural Engineers • Training Specialists I 1 February 2009 ICS-402 ICS Overview for Executives/Senior Officials Page 10 ICS Resource Information and Checklists for Executives/Senior Officials ■ Unified Command The Unified Command organization consists of the Incident Commanders from the various — jurisdictions or agencies operating together to form a single command structure Overview Unified Command is an important element in multijurisdictional or multiagency incident management It provides guidelines to enable agencies with different legal, geographic, and functional responsibilities to coordinate, plan, and interact effectively As a team effort, Unified Command allows all agencies with jurisdictional authority or functional responsibility for the incident to jointly provide management direction through a common set of incident objectives and strategies and a single Incident Action Plan Each participating agency maintains its authority, responsibility, and accountability All agencies with jurisdictional authority or functional responsibility for any or all aspects of an incident and those able to provide specific resource support participate in the Unified Command structure and MIN contribute to the process of selecting objectives, determining overall incident strategies, ensuring that joint planning for tactical activities is accomplished in accordance with approved incident objectives, ensuring the integration of tactical operations, and approving, committing, and making optimum use _ of all assigned resources The exact composition of the Unified Command structure will depend on the location(s) of the incident (i e , which geographical jurisdictions or organizations are involved)and the type of incident(i e , which functional agencies of the involved jurisdictions)or organizations(s) are required) The designation of a single Incident Commander for some multijurisdictional incidents, if planned for in advance, may be considered in order to promote greater unity of effort and efficiency Source NIMS Authority Authority and responsibility for an Incident Commander to manage an incident or event comes in the form of a delegation of authority from the agency executive or administrator of the jurisdiction of occurrence or inherent in existing agency policies and procedures When an incident/event spans multiple jurisdictions this responsibility belongs to the various jurisdictional and agency executives or administrators who set policy and are accountable to their jurisdictions or agencies They must appropriately delegate to the Unified Commanders the authority to manage the incident Given this authority, the Unified Commanders will then collectively develop one comprehensive set of incident objectives, and use them to develop strategies Advantages of Using Unified Command The advantages of using Unified Command include • A single set of objectives is developed for the entire incident • A collective approach is used to develop strategies to achieve incident objectives • Information flow and coordination is improved between all jurisdictions and agencies involved in the incident. • All agencies with responsibility for the incident have an understanding of joint priorities and restrictions • No agency's legal authorities will be compromised or neglected • The combined efforts of all agencies are optimized as they perform their respective assignments under a single Incident Action Plan February 2009 ICS-402 ICS Overview for Executives/Senior Officials Page 11 ICS Resource Information and Checklists for Executives/Senior Officials ■ Planning Process It was recognized early in the development of ICS that the critical factor of adequate planning for incident operations was often overlooked or not given enough emphasis This resulted in poor use of — resources, inappropriate strategies and tactics, safety problems, higher incident costs, and lower effectiveness Those involved in the original ICS development felt that there was a need to develop a simple but thorough process for planning that could be utilized for both smaller, short-term incidents and events, and for longer, more complex incident planning The planning process may begin with the scheduling of a planned event, the identification of a credible threat, or the initial response to an actual or impending event The process continues with the implementation of the formalized steps and staffing required to develop a written Incident Action Plan (IAP) The primary phases of the planning process are essentially the same for the Incident Commander who develops the initial plan, for the Incident Commander and Operations Section Chief revising the initial plan for extended operations, and for the incident management team developing a formal IAP, each following a similar process During the initial stages of incident management, planners must develop a simple plan that can be communicated through concise oral briefings Frequently, this plan must be developed very quickly and with incomplete situation information As the incident management effort evolves over time, additional lead time, staff, information systems, and technologies enable more detailed planning and cataloging of events and"lessons learned." — Planning involves • Evaluating the situation ■ Developing incident objectives • Selecting a strategy • Deciding which resources should be used to achieve the objectives in the safest, most efficient and cost-effective manner MIR FinancelAdm In Command' Develops Procures and pays incident objectives and for the resources approves resource orders � Incident Reports costs. and demobilization Commander I I I i Operations Planning Logistics Finance/Adin Section Sec tlon , Section m Section } Operations. Identifies, Planning Tracks Logistics Orders assigns, and supervises resources and resources the resources needed to Identities resource — accomplish the Incident shortages objectives Caption Organizational chart showing that Command develops the objectives and approves resource orders and demobilization Operations identifies, assigns, and supervises the resources needed to accomplish the incident objectives Planning tracks resources and identifies shortages Logistics orders resources, and Finance/Administration procures and pays for the resources February 2009 ICS-402 ICS Overview for Executives/Senior Officials Page 12 ICS Resource Information and Checklists for Executives/Senior Officials ■ Demobilization Demobilization planning helps to • Eliminate waste • Eliminate potential fiscal and legal impacts • Ensure a controlled, safe, efficient, and cost-effective release process Demobilization policies and procedures depend on the size of the incident and may involve • Fiscal/legal policies and procedures • Work rules • Special license requirements • Other requirements ■ Incident Complexity "Incident complexity" is the combination of involved factors that affect the probability of control of an incident Many factors determine the complexity of an incident, including, but not limited to, area involved, threat to life and property, political sensitivity, organizational complexity,Jurisdictional boundaries, values at risk, weather, strategy and tactics, and agency policy. Incident complexity is considered when making incident management level, staffing, and safety decisions 11 Various analysis tools have been developed to assist consideration of important factors involved in incident complexity Listed below are the factors that may be considered in analyzing incident complexity • Impacts to life, property, and the economy • Community and responder safety • Potential hazardous materials • Weather and other environmental influences • Likelihood of cascading events • Potential crime scene (including terrorism) ■ Political sensitivity, external influences, and media relations • Area involved,Jurisdictional boundaries • Availability of resources Mni February 2009 ICS-402• ICS Overview for Executives/Senior Officials Page 13 IMM ICS Resource Information and Checklists for Executives/Senior Officials ■ ICS Readiness Checklist NIMS and ICS Compliance a ❑ Adopt the ICS through executive order, proclamation, or legislation as the jurisdiction's official incident response system ❑ Determine if ICS is integrated into functional and system-wide emergency operations policies, plans, and procedures ❑ Provide ICS training so all responders, supervisors, and command-level officers receive ICS training ❑ Schedule periodic exercises that require the application of ICS management features Emergency Operations Plans ❑ Conduct a review and update the jurisdiction Emergency Operations Plans based on a current hazard analysis and risks ❑ Clarify roles and establish delegations of authority (as appropriate) ❑ Check contact information to ensure it is up to date ❑ Update plans based on lessons learned from exercises and incidents Legal and Financial ❑ Check procedures and authorities for emergency purchasing and contracting ❑ Ensure that mutual aid agreements and assistance agreements have been negotiated ❑ Clarify coordination procedures among different levels of government (tribes, counties, State, Federal, etc) _ Resource Management Systems ❑ Identify potential resources across agencies/department, other levels of government, and the private sector ❑ Check your jurisdiction's procedures and systems for • Describing, inventorying, requesting, and tracking resources • Activating and dispatching resources • Managing volunteers • Demobilization or recalling resources • Financial tracking, reimbursement, and reporting Communications and Information Management ❑ Check your jurisdiction's protocols and procedures for • Formulating and disseminating indications and warnings • Formulating, executing, and communicating operational decisions • Preparing for potential requirements and requests supporting incident management activities • Developing and maintaining situation awareness ❑ Check for interoperability Can responders from different agencies (e g , fire, police, public works) or mutual aid and assistance partners communicate with one another? ❑ Create a plan/budget for maintaining and replacing your emergency communication systems Training, Credentialing, and Exercising ❑ Make sure you have sufficient qualified personnel to assume ICS Command and General Staff positions ❑ Predesignate qualified incident management teams based on incident complexity ❑ Check when the last tabletop or functional exercise that practiced command and coordination functions was conducted Did you participate in that exercise? February 2009 ICS-402: ICS Overview for Executives/Senior Officials Page 14 ICS Resource Information and Checklists for Executives/Senior Officials JCS Incident Checklist The following checklist is designed to assist Executives and Senior Officials in supporting an emergency ,.. response The checklist is divided into Immediate Actions, Legal, Political, Operational, and Public Information Immediate Actions ❑ Begin personal log The log should include all information and orders given, will document the amount of information you had when making decisions, and will assist in protecting you if liability issues are raised concerning your role in the incident ❑ Assign and brief/establish contact with the Incident Commander ❑ Assign staff to assist in the incident as requested by the Incident Commander or Logistics ❑ Determine when the initial planning meeting is scheduled ❑ Confirm which parts of the Emergency Operations Plan are in effect ❑ Contact and brief higher level authorities/stakeholders Legal sink ❑ Review and activate legal authorities • Emergency declarations arm • Evacuation orders • Lines of succession • Mutual aid agreements and assistance agreements • Price controls • Procurement processes • Other restrictions/requirements Political mak ❑ Provide leadership oversight of incident management policies and objectives ❑ Assist in coordinating activities with elected officials and other levels of government Operational ❑ Assess the impact of the incident on the continuity of your jurisdiction's day-to-day activities Alink ❑ Reassign personnel to support incident activities and cover essential services Public Information vallb ❑ Assign Public Information Officer to assist in incident information management ❑ Direct requests for incident information to incident Public Information Officer using the Joint Information System a 0 Coordinate messages through the Joint Information Center/Joint Information System Oft S February 2009 ICS-402 ICS Overview for Executives/Senior Officials Page 15 i ICS Resource Information and Checklists for Executives/Senior Officials ■ After-Action Review Tips Overall Tips • Schedule an After-Action Review(AAR) as soon after the incident as possible ION • Keep it short and focused • Focus on WHAT, not WHO • Establish clear ground rules encourage candor and openness(this is dialog—not lecture or debate), focus on items that can be fixed, keep all discussions confidential �. • Use a skilled facilitator to conduct the AAR AAR Process Steps Use the following questions to facilitate the AAR process 1. What did we set out to do? • Establish the facts • Determine purpose of the mission and definition of success • Identify key tasks involved • Specify conditions under which each task may need to be performed (weather, topography, time restrictions, etc) • Define acceptable standards for success(explain what"Right" looks like) 2. What actually happened? • Continue to establish the facts • Participants should come to agreement on what actually happened • Pool multiple perspectives to build a shared picture of what happened 3. Why did it happen? • Analyze cause and effect • Focus on WHAT, not WHO • Provide progressive refinement for drawing out explanations of what occurred This will lead into developing possible solutions. 4. What are we going to do better next time? • Solutions will arise naturally once problems are identified and understood • Focus on items you can fix, rather than external forces outside of your control • Identify areas where groups are performing well and that should be sustained This will help repeat success and create a balanced approach to the AAR Areas To Sustain/Maintain Strengths Oft Areas To Improve Weaknesses 5. Are there lessons learned that should be shared immediately? • Identify the process for sharing lessons learned • Option 1 Document the Issue, Discussion, Recommendation • Option 2 Document the Concept of the Operation, Results, Trends, Recommendation • Determine and describe the most notable successes from the incident MIA • Determine and describe the most difficult challenges faced and how they were overcome 6 What followup is needed? • Be specific about actions, timelines, and responsibilities • What changes, additions, or deletions are recommended to SOPs, plans, or training? • What issues were not resolved to your satisfaction and need further review? February 2009 ICS-402• ICS Overview for Executives/Senior Officials Page 16 our ti ICS Resource Information and Checklists for Executives/Senior Officials "! Delegation of Authority As of hrs, ,I have delegated the authority and responsibility for the complete management of the incident to the Incident Commander, As Incident Commander, you are accountable to me for the overall management of this incident including control and return to local forces. I expect you to adhere to relevant and applicable laws, policies, and professional standards. My considerations for management of the incident are I Provide for responder and public safety. 2. Incident stability. 3 Preservation of property 4 Manage the incident cost-effectively for the values at risk 5. Provide training opportunities for less experienced responders. This will strengthen organizational capabilities of local agency personnel 6 Provide for minimal disruption of access to critical community services and commerce •� Access must be consistent with the safety of the public 7 Coordinate with and the State for use of their resources,as needed, and incorporate them into the overall incident plan 8. The media will be escorted whenever possible Media cards will identify members of the media 9. Incident objectives, strategies,and tactics will be the responsibility of the Incident Management Team within a 10-mile radius of the incident ..4 Agency Administrator Date wit February 2009 ICS-402 ICS Overview for Executives/Senior Officials Page 17 S Emergency Management Self-Assessment This is an informal five-minute quiz you can take as a confidential personal assessment of you and your community's emergency management risk. The questions reflect some of the survival capabilities that past experience has associated with effective CEO participation in emergency management Following the set of questions is a scoring section The scoring section is designed to help you decide whether action is needed to reduce your risk. 1. Have you personally reviewed your community's Yes No emergency management plan within the past 12 months? 2. Do you have a clear understanding of your authority and Yes No responsibilities in disaster situations? 3, Have your elected officials participated within the last two Yes No years in either a comprehensive review of your emergency management system or a disaster exercise? 4 Is a single news media point of contact (e.g., public Yes No information officer) provided in your community's emergency management plan? 5. Were representatives of the news media involved in Yes No developing and testing the community's emergency management plan? 6 Does your community have adequate accounting and Yes No disaster records-keeping procedures to document your community's requests for reimbursement under state and federal emergency assistance programs? 7. Does your community's plan insure that the information Yes No needed to defend itself in a disaster-related lawsuit is maintained during an incident? 8 Is the disaster organizational structure an extension and Yes_ No expansion of the day-to-day emergency structure? 9. Have you spent more than one hour during the past year Yes _ No in face-to-face discussion with your emergency management program manager about how to improve disaster management? 10 Are your emergency management procedures bnef and Yes No _ organized in a manner that enables your community to respond smoothly to the range of incidents that may confront it? 11 Are your mutual/automatic aid systems with other Yes No communities effective for both normal and disaster situations? 12. Are all your emergency units equipped and your personnel Yes No trained so that they can begin to set up an incident command system? 13. Do you understand state and local emergency Yes No management law, particularly as it relates to the CEO's powers during an emergency? 14. Does the emergency operations plan contain lines of Yes No succession (at least three back-ups) for key officials and has the authority to act in their stead been pre-delegated? Self-Assessment Scoring Obviously, the correct answer for all questions is yes. To give you a yardstick for how well you are doing, give yourself one point for each "yes" answer Total your score. Grade your risk as follows' 13-14 Yes answers. Your risk is apparently well managed, now make it perfect. Look back at your "no" answers and decide what you can do to close this area of exposure. 11-12 Yes answers. You are making good progress, but there are a number of actions you can take to reduce your risk. You may wish to focus your attention on areas indicated by the "no" answers Based on the results of reviews in these areas, you can decide what further steps are indicated. 8-10 Yes answers. You and your community may be at risk, but it is not too late. Scores in this range suggest your emergency management responsibilities are being partially met, but there is room for improvement. Start today to develop a comprehensive emergency management program Fewer than 8 Yes answers. You are at risk! Prompt action is indicated You need to take immediate action to improve your ability to respond effectively to a major disaster. A complete review of emergency management organization and your role is warranted to reduce your risk. Roles of Elected and Appointed Officials Page 1 of 3 r R'S ') Municipal Research and Services Center of Washington Working Together for Excellence in Local Government Roles of Elected and Appointed Officials What official and unofficial responsibilities have been designated to you and others? Management of a disaster includes keeping citizens and responders warned and informed, have basic public services quickly restored, and have the individual's needs met. Executive support and participation are essential to ensure that key officials and staff are trained on plans and their roles - besides the first responders. At the same time that your community may be involved in response, you need to look at short- and long-term recovery to return the community to minimum operating standards and to previous conditions with mitigation measures to improve future protection. Before an emergency occurs, consider the following: • What are the legal authorities [local, state, and federal] to establish an emergency management program? • Has the comprehensive emergency management plan and program been reviewed to be consistent with the state plan and program? Does it include the use of incident command system for multiagency/multijurisdiction operations? Has the plan(s) been developed with all stakeholders and reviewed and tested so each person knows his/her role or backup role? • Has a current assessment of hazards and risks been performed in and surrounding the community? • What are the boundaries covered by your emergency management organization? • Who is legally in charge of or designated for emergency management policy actions or decisions in your community? These include activating the Emergency Response Plan and the Emergency Operations Center (EOC), making a decision to evacuate or shelter in place, assessment of and decision when a situation has surpassed the local capability to respond and request assistance through mutual aid or to the state. Is the position appointed? • Has funding been established to support the emergency management program and the EOC? • Who is in the line of succession and delegated by ordinance or resolution, especially in an emergency for continuity of government? • Who can develop and sign a proclamation or declaration of emergency, an ordinance or resolution? Is there a quorum required for emergency decisions or signatures? • Who can authorize emergency expenditures or contracts? • What systems are in place for alert and warning? Who do these systems reach and who is responsible? http•//www mrsc org/subjects/pubsafe/emergency/emlOiroles aspx 1 no5i'7ni i Roles of Elected and Appointed Officials Page 2 of 3 ■ What systems are in place to ensure accurate information and status internally and for the community? Who serves as public information lead and how will multiple organizations or jurisdictions share information and releases? • What coordination has taken place and with whom to ensure that everyone knows each others' roles? • Has an emergency response and recovery component been established in every department and agency - ensuring planning and training together? • Have emergency management and hazard mitigation issues been incorporated into all programs to reduce risk of major loss of life and economic destruction through better preparedness and mitigation activities, such as predisaster activities: appropriate land use, construction codes (to include snow load, wind and fire resistance, and fire defensible space requirements) and updated floodplain or liquefaction mapping for all public safety, housing, economic development, highway and public infrastructure decisions (including repairs or abandonment) for all state and local projects? • What training is available or needed, how often should there be participation and should it be mandatory? What training and education is available for the community members to be prepared? • What mutual aid agreements - formal and informal - are there for helping other communities while ensuring help is available in the local area? These may include those used for daily emergencies, such as fires and traffic accidents; these agreements may be built upon for larger scale disasters Do these identify resources and follow legal requirements? • What other partnerships have been formed (with private industry, nonprofit or volunteer organizations, including search and rescue)? • How will other elected officials (state and federal) be included in the emergency - before, during, and after? • Who is left to continue normal government functions? How can your community create opportunities to benefit from past decisions? • Map hazards through GIS or other methods to help identify transportation evacuation routes, stability, or liquefaction concerns. • Assess local preparedness, training, policies, and procedures - highlight strengths and weaknesses • Establish incentives for encouraging business owners and homeowners to retrofit buildings with hazard resistant features • Consider a disaster trust fund to be used for preparedness, mitigation, response, and recovery projects to provide the nonfederal share of disaster costs funng presidential declared disasters and use for financing predisaster mitigation activities • Ensure that nonstructural mitigation is performed, such as securing computers and filing cabinets - these are cost and time saving measures that assist government and businesses towards fast recovery ■ Be insured Ensure that required programs, like the National Flood Insurance Program and the Community Rating system, are in place to be eligible for future federal programs. Have buildings, medical, and other insurance in place. http//www.mrsc.org/subjects/pubsafe/emergency/em 101 roles aspx 10/25/201 1 Located on: http://www lancasterfire com/infoboard/showthread.php7t=12977 NIMS Directives and Liability By BRADLEY M PINSKY (BRADLEY M PINSKY is an attorney in Syracuse, New York, and a captain in the Manlius (NY) Fire Department. His law practice represents IMP approximately 200 fire departments, fire districts, and ambulance services throughout the state He is the author of the N Y S Fire Department Law & Management Resource Manual.) When President Bush signed Homeland Security Directive 5 (HSPD-5), he likely did not envision increasing occasions for fire departments' and first responders' liability. HSPD-5 directed the secretary of the Department of Homeland Security (DHS) to develop and administer a National Incident Management System (NIMS), which would provide a consistent, nationwide approach for federal, state, local, and tribal governments to work together to prevent, prepare for, respond to, and recover from domestic security incidents Most states have implemented NIMS; if a state fails to implement NIMS, the result is a loss of significant federal funding opportunities. For possibly the first time, a high-level court in New York State held that the failure to follow a mandatory, nondiscretionary NIMS directive served as a basis for liability against a fire department.1 Although the holding is law only in New York State, many states follow similar legal principles. The holding, therefore, should concern first responders in all states. In this article, I will discuss the court's holding and its impact on first response agencies. Then I will ask you to consider other policies ... and procedures that the first response agency may have adopted that also possibly could lead to liability if the document does not include proper wording MARCH 7, 2002 On this date, the Manlius (NY) Fire Department in Onondaga County responded to a basement fire in a two-story residence in the Pompey Hill Fire District. An incident command structure was in place At least one county fire coordinator (CFC) responded to assist in command operations. In central New York, fire departments are not "countywide" departments but are controlled by various smaller municipalities such as villages, cities, and fire districts CFCs assist in locating resources. Members of the first-due Manlius unit were assigned to perform vertical ventilation. Following its completion, they were assigned to fire suppression Efforts to attack the basement fire had been ineffective, although the on-scene incident commander (IC) might not have fully known it. Pretrial discovery revealed allegations that the CFC did not report to either the IC or the operations officer after his on-scene arrival Instead, testimony revealed that the CFC decided to take a "quick look" at the fire. Testimony further alleged that the CFC told the firefighters about to enter the structure, "We're going to have to get a line in here " It is unclear exactly to what that statement referred. There is disputed testimony about whether the CFC was wearing a white (command) or black fire helmet. Thus, the question of whether the CFC mk' assumed a command role outside of the incident's command structure arose This fact was vital to the court's inquiry. Immediately thereafter, two firefighters from Manlius Truck 2 entered the house's first-floor mud room, while a third firefighter fed the attack line to them from the garage. As the third firefighter tried entering the mud room, he saw that the first floor had collapsed and his .. fellow crew members had fallen into the involved basement. One of the fallen firefighters was able to reach up and grasp the third firefighter's hands. The CFC, the Manlius deputy chief, and the third firefighter made rescue efforts Unfortunately, the heavy involvement of the basement, first _. floor, and garage areas forced the rescuers' evacuation and the rescue effort's termination. Two firefighters died. One of the firefighter's wives sued the CFC and Onondaga County, his employer. Although the law in many states precludes firefighters' families from suing a fire department or other fire agency for causing their injuries or death, New York State permits such suits under New York State General Municipal Law 205-a The fallen firefighter's wife alleged that her husband's death was a direct result of the CFC's command given outside of that incident's command structure and, had that command not been given, her husband would not have entered the building at that time and died minutes later. In most states, including New York State, juries cannot base liability on a firefighter's on-scene decision That rule is based on the principle that the public should not second-guess a first responder's _ emergency decision or tactic. New York State's second highest court ruled that the failure to follow NIMS may serve as a basis for liability, as it "mandates a reasonably defined and precedentially developed standard of care, and does not require the fact's trier to 'second-guess [a firefighter's] split-second weighing of choices.' " min This surprising ruling means that first responders and their paid or volunteer agencies may be held liable for failing to adhere to those mandatory NIMS requirements Although in this case the lawsuit was brought by a firefighter's wife, most states do not prohibit a citizen from suing a fire department. Whether the suit is brought by a firefighter, a firefighter's family member, or an injured civilian, the concern is the same: Failing to follow portions of NIMS can lead to the loss of a lawsuit. Narration: NIMS Directives and Liability By BRADLEY M PINSKY — For possibly the first time, a high-level court in New York State held that the failure to follow a mandatory, nondiscretionary NIMS directive served as a basis for liability against a fire department. "' On MARCH 7, 2002 1) The Manlius (NY) Fire Department responded to a basement fire at a two- story residence; — 2) ICS structure was established, 3) A county fire coordinator (CFC) responded to assist in command operations ` CFCs assist in locating resources; 4) The first arriving unit was assigned to fire suppression 5) Efforts to attack the basement fire had been ineffective. Pretrial discovery revealed allegations that: * the CFC did not report to either the IC or the operations officer after his on- scene arrival; *. . , the CFC decided to take a "quick look" at the fire *. . the CFC told the firefighters about to enter the structure, "We're going to have to get a line in here "; * . there is disputed testimony about whether the CFC was wearing a white (command) or black fire helmet; _ . . . the question of whether the CFC assumed a command role outside of the incident's command structure. - Immediately thereafter, two firefighters entered the house's first-floor, while a third firefighter fed the attack line to them. When the third firefighter saw that the first floor had collapsed on the other two firefighters, rescue efforts were made, but the fire was too involved and two firefighters died One of the firefighter's wives sued the CFC and Onondaga County. The fallen — firefighter's wife alleged that her husband's death was a direct result of the CFC's command given outside of that incident's command structure and, had that command not been given, her husband would not have entered the building at that time and died minutes later. -' New York State's second highest court ruled that the failure to follow NIMS may serve as a basis for liability. This surprising ruling means that first responder agencies may be held liable for failing to adhere to those mandatory NIMS requirements. (BRADLEY M. PINSKY is an attorney in Syracuse, New York, and a captain in the Manlius (NY) Fire Department. His law practice represents approximately 200 fire departments, fire districts, and ambulance services throughout the state. He is the author of the N.Y.S. Fire Department Law & Management Resource Manual.) National Association of Counties • Community ServiceRsa�jDiiv,,isio�np ..,. r' 4 ti F• r z n a4. r ji ev' -, , 'irk! stir et a+iei, ' r - f ,. � a a ti 4' ' d . ' „..,--,..„:„:.: NäafTncidè Sy4P., n rt .., = t : ) Güide ' om- s'.?;,. ' -"i ` . _ :' t• aft w• unt)T Of ciars NI;0 National Association of Counties .....,_........................ ,..,........................,......... Counties Care for America • " t f-• 1 jfit'. �.� 4 i !I All , 4..41r1116r- , I ` y , Octber' oo6 I • � R - MB National Association of Counties • Community Services Division NW f" : rl j Sri IM : t -. -- for County Officials elf mkt mm .ONIF The National Incident Management System(NIMS)Guide for County Officials was produced by the National Association of Counties Research Foundation in cooperation with the International Association of Emergency Managers under a Cooperative Agreement provided by the Department of Homeland Security Award number EMW-2005-CA-0386. (.., .—: ' '': ,, MO 0 National Association of Counties illAFIII - :;--' International -.411112"' Association of Emergency Managers The National Association of Counties and the International Association of Emergency Managers would like to thank the following people for their help in reviewing this Guide •Professional staff from the NIMS Integration Center,Washington,DC MIMI Michael B Evans,Emergency Services Coordinator,Cochise County,Arizona •Frank J Kriz,CEM,Program Coordinator,Arizona Division of Emergency Management •Phyllis A Mann,CEM,Emergency Management Director,Kitsap County,Washington •Mike Selves,CEM,Director,Emergency Management&Homeland Security,Johnson County,Kansas •M Jerry VeHaun,CEM,Director,Emergency Services,Buncombe County,North Carolina The National Association of Counties makes this document available in the public domain This Guide may be reproduced in whole or in part without written permission as long as distribution remains free to recipients Letter from Larry Naake, Executive Director of NACo Dear County Official, On February 28,2003,the President issued Homeland Security Presidential Directive(HSPD)-5,Management of Domestic Incidents,which directed the Secretary of Homeland Security to develop and administer a National Inci- dent Management System(NIMS).This system provides a consistent nationwide template to enable Federal,State, local,and tribal governments and private-sector and nongovernmental organizations to work together effectively and efficiently to prepare for,prevent,respond to,and recover from domestic incidents,regardless of cause,size,or complexity,including acts of terrorism Many county agencies throughout the U S have been using a system of organizing emergency preparedness and response for years,as such systems were built initially on wildland fire response,and have grown to encompass all hazards,natural or human-caused. This integrated approach to incident management is now called"NIMS" Knowing how your county agencies-including Fire, Police/Sheriff, Emergency Management/Homeland Secu- rity, Public Health,Transportation,Public Works,Utilities,Schools,and so forth -need to work together when an emergency occurs,as well as how they may work with neighboring jurisdictions,state,and federal resources-is what NIMS is all about This Guide will help you,as a county official,understand what NIMS is and the role your county plays to enable a smooth and coordinated method to plan,prepare for,and respond to emergencies of any type and of any scale NACo hopes this Guide will help you determine the best ways your county can work with and support adoption and implementation of NIMS Sincerely, IMO Larry E Naake NACo Executive Director IMP Quick Reference Introduction and NIMS Compliance . . 3 Implement NIMS 5 Adoption of NIMS . 4 Disaster and Emergency Response Planning . . . . 6 Training about NIMS Drills and Exercises 6 and Incident Command System • • • 4 Resources Management 7 Establish a NIMS baseline 5 Glossary of Terms . . . . . • . . 8 a National Association of Counties• Community Services Department a What is "NIMS"? (UASI) That means that if your county wants to be eligible The National Incident Management System (NIMS) is a to receive federal funds for preparedness activities which includes nearly 50 different programs from more than 25 comprehensive national approach to incident management, federal departments and agencies,your county must be able applicable at all jurisdictional levels and across functional to certify that it has complied with the requirements of NIMS disciplines NIMS provides a consistent nationwide approach explained in this booklet (A current list of federal prepared- for federal,state,tribal entities,local governments,and private ness funding from all programs and agencies can be found at and non-governmental organizations to work effectively and www.fema gov/emergency/nims/index.shtm) efficiently together to prepare for,respond to,and recover from • domestic incidents,regardless of cause,size,or complexity NIMS is the outgrowth of systems developed and implement- What will this Guide do for me? ed by dedicated responders over many years, and its design The NIMS Guide for County Officials explains the key points of and approach was developed by those who use these systems NIMS and how it applies to county governments in these core every day areas Why do I need to 1 Local NIMS adoption be concerned about NIMS? 2 NIMS implementation • Responders from your county may be involved in proved- 3 Training (what training is required for whom) — ing or receiving mutual aid during response to large-scale 4.Disaster and emergency response planning (including emergencies They use an Incident Command System mutual aid agreements) (ICS)to organize response to emergencies ICS is a part of 5 Exercises to test capability to respond to disasters and NIMS NIMS provides the method by which people,and the emergencies resources needed to effect a response,are coordinated. You 6 Resource management (including typing of resources) need to learn about NIMS because this is the method that the responders in your county use to respond to emergen- 7 Communications and information management for emer- RIM cies and disasters gency response •As of October 1,2006,all federal preparedness assistance is contingent on your state's compliance with NIMS This What does NIMS Compliance mean? ▪ assistance includes federal funding from the DHS Emer- gency Management Performance Grants(EMPG),Homeland As of October 1, 2006, the following are measurements for Security Grant Program and Urban Area Security Initiative county"NIMS Compliance". •The county has adopted NIMS through executive order, proclamation,resolution or legislation as the county's all- '. g'itO' r hazards,incident response system without"sunset"provi- •On-line resources about NIMS are available by visit- sions [See page 4) ing: www.fema.gov/emergency/nims/index.shtm See a sample county ordinance at www.naco.org/ •Questions may be sent by email to the NIMS Integra- techassistance _ tion Center at: NIMS-Integration-Center��dhs.gov County response agencies must •Have appropriate personnel complete NIMS An Introduction (ICS-700)training course This is a minimum Other training ,� i _ is strongly recommended (See page 4) •Keep records on training completed by county personnel y •k ' •Establish a NIMS baseline. This is a self-assessment of where your county stands with regard to NIMS implementation • • 3, (See page 5) •Establish a strategy for implementing NIMS '' •Institutionalize the use of the Incident Command System(ICS) li. , , . o Revise and update plans and Standard Operating - Procedures(SOPs)to incorporate NIMS components, principles and policies,to include planning,training, '. - . * •• • response,exercises,equipment,evaluation,and correc- tive actions National Incident Management System Guide for County Officials•3 National Association of Counties•Community Services Department o Incorporate NIMS/ICS into all training and exercises conducted by the county. Courses offered on-line will have course.numbers that o Participate in an all-hazard exercise program based on begin with"1S". Courses offered in a classroom will-have NIMS that involves responders from multiple disciplines course numbers that begin with"ICS': Courses at the 300 and multiple jurisdictions level and above are classroom-based only. •Develop strategies to implement the NIMS o Participate in and promote intrastate and interagency Entry Level -personnel who have a direct role in emergency mutual aid agreements,to include agreements with the preparedness,incident management,or response• private sector and non-governmental organizations. •ICS-700 NIMS,An Introduction (See page 6) o Inventory community response assets to conform to •IS 100 Introduction to Incident Command System homeland security resource typing standards (See page 7) Note,there are different versions of IS-100 available Person- oTo the extent permissible by law,ensure that relevant nel with these specialties may find it more suitable to take the national standards and guidance to achieve equipment, version created for their line of work communication,and data interoperability are incorpo- o Law Enforcement (15-100LE) rated into local acquisition. o Public Works (IS-100PW) o Apply standardized and consistent terminology,includ- o Operational first responders (IS-100,cross listed with ing the establishment of plain language communica- the National Fire Academy course Q-462) tions standards across the public safety sector. (See page 7) First Line,Single Resource,Field Supervisors-personnel who have an operational role in emergency response Adoption of NIMS •IS-700• NIMS,An Introduction One of the key requirements of NIMS compliance is for local •IS-100 Introduction to Incident Command System jurisdictions which provide emergency management, public •IS-200 Basic Incident Command System health, public works, emergency medical services, police, and/or fire response to adopt NIMS through executive order, proclamation, resolution or legislation as the county's all-haz- Middle Management:Strike Team Leaders,Division ards,incident response system Supervisors,EOC Staff,etc. Local adoption of NIMS was a compliance requirement for •IS-700 NIMS,An Introduction federal FY05,and many counties adopted NIMS formally at that •IS-100• Introduction to Incident Command System Mat time •IS-200 Basic Incident Command System If NIMS is adopted by local legislation,the legislation should •ICS-300 Intermediate Incident Command System (Note this not have"sunset"provisions,or if it does,the legislation must be is a classroom course offered at the state level and is an renewed as often as necessary to maintain NIMS as the incident FY07 requirement response system used locally •IS-800a.National Response Plan(NRP) Model language for county adoption of NIMS may be found at www.naco.org/techassistance Command and General Staff;Area,Emergency and EOC Managers Training •IS-700 NIMS,An Introduction IMP Free training about NIMS, ICS, the National Response Plan •IS-800• National Response Plan(NRP),An Introduction (NRP), and related topics is available from FEMA's Emergency •IS-200. Basic Incident Command System Management Institute Virtual Campus A complete list of all training that is available to take on-line is •ICS-300. Intermediate Incident Command System (see above at www.training.fema.gov/EMIWeb/IS/crslist.asp note) Training requirements for basic NIMS compliance is the •ICS-400 Advanced Incident Management System (see above on-line course ICS-700 NIMS, An Introduction This course is note) accessible from the link above Further,training courses are strongly recommended for the Anyone may participate in any of these training courses categories of personnel listed below provided prerequisites are met They courses are free,and take from 30 minutes to an hour per lesson for the basic courses Advanced courses are three days in length depending on 4•National Incident Management System Guide for County Officials National Association of Counties• Community Services Department IMF Table 1•Training Documentation Example r1 Iilk1eiY. Li-i'Hi°1U I1uiwA„ i iqi'G4-4'-} .. , c,(9-4-.1wl dk; it D )1 l-':( . .-. Joe Example EMTech II HS IS-100 Intro to ICS 08/16/2006 Mary Sample Officer IV POL IS-100LE Intro to ICS for Law Enf 05/12/2005 Fred Fireguy Firefighter I FIRE IS-200 Basic ICS 03/05/2005 complexity and student experience, and have prerequisites The NIMCAST allows users to assess the current status/level Upon successful completion of the course,participants receive of their jurisdiction's incident preparedness against the require- a confirmation by email,and a certificate in the mail which may ments outlined in the NIMS Using the NIMCAST as a method be used to document required training of identifying weaknesses in incident preparedness will assist counties to become compliant with NIMS As a self-assessment Trainingdocumentation support tool, the NIMCAST not only aids counties to become compliant with the NIMS, but also helps to identify resources While there is no set standard of documenting training that that are needed to enhance incident preparedness Check with ▪ people complete,it is suggested that the simple format in Table your State NIMS coordinator to get setup for NIMCAST if not 1 above be used. already done To learn more about NIMCAST and use the tool, visit What about training wwwfema.gov/nimcast/mdex.jsp for elected officials? The NIMS Integration Center strongly recommends that Implement NIMS all elected officials who will be interacting with multiple NIMS should be used as the every-day method for organizing jurisdictions and agencies during an emergency incident at the and carrying out a response to any type of emergency-from a minimum, complete ICS-700.NIMS,An Introduction and IS-100 home fire,natural disaster,hazardous materials spill,or even an ▪ Introduction to ICS These courses provide a basic understanding outbreak of communicable disease—and to events which will of the National Incident Management System and the Incident require help from neighboring jurisdictions,your state,and up Command System Everyone directly involved in managing to the federal government. an emergency should understand the command reporting - structures,common terminology and roles and responsibilities inherent in a response operation For information about ICS and how it affects your county's response structure and systems, consider Establish a NIMS Baseline taking the free on-line course titled Introduction to the incident Command System (IS-100),which is available at There are many concepts, ideas, and practices described in www.training.fema.gov/emiweb/IS/is100.asp. NIMS that many response agencies have used for years. This includes using an Incident Command System (ICS), mutual aid j �+,- _--" "" �"` — . agreements, providing training for responders, planning andia l`` i I i l ' 1 I.1 i preparedness activities,and conducting drills&exercises i _ _ L II i ISri ▪ While none of these activities are new, some adjustments _ ��: I . i , to how these activities are done, described, or conducted -- � �- may need to happen to reflect incorporation of NIMS in these . to -`.H �; �_� 4. f - practices The best way to determine where your county measures _ 1 up with regard to NIMS implementation is to do a self-assess- .. , ment This assessment can be done using an on-line product 4 jpo_ , - developed by the Department of Homeland Security called NIMCAST *- .,. NIMCAST stands for National Incident Management Sys- - - ' • tem Capability Assessment Support Tool The NIMCAST is a web-based self-assessment tool designed to help state and local jurisdictions determine their capabilities and compliance ,, ▪ against the requirements established in the National Incident Management System (NIMS) National Incident Management System Guide for County Officials•5 National Association of Counties • Community Services Department There are four phases for NIMS Implementation They are• Disaster and Emergency Response Planning 1 Staff Training(see Training section on page 4) The planning process is dynamic and involves an ongoing 2 Evaluation of existing plans,policies,and procedures to system of updating plans based on results of drills, exercises, identify aspects where NIMS needs to be integrated in responses,changes in local,state,and federal rule making,up- them In particular,Emergency Operations Plans(EOPs) dated knowledge about hazards, or by incorporating changes must be evaluated for NIMS incorporation. based on best practices of other jurisdictions 3 Modification of existing plans,procedures,and policies Emergency Operations Plans (EOPs) primarily spell out roles to reflect NIMS adoption This includes modification of and responsibilities during an incident/event and they are any emergency response plans in support of the National often supplemented with additional documents such as Stan- Response Plan(NRP)and any internal emergency plans such dard Operating Procedures and Emergency Operating Procedures as Continuity of Operations Plans(COOP)or Continuity of which describe steps to follow when an event happens, and Government(COG) Plans There is a Guide for making your the procedures are developed through planning and testing plans NIMS compliant for Local/Tribal Jurisdictions available those plans Plans are often tested through evaluating actual at the NIMS website,www.fema.gov/emergency/nims/ responses and making adjustments to response procedures index.shtm based on objective evaluation NIMS also calls for testing plans 4 Verification of achievement of the NIMS standards,including and procedures through response exercises conducting exercises to demonstrate compliance with the When responding to a routine emergency that your county standards has all the resources to handle, it is not required to use NIMS However, experienced responders have said that when NIMS An important component of NIMS implementation is the use concepts are employed on a routine basis, including the Ina- of the Incident Command System(ICS)to provide a flexible,but dent Command System, it works much smoother when they consistent structure to organize response to emergencies and require assistance from others (mutual aid) because they have disasters Many emergency response organizations have been practiced it on a regular basis using some form of ICS for many years The ICS described in Further,a well-developed response plan identifies resources NIMS recognizes local ICS usages, and often what's been used that may be needed for an unusual or a large response,as well locally is acceptable for NIMS compliance, though sometimes as for mutual aid some terminology or adaptations for ICS structure may be NIMS specifies that mutual aid agreements be in writing required. There are many forms of mutual aid agreements,some simple All county agencies—Police,Sheriff,Fire,Emergency Medical and some complex For example, informal mutual aid agree- Services, Emergency Management, Homeland Security, Public ments among intra-county communities have existed for a long Health,Public Works,and all others who have a duty to respond time When resources are deployed across county or state bor- to emergencies—should work together on NIMS implementa- ders,more formal mutual aid agreements need to be in place. tion In many counties,this activity is coordinated by the person Documenting and formalizing mutual aid agreements be- designated as the lead for Emergency Management. tween agencies and jurisdictions is a major part of NIMS and one of the measurements of NIMS compliance Agency-to-agency, city-to-city,and county-to-county mutual aid agreements exist all over the country NIMS compliance requirements suggest ''` that counties revisit existing mutual aid agreements to ensure '•' * that NIMS standards are incorporated in them,particularly the ' j= use of the Incident Command System(ICS) j, 1 Samples of mutual aid agreements to model are available 1� ' from www.nimsonline.com/download center/index.htm. A model state/county mutual aid agreement can be found at � y www.emacweb org/7123 r'' • Drills and Exercises • Drills and exercises are used often to test disaster and emergency response plans, and to provide qualitative and - quantitative measurements on how the plan works,and where gaps exist or adjustments are needed There are many different types of drills and exercises, all of which have their plusses and minuses There may be tabletop 6•National Incident Management System Guide for County Officials National Association of Counties • Community Services Department MD exercises,functional exercises,and full-scale exercises Exercises ._ I which involve responders from multiple disciplines and multiple I , - jurisdictions are the best way to measure incorporation of NIMS principles and practices,and also is a measurement criterion for NIMS compliance for federal FY07 . ; R ,.1�..'� - Conducting regular drills and exercises enhance the insti 3 :, ,''' tutionalization of NIMS, which is one of the primary measure- , A- ments of NIMS compliance. "` - When exercises are completed, NIMS calls for incorporating corrective actions into preparedness and response plans and procedures e .. , Some large-scale exercises occur on a statewide basis To de- `t ,.7 7 , .,� • termine what exercises are planned for your state or region of '` s your state,contact your state's Homeland Security/Emergency _ Management agency. r — Every two years, a national exercise is conducted, called 0 TOPOFF (meaning Top Officials.) Information about howilki _ , TOPOFF exercises, plus reviews of these exercises and ad- ditional information about large-scale exercises is available at Counties should use resource typing definitions to describe — www.ojp.usdoj.gov/odp/exercises.htm or inventory their resources. A description of the typing defini- tions and approach can be found at www.fema.gov/pdf/nims/ NIMS basic resource typing system.pdf - Resource Management Homeland Security grant funds can be used to update or Resource management under NIMS defines standardized create an inventory of county resources in accordance with the mechanisms and establishes requirements for processes to Resource Typing Definitions ▪ describe, inventory, mobilize, dispatch, track, and recover A "freeware" database management software from the resources over the cycle of the incident NIMS Integration Center assists communities in the inventory This may sound more difficult than it really is A resource and loading of NIMS Typed Resources This software is titled _ typing system allows responders to keep track of all resources "Incident Resource Inventory System"(IRIS) required and used for response This is especially important For more information about NIMS/IRIS,visit the NIMS Integra- when the county is receiving or providing mutual aid Typed tion Center at www.fema.gov/emergency/nims/nims.shtm resources are easy to identify for replacement, upgrading, or ▪ exchange Resources are organized in these ways Communications and Information Management - •Category-function for which the resource is most useful NIMS and ICS describe standardized communications pro- (firefighting,law enforcement&security,transportation, cedures There is also an emphasis in NIMS for increasing the communications,public works&engineering,information& capacity for interoperable communications among responders, planning,mass care,etc) particularly those from multiple jurisdictions •Kind-broad class of characterization,such as teams,per- During federal FY07 and beyond,the use of standardized and sonnel,equipment,supplies,vehicles,and aircraft consistent terminology, including the establishment of plain •Components-what composes the resource(e g,hose, language communications standards across the public safety pump,ladder,truck,personnel,cots,blankets,water storage sector,are required for NIMS compliance containers,syringes,etc) Ten-codes were created when radio communications were •Metrics-measurement standards that identify capability the only method that emergency responders in the field could _ or capacity Metrics will differ depending on the kind of communicate with each other The quality of sound and voice resource being typed transmission was often poor "10-4"was easier to hear on the •Type-refers to the level of resource capability,and provides radio With today's technology, quality of voice transmissions managers with additional information to aid the selection have improved dramatically and best use of resources A type is based on a minimum While using "10-" codes locally may work just fine and is a level of capability described by the identified metrics for common practice today, these codes are not used the same ▪ that resource or component Type I implies a higher capa- way by different agencies within a jurisdiction (such as police bility than Type II and EMS),nor in different counties,cities,or states Also,emer- gency communications occur now not only over a radio, but National Incident Management System Guide for County Officials•7 National Association of Counties• Community Services Department also by text messaging via wireless devices, cell phones, and More information on the Internet: other technology. •Current list of federal preparedness funding: For all of these reasons, there is an emphasis now on using www.fema.gov/emergency/nims/index.shtm plain language when responders from multiple jurisdictions will be involved. •Complete list of NIMS-related training. More information on the use of plain language and stan- www.training.fema gov/EMIWeb/IS/crslist.asp dardized terminology may be found at www.fema.gov/pdf/ emergency/nims/More10Codes02-08-06.pdf •NIMCAST. www.fema.gov/nimcast/index.jsp Glossary •Samples of mutual aid agreements. EMPG: Emergency Management Performance Grant One www.nimsonline.com/download center/index.htm of the largest grant programs offered by the Department of IMO Homeland Security through states that counties use to fund •Model state/county mutual aid agreements• emergency planning and preparedness activities www.emacweb.org/?123 HSPD-5: Homeland Security Presidential Directive #5, re- leased February 28,2003,which applies to federal agencies de- •Information about large-scale exercises: veloping and adopting NIMS Federal agency implementation www.olp.usdolgov/odp/exercises.htm of NIMS affects states and counties by requirements to become "NIMS Compliant"in order to be eligible for federal prepared- •NACo's Homeland Security section• ness funding in the form of DHS Grants and UASI funds www.naco.org/techassistance ICS: Incident Command System This is a system of coor- dinating people and resources under a flexible but common structure providing for a span of control that can expand as the response dynamics indicate. NIMS: National Incident Management System,as described in HSPD-5 NIMCAST: National Incident Management System Capabili- ties Assessment and Support Tool This is an on-line method to determine where your county stands regarding its compliance with NIMS standards NIMS-IRIS: NIMS"Incident Resource Inventory System"-a freeware database provided by the NIMS Integration Center to help counties and localities classify their response resources according to NIMS standards NRP. National Response Plan, a written plan that provides i direction to the federal government and the 32 signatory agen- cies on response to disasters that require federal intervention This plan evolved from the earlier Federal Response Plan UASI: Urban Area Security Initiative This DHS program provides financial assistance to address the unique planning, equipment, training, and exercise needs of high-threat, high- density urban areas,and to assist them in building an enhanced MEM and sustainable capacity to prevent, respond to, and recover from threats or acts of terrorism ■ 8•National Incident Management System Guide for County Officials ming MEI About NACo The National Association of Counties(NACo)is the only national organization that represents county governments in the United States Founded in 1935,NACo provides essential services to the nation's 3,066 counties NACo advances issues with a unified voice before the federal government,improves the public's understanding of county government,assists counties in finding and sharing innovative solutions through education and research,and provides value-added services to save counties and taxpayers money. For more information about NACo,visit www.naco.org About IAEM IAEM is a non-profit organization representing 2,700+emergency management and homeland security professionals for communities, state and federal disaster officials,private sector,non-governmental organizations and others involved in preparing for,responding to,and recovering from all types of disasters including acts of terrorism The IAEM(www.iaem.com)is dedicated to promoting the goals of saving lives and protecting property during emergencies and disasters 0 National Association of Counties Counties Care for America 440 First St NW•Washington D.C.20001 •202/393-6226•FAX 202/393-2630 www.naco.org NYC disaster plan ignores disabled people. suit Page 1 of 1 r . ...:, .. Lapin to OnePass I Settings 1 Help SEARCH P THOMSON REUTERS NEWS & INSIGHT THOMSON REUTERS Featuring content fro m W ESTLAW • LEGAL HOME I NEWS 1 INSIGHT I LEGAL MATERIALS NYC disaster plan ignores disabled people suit s,ter- a MORE LEGAL NEWS U.S.DOJ to clarify bribery probe triggers lonuv coHcoun i°' Breakingviews:Cars CDO NEW YORK,Sept 26(Reuters) Disability-rights advocates on Monday accused New York City of failing to account settlement now seems to for the unique needs of its nearly 900,000 disabled residents during disasters like Hurricane Irene and the attacks of pass muster Sept 11,2001 Rajaratnam ordered to pay$92.8 min in SEC The proposed class-action lawsuit,filed Monday in Manhattan federal court,contended that the city is violating case federal and state anti discrimination laws by failing to make emergency plans,shelters announcements and U.S prosecutors oppose transportation fully accessible to individuals with physical disabilities paying Clemens mistrial , fees The suit was brought by the Brooklyn Center for Independence of the Disabled,the Center for Independence of the U S.court refuses to OK Disabled New York,and Tania Morales,a Brooklyn resident who uses a wheelchair Morales was one of more than Texas' new congressional 250,000 New Yorkers asked to evacuate from low lying areas during Hurricane Irene map U.S.court allows class Morales said she arrived at a designated emergency shelter to find the gates leading to the wheelchair ramp were action suit against Amgen locked Volunteers at the shelter tried to track down the keys,but after 10 minutes Morales returned home,saying CAREER TRACKER: she was afraid to wait any longer on the sidewalk and had no way to get to another shelter Lawyers on the move- November 8, 2011 "It's an absolute disgrace that a decade after the September 11th terrorist attack,there is still an absence of Supreme Court seems i planning for our most vulnerable citizens,"Julia Pinover,an attorney with Disability Rights Advocates representing troubled by police GPS tracking the plaintiffs,said in a statement Orange Co firm sued for The plaintiffs are seeking a court order forcing the city to revamp its emergency preparation plan to account for barring disabled woman's PI disabled individuals needs,including accessible transportation,shelter,communication,notification and assistance dog Wells Faro s during disaster recovery derivat ves I tigaltion CITY REBUFFS CLAIMS i — During the hurricane evacuations,roughly 75 percent of designated emergency shelters were not fully accessible to wheelchair users,and evacuation announcements and directions were not provided in a format usable by individuals k with vision or hearing impairments,the complaint said A spokeswoman for the New York City Law Department rebuffed the plaintiffs'allegations "Once the evacuation order was issued,the City aggressively communicated the locations of the evacuation centers and also specifically targeted service providers who work with people with special needs,"said Kate O'Brien Ahlers r i Everyone who called the city seeking assistance in getting to a shelter was helped,she added,and the city deployed a special fleet of vehicles to assist the disabled The case is Brooklyn Center for Independence of the Disabled et al v Mayor Michael Bloomberg et al,in the U S District Court for the Southern District of New York,no 11-6690 For the plaintiffs Sid Wolinsky,Mary-Lee Smith and Julia Pinover of Disability Rights Advocates (Reporting by Jessica Dye) Follow us on Twitter @ReutersLegai Po 4 III Register or log in to comment • I CONTACT US PRIVACY POLICY TERMS-OF USE COPYRIGHT SITE MAP' ' i I http://newsandinsight.thomsonreuters com/Legal/News/2011/09_-_September/NYC_disast 11/8/2011 ROLL CALL WS r� REG: 171 tf. I I SPEC: CITY COUNCIL: P I A P I A P I A MAYOR INSALACO t-'� VICE MAYOR DIETZ V COUNCILMEMBER BARKER V COUNCILMEMBER COLEMAN V /3 COUNCILMEMBER SERDY I•7 1 COUNCILMEMBER SMITHSON V11(// COUNCILMEMBER WILSON71- l� TOTAL l CITY STAFF \N I I / City Manager George Hoffman v i Assistant City Manager Bryant Powell v City Clerk Kathleen Connelly v J City Attorney Joel Stern / i, Public Safety Director Jerald Monahan V <rV Interim Public Works Director/ i City Engineer Giao Pham V ,1 Parks & Recreation Director Jeff Bell 1 Finance Director Donna Meinerts I' Development Svcs Director Brad Steinke Human Resources Director Liz Riley Economic Development / Director Steve Filipowicz r Assistant to the City Man er ii /-) �;;v� Matt Busby �i J pf .): OTHERS: ,r�'711 1 U ; I _ ,1 9)/ 0 Date: __ l City of Apache Junction Item No. Request to Speak Form or 1 Call to The PublicF"` (One Form Per (tern) / Please fill out completely and return to the City Clerk prior to the conclusion of the City Manager's Report portion of the agenda. 1 Do you wish to speak before Council on this item? Yes❑ Nor: Only If Necessary ❑ E I am in favor of the proposed It )91 am opposed to the proposed Item. (Name (F' int) C>< t",ir ejt7 4711 6511 -9 Addres_ , City Zip Code Telephone This information will be used by staff for follow-up, if necessary. Speakers are requested to directly address their agenda item and address their comments to the Mayor and City Council. Please limit Call to the Public comments to no more than three minutes and five minutes for Public Hearing items. 8/18/09 • Date: = e- - City of Apache Junction Item No. R F p Request to Speak Form or Call to The Public (One Form Per Item) Please fill out completely and return to the City Clerk prior to the conclusion of the City Manager's Report portion of the agenda. ( Do you wish to speak before Council on this item? Yes❑ No❑ Only If Necessary ❑ ❑ I am in favor of the proposed Item. ❑ I am opposed to the proposed Item. ecv c a b2 Name (Print) gs /•4/ (iv 0 gs ( ? Address City Zip Code Telephone This information will be used by staff for follow-up, if necessary. Speakers are requested to directly address their agenda item and address their comments to the Mayor and City Council. Please limit Call to the Public comments to no more than three minutes and five minutes for Public Hearing items. 8/18/09 Date: /(9 r °Z r`/ City of Apache Junction Item No. Request to Speak Form or Call to The Public /-,/ (One Form Per Item) Please fill out completely and return to the City Clerk prior to the conclusion of the City Manager's Report portion of the agenda. I Do you wish to speak before Council on this item? Yes No❑ Only If Necessary E ❑ I am in favor of the proposed Item. ❑ I am opposed to the proposed Item. s 5 se Name (Print) i so CI (2/4-c n i 5 511 ? Address City Zip Code )—( op — clz—g-103 Telephone This information will be used by staff for follow-up, if necessary. Speakers are requested to directly address their agenda item and address their comments to the Mayor and City Council. Please limit Call to the Public comments to no more than three minutes and five minutes for Public Hearing items. 8/18/09